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High Utilization in SCD
Extremes of hospital utilization by patients with sickle cell disease (SCD) are problematic for patients, clinicians, and policymakers.110 Although patients manage their pain at home most of the time, even acute crises,11 a small minority of SCD patients accounts for a remarkable amount of hospital resource utilization.1, 3, 4, 6, 1114 Where it is quite unusual for a patient with SCD to be hospitalized more than twice per year,1, 11 in prior work with payer datasets our group identified some patients who were hospitalized more frequently than once per month. In rare cases, admission rates exceeding once per week were identified.1 High‐utilizing SCD patients, and particularly the very high‐utilizing subset, account for the majority of costs of care for the population.13, 14
In previous work by our group describing hospital utilization among members of a regional Medicaid MCO, results suggested that high utilization was a relatively transient phenomenon for most patients, likely resulting from short‐term increases in hospitalization rates among previously moderate utilizers.1 However, high‐utilizing members whose inpatient admission rate did not quickly moderate were progressively less likely to resume a more typical utilization pattern.
The present study used the State Inpatient Databases for years 2004 to 2007 from the Agency for Healthcare Research and Quality to replicate prior findings and to investigate questions not addressed in our prior work. Specifically, hospital discharge data from all hospitals in the state of California were examined to identify first‐year adolescent and adult high utilizers and to follow their hospital utilization over time. The objectives of the study were as follows:
To identify historical predictors of a period of high utilization by comparing diagnoses between 20042006 in patients who were new high utilizers in 2007 with those who were never high utilizers.
To identify predictors of a persistent rather than moderating course by following patients who were new high utilizers in 2005 over the succeeding 2 years.
To replicate prior findings on the course of high hospital utilization.
Patients and Methods
Initial Data Source
The State Inpatient Databases (SID) are provided by the Healthcare Cost and Utilization Project, sponsored by the Agency for Healthcare Research and Quality. They contain patient‐level discharge data from all hospitals in participating states. This study presents SID data from California for the years 2004 through 2007, including a total of 34,363 hospital admissions in which a diagnosis of sickle cell disease was recorded. Encrypted patient identifiers were used to identify individual patients, and there are few missing identifiers in the California dataset for these years. The data set includes up to 25 discharge diagnostic codes using ICD‐9 nomenclature. In addition, each patient's age and gender are recorded.
Categorization Based on Diagnosis and Inpatient Utilization
Management of missing or conflicting information
A minority of hospitalization records contained ambiguous demographic information (such as conflicting or missing gender or age) associated with the same patient identifier. Identical identifiers were assumed to represent the same patient for purposes of this study, even if other information was conflicting. This decision avoided overly conservative utilization estimates, as high utilizers would have correspondingly more missing information and data entry errors that could lead the same patient to be identified as multiple others with lower utilization. An examination of admissions with conflicting measures supported this method, in that most conflicts were due to missing entries in otherwise consistent data or were very likely typographical. If inconsistencies were due only to missing information for some hospitalizations, the non‐missing values were accepted. In cases where there was actual inconsistency, the following methods were employed.
For dichotomous information, such as gender, conflicts were recoded as missing. Ages recorded in each hospitalization were standardized to ages as of 2004 by subtracting the difference between the year of admission and 2004. If the spread of ages associated with a given patient identification number was greater than 3 years (missing values excluded), the age was coded as missing (note that age at hospitalization could differ by 1 year depending on the temporal relation of hospitalization to the date of birth). If the discrepancy was less, the minimum recorded age was accepted.
Construction of the Study Subset
The study data set was constructed as follows (Fig. 1):
Patient identifiers associated with a diagnosis of sickle cell disease were selected by identifying admissions with ICD‐9 diagnosis codes for sickle cell disease appearing in the first 10 diagnoses for calendar years 2004 to 2007 (these included ICD‐9 codes 282.60 to 282.64, 282.68, 282.69, 282.41, and 282.42). Of this group, patients who had a record of at least 1 admission for sickle cell crisis were identified. An admission for crisis was operationalized as a hospitalization with 1 discharge diagnosis coded as 282.42, 282.62, 282.64, or 282.69. This yielded a data set of 34,363 admissions among 3169 patients.
Admissions with missing patient identification numbers were excluded (n = 2365 of 34,363 admissions, 6.88%).
Hospitalizations were tabulated for each unique patient identifier.
Patients with a known age of 13 years or more in 2004 were selected. There were 481 patients excluded due to age below 13 years, and 814 excluded for having an uncertain age. The final sample consisted of 1874 unique patient identifiers representing 10,704 hospital admissions.

As patients who were hospitalized more often were more likely to have inconsistent data, the exclusion for unknown and inconsistent age likely biased the findings by excluding more frequently hospitalized patients. Further post‐hoc analyses were conducted to gauge the extent of this bias, reported in Results, below.
Categorization by Utilization
For each patient, inpatient hospital admissions were tabulated for each year. A year of high utilization for a patient was defined as any calendar year in which that patient had 4 or more hospital admissions. In prior well‐designed studies, categorical definitions of high utilization have used cutoffs between 3 and 5 hospitalizations per year.13, 14 In our group's experience, the cutoff around 4 admissions per year identifies a subpopulation in the top 10% to 20% for annual hospital utilization, both in the outpatient clinic and in payer populations with which our center interacts. A patient was included in the high utilizer group if he or she was a high utilizer in at least 1 year of the study period; all other patients were placed in the comparison group. There were 479 patients in the high utilizer group (25.6% of the total sample) and 1395 in the comparison group. To predict onset of a period of high utilization, patients whose first year of high utilization was 2007 (n = 84) were compared with patients who were never high utilizers (n = 1395). In the prospective analysis to predict moderation, patients who were new high utilizers in 2005 (n = 206) were divided into the group who had fewer than 4 admissions in the following year (moderating course, n = 131) and those who had more than 4 admissions in the following year (continuous course, n = 75).
Operationalization of Diagnoses of Comorbid Conditions and Complications
Discharge diagnoses were parsed by a computer algorithm for diagnostic codes matching selected diagnoses. If the diagnosis was found at least once, the patient was coded as having the diagnosis. Diagnostic codes (ICD‐9‐CM) included the following: HIV: 042.__; septicemia: 038.__; pneumonia: 482.00 to 486.99; pulmonary embolus: 415.11,12 and 415.19; acute chest syndrome: 517.3_; chronic renal disease: 585.__; diabetes mellitus: 250.__; cocaine dependence: 304.2_; cocaine abuse: 305.6_; alcohol dependence: 303.00 to 303.92; alcohol abuse: 305.0_; mood disorders (including depressive and bipolar disorders): 296.00 to 296.89; and aseptic necrosis of bone: 733.4_. Substance dependence and abuse were aggregated to create alcohol use disorder and cocaine use disorder categories. Opiate use disorders were not included, as the clinical experience of the authors suggested that clinicians may sometimes diagnose opiate dependence on the basis of frequent hospitalization in itself, and it seemed prudent to avoid the confound.
Statistical Analyses
All statistical and graphical analyses were performed in the R statistical computing environment.15 Intergroup differences in categorical data were analyzed using the chi‐square test for independence. The sample distributions of many measures were highly skewed, and nonparametric methods were used where practical. In general, the median and interquartile range are reported as measures of central tendency and spread, respectively. Comparisons between groups on continuous measures were done using the Mann‐Whitney‐Wilcoxon test.
Institutional Review Board Approval
The study was exempt from institutional review board review, due to the nature of the data set and its noninterventional design.
Results
Comparison of Utilization Groups by Demographics and Diagnosis
Table 1 presents direct comparisons of high utilizers with comparison patients. Patients in the high utilizer group were slightly more likely to be female and had a higher prevalence of all diagnoses examined, with the exception of HIV (where prevalence was quite low). At least 1 discharge diagnosis of acute chest syndrome was common in both groups, but was more than twice as prevalent in high utilizers. Diagnoses of aseptic necrosis of bone and septicemia were much greater in the high utilizer group than among comparison subjects.
Comparison N = 1395 | High Utilizers N = 479 | P | |
---|---|---|---|
| |||
Demographics | |||
Age | 32 [21]b | 29 [19]b | <0.001 |
Femalea | 55.28% | 66.46% | <0.001 |
Complications | |||
Acute chest syndrome | 15.63% | 40.29% | <0.001 |
Aseptic necrosis | 9.18% | 30.90% | <0.001 |
Renal disease | 4.01% | 11.48% | <0.001 |
Comorbidities | |||
Septicemia | 7.03% | 31.52% | <0.001 |
Pneumonia | 2.51% | 8.14% | <0.001 |
HIV | 0.57% | 1.04% | 0.453 |
Pulmonary embolus | 2.51% | 10.02% | <0.001 |
Diabetes | 6.38% | 13.57% | <0.001 |
Mood disorder | 1.72% | 11.69% | <0.001 |
Cocaine disorder | 1.00% | 9.60% | <0.001 |
Alcohol disorder | 2.87% | 8.56% | <0.001 |
Utilization | |||
Hospitalizations | 2 [2]b | 11 [12]b | <0.001 |
Prior History of New High Utilizers
Patients who were first high utilizers in 2007 (FY2007) were compared with patients who were never high utilizers on hospital diagnoses made before 2007 to identify predictors of a new‐onset period of high utilization (Table 2). The FY2007 high utilizers did not differ significantly in demographics from nonhigh utilizers. The FY2007 high utilizers had a greater prevalence of discharge diagnoses of aseptic necrosis of bone (OR 2.03, 95% CI, 1.07 to 3.85) and renal disease (OR 6.28, 95% CI, 2.72 to 14.5) prior to the onset of high utilization. FY2007 high utilizers also had a greater number of hospitalizations prior to their initial year of high utilization (median 3 vs 1); however, a similar proportion of FY2007 and never high utilizers had been hospitalized at least once before 2007. In 2007, the first‐year 2007 high utilizers had a markedly greater prevalence of hospital diagnoses of acute chest syndrome (OR 4.67, 95% CI, 2.53 to 8.63) and septicemia (OR 8.26, 95% CI, 3.91 to 17.4). Other diagnoses, expressed as OR and 95% confidence intervals, included aseptic necrosis of bone 4.80 (1.89 to 12.2), pneumonia 17.6 (4.99 to 62.0), pulmonary embolus 5.70 (1.52 to 21.5), mood disorder 11.0 (3.51 to 34.3), and cocaine disorder 10.3 (2.42 to 43.8), Table 2). However, only a minority of nonhigh utilizers were hospitalized at all that year.
Prior to 2007 | In 2007 | |||||
---|---|---|---|---|---|---|
Never | New High Utilizers in 2007 | P | Never | New High Utilizers in 2007 | P | |
N = 1395 | N = 84 | |||||
| ||||||
Demographics | ||||||
Age | 32 [20]a | 30 [20]a | 0.116 | |||
Female | 55.28% | 65.06% | 0.103 | |||
New complications | ||||||
Acute chest syndrome | 11.18% | 15.48% | 0.306 | 4.44% | 17.86% | <0.001 |
Aseptic necrosis | 7.60% | 14.29% | 0.047 | 1.58% | 7.14% | 0.001 |
Renal disease | 1.65% | 9.52% | <0.001 | 2.37% | 3.57% | 0.740 |
New comorbidities | ||||||
Septicemia | 5.23% | 5.95% | 0.972 | 1.79% | 13.10% | <0.001 |
Pneumonia | 2.15% | 0.00% | 0.337 | 0.36% | 5.95% | <0.001 |
HIV | 0.57% | 0.00% | 0.944 | 0 | 0 | |
Pulmonary embolus | 1.86% | 2.38% | 0.941 | 0.65% | 3.57% | 0.023 |
Diabetes mellitus | 4.52% | 4.76% | 0.869 | 1.86% | 4.76% | 0.152 |
Mood disorder | 1.15% | 3.57% | 0.156 | 0.57% | 5.95% | <0.001 |
Cocaine disorder | 0.65% | 1.19% | 0.926 | 0.36% | 3.57% | 0.002 |
Alcohol disorder | 4.30% | 2.38% | 0.567 | 1.43% | 4.76% | 0.057 |
Utilization | ||||||
Hospitalized | 82.51% | 85.71% | 0.545 | 46.73% | 100% | <0.001 |
Hospitalizations | 1 [4]a | 3 [4]a | <0.001 | 0 [2]a | 5 [2]a | <0.001 |
Course of New High Utilizers
Patients who were high utilizers in 2005 but not in 2004 were identified, and their hospital utilization from 2005 to 2007 was plotted (Fig. 2). The results are shown in Figure 1. Fifty‐five of the original 91 (60.44%) new high utilizers moderated in the following year, and 6.59% were known to have died in the hospital. Of the surviving 30 (32.97%) who did not moderate in the second year, 19 (65.3%) continued the high‐utilizing pattern into the third year, while 9 (16.36%) of those who moderated in year 2 returned to the high‐utilizing pattern in year 3. During this 3‐year period, 10 members (10.99%) of the initial group died in the hospital.

Diagnostic Patterns in Continued and Moderated First‐Year High Utilizers
The diagnoses of patients who were high utilizers in 2005 and not 2004 were examined for differences between those who moderated in 2006 (moderating group) and those who continued the high‐utilizing pattern (persistent group, Table 3). There were no differences in any measures examined in 2004. In 2005, the initial year of high utilization, the groups differed only on the prevalence of new diagnoses of alcohol use disorders (95% CI for odds ratio incalculable due to zero prevalence in moderating group), and slightly in number of hospitalizations (median 5 vs 5.5). Over ensuing years, the persistent group was more likely to have new discharge diagnoses of septicemia (OR 5.88, 95% CI, 1.40 to 24.7) and mood disorders (OR not calculated due to zero prevalence in the moderating group).
Course of 2005 1st Year High Utilizers | |||||||||
---|---|---|---|---|---|---|---|---|---|
Prior Year (2004) | First Year (2005) | Subsequent Years (20062007) | |||||||
Moderating | Persistent | P | Moderating | Persistent | P | Moderating | Persistent | P | |
N = 61 | N = 30 | ||||||||
| |||||||||
Demographics | |||||||||
Age | 30 [22]a | 25 [29.5]a | .682 | ||||||
Female | 63.93% | 66.67% | .982 | ||||||
New complications | |||||||||
Acute chest syndrome | 8.2% | 6.67% | .872 | 21.31% | 33.33% | .325 | 4.92% | 13.33% | .318 |
Aseptic necrosis | 6.56% | 13.33% | .978 | 11.48% | 10.00% | .885 | 8.20% | 13.33% | .691 |
Renal disease | 0.00% | 0.00% | 11.48% | 10.00% | .885 | 3.28% | 10.00% | .405 | |
New comorbidities | |||||||||
Septicemia | 4.92% | 0.00% | .541 | 9.84% | 3.33% | .500 | 4.92% | 23.33% | .022 |
Pneumonia | 1.64% | 0.00% | .716 | 4.92% | 0.00% | .541 | 0.00% | 6.67% | .201 |
HIV | 0.00% | 0.00% | 1.64% | 0.00% | .716 | 0.00% | 0.00% | ||
Pulmonary embolus | 0.00% | 3.33% | .541 | 11.48% | 3.33% | .370 | 4.92% | 3.33% | .844 |
Diabetes mellitus | 3.28% | 3.33% | .844 | 9.84% | 6.67% | .914 | 0.00% | 3.33% | .716 |
Mood disorder | 3.28% | 6.67% | .541 | 1.64% | 10.00% | .199 | 0.00% | 13.33% | .018 |
Cocaine disorder | 3.28% | 3.33% | .622 | 1.64% | 10.00% | .199 | 0.00% | 6.67% | .201 |
Alcohol disorder | 0.00% | 0.00% | 0.00% | 16.67% | .005 | 1.64% | 6.67% | .523 | |
Utilization | |||||||||
Hospitalized | 77.05% | 73.33% | .898 | 100% | 100% | 73.77% | 100% | .005 | |
Hospitalizations | 1 [2]a | 1.5 [2.5]a | .924 | 5 [2]a | 5.5 [4]a | .022 | 2 [4]a | 11 [11.75]a | <.001 |
Assessment of Effects of Age Selection
In order to assess the effects of restricting the sample to patients with a known age <13, post‐hoc analyses were performed without this restriction. In general, results were in line with findings from the planned analysis.
Using these less stringent criteria, prior to the onset of their first year of high utilization, FY2007 high utilizers (n = 142) were more likely to be female (63.0% vs 52.5%, P = 0.019) than never high utilizers (n = 2173), and also had more chronic kidney disease (7.75% vs 1.29%, P < 0.001), mood disorders (4.93% vs 0.83%, P < 0.001), and prior hospitalizations (median 3 vs 2, P < 0.001).
New 2005 high utilizers who persisted after 2005 (n = 75) were more likely to be diagnosed with alcohol disorders in 2005 (8% vs 0%, P = 0.004) and had slightly more hospitalizations (median 5 for both groups, but with a greater spread for the continuous group, P = 0.003) in 2005 than those who moderated (n = 131). After 2005, the continuous group were more likely to have new diagnoses of acute chest syndrome (5.34% vs 14.67%, P = 0.043), aseptic necrosis (4.58% vs 14.67%, P = 0.023), septicemia (3.82% vs 21.33%, P < 0.001), and mood disorders (0.00% vs 9.33%, P = 0.002).
Discussion
Replication of the Moderating Course of High Utilization
This study replicates, with substantial sample size, the finding that high inpatient utilization in patients with SCD tends to moderate relatively quickly. As the present report used a statewide data set of patients not selected for payer type, it mitigates prior concerns that selection by insurance status, disenrollment, and mortality biased previous findings using payer data sets. Thus, the moderating course of the typical high‐utilizing SCD patient now seems well‐established.
The fact that those new high utilizers who did not moderate stabilized at a new, higher level of utilization suggests that interventional studies of high utilizers in SCD may best target a more extreme population, either in terms of multi‐year persistence or an accelerating course of utilization. However, this subgroup will be rare.
Prediction of Onset and Course of New High Utilizers
This is the first study to the authors' knowledge to address the question of whether the onset and course of a period of high utilization can be reliably predicted. The results were mixed. High utilizers appeared to be more ill and complex than comparison patients over a wide range of measures, and new high utilizers were diagnosed with more complications prior to and during an index period of high utilization than comparison patients. Chronic complications appeared to lead a period of new high utilization, and more acute complications occurred in the same year. However, while complications were more prevalent in new high utilizers, the differences were not of sufficient magnitude to be reliably predictive. Even the most common SCD complication noted, acute chest syndrome, occurred as a new diagnosis in less than 20% of the new high utilizers in the initial year of high utilization. Thus, paradoxically, while high utilizers appeared more ill, no particular pattern of illness was strongly predictive of high utilization.
Persistent high utilization, rather than the more usual transient course, seemed more closely related to new substance use and mood disorder diagnoses than to complications of sickle cell disease. Persistent high utilizers had a greater prevalence of new diagnoses of mood disorders than moderating high utilizers in every time period examined, emerging as statistically significant after the first year of high utilization. The difference in new diagnoses of alcohol disorders was statistically significant in the initial period of high utilization, but was also present in the other time periods. Cocaine use disorders showed a similar pattern, though they were more rare and did not rise to the level of statistical significance.
The one SCD complication associated with persistent high utilization was septicemia. It is tempting to speculate that this could be as much cause as consequence of high utilization, given the exposures of frequently hospitalized patients to invasive procedures and nosocomial infection.
There was an intriguing regularity of associations of high utilization with mood disorders. This was most clear in differentiating persistent from moderating high utilizers, but was present as a theme in the results throughout. High utilizers were much more likely to be diagnosed with a mood disorder, and both first year high utilizers and persistent high utilizers were distinguished by a higher prevalence of new mood disorder diagnoses. Patients who were persistent high utilizers after an initial high utilization period in 2005 had a cumulative prevalence of hospital‐diagnosed mood disorder approximating 30% by 2007. These differences could be due to a number of factors, including increased surveillance in high utilizers, pain and chronic illness causing mood disturbance, or mood disorders influencing the underlying disease process.
Implications
High utilization in this and other studies is closely related to evidence of more severe sickle cell disease.3, 8, 9, 17 This fact, and the apparent difficulty of predicting the onset and course of high utilization, suggest that the primary intervention to moderate high utilization is to prevent such acute complications as acute chest syndrome in the more seriously affected. While the advent of hydroxyurea produced new hope that clinicians could reduce disruptive and dangerous hospitalizations for SCD patients,18 so far there is little evidence that this has occurred.14 Particularly concerning is evidence that only a minority of patients for whom hydroxyurea is indicated are being prescribed the medication.14, 19 Given the individual and public benefits of reduced morbidity and cost, interventions to reduce barriers to physician prescribing and patient adherence are urgently needed, and this is one of the most important issues in the clinical care of SCD today.
The study also points out the continuing question of the role of psychiatric problems in the high‐utilizing SCD patient. While depression, anxiety, and addiction are frequently used as clinical explanations for high utilization in SCD patients, the research literature has stalled at reporting associations between measures of psychological distress and worsened outcome, with inconsistent results depending on methods and populations chosen. Generally, depression has been defined categorically by threshold cutoffs in screening instruments.2023 Whether the term depression should refer to major depressive disorder as defined in the standard psychiatric diagnostic system, or as a broader entity including less severe symptoms or milder disorders, is only rarely addressed.20 This method probably produces a high false‐positive rate relative to the provisional gold standard of diagnosisexpert, diagnostic, semi‐structured interviews.21, 22
However, within the limitations of current methods, certain themes have emerged. Depression, as currently defined, appears highly prevalent among SCD patients.20, 21, 23, 24 It is clearly and consistently associated with worsened pain.20, 21, 25, 26 It also predicts greater opioid use, dramatically reduced quality of life, and reduced relief from opioids.20, 27 Findings on utilization are mixed, however. In some studies, depression has been associated with greater utilization.23, 28 However, in the longitudinal Pain in Sickle Cell Epidemiology Study (PiSCES) study, depression was not associated with utilization when other relevant characteristics were controlled.20 In general, depression appears to lose predictive power as more clinical variables are entered into the model; however, a number of the clinical variables associated with utilization also are related to depression. Whether depression may have a causal role through multiple pathways is not yet settled.
Another matter, frequently discussed but currently unsettled, is the role of addiction in utilization behavior in SCD. Whereas patients with SCD are heavily scrutinized for addiction, and the clinical problem of aberrant opioid use behavior is often discussed for this population, research literature gives little guidance as to the true prevalence and management of such comorbidities. It is well known that substance use disorders are interconnected, such that presence of one elevates risk for others; thus, one would expect more common substance use disorders to act as epidemiologic sentinels for the less. The study of alcohol use disorders, in particular, could be an excellent candidate for developing hypotheses about substance use disorders in this populationdivorced from differentiating problematic pain management behavior from purely drug‐reinforced behavior. In the present study, alcohol use disorders appeared associated with persistent high utilization; however, in other well‐designed longitudinal studies alcohol abuse was related to lower utilization. The meaning of these divergent findings is unclear for the moment.
Despite frequent clinical attention to psychiatric problems in SCD, well‐designed longitudinal studies to clarify causal relations are lacking. Such studies will require reasonable sample sizes, the use of expert structured interviews for diagnostic confirmation, and care taken to address the level of independence of the depressive syndrome from consequences of the underlying illness. The latter will be methodologically difficult. It may require detailed assessment of the course of the depressive syndrome relative to that of the hematologic disorder, assessment of background familial risk for mood disorder, and the effects of subclinical ischemic neurological insults. Despite the challenges, if this work is not done clinicians will be left with tantalizing associations but no solid evidence to guide treatment, and the confusion surrounding the role of psychiatric illness in SCD will remain. Meanwhile,, it seems prudent to have a low threshold to screen for psychiatric disorder and to obtain psychiatric consultations relatively early, where appropriate, for patients whose hospital utilization appears to be accelerating.
Strengths and Weaknesses
Higher hospital utilization provided greater opportunity for diagnosis, so some detection bias in these results should be assumed. Diagnoses are extracted from hospital discharge records using ICD codes. There are opportunities for a number of errors in reporting and coding these diagnoses, and this is likely to be particularly true of conditions that are not the primary clinical focus of the hospitalization. However, all patients had at least 1 hospital admission, and the diagnostic differences are not far outside of expectation. The study also required at least one hospitalization for crisis for inclusion to guard against bias from patients with more mild disease. As such, the conservatively‐defined comparison group may not be a perfect representation of low utilizers, and some relationships may be blunted relative to findings from a broader population.
The study also had a number of strengths, particularly related to the large number of patients who could be tracked using these methods. Given the rarity of sickle cell disease, and the rarity of high‐utilizing patients in the SCD population, such methods as these are the most practical means of developing hypotheses as to the causes and course of high utilization. It is reassuring that the age selection criterion did not significantly alter results; in fact, post hoc analyses that were more inclusive of the high‐utilizing population generally reinforced results of the more stringent analysis.
- The course and correlates of high hospital utilization in sickle cell disease: evidence from a large, urban Medicaid managed care organization.Am J Hematol.2009;84:666–670. , , , .
- Health care provider attitudes toward patients with acute vaso‐occlusive crisis due to sickle cell disease: development of a scale.Patient Educ Couns.2009 Feb 20. [published online ahead of print] , , , , , , , .
- Comparisons of high versus low emergency department utilizers in sickle cell disease.Ann Emerg Med.2009;53:587–593. , , , , , , , .
- Healthcare Cost and Utilization Project Statistical Brief #21: Sickle Cell Disease Patients in U.S. Hospitals, 2004.Rockville, MD:Agency for Healthcare Research and Quality;2006. , .
- Physicians' attitude and practices in sickle cell disease pain management.J Palliat Care.2005;21:246–251. , , .
- Medical care utilization and mortality in sickle cell disease: a population‐based study.Am J Hematol.2005;80:262–270. , , , , , .
- Understanding the causes of problematic pain management in sickle cell disease: evidence that pseudoaddiction plays a more important role than genuine analgesic dependence.J Pain Symptom Manage.2004;27:156–169. , , , , .
- Frequent and prolonged hospitalizations: a risk factor for early mortality in sickle cell disease patients.Am J Hematol.2003;72:201–203. , , , .
- Hospital resource utilization among patients with sickle cell disease.J Health Care Poor Underserved.2003;14:122–135. , , .
- Nurses' attitudes and practices in sickle cell pain management.Appl Nurs Res.2001;14:187–192. , , , ,
- Daily assessment of pain in adults with sickle cell disease.Ann Intern Med.2008;148:94–101. , , , , , , , , .
- A longitudinal examination predicting emergency room use in children with sickle cell disease and their caregivers.J Pediatr Psychol.200631:163–173. , , , .
- Utilization of the office, hospital and emergency department for adult sickle cell patients: a five‐year study.J Natl Med Assoc.2006;98:1109–1113. , , , , .
- Hospitalization rates and costs of care of patients with sickle‐cell anemia in the state of Maryland in the era of hydroxyurea.Am J Hematol.2006;81:927–932. , , , .
- The R Development Core Team. R:A Language and Environment for Statistical Computing.Vienna, Austria;2009.
- Physical and mental health in adults hospitalized with sickle cell disease: impact on resource use.J Natl Med Assoc.2009;101:139–144. , , .
- Rural/urban differences in access to and utilization of services among people in Alabama with sickle cell disease.Public Health Rep.2003;118:27–36. , , , , .
- Effect of hydroxyurea on the frequency of painful crises in sickle cell anemia. Investigators of the multicenter study of hydroxyurea in sickle cell anemia.N Engl J Med.1995;332:1317–1322. , , , , , , , .
- Provider barriers to hydroxyurea use in adults with sickle cell disease: a survey of the sickle cell disease adult provider network.J Natl Med Assoc.2008;100:968–973. , , , .
- Depression and anxiety in adults with sickle cell disease: the PiSCES project.Psychosom Med.2008;70:192–196. , , , , , , , , , .
- Depression, disease severity, and sickle cell disease.J Behav Med.1999;22:115–126. , , , , , , .
- Depression and functioning in relation to health care use in sickle cell disease.Ann Behav Med.2000;22:149–157. , , , .
- The role of depression in hospital admissions and emergency treatment of patients with sickle cell disease.J Natl Med Assoc.1991;83:777–781. , .
- Depression and anxiety in patients with sickle cell disease: conceptual and methodological considerations.J Health Soc Policy.1994;5:39–53. , .
- Pain site frequency and location in sickle cell disease: the PiSCES project.Pain.2009;145:246–251. , , , , , , , , .
- Quality of life among adolescents with sickle cell disease: mediation of pain by internalizing symptoms and parenting stress.Health Qual Life Outcomes.2008;6:60. , , , .
- Understanding pain and improving management of sickle cell disease: the PiSCES study.J Natl Med Assoc.2005;97:183–193. , , , , , , , , .
- Depression in sickle cell disease.J Natl Med Assoc.2003;95:533–537. , , , , .
Extremes of hospital utilization by patients with sickle cell disease (SCD) are problematic for patients, clinicians, and policymakers.110 Although patients manage their pain at home most of the time, even acute crises,11 a small minority of SCD patients accounts for a remarkable amount of hospital resource utilization.1, 3, 4, 6, 1114 Where it is quite unusual for a patient with SCD to be hospitalized more than twice per year,1, 11 in prior work with payer datasets our group identified some patients who were hospitalized more frequently than once per month. In rare cases, admission rates exceeding once per week were identified.1 High‐utilizing SCD patients, and particularly the very high‐utilizing subset, account for the majority of costs of care for the population.13, 14
In previous work by our group describing hospital utilization among members of a regional Medicaid MCO, results suggested that high utilization was a relatively transient phenomenon for most patients, likely resulting from short‐term increases in hospitalization rates among previously moderate utilizers.1 However, high‐utilizing members whose inpatient admission rate did not quickly moderate were progressively less likely to resume a more typical utilization pattern.
The present study used the State Inpatient Databases for years 2004 to 2007 from the Agency for Healthcare Research and Quality to replicate prior findings and to investigate questions not addressed in our prior work. Specifically, hospital discharge data from all hospitals in the state of California were examined to identify first‐year adolescent and adult high utilizers and to follow their hospital utilization over time. The objectives of the study were as follows:
To identify historical predictors of a period of high utilization by comparing diagnoses between 20042006 in patients who were new high utilizers in 2007 with those who were never high utilizers.
To identify predictors of a persistent rather than moderating course by following patients who were new high utilizers in 2005 over the succeeding 2 years.
To replicate prior findings on the course of high hospital utilization.
Patients and Methods
Initial Data Source
The State Inpatient Databases (SID) are provided by the Healthcare Cost and Utilization Project, sponsored by the Agency for Healthcare Research and Quality. They contain patient‐level discharge data from all hospitals in participating states. This study presents SID data from California for the years 2004 through 2007, including a total of 34,363 hospital admissions in which a diagnosis of sickle cell disease was recorded. Encrypted patient identifiers were used to identify individual patients, and there are few missing identifiers in the California dataset for these years. The data set includes up to 25 discharge diagnostic codes using ICD‐9 nomenclature. In addition, each patient's age and gender are recorded.
Categorization Based on Diagnosis and Inpatient Utilization
Management of missing or conflicting information
A minority of hospitalization records contained ambiguous demographic information (such as conflicting or missing gender or age) associated with the same patient identifier. Identical identifiers were assumed to represent the same patient for purposes of this study, even if other information was conflicting. This decision avoided overly conservative utilization estimates, as high utilizers would have correspondingly more missing information and data entry errors that could lead the same patient to be identified as multiple others with lower utilization. An examination of admissions with conflicting measures supported this method, in that most conflicts were due to missing entries in otherwise consistent data or were very likely typographical. If inconsistencies were due only to missing information for some hospitalizations, the non‐missing values were accepted. In cases where there was actual inconsistency, the following methods were employed.
For dichotomous information, such as gender, conflicts were recoded as missing. Ages recorded in each hospitalization were standardized to ages as of 2004 by subtracting the difference between the year of admission and 2004. If the spread of ages associated with a given patient identification number was greater than 3 years (missing values excluded), the age was coded as missing (note that age at hospitalization could differ by 1 year depending on the temporal relation of hospitalization to the date of birth). If the discrepancy was less, the minimum recorded age was accepted.
Construction of the Study Subset
The study data set was constructed as follows (Fig. 1):
Patient identifiers associated with a diagnosis of sickle cell disease were selected by identifying admissions with ICD‐9 diagnosis codes for sickle cell disease appearing in the first 10 diagnoses for calendar years 2004 to 2007 (these included ICD‐9 codes 282.60 to 282.64, 282.68, 282.69, 282.41, and 282.42). Of this group, patients who had a record of at least 1 admission for sickle cell crisis were identified. An admission for crisis was operationalized as a hospitalization with 1 discharge diagnosis coded as 282.42, 282.62, 282.64, or 282.69. This yielded a data set of 34,363 admissions among 3169 patients.
Admissions with missing patient identification numbers were excluded (n = 2365 of 34,363 admissions, 6.88%).
Hospitalizations were tabulated for each unique patient identifier.
Patients with a known age of 13 years or more in 2004 were selected. There were 481 patients excluded due to age below 13 years, and 814 excluded for having an uncertain age. The final sample consisted of 1874 unique patient identifiers representing 10,704 hospital admissions.

As patients who were hospitalized more often were more likely to have inconsistent data, the exclusion for unknown and inconsistent age likely biased the findings by excluding more frequently hospitalized patients. Further post‐hoc analyses were conducted to gauge the extent of this bias, reported in Results, below.
Categorization by Utilization
For each patient, inpatient hospital admissions were tabulated for each year. A year of high utilization for a patient was defined as any calendar year in which that patient had 4 or more hospital admissions. In prior well‐designed studies, categorical definitions of high utilization have used cutoffs between 3 and 5 hospitalizations per year.13, 14 In our group's experience, the cutoff around 4 admissions per year identifies a subpopulation in the top 10% to 20% for annual hospital utilization, both in the outpatient clinic and in payer populations with which our center interacts. A patient was included in the high utilizer group if he or she was a high utilizer in at least 1 year of the study period; all other patients were placed in the comparison group. There were 479 patients in the high utilizer group (25.6% of the total sample) and 1395 in the comparison group. To predict onset of a period of high utilization, patients whose first year of high utilization was 2007 (n = 84) were compared with patients who were never high utilizers (n = 1395). In the prospective analysis to predict moderation, patients who were new high utilizers in 2005 (n = 206) were divided into the group who had fewer than 4 admissions in the following year (moderating course, n = 131) and those who had more than 4 admissions in the following year (continuous course, n = 75).
Operationalization of Diagnoses of Comorbid Conditions and Complications
Discharge diagnoses were parsed by a computer algorithm for diagnostic codes matching selected diagnoses. If the diagnosis was found at least once, the patient was coded as having the diagnosis. Diagnostic codes (ICD‐9‐CM) included the following: HIV: 042.__; septicemia: 038.__; pneumonia: 482.00 to 486.99; pulmonary embolus: 415.11,12 and 415.19; acute chest syndrome: 517.3_; chronic renal disease: 585.__; diabetes mellitus: 250.__; cocaine dependence: 304.2_; cocaine abuse: 305.6_; alcohol dependence: 303.00 to 303.92; alcohol abuse: 305.0_; mood disorders (including depressive and bipolar disorders): 296.00 to 296.89; and aseptic necrosis of bone: 733.4_. Substance dependence and abuse were aggregated to create alcohol use disorder and cocaine use disorder categories. Opiate use disorders were not included, as the clinical experience of the authors suggested that clinicians may sometimes diagnose opiate dependence on the basis of frequent hospitalization in itself, and it seemed prudent to avoid the confound.
Statistical Analyses
All statistical and graphical analyses were performed in the R statistical computing environment.15 Intergroup differences in categorical data were analyzed using the chi‐square test for independence. The sample distributions of many measures were highly skewed, and nonparametric methods were used where practical. In general, the median and interquartile range are reported as measures of central tendency and spread, respectively. Comparisons between groups on continuous measures were done using the Mann‐Whitney‐Wilcoxon test.
Institutional Review Board Approval
The study was exempt from institutional review board review, due to the nature of the data set and its noninterventional design.
Results
Comparison of Utilization Groups by Demographics and Diagnosis
Table 1 presents direct comparisons of high utilizers with comparison patients. Patients in the high utilizer group were slightly more likely to be female and had a higher prevalence of all diagnoses examined, with the exception of HIV (where prevalence was quite low). At least 1 discharge diagnosis of acute chest syndrome was common in both groups, but was more than twice as prevalent in high utilizers. Diagnoses of aseptic necrosis of bone and septicemia were much greater in the high utilizer group than among comparison subjects.
Comparison N = 1395 | High Utilizers N = 479 | P | |
---|---|---|---|
| |||
Demographics | |||
Age | 32 [21]b | 29 [19]b | <0.001 |
Femalea | 55.28% | 66.46% | <0.001 |
Complications | |||
Acute chest syndrome | 15.63% | 40.29% | <0.001 |
Aseptic necrosis | 9.18% | 30.90% | <0.001 |
Renal disease | 4.01% | 11.48% | <0.001 |
Comorbidities | |||
Septicemia | 7.03% | 31.52% | <0.001 |
Pneumonia | 2.51% | 8.14% | <0.001 |
HIV | 0.57% | 1.04% | 0.453 |
Pulmonary embolus | 2.51% | 10.02% | <0.001 |
Diabetes | 6.38% | 13.57% | <0.001 |
Mood disorder | 1.72% | 11.69% | <0.001 |
Cocaine disorder | 1.00% | 9.60% | <0.001 |
Alcohol disorder | 2.87% | 8.56% | <0.001 |
Utilization | |||
Hospitalizations | 2 [2]b | 11 [12]b | <0.001 |
Prior History of New High Utilizers
Patients who were first high utilizers in 2007 (FY2007) were compared with patients who were never high utilizers on hospital diagnoses made before 2007 to identify predictors of a new‐onset period of high utilization (Table 2). The FY2007 high utilizers did not differ significantly in demographics from nonhigh utilizers. The FY2007 high utilizers had a greater prevalence of discharge diagnoses of aseptic necrosis of bone (OR 2.03, 95% CI, 1.07 to 3.85) and renal disease (OR 6.28, 95% CI, 2.72 to 14.5) prior to the onset of high utilization. FY2007 high utilizers also had a greater number of hospitalizations prior to their initial year of high utilization (median 3 vs 1); however, a similar proportion of FY2007 and never high utilizers had been hospitalized at least once before 2007. In 2007, the first‐year 2007 high utilizers had a markedly greater prevalence of hospital diagnoses of acute chest syndrome (OR 4.67, 95% CI, 2.53 to 8.63) and septicemia (OR 8.26, 95% CI, 3.91 to 17.4). Other diagnoses, expressed as OR and 95% confidence intervals, included aseptic necrosis of bone 4.80 (1.89 to 12.2), pneumonia 17.6 (4.99 to 62.0), pulmonary embolus 5.70 (1.52 to 21.5), mood disorder 11.0 (3.51 to 34.3), and cocaine disorder 10.3 (2.42 to 43.8), Table 2). However, only a minority of nonhigh utilizers were hospitalized at all that year.
Prior to 2007 | In 2007 | |||||
---|---|---|---|---|---|---|
Never | New High Utilizers in 2007 | P | Never | New High Utilizers in 2007 | P | |
N = 1395 | N = 84 | |||||
| ||||||
Demographics | ||||||
Age | 32 [20]a | 30 [20]a | 0.116 | |||
Female | 55.28% | 65.06% | 0.103 | |||
New complications | ||||||
Acute chest syndrome | 11.18% | 15.48% | 0.306 | 4.44% | 17.86% | <0.001 |
Aseptic necrosis | 7.60% | 14.29% | 0.047 | 1.58% | 7.14% | 0.001 |
Renal disease | 1.65% | 9.52% | <0.001 | 2.37% | 3.57% | 0.740 |
New comorbidities | ||||||
Septicemia | 5.23% | 5.95% | 0.972 | 1.79% | 13.10% | <0.001 |
Pneumonia | 2.15% | 0.00% | 0.337 | 0.36% | 5.95% | <0.001 |
HIV | 0.57% | 0.00% | 0.944 | 0 | 0 | |
Pulmonary embolus | 1.86% | 2.38% | 0.941 | 0.65% | 3.57% | 0.023 |
Diabetes mellitus | 4.52% | 4.76% | 0.869 | 1.86% | 4.76% | 0.152 |
Mood disorder | 1.15% | 3.57% | 0.156 | 0.57% | 5.95% | <0.001 |
Cocaine disorder | 0.65% | 1.19% | 0.926 | 0.36% | 3.57% | 0.002 |
Alcohol disorder | 4.30% | 2.38% | 0.567 | 1.43% | 4.76% | 0.057 |
Utilization | ||||||
Hospitalized | 82.51% | 85.71% | 0.545 | 46.73% | 100% | <0.001 |
Hospitalizations | 1 [4]a | 3 [4]a | <0.001 | 0 [2]a | 5 [2]a | <0.001 |
Course of New High Utilizers
Patients who were high utilizers in 2005 but not in 2004 were identified, and their hospital utilization from 2005 to 2007 was plotted (Fig. 2). The results are shown in Figure 1. Fifty‐five of the original 91 (60.44%) new high utilizers moderated in the following year, and 6.59% were known to have died in the hospital. Of the surviving 30 (32.97%) who did not moderate in the second year, 19 (65.3%) continued the high‐utilizing pattern into the third year, while 9 (16.36%) of those who moderated in year 2 returned to the high‐utilizing pattern in year 3. During this 3‐year period, 10 members (10.99%) of the initial group died in the hospital.

Diagnostic Patterns in Continued and Moderated First‐Year High Utilizers
The diagnoses of patients who were high utilizers in 2005 and not 2004 were examined for differences between those who moderated in 2006 (moderating group) and those who continued the high‐utilizing pattern (persistent group, Table 3). There were no differences in any measures examined in 2004. In 2005, the initial year of high utilization, the groups differed only on the prevalence of new diagnoses of alcohol use disorders (95% CI for odds ratio incalculable due to zero prevalence in moderating group), and slightly in number of hospitalizations (median 5 vs 5.5). Over ensuing years, the persistent group was more likely to have new discharge diagnoses of septicemia (OR 5.88, 95% CI, 1.40 to 24.7) and mood disorders (OR not calculated due to zero prevalence in the moderating group).
Course of 2005 1st Year High Utilizers | |||||||||
---|---|---|---|---|---|---|---|---|---|
Prior Year (2004) | First Year (2005) | Subsequent Years (20062007) | |||||||
Moderating | Persistent | P | Moderating | Persistent | P | Moderating | Persistent | P | |
N = 61 | N = 30 | ||||||||
| |||||||||
Demographics | |||||||||
Age | 30 [22]a | 25 [29.5]a | .682 | ||||||
Female | 63.93% | 66.67% | .982 | ||||||
New complications | |||||||||
Acute chest syndrome | 8.2% | 6.67% | .872 | 21.31% | 33.33% | .325 | 4.92% | 13.33% | .318 |
Aseptic necrosis | 6.56% | 13.33% | .978 | 11.48% | 10.00% | .885 | 8.20% | 13.33% | .691 |
Renal disease | 0.00% | 0.00% | 11.48% | 10.00% | .885 | 3.28% | 10.00% | .405 | |
New comorbidities | |||||||||
Septicemia | 4.92% | 0.00% | .541 | 9.84% | 3.33% | .500 | 4.92% | 23.33% | .022 |
Pneumonia | 1.64% | 0.00% | .716 | 4.92% | 0.00% | .541 | 0.00% | 6.67% | .201 |
HIV | 0.00% | 0.00% | 1.64% | 0.00% | .716 | 0.00% | 0.00% | ||
Pulmonary embolus | 0.00% | 3.33% | .541 | 11.48% | 3.33% | .370 | 4.92% | 3.33% | .844 |
Diabetes mellitus | 3.28% | 3.33% | .844 | 9.84% | 6.67% | .914 | 0.00% | 3.33% | .716 |
Mood disorder | 3.28% | 6.67% | .541 | 1.64% | 10.00% | .199 | 0.00% | 13.33% | .018 |
Cocaine disorder | 3.28% | 3.33% | .622 | 1.64% | 10.00% | .199 | 0.00% | 6.67% | .201 |
Alcohol disorder | 0.00% | 0.00% | 0.00% | 16.67% | .005 | 1.64% | 6.67% | .523 | |
Utilization | |||||||||
Hospitalized | 77.05% | 73.33% | .898 | 100% | 100% | 73.77% | 100% | .005 | |
Hospitalizations | 1 [2]a | 1.5 [2.5]a | .924 | 5 [2]a | 5.5 [4]a | .022 | 2 [4]a | 11 [11.75]a | <.001 |
Assessment of Effects of Age Selection
In order to assess the effects of restricting the sample to patients with a known age <13, post‐hoc analyses were performed without this restriction. In general, results were in line with findings from the planned analysis.
Using these less stringent criteria, prior to the onset of their first year of high utilization, FY2007 high utilizers (n = 142) were more likely to be female (63.0% vs 52.5%, P = 0.019) than never high utilizers (n = 2173), and also had more chronic kidney disease (7.75% vs 1.29%, P < 0.001), mood disorders (4.93% vs 0.83%, P < 0.001), and prior hospitalizations (median 3 vs 2, P < 0.001).
New 2005 high utilizers who persisted after 2005 (n = 75) were more likely to be diagnosed with alcohol disorders in 2005 (8% vs 0%, P = 0.004) and had slightly more hospitalizations (median 5 for both groups, but with a greater spread for the continuous group, P = 0.003) in 2005 than those who moderated (n = 131). After 2005, the continuous group were more likely to have new diagnoses of acute chest syndrome (5.34% vs 14.67%, P = 0.043), aseptic necrosis (4.58% vs 14.67%, P = 0.023), septicemia (3.82% vs 21.33%, P < 0.001), and mood disorders (0.00% vs 9.33%, P = 0.002).
Discussion
Replication of the Moderating Course of High Utilization
This study replicates, with substantial sample size, the finding that high inpatient utilization in patients with SCD tends to moderate relatively quickly. As the present report used a statewide data set of patients not selected for payer type, it mitigates prior concerns that selection by insurance status, disenrollment, and mortality biased previous findings using payer data sets. Thus, the moderating course of the typical high‐utilizing SCD patient now seems well‐established.
The fact that those new high utilizers who did not moderate stabilized at a new, higher level of utilization suggests that interventional studies of high utilizers in SCD may best target a more extreme population, either in terms of multi‐year persistence or an accelerating course of utilization. However, this subgroup will be rare.
Prediction of Onset and Course of New High Utilizers
This is the first study to the authors' knowledge to address the question of whether the onset and course of a period of high utilization can be reliably predicted. The results were mixed. High utilizers appeared to be more ill and complex than comparison patients over a wide range of measures, and new high utilizers were diagnosed with more complications prior to and during an index period of high utilization than comparison patients. Chronic complications appeared to lead a period of new high utilization, and more acute complications occurred in the same year. However, while complications were more prevalent in new high utilizers, the differences were not of sufficient magnitude to be reliably predictive. Even the most common SCD complication noted, acute chest syndrome, occurred as a new diagnosis in less than 20% of the new high utilizers in the initial year of high utilization. Thus, paradoxically, while high utilizers appeared more ill, no particular pattern of illness was strongly predictive of high utilization.
Persistent high utilization, rather than the more usual transient course, seemed more closely related to new substance use and mood disorder diagnoses than to complications of sickle cell disease. Persistent high utilizers had a greater prevalence of new diagnoses of mood disorders than moderating high utilizers in every time period examined, emerging as statistically significant after the first year of high utilization. The difference in new diagnoses of alcohol disorders was statistically significant in the initial period of high utilization, but was also present in the other time periods. Cocaine use disorders showed a similar pattern, though they were more rare and did not rise to the level of statistical significance.
The one SCD complication associated with persistent high utilization was septicemia. It is tempting to speculate that this could be as much cause as consequence of high utilization, given the exposures of frequently hospitalized patients to invasive procedures and nosocomial infection.
There was an intriguing regularity of associations of high utilization with mood disorders. This was most clear in differentiating persistent from moderating high utilizers, but was present as a theme in the results throughout. High utilizers were much more likely to be diagnosed with a mood disorder, and both first year high utilizers and persistent high utilizers were distinguished by a higher prevalence of new mood disorder diagnoses. Patients who were persistent high utilizers after an initial high utilization period in 2005 had a cumulative prevalence of hospital‐diagnosed mood disorder approximating 30% by 2007. These differences could be due to a number of factors, including increased surveillance in high utilizers, pain and chronic illness causing mood disturbance, or mood disorders influencing the underlying disease process.
Implications
High utilization in this and other studies is closely related to evidence of more severe sickle cell disease.3, 8, 9, 17 This fact, and the apparent difficulty of predicting the onset and course of high utilization, suggest that the primary intervention to moderate high utilization is to prevent such acute complications as acute chest syndrome in the more seriously affected. While the advent of hydroxyurea produced new hope that clinicians could reduce disruptive and dangerous hospitalizations for SCD patients,18 so far there is little evidence that this has occurred.14 Particularly concerning is evidence that only a minority of patients for whom hydroxyurea is indicated are being prescribed the medication.14, 19 Given the individual and public benefits of reduced morbidity and cost, interventions to reduce barriers to physician prescribing and patient adherence are urgently needed, and this is one of the most important issues in the clinical care of SCD today.
The study also points out the continuing question of the role of psychiatric problems in the high‐utilizing SCD patient. While depression, anxiety, and addiction are frequently used as clinical explanations for high utilization in SCD patients, the research literature has stalled at reporting associations between measures of psychological distress and worsened outcome, with inconsistent results depending on methods and populations chosen. Generally, depression has been defined categorically by threshold cutoffs in screening instruments.2023 Whether the term depression should refer to major depressive disorder as defined in the standard psychiatric diagnostic system, or as a broader entity including less severe symptoms or milder disorders, is only rarely addressed.20 This method probably produces a high false‐positive rate relative to the provisional gold standard of diagnosisexpert, diagnostic, semi‐structured interviews.21, 22
However, within the limitations of current methods, certain themes have emerged. Depression, as currently defined, appears highly prevalent among SCD patients.20, 21, 23, 24 It is clearly and consistently associated with worsened pain.20, 21, 25, 26 It also predicts greater opioid use, dramatically reduced quality of life, and reduced relief from opioids.20, 27 Findings on utilization are mixed, however. In some studies, depression has been associated with greater utilization.23, 28 However, in the longitudinal Pain in Sickle Cell Epidemiology Study (PiSCES) study, depression was not associated with utilization when other relevant characteristics were controlled.20 In general, depression appears to lose predictive power as more clinical variables are entered into the model; however, a number of the clinical variables associated with utilization also are related to depression. Whether depression may have a causal role through multiple pathways is not yet settled.
Another matter, frequently discussed but currently unsettled, is the role of addiction in utilization behavior in SCD. Whereas patients with SCD are heavily scrutinized for addiction, and the clinical problem of aberrant opioid use behavior is often discussed for this population, research literature gives little guidance as to the true prevalence and management of such comorbidities. It is well known that substance use disorders are interconnected, such that presence of one elevates risk for others; thus, one would expect more common substance use disorders to act as epidemiologic sentinels for the less. The study of alcohol use disorders, in particular, could be an excellent candidate for developing hypotheses about substance use disorders in this populationdivorced from differentiating problematic pain management behavior from purely drug‐reinforced behavior. In the present study, alcohol use disorders appeared associated with persistent high utilization; however, in other well‐designed longitudinal studies alcohol abuse was related to lower utilization. The meaning of these divergent findings is unclear for the moment.
Despite frequent clinical attention to psychiatric problems in SCD, well‐designed longitudinal studies to clarify causal relations are lacking. Such studies will require reasonable sample sizes, the use of expert structured interviews for diagnostic confirmation, and care taken to address the level of independence of the depressive syndrome from consequences of the underlying illness. The latter will be methodologically difficult. It may require detailed assessment of the course of the depressive syndrome relative to that of the hematologic disorder, assessment of background familial risk for mood disorder, and the effects of subclinical ischemic neurological insults. Despite the challenges, if this work is not done clinicians will be left with tantalizing associations but no solid evidence to guide treatment, and the confusion surrounding the role of psychiatric illness in SCD will remain. Meanwhile,, it seems prudent to have a low threshold to screen for psychiatric disorder and to obtain psychiatric consultations relatively early, where appropriate, for patients whose hospital utilization appears to be accelerating.
Strengths and Weaknesses
Higher hospital utilization provided greater opportunity for diagnosis, so some detection bias in these results should be assumed. Diagnoses are extracted from hospital discharge records using ICD codes. There are opportunities for a number of errors in reporting and coding these diagnoses, and this is likely to be particularly true of conditions that are not the primary clinical focus of the hospitalization. However, all patients had at least 1 hospital admission, and the diagnostic differences are not far outside of expectation. The study also required at least one hospitalization for crisis for inclusion to guard against bias from patients with more mild disease. As such, the conservatively‐defined comparison group may not be a perfect representation of low utilizers, and some relationships may be blunted relative to findings from a broader population.
The study also had a number of strengths, particularly related to the large number of patients who could be tracked using these methods. Given the rarity of sickle cell disease, and the rarity of high‐utilizing patients in the SCD population, such methods as these are the most practical means of developing hypotheses as to the causes and course of high utilization. It is reassuring that the age selection criterion did not significantly alter results; in fact, post hoc analyses that were more inclusive of the high‐utilizing population generally reinforced results of the more stringent analysis.
Extremes of hospital utilization by patients with sickle cell disease (SCD) are problematic for patients, clinicians, and policymakers.110 Although patients manage their pain at home most of the time, even acute crises,11 a small minority of SCD patients accounts for a remarkable amount of hospital resource utilization.1, 3, 4, 6, 1114 Where it is quite unusual for a patient with SCD to be hospitalized more than twice per year,1, 11 in prior work with payer datasets our group identified some patients who were hospitalized more frequently than once per month. In rare cases, admission rates exceeding once per week were identified.1 High‐utilizing SCD patients, and particularly the very high‐utilizing subset, account for the majority of costs of care for the population.13, 14
In previous work by our group describing hospital utilization among members of a regional Medicaid MCO, results suggested that high utilization was a relatively transient phenomenon for most patients, likely resulting from short‐term increases in hospitalization rates among previously moderate utilizers.1 However, high‐utilizing members whose inpatient admission rate did not quickly moderate were progressively less likely to resume a more typical utilization pattern.
The present study used the State Inpatient Databases for years 2004 to 2007 from the Agency for Healthcare Research and Quality to replicate prior findings and to investigate questions not addressed in our prior work. Specifically, hospital discharge data from all hospitals in the state of California were examined to identify first‐year adolescent and adult high utilizers and to follow their hospital utilization over time. The objectives of the study were as follows:
To identify historical predictors of a period of high utilization by comparing diagnoses between 20042006 in patients who were new high utilizers in 2007 with those who were never high utilizers.
To identify predictors of a persistent rather than moderating course by following patients who were new high utilizers in 2005 over the succeeding 2 years.
To replicate prior findings on the course of high hospital utilization.
Patients and Methods
Initial Data Source
The State Inpatient Databases (SID) are provided by the Healthcare Cost and Utilization Project, sponsored by the Agency for Healthcare Research and Quality. They contain patient‐level discharge data from all hospitals in participating states. This study presents SID data from California for the years 2004 through 2007, including a total of 34,363 hospital admissions in which a diagnosis of sickle cell disease was recorded. Encrypted patient identifiers were used to identify individual patients, and there are few missing identifiers in the California dataset for these years. The data set includes up to 25 discharge diagnostic codes using ICD‐9 nomenclature. In addition, each patient's age and gender are recorded.
Categorization Based on Diagnosis and Inpatient Utilization
Management of missing or conflicting information
A minority of hospitalization records contained ambiguous demographic information (such as conflicting or missing gender or age) associated with the same patient identifier. Identical identifiers were assumed to represent the same patient for purposes of this study, even if other information was conflicting. This decision avoided overly conservative utilization estimates, as high utilizers would have correspondingly more missing information and data entry errors that could lead the same patient to be identified as multiple others with lower utilization. An examination of admissions with conflicting measures supported this method, in that most conflicts were due to missing entries in otherwise consistent data or were very likely typographical. If inconsistencies were due only to missing information for some hospitalizations, the non‐missing values were accepted. In cases where there was actual inconsistency, the following methods were employed.
For dichotomous information, such as gender, conflicts were recoded as missing. Ages recorded in each hospitalization were standardized to ages as of 2004 by subtracting the difference between the year of admission and 2004. If the spread of ages associated with a given patient identification number was greater than 3 years (missing values excluded), the age was coded as missing (note that age at hospitalization could differ by 1 year depending on the temporal relation of hospitalization to the date of birth). If the discrepancy was less, the minimum recorded age was accepted.
Construction of the Study Subset
The study data set was constructed as follows (Fig. 1):
Patient identifiers associated with a diagnosis of sickle cell disease were selected by identifying admissions with ICD‐9 diagnosis codes for sickle cell disease appearing in the first 10 diagnoses for calendar years 2004 to 2007 (these included ICD‐9 codes 282.60 to 282.64, 282.68, 282.69, 282.41, and 282.42). Of this group, patients who had a record of at least 1 admission for sickle cell crisis were identified. An admission for crisis was operationalized as a hospitalization with 1 discharge diagnosis coded as 282.42, 282.62, 282.64, or 282.69. This yielded a data set of 34,363 admissions among 3169 patients.
Admissions with missing patient identification numbers were excluded (n = 2365 of 34,363 admissions, 6.88%).
Hospitalizations were tabulated for each unique patient identifier.
Patients with a known age of 13 years or more in 2004 were selected. There were 481 patients excluded due to age below 13 years, and 814 excluded for having an uncertain age. The final sample consisted of 1874 unique patient identifiers representing 10,704 hospital admissions.

As patients who were hospitalized more often were more likely to have inconsistent data, the exclusion for unknown and inconsistent age likely biased the findings by excluding more frequently hospitalized patients. Further post‐hoc analyses were conducted to gauge the extent of this bias, reported in Results, below.
Categorization by Utilization
For each patient, inpatient hospital admissions were tabulated for each year. A year of high utilization for a patient was defined as any calendar year in which that patient had 4 or more hospital admissions. In prior well‐designed studies, categorical definitions of high utilization have used cutoffs between 3 and 5 hospitalizations per year.13, 14 In our group's experience, the cutoff around 4 admissions per year identifies a subpopulation in the top 10% to 20% for annual hospital utilization, both in the outpatient clinic and in payer populations with which our center interacts. A patient was included in the high utilizer group if he or she was a high utilizer in at least 1 year of the study period; all other patients were placed in the comparison group. There were 479 patients in the high utilizer group (25.6% of the total sample) and 1395 in the comparison group. To predict onset of a period of high utilization, patients whose first year of high utilization was 2007 (n = 84) were compared with patients who were never high utilizers (n = 1395). In the prospective analysis to predict moderation, patients who were new high utilizers in 2005 (n = 206) were divided into the group who had fewer than 4 admissions in the following year (moderating course, n = 131) and those who had more than 4 admissions in the following year (continuous course, n = 75).
Operationalization of Diagnoses of Comorbid Conditions and Complications
Discharge diagnoses were parsed by a computer algorithm for diagnostic codes matching selected diagnoses. If the diagnosis was found at least once, the patient was coded as having the diagnosis. Diagnostic codes (ICD‐9‐CM) included the following: HIV: 042.__; septicemia: 038.__; pneumonia: 482.00 to 486.99; pulmonary embolus: 415.11,12 and 415.19; acute chest syndrome: 517.3_; chronic renal disease: 585.__; diabetes mellitus: 250.__; cocaine dependence: 304.2_; cocaine abuse: 305.6_; alcohol dependence: 303.00 to 303.92; alcohol abuse: 305.0_; mood disorders (including depressive and bipolar disorders): 296.00 to 296.89; and aseptic necrosis of bone: 733.4_. Substance dependence and abuse were aggregated to create alcohol use disorder and cocaine use disorder categories. Opiate use disorders were not included, as the clinical experience of the authors suggested that clinicians may sometimes diagnose opiate dependence on the basis of frequent hospitalization in itself, and it seemed prudent to avoid the confound.
Statistical Analyses
All statistical and graphical analyses were performed in the R statistical computing environment.15 Intergroup differences in categorical data were analyzed using the chi‐square test for independence. The sample distributions of many measures were highly skewed, and nonparametric methods were used where practical. In general, the median and interquartile range are reported as measures of central tendency and spread, respectively. Comparisons between groups on continuous measures were done using the Mann‐Whitney‐Wilcoxon test.
Institutional Review Board Approval
The study was exempt from institutional review board review, due to the nature of the data set and its noninterventional design.
Results
Comparison of Utilization Groups by Demographics and Diagnosis
Table 1 presents direct comparisons of high utilizers with comparison patients. Patients in the high utilizer group were slightly more likely to be female and had a higher prevalence of all diagnoses examined, with the exception of HIV (where prevalence was quite low). At least 1 discharge diagnosis of acute chest syndrome was common in both groups, but was more than twice as prevalent in high utilizers. Diagnoses of aseptic necrosis of bone and septicemia were much greater in the high utilizer group than among comparison subjects.
Comparison N = 1395 | High Utilizers N = 479 | P | |
---|---|---|---|
| |||
Demographics | |||
Age | 32 [21]b | 29 [19]b | <0.001 |
Femalea | 55.28% | 66.46% | <0.001 |
Complications | |||
Acute chest syndrome | 15.63% | 40.29% | <0.001 |
Aseptic necrosis | 9.18% | 30.90% | <0.001 |
Renal disease | 4.01% | 11.48% | <0.001 |
Comorbidities | |||
Septicemia | 7.03% | 31.52% | <0.001 |
Pneumonia | 2.51% | 8.14% | <0.001 |
HIV | 0.57% | 1.04% | 0.453 |
Pulmonary embolus | 2.51% | 10.02% | <0.001 |
Diabetes | 6.38% | 13.57% | <0.001 |
Mood disorder | 1.72% | 11.69% | <0.001 |
Cocaine disorder | 1.00% | 9.60% | <0.001 |
Alcohol disorder | 2.87% | 8.56% | <0.001 |
Utilization | |||
Hospitalizations | 2 [2]b | 11 [12]b | <0.001 |
Prior History of New High Utilizers
Patients who were first high utilizers in 2007 (FY2007) were compared with patients who were never high utilizers on hospital diagnoses made before 2007 to identify predictors of a new‐onset period of high utilization (Table 2). The FY2007 high utilizers did not differ significantly in demographics from nonhigh utilizers. The FY2007 high utilizers had a greater prevalence of discharge diagnoses of aseptic necrosis of bone (OR 2.03, 95% CI, 1.07 to 3.85) and renal disease (OR 6.28, 95% CI, 2.72 to 14.5) prior to the onset of high utilization. FY2007 high utilizers also had a greater number of hospitalizations prior to their initial year of high utilization (median 3 vs 1); however, a similar proportion of FY2007 and never high utilizers had been hospitalized at least once before 2007. In 2007, the first‐year 2007 high utilizers had a markedly greater prevalence of hospital diagnoses of acute chest syndrome (OR 4.67, 95% CI, 2.53 to 8.63) and septicemia (OR 8.26, 95% CI, 3.91 to 17.4). Other diagnoses, expressed as OR and 95% confidence intervals, included aseptic necrosis of bone 4.80 (1.89 to 12.2), pneumonia 17.6 (4.99 to 62.0), pulmonary embolus 5.70 (1.52 to 21.5), mood disorder 11.0 (3.51 to 34.3), and cocaine disorder 10.3 (2.42 to 43.8), Table 2). However, only a minority of nonhigh utilizers were hospitalized at all that year.
Prior to 2007 | In 2007 | |||||
---|---|---|---|---|---|---|
Never | New High Utilizers in 2007 | P | Never | New High Utilizers in 2007 | P | |
N = 1395 | N = 84 | |||||
| ||||||
Demographics | ||||||
Age | 32 [20]a | 30 [20]a | 0.116 | |||
Female | 55.28% | 65.06% | 0.103 | |||
New complications | ||||||
Acute chest syndrome | 11.18% | 15.48% | 0.306 | 4.44% | 17.86% | <0.001 |
Aseptic necrosis | 7.60% | 14.29% | 0.047 | 1.58% | 7.14% | 0.001 |
Renal disease | 1.65% | 9.52% | <0.001 | 2.37% | 3.57% | 0.740 |
New comorbidities | ||||||
Septicemia | 5.23% | 5.95% | 0.972 | 1.79% | 13.10% | <0.001 |
Pneumonia | 2.15% | 0.00% | 0.337 | 0.36% | 5.95% | <0.001 |
HIV | 0.57% | 0.00% | 0.944 | 0 | 0 | |
Pulmonary embolus | 1.86% | 2.38% | 0.941 | 0.65% | 3.57% | 0.023 |
Diabetes mellitus | 4.52% | 4.76% | 0.869 | 1.86% | 4.76% | 0.152 |
Mood disorder | 1.15% | 3.57% | 0.156 | 0.57% | 5.95% | <0.001 |
Cocaine disorder | 0.65% | 1.19% | 0.926 | 0.36% | 3.57% | 0.002 |
Alcohol disorder | 4.30% | 2.38% | 0.567 | 1.43% | 4.76% | 0.057 |
Utilization | ||||||
Hospitalized | 82.51% | 85.71% | 0.545 | 46.73% | 100% | <0.001 |
Hospitalizations | 1 [4]a | 3 [4]a | <0.001 | 0 [2]a | 5 [2]a | <0.001 |
Course of New High Utilizers
Patients who were high utilizers in 2005 but not in 2004 were identified, and their hospital utilization from 2005 to 2007 was plotted (Fig. 2). The results are shown in Figure 1. Fifty‐five of the original 91 (60.44%) new high utilizers moderated in the following year, and 6.59% were known to have died in the hospital. Of the surviving 30 (32.97%) who did not moderate in the second year, 19 (65.3%) continued the high‐utilizing pattern into the third year, while 9 (16.36%) of those who moderated in year 2 returned to the high‐utilizing pattern in year 3. During this 3‐year period, 10 members (10.99%) of the initial group died in the hospital.

Diagnostic Patterns in Continued and Moderated First‐Year High Utilizers
The diagnoses of patients who were high utilizers in 2005 and not 2004 were examined for differences between those who moderated in 2006 (moderating group) and those who continued the high‐utilizing pattern (persistent group, Table 3). There were no differences in any measures examined in 2004. In 2005, the initial year of high utilization, the groups differed only on the prevalence of new diagnoses of alcohol use disorders (95% CI for odds ratio incalculable due to zero prevalence in moderating group), and slightly in number of hospitalizations (median 5 vs 5.5). Over ensuing years, the persistent group was more likely to have new discharge diagnoses of septicemia (OR 5.88, 95% CI, 1.40 to 24.7) and mood disorders (OR not calculated due to zero prevalence in the moderating group).
Course of 2005 1st Year High Utilizers | |||||||||
---|---|---|---|---|---|---|---|---|---|
Prior Year (2004) | First Year (2005) | Subsequent Years (20062007) | |||||||
Moderating | Persistent | P | Moderating | Persistent | P | Moderating | Persistent | P | |
N = 61 | N = 30 | ||||||||
| |||||||||
Demographics | |||||||||
Age | 30 [22]a | 25 [29.5]a | .682 | ||||||
Female | 63.93% | 66.67% | .982 | ||||||
New complications | |||||||||
Acute chest syndrome | 8.2% | 6.67% | .872 | 21.31% | 33.33% | .325 | 4.92% | 13.33% | .318 |
Aseptic necrosis | 6.56% | 13.33% | .978 | 11.48% | 10.00% | .885 | 8.20% | 13.33% | .691 |
Renal disease | 0.00% | 0.00% | 11.48% | 10.00% | .885 | 3.28% | 10.00% | .405 | |
New comorbidities | |||||||||
Septicemia | 4.92% | 0.00% | .541 | 9.84% | 3.33% | .500 | 4.92% | 23.33% | .022 |
Pneumonia | 1.64% | 0.00% | .716 | 4.92% | 0.00% | .541 | 0.00% | 6.67% | .201 |
HIV | 0.00% | 0.00% | 1.64% | 0.00% | .716 | 0.00% | 0.00% | ||
Pulmonary embolus | 0.00% | 3.33% | .541 | 11.48% | 3.33% | .370 | 4.92% | 3.33% | .844 |
Diabetes mellitus | 3.28% | 3.33% | .844 | 9.84% | 6.67% | .914 | 0.00% | 3.33% | .716 |
Mood disorder | 3.28% | 6.67% | .541 | 1.64% | 10.00% | .199 | 0.00% | 13.33% | .018 |
Cocaine disorder | 3.28% | 3.33% | .622 | 1.64% | 10.00% | .199 | 0.00% | 6.67% | .201 |
Alcohol disorder | 0.00% | 0.00% | 0.00% | 16.67% | .005 | 1.64% | 6.67% | .523 | |
Utilization | |||||||||
Hospitalized | 77.05% | 73.33% | .898 | 100% | 100% | 73.77% | 100% | .005 | |
Hospitalizations | 1 [2]a | 1.5 [2.5]a | .924 | 5 [2]a | 5.5 [4]a | .022 | 2 [4]a | 11 [11.75]a | <.001 |
Assessment of Effects of Age Selection
In order to assess the effects of restricting the sample to patients with a known age <13, post‐hoc analyses were performed without this restriction. In general, results were in line with findings from the planned analysis.
Using these less stringent criteria, prior to the onset of their first year of high utilization, FY2007 high utilizers (n = 142) were more likely to be female (63.0% vs 52.5%, P = 0.019) than never high utilizers (n = 2173), and also had more chronic kidney disease (7.75% vs 1.29%, P < 0.001), mood disorders (4.93% vs 0.83%, P < 0.001), and prior hospitalizations (median 3 vs 2, P < 0.001).
New 2005 high utilizers who persisted after 2005 (n = 75) were more likely to be diagnosed with alcohol disorders in 2005 (8% vs 0%, P = 0.004) and had slightly more hospitalizations (median 5 for both groups, but with a greater spread for the continuous group, P = 0.003) in 2005 than those who moderated (n = 131). After 2005, the continuous group were more likely to have new diagnoses of acute chest syndrome (5.34% vs 14.67%, P = 0.043), aseptic necrosis (4.58% vs 14.67%, P = 0.023), septicemia (3.82% vs 21.33%, P < 0.001), and mood disorders (0.00% vs 9.33%, P = 0.002).
Discussion
Replication of the Moderating Course of High Utilization
This study replicates, with substantial sample size, the finding that high inpatient utilization in patients with SCD tends to moderate relatively quickly. As the present report used a statewide data set of patients not selected for payer type, it mitigates prior concerns that selection by insurance status, disenrollment, and mortality biased previous findings using payer data sets. Thus, the moderating course of the typical high‐utilizing SCD patient now seems well‐established.
The fact that those new high utilizers who did not moderate stabilized at a new, higher level of utilization suggests that interventional studies of high utilizers in SCD may best target a more extreme population, either in terms of multi‐year persistence or an accelerating course of utilization. However, this subgroup will be rare.
Prediction of Onset and Course of New High Utilizers
This is the first study to the authors' knowledge to address the question of whether the onset and course of a period of high utilization can be reliably predicted. The results were mixed. High utilizers appeared to be more ill and complex than comparison patients over a wide range of measures, and new high utilizers were diagnosed with more complications prior to and during an index period of high utilization than comparison patients. Chronic complications appeared to lead a period of new high utilization, and more acute complications occurred in the same year. However, while complications were more prevalent in new high utilizers, the differences were not of sufficient magnitude to be reliably predictive. Even the most common SCD complication noted, acute chest syndrome, occurred as a new diagnosis in less than 20% of the new high utilizers in the initial year of high utilization. Thus, paradoxically, while high utilizers appeared more ill, no particular pattern of illness was strongly predictive of high utilization.
Persistent high utilization, rather than the more usual transient course, seemed more closely related to new substance use and mood disorder diagnoses than to complications of sickle cell disease. Persistent high utilizers had a greater prevalence of new diagnoses of mood disorders than moderating high utilizers in every time period examined, emerging as statistically significant after the first year of high utilization. The difference in new diagnoses of alcohol disorders was statistically significant in the initial period of high utilization, but was also present in the other time periods. Cocaine use disorders showed a similar pattern, though they were more rare and did not rise to the level of statistical significance.
The one SCD complication associated with persistent high utilization was septicemia. It is tempting to speculate that this could be as much cause as consequence of high utilization, given the exposures of frequently hospitalized patients to invasive procedures and nosocomial infection.
There was an intriguing regularity of associations of high utilization with mood disorders. This was most clear in differentiating persistent from moderating high utilizers, but was present as a theme in the results throughout. High utilizers were much more likely to be diagnosed with a mood disorder, and both first year high utilizers and persistent high utilizers were distinguished by a higher prevalence of new mood disorder diagnoses. Patients who were persistent high utilizers after an initial high utilization period in 2005 had a cumulative prevalence of hospital‐diagnosed mood disorder approximating 30% by 2007. These differences could be due to a number of factors, including increased surveillance in high utilizers, pain and chronic illness causing mood disturbance, or mood disorders influencing the underlying disease process.
Implications
High utilization in this and other studies is closely related to evidence of more severe sickle cell disease.3, 8, 9, 17 This fact, and the apparent difficulty of predicting the onset and course of high utilization, suggest that the primary intervention to moderate high utilization is to prevent such acute complications as acute chest syndrome in the more seriously affected. While the advent of hydroxyurea produced new hope that clinicians could reduce disruptive and dangerous hospitalizations for SCD patients,18 so far there is little evidence that this has occurred.14 Particularly concerning is evidence that only a minority of patients for whom hydroxyurea is indicated are being prescribed the medication.14, 19 Given the individual and public benefits of reduced morbidity and cost, interventions to reduce barriers to physician prescribing and patient adherence are urgently needed, and this is one of the most important issues in the clinical care of SCD today.
The study also points out the continuing question of the role of psychiatric problems in the high‐utilizing SCD patient. While depression, anxiety, and addiction are frequently used as clinical explanations for high utilization in SCD patients, the research literature has stalled at reporting associations between measures of psychological distress and worsened outcome, with inconsistent results depending on methods and populations chosen. Generally, depression has been defined categorically by threshold cutoffs in screening instruments.2023 Whether the term depression should refer to major depressive disorder as defined in the standard psychiatric diagnostic system, or as a broader entity including less severe symptoms or milder disorders, is only rarely addressed.20 This method probably produces a high false‐positive rate relative to the provisional gold standard of diagnosisexpert, diagnostic, semi‐structured interviews.21, 22
However, within the limitations of current methods, certain themes have emerged. Depression, as currently defined, appears highly prevalent among SCD patients.20, 21, 23, 24 It is clearly and consistently associated with worsened pain.20, 21, 25, 26 It also predicts greater opioid use, dramatically reduced quality of life, and reduced relief from opioids.20, 27 Findings on utilization are mixed, however. In some studies, depression has been associated with greater utilization.23, 28 However, in the longitudinal Pain in Sickle Cell Epidemiology Study (PiSCES) study, depression was not associated with utilization when other relevant characteristics were controlled.20 In general, depression appears to lose predictive power as more clinical variables are entered into the model; however, a number of the clinical variables associated with utilization also are related to depression. Whether depression may have a causal role through multiple pathways is not yet settled.
Another matter, frequently discussed but currently unsettled, is the role of addiction in utilization behavior in SCD. Whereas patients with SCD are heavily scrutinized for addiction, and the clinical problem of aberrant opioid use behavior is often discussed for this population, research literature gives little guidance as to the true prevalence and management of such comorbidities. It is well known that substance use disorders are interconnected, such that presence of one elevates risk for others; thus, one would expect more common substance use disorders to act as epidemiologic sentinels for the less. The study of alcohol use disorders, in particular, could be an excellent candidate for developing hypotheses about substance use disorders in this populationdivorced from differentiating problematic pain management behavior from purely drug‐reinforced behavior. In the present study, alcohol use disorders appeared associated with persistent high utilization; however, in other well‐designed longitudinal studies alcohol abuse was related to lower utilization. The meaning of these divergent findings is unclear for the moment.
Despite frequent clinical attention to psychiatric problems in SCD, well‐designed longitudinal studies to clarify causal relations are lacking. Such studies will require reasonable sample sizes, the use of expert structured interviews for diagnostic confirmation, and care taken to address the level of independence of the depressive syndrome from consequences of the underlying illness. The latter will be methodologically difficult. It may require detailed assessment of the course of the depressive syndrome relative to that of the hematologic disorder, assessment of background familial risk for mood disorder, and the effects of subclinical ischemic neurological insults. Despite the challenges, if this work is not done clinicians will be left with tantalizing associations but no solid evidence to guide treatment, and the confusion surrounding the role of psychiatric illness in SCD will remain. Meanwhile,, it seems prudent to have a low threshold to screen for psychiatric disorder and to obtain psychiatric consultations relatively early, where appropriate, for patients whose hospital utilization appears to be accelerating.
Strengths and Weaknesses
Higher hospital utilization provided greater opportunity for diagnosis, so some detection bias in these results should be assumed. Diagnoses are extracted from hospital discharge records using ICD codes. There are opportunities for a number of errors in reporting and coding these diagnoses, and this is likely to be particularly true of conditions that are not the primary clinical focus of the hospitalization. However, all patients had at least 1 hospital admission, and the diagnostic differences are not far outside of expectation. The study also required at least one hospitalization for crisis for inclusion to guard against bias from patients with more mild disease. As such, the conservatively‐defined comparison group may not be a perfect representation of low utilizers, and some relationships may be blunted relative to findings from a broader population.
The study also had a number of strengths, particularly related to the large number of patients who could be tracked using these methods. Given the rarity of sickle cell disease, and the rarity of high‐utilizing patients in the SCD population, such methods as these are the most practical means of developing hypotheses as to the causes and course of high utilization. It is reassuring that the age selection criterion did not significantly alter results; in fact, post hoc analyses that were more inclusive of the high‐utilizing population generally reinforced results of the more stringent analysis.
- The course and correlates of high hospital utilization in sickle cell disease: evidence from a large, urban Medicaid managed care organization.Am J Hematol.2009;84:666–670. , , , .
- Health care provider attitudes toward patients with acute vaso‐occlusive crisis due to sickle cell disease: development of a scale.Patient Educ Couns.2009 Feb 20. [published online ahead of print] , , , , , , , .
- Comparisons of high versus low emergency department utilizers in sickle cell disease.Ann Emerg Med.2009;53:587–593. , , , , , , , .
- Healthcare Cost and Utilization Project Statistical Brief #21: Sickle Cell Disease Patients in U.S. Hospitals, 2004.Rockville, MD:Agency for Healthcare Research and Quality;2006. , .
- Physicians' attitude and practices in sickle cell disease pain management.J Palliat Care.2005;21:246–251. , , .
- Medical care utilization and mortality in sickle cell disease: a population‐based study.Am J Hematol.2005;80:262–270. , , , , , .
- Understanding the causes of problematic pain management in sickle cell disease: evidence that pseudoaddiction plays a more important role than genuine analgesic dependence.J Pain Symptom Manage.2004;27:156–169. , , , , .
- Frequent and prolonged hospitalizations: a risk factor for early mortality in sickle cell disease patients.Am J Hematol.2003;72:201–203. , , , .
- Hospital resource utilization among patients with sickle cell disease.J Health Care Poor Underserved.2003;14:122–135. , , .
- Nurses' attitudes and practices in sickle cell pain management.Appl Nurs Res.2001;14:187–192. , , , ,
- Daily assessment of pain in adults with sickle cell disease.Ann Intern Med.2008;148:94–101. , , , , , , , , .
- A longitudinal examination predicting emergency room use in children with sickle cell disease and their caregivers.J Pediatr Psychol.200631:163–173. , , , .
- Utilization of the office, hospital and emergency department for adult sickle cell patients: a five‐year study.J Natl Med Assoc.2006;98:1109–1113. , , , , .
- Hospitalization rates and costs of care of patients with sickle‐cell anemia in the state of Maryland in the era of hydroxyurea.Am J Hematol.2006;81:927–932. , , , .
- The R Development Core Team. R:A Language and Environment for Statistical Computing.Vienna, Austria;2009.
- Physical and mental health in adults hospitalized with sickle cell disease: impact on resource use.J Natl Med Assoc.2009;101:139–144. , , .
- Rural/urban differences in access to and utilization of services among people in Alabama with sickle cell disease.Public Health Rep.2003;118:27–36. , , , , .
- Effect of hydroxyurea on the frequency of painful crises in sickle cell anemia. Investigators of the multicenter study of hydroxyurea in sickle cell anemia.N Engl J Med.1995;332:1317–1322. , , , , , , , .
- Provider barriers to hydroxyurea use in adults with sickle cell disease: a survey of the sickle cell disease adult provider network.J Natl Med Assoc.2008;100:968–973. , , , .
- Depression and anxiety in adults with sickle cell disease: the PiSCES project.Psychosom Med.2008;70:192–196. , , , , , , , , , .
- Depression, disease severity, and sickle cell disease.J Behav Med.1999;22:115–126. , , , , , , .
- Depression and functioning in relation to health care use in sickle cell disease.Ann Behav Med.2000;22:149–157. , , , .
- The role of depression in hospital admissions and emergency treatment of patients with sickle cell disease.J Natl Med Assoc.1991;83:777–781. , .
- Depression and anxiety in patients with sickle cell disease: conceptual and methodological considerations.J Health Soc Policy.1994;5:39–53. , .
- Pain site frequency and location in sickle cell disease: the PiSCES project.Pain.2009;145:246–251. , , , , , , , , .
- Quality of life among adolescents with sickle cell disease: mediation of pain by internalizing symptoms and parenting stress.Health Qual Life Outcomes.2008;6:60. , , , .
- Understanding pain and improving management of sickle cell disease: the PiSCES study.J Natl Med Assoc.2005;97:183–193. , , , , , , , , .
- Depression in sickle cell disease.J Natl Med Assoc.2003;95:533–537. , , , , .
- The course and correlates of high hospital utilization in sickle cell disease: evidence from a large, urban Medicaid managed care organization.Am J Hematol.2009;84:666–670. , , , .
- Health care provider attitudes toward patients with acute vaso‐occlusive crisis due to sickle cell disease: development of a scale.Patient Educ Couns.2009 Feb 20. [published online ahead of print] , , , , , , , .
- Comparisons of high versus low emergency department utilizers in sickle cell disease.Ann Emerg Med.2009;53:587–593. , , , , , , , .
- Healthcare Cost and Utilization Project Statistical Brief #21: Sickle Cell Disease Patients in U.S. Hospitals, 2004.Rockville, MD:Agency for Healthcare Research and Quality;2006. , .
- Physicians' attitude and practices in sickle cell disease pain management.J Palliat Care.2005;21:246–251. , , .
- Medical care utilization and mortality in sickle cell disease: a population‐based study.Am J Hematol.2005;80:262–270. , , , , , .
- Understanding the causes of problematic pain management in sickle cell disease: evidence that pseudoaddiction plays a more important role than genuine analgesic dependence.J Pain Symptom Manage.2004;27:156–169. , , , , .
- Frequent and prolonged hospitalizations: a risk factor for early mortality in sickle cell disease patients.Am J Hematol.2003;72:201–203. , , , .
- Hospital resource utilization among patients with sickle cell disease.J Health Care Poor Underserved.2003;14:122–135. , , .
- Nurses' attitudes and practices in sickle cell pain management.Appl Nurs Res.2001;14:187–192. , , , ,
- Daily assessment of pain in adults with sickle cell disease.Ann Intern Med.2008;148:94–101. , , , , , , , , .
- A longitudinal examination predicting emergency room use in children with sickle cell disease and their caregivers.J Pediatr Psychol.200631:163–173. , , , .
- Utilization of the office, hospital and emergency department for adult sickle cell patients: a five‐year study.J Natl Med Assoc.2006;98:1109–1113. , , , , .
- Hospitalization rates and costs of care of patients with sickle‐cell anemia in the state of Maryland in the era of hydroxyurea.Am J Hematol.2006;81:927–932. , , , .
- The R Development Core Team. R:A Language and Environment for Statistical Computing.Vienna, Austria;2009.
- Physical and mental health in adults hospitalized with sickle cell disease: impact on resource use.J Natl Med Assoc.2009;101:139–144. , , .
- Rural/urban differences in access to and utilization of services among people in Alabama with sickle cell disease.Public Health Rep.2003;118:27–36. , , , , .
- Effect of hydroxyurea on the frequency of painful crises in sickle cell anemia. Investigators of the multicenter study of hydroxyurea in sickle cell anemia.N Engl J Med.1995;332:1317–1322. , , , , , , , .
- Provider barriers to hydroxyurea use in adults with sickle cell disease: a survey of the sickle cell disease adult provider network.J Natl Med Assoc.2008;100:968–973. , , , .
- Depression and anxiety in adults with sickle cell disease: the PiSCES project.Psychosom Med.2008;70:192–196. , , , , , , , , , .
- Depression, disease severity, and sickle cell disease.J Behav Med.1999;22:115–126. , , , , , , .
- Depression and functioning in relation to health care use in sickle cell disease.Ann Behav Med.2000;22:149–157. , , , .
- The role of depression in hospital admissions and emergency treatment of patients with sickle cell disease.J Natl Med Assoc.1991;83:777–781. , .
- Depression and anxiety in patients with sickle cell disease: conceptual and methodological considerations.J Health Soc Policy.1994;5:39–53. , .
- Pain site frequency and location in sickle cell disease: the PiSCES project.Pain.2009;145:246–251. , , , , , , , , .
- Quality of life among adolescents with sickle cell disease: mediation of pain by internalizing symptoms and parenting stress.Health Qual Life Outcomes.2008;6:60. , , , .
- Understanding pain and improving management of sickle cell disease: the PiSCES study.J Natl Med Assoc.2005;97:183–193. , , , , , , , , .
- Depression in sickle cell disease.J Natl Med Assoc.2003;95:533–537. , , , , .
Copyright © 2010 Society of Hospital Medicine
A Lifetime in the Making
A 66‐year‐old man presented to the emergency department with 3 weeks of progressive exertional dyspnea. He also reported a single episode of chest pain 1 day prior to admission.
Cardiac and pulmonary causes of dyspnea are the most common. Other causes include anemia or a neuromuscular process. Given the recent episode of chest pain, coronary ischemia, congestive heart failure, chronic obstructive pulmonary disease (COPD), pulmonary embolism, and pericardial effusion must be considered.
Up until 3 weeks ago, he had no exercise intolerance, and had been relatively active. He began noticing progressive dyspnea to the point where he had considerable difficulty walking up stairs, and performing minor household chores. He also complained of orthopnea and paroxysmal nocturnal dyspnea for the last 3 weeks.He denied chest pain at presentation, but 24 hours prior, he experienced one episode of sharp, left‐sided, nonradiating, nonpositional chest pain that occurred at rest. It lasted approximately 20 minutes and was not associated with diaphoresis, nausea, vomiting, or palpitations. He had never experienced chest discomfort prior to this episode. He denied fever, chills, cough, or wheezing.
Progressive dyspnea on exertion with associated orthopnea and paroxysmal nocturnal dyspnea is classically seen in patients with heart failure and is typically associated with left ventricular failure. However, paroxysmal nocturnal dyspnea and orthopnea are only moderately specific for heart failure. Orthopnea can also be seen in pericardial disease, and in numerous pulmonary diseases, including asthma, COPD, pulmonary hypertension, diaphragmatic weakness, pleural effusion, pulmonary embolism, and any apical lung process including lung cancer or pneumonia. Paroxysmal nocturnal dyspnea can be seen in many of the same disorders and can also be reported in obstructive sleep apnea.
His past medical history was remarkable for two episodes of syncope, occurring 5 and 3 years ago, both while working outside in warm weather. Neither was associated with chest pain, diaphoresis, palpitations, or post‐ictal symptoms. He was diagnosed with prostate cancer 8 years ago, and underwent 2 years of androgen‐deprivation therapy with goserelin along with local radiation therapy. Medications included subcutaneous goserelin every 3 months and daily omeprazole. He denied any other prescription, over‐the‐counter, or herbal medications. He reported a 50‐pack‐year history of smoking, but denied alcohol or illicit drug abuse. He denied any travel history or recent immobilization. He had no children, and there was no known history of heart disease in his family.
The past medical history of two episodes of likely exertional syncope is interesting, but the episodes were sporadic and in the distant past, arguing against a serious and ongoing process. Nonetheless, this history still raises the possibility of cardiac causes of syncope, especially causes such as hypertrophic obstructive cardiomyopathy or aortic stenosis which are classically associated with exertional syncope. Either of these two conditions can result in heart failure if untreated. The history of goserelin therapy does make the possibility of heart failure higher, as there has been an association reported between use of this drug and heart failure. His history of tobacco use is a risk factor for coronary artery disease (CAD) and COPD. An active cancer history is also a risk factor for thromboembolic disease, which remains a consideration.
On admission, his temperature was 36.9C, heart rate 94 bpm, respiratory rate 22 breaths per minute, blood pressure 200/108 mmHg, and oxygen saturation 93% breathing ambient air. He was a thin man in no acute distress. Cardiovascular examination was significant for normal first and second heart sounds, with a soft left‐sided S3; the point of maximal impulse was diffuse, but displaced laterally. His jugular venous pressure was estimated at 9 cm of H2O while positioned at a 45‐degree angle. Rales were heard at the lung bases bilaterally. Abdominal exam was normal. His lower extremities were without edema. There were no focal neurological deficits appreciated. Skin examination was unremarkable.
His combination of physical exam findings strongly suggests heart failure, most likely related to a dilated cardiomyopathy and left ventricular dysfunction. The presence of a left‐sided S3 and rales, and the lack of markedly elevated central venous pressure and peripheral edema, suggest heart failure predominantly due to left ventricular dysfunction. Of note, he is very hypertensive. This would not be the typical finding with severely decompensated heart failure. It would be important to determine whether his elevated blood pressure is due to an acute, reversible cause (e.g., pain, dyspnea, anxiety) or whether cocaine use, psychotropic agents, rare causes such as catecholamine‐producing tumors, other neuroendocrine tumors or thyroid toxic states are at play. In addition, one might see hypertension early in the course of heart failure, from a left ventricular outflow obstructive etiology such as severe aortic stenosis or hypertrophic obstructive cardiomyopathy.
Laboratory evaluation revealed a white blood cell count of 8900/mm3, with a normal differential; hemoglobin was 13.9 g/dL; platelet count was 264,000/mm3. Serum electrolytes and liver enzymes were unremarkable, with serum creatinine 1.1 mg/dL and blood urea nitrogen 7 mg/dL. Serial cardiac troponin‐I levels drawn 8 hours apart were 0.04, 0.07, 0.08, and 0.04 ng/mL (normal <0.04). Brain natriuretic peptide was 1420 pg/mL (normal <100). Thyroid stimulating hormone was 1.19 uIU/mL (normal 0.34‐5.60). Chest radiography revealed mild cardiomegaly, with peripheral interstitial opacities in the mid and lower lobes bilaterally, with fluid within the minor fissure. A 12‐lead electrocardiogram (ECG) revealed normal sinus rhythm at 95 bpm with left anterior fascicular block; intraventricular conduction delay was present (QRS width 106 ms) and QS complexes were present in V1‐V3. In addition, there was a left atrial abnormality and voltage criteria for left ventricular hypertrophy with secondary T‐wave inversions laterally (Figure 1). No previous ECGs were available for comparison. A chest computed tomography scan with contrast showed no evidence of pulmonary embolus. It did show interlobular septal thickening and small bilateral pleural effusions, consistent with left ventricular dysfunction.

The patient's initial lab, imaging, and diagnostic work‐up continues to be consistent with the diagnosis of heart failure. The patient appears to have cardiomegaly and mild pulmonary edema by imaging. The etiology of heart failure remains unknown, but ischemia remains in the differential, given the mildly elevated troponins initially and the ECG findings of left anterior fascicular block and T‐wave inversions in the lateral leads. Left anterior fascicular block can be seen with ischemic heart disease (especially involving the left anterior descending coronary artery), hypertensive heart disease, valvular disease, and some infiltrative cardiac processes. The lateral T‐wave inversions are likely secondary to left ventricular hypertrophy (a so‐called strain pattern), rather than ischemia. Left ventricular hypertrophy is consistent with his hypertension, suggesting that it is chronic; his presentation may be due to hypertensive heart disease with new onset heart failure.
He was admitted to the hospital, and metoprolol, lisinopril, and intravenous furosemide were given. Transthoracic echocardiography demonstrated severe global hypokinesis with a left ventricular ejection fraction of 10%. There was no evidence of ventricular thrombus or valvular disease; however, prominent left ventricular trabeculation with deep recesses was noted (see Figure 2).

The echocardiographic findings of deep recesses and prominent left ventricular trabeculation are seen in only a few disorders. Sometimes these findings are thought to be due to hypertrophic obstructive cardiomyopathy. The deep trabeculations can be seen in patients with some forms of congenital heart disease associated with ventricular pressure overload during fetal development. The other cause is left ventricular noncompaction, a genetic cardiomyopathy which is becoming increasingly recognized. The disorder, along with causing heart failure, is associated with a high risk of ventricular thrombus and thromboembolic events, and a high risk of arrhythmias and sudden death. The overall prognosis appears to be poor, compared to some other cardiomyopathies. The imaging findings of left ventricular noncompaction are nearly pathognomonic, and experienced echocardiographers can usually make the diagnosis. Finally, left heart catheterization or noninvasive stress testing should be part of the workup to definitively exclude an ischemic cardiomyopathy, even in the setting of noncompaction, and especially given his recent history of chest pain.
A left heart catheterization with coronary arteriography demonstrated no angiographic evidence of obstructive coronary disease. Left ventriculography revealed severe global hypokinesis. The patient was diagnosed with left ventricular noncompaction.
The initial medical management centers upon the treatment of heart failure with a beta‐blocker, ACE‐inhibitor, and diuretics for fluid management. Patients with left ventricular noncompaction are at particularly high risk of both embolic events (thought due to propensity to develop left ventricular clots within the deep recesses of the endocardium) and sudden death from arrhythmias. Thus, anticoagulation with warfarin is often indicated and would be reasonable in this patient, given the extremely low ejection fraction. The patient does meet established criteria for primary prophylaxis of sudden death with an implantable cardioverter‐defibrillator in nonischemic cardiomyopathy (left ventricular ejection fraction <35% and New York Heart Association class II failure), and this would also be appropriate therapy as well, given the high‐risk profile of this patient population.
He was discharged in stable condition with a medical regimen consisting of diuretics, metoprolol, and lisinopril. Given the risk for thromboembolism, he was started on warfarin. On subsequent follow‐up, repeat echocardiogram revealed a persistently low left ventricular ejection fraction at 10%. Despite his marked improvement in exercise tolerance and overall well‐being after 4 months of treatment, his ejection fraction did not improve. As a result, he was evaluated and counseled for placement of an implantable cardioverter‐defibrillator, and received a dual‐chamber device shortly afterward.
COMMENTARY
Left ventricular noncompaction is a form of cardiomyopathy increasingly recognized in both pediatric and adult populations. The hallmark features are a pattern of prominent trabeculations and deep recesses in the left ventricular wall. During normal gestation, the myocardium compacts and matures while deep recesses evolve into capillary precursors of the coronary circulation. Left ventricular noncompaction may result from an arrest in this process, with cardiac myofibers failing to compact from their initial spongiform architecture into a developed endocardium.1 Restrictive relaxation from persistent trabeculae predisposes to diastolic dysfunction, while systolic dysfunction may be related to subendocardial hypoperfusion and mechanical dyssynchrony between compacted and noncompacted myocardium.2
Differentiation of left ventricular noncompaction from other cardiomyopathies, based on history and physical examination alone, is essentially impossible. There is high variability and lack of specificity in both clinical profile and onset of symptoms. Electrocardiographic findings are also nonspecific, and the diagnosis typically becomes evident only with transthoracic echocardiography. Current diagnostic criteria include: 1) absence of coexisting cardiac abnormalities; 2) a two‐layer structure with >2:1 ratio of noncompacted to compacted myocardium; 3) predominant involvement of the apical segment of myocardium; and 4) deep intertrabecular recesses demonstrated on Doppler imaging.2, 3 Although echocardiography remains the standard in clinical practice, cardiac magnetic resonance imaging is being increasingly employed as well.4
With more awareness of the disease and the development of higher resolution imaging, the reported incidence has risen. In one single‐center study performed at a heart failure/transplant clinic, 3% of 960 patients referred to heart failure clinic were diagnosed with left ventricular noncompaction, a prevalence similar to hypertensive disease and hypertrophic cardiomyopathy.5 In another community‐hospitalbased study of 4929 adult patients referred for echocardiography, 3.7% of those with systolic dysfunction were diagnosed with noncompaction.6
Left ventricular noncompaction is considered a genetic cardiomyopathy; a family history of heart failure is often present.7 Despite its congenital origin and genetic involvement,2 it is unclear why symptoms may first present at an advanced age. Chest pain and shortness of breath are common complaints, and approximately 62% of patients will have congestive heart failure at presentation.8
Tachyarrhythmia and ventricular tachycardia are commonly seen, as are systemic embolic events and pulmonary embolism. Significant predictors of death include New York Heart Association class III‐IV, sustained ventricular arrhythmias, and increased left atrial size.9
Management is focused on the treatment of arrhythmias, heart failure, and thromboembolic events. The use of standard medical therapy for heart failure (including ACE‐inhibitors and beta‐blockers) is not based on large‐scale studies, yet remains the cornerstone of therapy. An implantable cardioverter‐defibrillator is indicated after hemodynamically compromising sustained ventricular tachycardia or aborted sudden cardiac death, but there are no guidelines for primary prophylaxis outside of patients with heart failure and a depressed ejection fraction.10 Cardiac resynchronization therapy has been successful in some patients with isolated left ventricular noncompaction. Long‐term oral anticoagulation is recommended, especially when impaired left ventricular function, thrombi, or atrial fibrillation have been documented. Patients with left ventricular dysfunction in concert with left ventricular noncompaction are at 10% higher risk for embolic complications when compared to those without noncompaction.11 Familial screening with echocardiography is indicated once the diagnosis has been made.2
In this Clinical Care Conundrum, we describe a rare but increasingly recognized condition, and highlight the importance of delineating the underlying cause of cardiomyopathy when possible. Treatment of heart failure in the hospital setting is sometimes more focused on initiation of diuresis and further stabilization of the patient, and less focused on elucidation of the etiology. While recognition of left ventricular failure led to early treatment with standard therapy in this case, identification of the underlying cause allowed for targeted interventions directed at cardiac arrhythmias, embolic events, and familial screening. Of note, the discussant was careful not to let the prior history of syncopal events distract him from the central issues in this case.
This case also serves as a reminder that congenital anomalies should remain on the differential diagnosis when evaluating new complaints in adult patients. The discussant approached the presentation of new‐onset left ventricular dysfunction in a thorough manner, weighing the likelihood of ischemic and nonischemic causes in the context of the history and physical examination. Careful consideration of the patient's new clinical manifestationscoupled with characteristic echocardiographic findings and normal coronary anatomysolidified the diagnosis. By developing a broad differential, the discussant and clinical team arrived at a diagnosis that for this 66‐year‐old gentleman was a lifetime in the making.
Teaching Points
-
Left ventricular noncompaction is characterized by a pattern of prominent trabecular meshwork and deep intertrabecular recesses communicating with the left ventricular cavity. Heightened awareness among clinicians and echocardiographers has led to increased detection of this condition.
-
This disease needs to be considered in patients of all ages presenting with heart failure, especially in cases characterized by ventricular arrhythmias, thromboembolism, and a family history of similar events.
-
Left ventricular noncompaction management is mainly focused on the treatment of arrhythmias, heart failure, and thromboembolic events.
The approach to clinical conundrums by an expert clinician is revealed through the presentation of an actual patient's case in an approach typical of a morning report. Similarly to patient care, sequential pieces of information are provided to the clinician, who is unfamiliar with the case. The focus is on the thought processes of both the clinical team caring for the patient and the discussant.
- Isolated ventricular non‐compaction of the myocardium in adults.Heart.2006;93:11–15. , , .
- Left ventricular noncompaction.Circ J.2009;73:19–26. .
- Echocardiographic and pathoanatomical characteristics of isolated left ventricular non‐compaction: a step towards classification as a distinct cardiomyopathy.Heart.2001;86:666–671. , , , , .
- Left ventricular non‐compaction: insights from cardiovascular magnetic resonance imaging.J Am Coll Cardiol.2005;46:101–105. , , , et al.
- Isolated left ventricular noncompaction as a cause for heart failure and heart transplantation: a single center experience.Cardiology.2009;112:158–164. , , , , , .
- Prevalence and characteristics of left ventricular noncompaction in a community hospital cohort of patients with systolic dysfunction.Echocardiography.2008;25(1):8–12. , , , .
- Contemporary definitions and classification of the cardiomyopathies: an American Heart Association Scientific Statement from the Council on Clinical Cardiology, Heart Failure and Transplantation Committee; Quality of Care and Outcomes Research and Functional Genomics and Translational Biology Interdisciplinary Working Groups; and Council on Epidemiology and Prevention.Circulation.2006;113:1801–1816. , , , et al.
- Long‐term follow‐up of 34 adults with isolated left ventricular noncompaction: a distinct cardiomyopathy with poor prognosis.J Am Coll Cardiol.2000;36:493–500. , , , , .
- Wide spectrum of presentation and variable outcomes of isolated left ventricular non‐compaction.Heart.2007;93(1):65–71. , , , et al.
- Prophylactic defibrillator implantation in patients with nonischemic dilated cardiomyopathy.N Engl J Med.2004;350:2151–2159. , , , et al.
- Left ventricular hypertrabeculation/noncompaction and stroke or embolism.Cardiology.2005;103:68–72. , .
A 66‐year‐old man presented to the emergency department with 3 weeks of progressive exertional dyspnea. He also reported a single episode of chest pain 1 day prior to admission.
Cardiac and pulmonary causes of dyspnea are the most common. Other causes include anemia or a neuromuscular process. Given the recent episode of chest pain, coronary ischemia, congestive heart failure, chronic obstructive pulmonary disease (COPD), pulmonary embolism, and pericardial effusion must be considered.
Up until 3 weeks ago, he had no exercise intolerance, and had been relatively active. He began noticing progressive dyspnea to the point where he had considerable difficulty walking up stairs, and performing minor household chores. He also complained of orthopnea and paroxysmal nocturnal dyspnea for the last 3 weeks.He denied chest pain at presentation, but 24 hours prior, he experienced one episode of sharp, left‐sided, nonradiating, nonpositional chest pain that occurred at rest. It lasted approximately 20 minutes and was not associated with diaphoresis, nausea, vomiting, or palpitations. He had never experienced chest discomfort prior to this episode. He denied fever, chills, cough, or wheezing.
Progressive dyspnea on exertion with associated orthopnea and paroxysmal nocturnal dyspnea is classically seen in patients with heart failure and is typically associated with left ventricular failure. However, paroxysmal nocturnal dyspnea and orthopnea are only moderately specific for heart failure. Orthopnea can also be seen in pericardial disease, and in numerous pulmonary diseases, including asthma, COPD, pulmonary hypertension, diaphragmatic weakness, pleural effusion, pulmonary embolism, and any apical lung process including lung cancer or pneumonia. Paroxysmal nocturnal dyspnea can be seen in many of the same disorders and can also be reported in obstructive sleep apnea.
His past medical history was remarkable for two episodes of syncope, occurring 5 and 3 years ago, both while working outside in warm weather. Neither was associated with chest pain, diaphoresis, palpitations, or post‐ictal symptoms. He was diagnosed with prostate cancer 8 years ago, and underwent 2 years of androgen‐deprivation therapy with goserelin along with local radiation therapy. Medications included subcutaneous goserelin every 3 months and daily omeprazole. He denied any other prescription, over‐the‐counter, or herbal medications. He reported a 50‐pack‐year history of smoking, but denied alcohol or illicit drug abuse. He denied any travel history or recent immobilization. He had no children, and there was no known history of heart disease in his family.
The past medical history of two episodes of likely exertional syncope is interesting, but the episodes were sporadic and in the distant past, arguing against a serious and ongoing process. Nonetheless, this history still raises the possibility of cardiac causes of syncope, especially causes such as hypertrophic obstructive cardiomyopathy or aortic stenosis which are classically associated with exertional syncope. Either of these two conditions can result in heart failure if untreated. The history of goserelin therapy does make the possibility of heart failure higher, as there has been an association reported between use of this drug and heart failure. His history of tobacco use is a risk factor for coronary artery disease (CAD) and COPD. An active cancer history is also a risk factor for thromboembolic disease, which remains a consideration.
On admission, his temperature was 36.9C, heart rate 94 bpm, respiratory rate 22 breaths per minute, blood pressure 200/108 mmHg, and oxygen saturation 93% breathing ambient air. He was a thin man in no acute distress. Cardiovascular examination was significant for normal first and second heart sounds, with a soft left‐sided S3; the point of maximal impulse was diffuse, but displaced laterally. His jugular venous pressure was estimated at 9 cm of H2O while positioned at a 45‐degree angle. Rales were heard at the lung bases bilaterally. Abdominal exam was normal. His lower extremities were without edema. There were no focal neurological deficits appreciated. Skin examination was unremarkable.
His combination of physical exam findings strongly suggests heart failure, most likely related to a dilated cardiomyopathy and left ventricular dysfunction. The presence of a left‐sided S3 and rales, and the lack of markedly elevated central venous pressure and peripheral edema, suggest heart failure predominantly due to left ventricular dysfunction. Of note, he is very hypertensive. This would not be the typical finding with severely decompensated heart failure. It would be important to determine whether his elevated blood pressure is due to an acute, reversible cause (e.g., pain, dyspnea, anxiety) or whether cocaine use, psychotropic agents, rare causes such as catecholamine‐producing tumors, other neuroendocrine tumors or thyroid toxic states are at play. In addition, one might see hypertension early in the course of heart failure, from a left ventricular outflow obstructive etiology such as severe aortic stenosis or hypertrophic obstructive cardiomyopathy.
Laboratory evaluation revealed a white blood cell count of 8900/mm3, with a normal differential; hemoglobin was 13.9 g/dL; platelet count was 264,000/mm3. Serum electrolytes and liver enzymes were unremarkable, with serum creatinine 1.1 mg/dL and blood urea nitrogen 7 mg/dL. Serial cardiac troponin‐I levels drawn 8 hours apart were 0.04, 0.07, 0.08, and 0.04 ng/mL (normal <0.04). Brain natriuretic peptide was 1420 pg/mL (normal <100). Thyroid stimulating hormone was 1.19 uIU/mL (normal 0.34‐5.60). Chest radiography revealed mild cardiomegaly, with peripheral interstitial opacities in the mid and lower lobes bilaterally, with fluid within the minor fissure. A 12‐lead electrocardiogram (ECG) revealed normal sinus rhythm at 95 bpm with left anterior fascicular block; intraventricular conduction delay was present (QRS width 106 ms) and QS complexes were present in V1‐V3. In addition, there was a left atrial abnormality and voltage criteria for left ventricular hypertrophy with secondary T‐wave inversions laterally (Figure 1). No previous ECGs were available for comparison. A chest computed tomography scan with contrast showed no evidence of pulmonary embolus. It did show interlobular septal thickening and small bilateral pleural effusions, consistent with left ventricular dysfunction.

The patient's initial lab, imaging, and diagnostic work‐up continues to be consistent with the diagnosis of heart failure. The patient appears to have cardiomegaly and mild pulmonary edema by imaging. The etiology of heart failure remains unknown, but ischemia remains in the differential, given the mildly elevated troponins initially and the ECG findings of left anterior fascicular block and T‐wave inversions in the lateral leads. Left anterior fascicular block can be seen with ischemic heart disease (especially involving the left anterior descending coronary artery), hypertensive heart disease, valvular disease, and some infiltrative cardiac processes. The lateral T‐wave inversions are likely secondary to left ventricular hypertrophy (a so‐called strain pattern), rather than ischemia. Left ventricular hypertrophy is consistent with his hypertension, suggesting that it is chronic; his presentation may be due to hypertensive heart disease with new onset heart failure.
He was admitted to the hospital, and metoprolol, lisinopril, and intravenous furosemide were given. Transthoracic echocardiography demonstrated severe global hypokinesis with a left ventricular ejection fraction of 10%. There was no evidence of ventricular thrombus or valvular disease; however, prominent left ventricular trabeculation with deep recesses was noted (see Figure 2).

The echocardiographic findings of deep recesses and prominent left ventricular trabeculation are seen in only a few disorders. Sometimes these findings are thought to be due to hypertrophic obstructive cardiomyopathy. The deep trabeculations can be seen in patients with some forms of congenital heart disease associated with ventricular pressure overload during fetal development. The other cause is left ventricular noncompaction, a genetic cardiomyopathy which is becoming increasingly recognized. The disorder, along with causing heart failure, is associated with a high risk of ventricular thrombus and thromboembolic events, and a high risk of arrhythmias and sudden death. The overall prognosis appears to be poor, compared to some other cardiomyopathies. The imaging findings of left ventricular noncompaction are nearly pathognomonic, and experienced echocardiographers can usually make the diagnosis. Finally, left heart catheterization or noninvasive stress testing should be part of the workup to definitively exclude an ischemic cardiomyopathy, even in the setting of noncompaction, and especially given his recent history of chest pain.
A left heart catheterization with coronary arteriography demonstrated no angiographic evidence of obstructive coronary disease. Left ventriculography revealed severe global hypokinesis. The patient was diagnosed with left ventricular noncompaction.
The initial medical management centers upon the treatment of heart failure with a beta‐blocker, ACE‐inhibitor, and diuretics for fluid management. Patients with left ventricular noncompaction are at particularly high risk of both embolic events (thought due to propensity to develop left ventricular clots within the deep recesses of the endocardium) and sudden death from arrhythmias. Thus, anticoagulation with warfarin is often indicated and would be reasonable in this patient, given the extremely low ejection fraction. The patient does meet established criteria for primary prophylaxis of sudden death with an implantable cardioverter‐defibrillator in nonischemic cardiomyopathy (left ventricular ejection fraction <35% and New York Heart Association class II failure), and this would also be appropriate therapy as well, given the high‐risk profile of this patient population.
He was discharged in stable condition with a medical regimen consisting of diuretics, metoprolol, and lisinopril. Given the risk for thromboembolism, he was started on warfarin. On subsequent follow‐up, repeat echocardiogram revealed a persistently low left ventricular ejection fraction at 10%. Despite his marked improvement in exercise tolerance and overall well‐being after 4 months of treatment, his ejection fraction did not improve. As a result, he was evaluated and counseled for placement of an implantable cardioverter‐defibrillator, and received a dual‐chamber device shortly afterward.
COMMENTARY
Left ventricular noncompaction is a form of cardiomyopathy increasingly recognized in both pediatric and adult populations. The hallmark features are a pattern of prominent trabeculations and deep recesses in the left ventricular wall. During normal gestation, the myocardium compacts and matures while deep recesses evolve into capillary precursors of the coronary circulation. Left ventricular noncompaction may result from an arrest in this process, with cardiac myofibers failing to compact from their initial spongiform architecture into a developed endocardium.1 Restrictive relaxation from persistent trabeculae predisposes to diastolic dysfunction, while systolic dysfunction may be related to subendocardial hypoperfusion and mechanical dyssynchrony between compacted and noncompacted myocardium.2
Differentiation of left ventricular noncompaction from other cardiomyopathies, based on history and physical examination alone, is essentially impossible. There is high variability and lack of specificity in both clinical profile and onset of symptoms. Electrocardiographic findings are also nonspecific, and the diagnosis typically becomes evident only with transthoracic echocardiography. Current diagnostic criteria include: 1) absence of coexisting cardiac abnormalities; 2) a two‐layer structure with >2:1 ratio of noncompacted to compacted myocardium; 3) predominant involvement of the apical segment of myocardium; and 4) deep intertrabecular recesses demonstrated on Doppler imaging.2, 3 Although echocardiography remains the standard in clinical practice, cardiac magnetic resonance imaging is being increasingly employed as well.4
With more awareness of the disease and the development of higher resolution imaging, the reported incidence has risen. In one single‐center study performed at a heart failure/transplant clinic, 3% of 960 patients referred to heart failure clinic were diagnosed with left ventricular noncompaction, a prevalence similar to hypertensive disease and hypertrophic cardiomyopathy.5 In another community‐hospitalbased study of 4929 adult patients referred for echocardiography, 3.7% of those with systolic dysfunction were diagnosed with noncompaction.6
Left ventricular noncompaction is considered a genetic cardiomyopathy; a family history of heart failure is often present.7 Despite its congenital origin and genetic involvement,2 it is unclear why symptoms may first present at an advanced age. Chest pain and shortness of breath are common complaints, and approximately 62% of patients will have congestive heart failure at presentation.8
Tachyarrhythmia and ventricular tachycardia are commonly seen, as are systemic embolic events and pulmonary embolism. Significant predictors of death include New York Heart Association class III‐IV, sustained ventricular arrhythmias, and increased left atrial size.9
Management is focused on the treatment of arrhythmias, heart failure, and thromboembolic events. The use of standard medical therapy for heart failure (including ACE‐inhibitors and beta‐blockers) is not based on large‐scale studies, yet remains the cornerstone of therapy. An implantable cardioverter‐defibrillator is indicated after hemodynamically compromising sustained ventricular tachycardia or aborted sudden cardiac death, but there are no guidelines for primary prophylaxis outside of patients with heart failure and a depressed ejection fraction.10 Cardiac resynchronization therapy has been successful in some patients with isolated left ventricular noncompaction. Long‐term oral anticoagulation is recommended, especially when impaired left ventricular function, thrombi, or atrial fibrillation have been documented. Patients with left ventricular dysfunction in concert with left ventricular noncompaction are at 10% higher risk for embolic complications when compared to those without noncompaction.11 Familial screening with echocardiography is indicated once the diagnosis has been made.2
In this Clinical Care Conundrum, we describe a rare but increasingly recognized condition, and highlight the importance of delineating the underlying cause of cardiomyopathy when possible. Treatment of heart failure in the hospital setting is sometimes more focused on initiation of diuresis and further stabilization of the patient, and less focused on elucidation of the etiology. While recognition of left ventricular failure led to early treatment with standard therapy in this case, identification of the underlying cause allowed for targeted interventions directed at cardiac arrhythmias, embolic events, and familial screening. Of note, the discussant was careful not to let the prior history of syncopal events distract him from the central issues in this case.
This case also serves as a reminder that congenital anomalies should remain on the differential diagnosis when evaluating new complaints in adult patients. The discussant approached the presentation of new‐onset left ventricular dysfunction in a thorough manner, weighing the likelihood of ischemic and nonischemic causes in the context of the history and physical examination. Careful consideration of the patient's new clinical manifestationscoupled with characteristic echocardiographic findings and normal coronary anatomysolidified the diagnosis. By developing a broad differential, the discussant and clinical team arrived at a diagnosis that for this 66‐year‐old gentleman was a lifetime in the making.
Teaching Points
-
Left ventricular noncompaction is characterized by a pattern of prominent trabecular meshwork and deep intertrabecular recesses communicating with the left ventricular cavity. Heightened awareness among clinicians and echocardiographers has led to increased detection of this condition.
-
This disease needs to be considered in patients of all ages presenting with heart failure, especially in cases characterized by ventricular arrhythmias, thromboembolism, and a family history of similar events.
-
Left ventricular noncompaction management is mainly focused on the treatment of arrhythmias, heart failure, and thromboembolic events.
The approach to clinical conundrums by an expert clinician is revealed through the presentation of an actual patient's case in an approach typical of a morning report. Similarly to patient care, sequential pieces of information are provided to the clinician, who is unfamiliar with the case. The focus is on the thought processes of both the clinical team caring for the patient and the discussant.
A 66‐year‐old man presented to the emergency department with 3 weeks of progressive exertional dyspnea. He also reported a single episode of chest pain 1 day prior to admission.
Cardiac and pulmonary causes of dyspnea are the most common. Other causes include anemia or a neuromuscular process. Given the recent episode of chest pain, coronary ischemia, congestive heart failure, chronic obstructive pulmonary disease (COPD), pulmonary embolism, and pericardial effusion must be considered.
Up until 3 weeks ago, he had no exercise intolerance, and had been relatively active. He began noticing progressive dyspnea to the point where he had considerable difficulty walking up stairs, and performing minor household chores. He also complained of orthopnea and paroxysmal nocturnal dyspnea for the last 3 weeks.He denied chest pain at presentation, but 24 hours prior, he experienced one episode of sharp, left‐sided, nonradiating, nonpositional chest pain that occurred at rest. It lasted approximately 20 minutes and was not associated with diaphoresis, nausea, vomiting, or palpitations. He had never experienced chest discomfort prior to this episode. He denied fever, chills, cough, or wheezing.
Progressive dyspnea on exertion with associated orthopnea and paroxysmal nocturnal dyspnea is classically seen in patients with heart failure and is typically associated with left ventricular failure. However, paroxysmal nocturnal dyspnea and orthopnea are only moderately specific for heart failure. Orthopnea can also be seen in pericardial disease, and in numerous pulmonary diseases, including asthma, COPD, pulmonary hypertension, diaphragmatic weakness, pleural effusion, pulmonary embolism, and any apical lung process including lung cancer or pneumonia. Paroxysmal nocturnal dyspnea can be seen in many of the same disorders and can also be reported in obstructive sleep apnea.
His past medical history was remarkable for two episodes of syncope, occurring 5 and 3 years ago, both while working outside in warm weather. Neither was associated with chest pain, diaphoresis, palpitations, or post‐ictal symptoms. He was diagnosed with prostate cancer 8 years ago, and underwent 2 years of androgen‐deprivation therapy with goserelin along with local radiation therapy. Medications included subcutaneous goserelin every 3 months and daily omeprazole. He denied any other prescription, over‐the‐counter, or herbal medications. He reported a 50‐pack‐year history of smoking, but denied alcohol or illicit drug abuse. He denied any travel history or recent immobilization. He had no children, and there was no known history of heart disease in his family.
The past medical history of two episodes of likely exertional syncope is interesting, but the episodes were sporadic and in the distant past, arguing against a serious and ongoing process. Nonetheless, this history still raises the possibility of cardiac causes of syncope, especially causes such as hypertrophic obstructive cardiomyopathy or aortic stenosis which are classically associated with exertional syncope. Either of these two conditions can result in heart failure if untreated. The history of goserelin therapy does make the possibility of heart failure higher, as there has been an association reported between use of this drug and heart failure. His history of tobacco use is a risk factor for coronary artery disease (CAD) and COPD. An active cancer history is also a risk factor for thromboembolic disease, which remains a consideration.
On admission, his temperature was 36.9C, heart rate 94 bpm, respiratory rate 22 breaths per minute, blood pressure 200/108 mmHg, and oxygen saturation 93% breathing ambient air. He was a thin man in no acute distress. Cardiovascular examination was significant for normal first and second heart sounds, with a soft left‐sided S3; the point of maximal impulse was diffuse, but displaced laterally. His jugular venous pressure was estimated at 9 cm of H2O while positioned at a 45‐degree angle. Rales were heard at the lung bases bilaterally. Abdominal exam was normal. His lower extremities were without edema. There were no focal neurological deficits appreciated. Skin examination was unremarkable.
His combination of physical exam findings strongly suggests heart failure, most likely related to a dilated cardiomyopathy and left ventricular dysfunction. The presence of a left‐sided S3 and rales, and the lack of markedly elevated central venous pressure and peripheral edema, suggest heart failure predominantly due to left ventricular dysfunction. Of note, he is very hypertensive. This would not be the typical finding with severely decompensated heart failure. It would be important to determine whether his elevated blood pressure is due to an acute, reversible cause (e.g., pain, dyspnea, anxiety) or whether cocaine use, psychotropic agents, rare causes such as catecholamine‐producing tumors, other neuroendocrine tumors or thyroid toxic states are at play. In addition, one might see hypertension early in the course of heart failure, from a left ventricular outflow obstructive etiology such as severe aortic stenosis or hypertrophic obstructive cardiomyopathy.
Laboratory evaluation revealed a white blood cell count of 8900/mm3, with a normal differential; hemoglobin was 13.9 g/dL; platelet count was 264,000/mm3. Serum electrolytes and liver enzymes were unremarkable, with serum creatinine 1.1 mg/dL and blood urea nitrogen 7 mg/dL. Serial cardiac troponin‐I levels drawn 8 hours apart were 0.04, 0.07, 0.08, and 0.04 ng/mL (normal <0.04). Brain natriuretic peptide was 1420 pg/mL (normal <100). Thyroid stimulating hormone was 1.19 uIU/mL (normal 0.34‐5.60). Chest radiography revealed mild cardiomegaly, with peripheral interstitial opacities in the mid and lower lobes bilaterally, with fluid within the minor fissure. A 12‐lead electrocardiogram (ECG) revealed normal sinus rhythm at 95 bpm with left anterior fascicular block; intraventricular conduction delay was present (QRS width 106 ms) and QS complexes were present in V1‐V3. In addition, there was a left atrial abnormality and voltage criteria for left ventricular hypertrophy with secondary T‐wave inversions laterally (Figure 1). No previous ECGs were available for comparison. A chest computed tomography scan with contrast showed no evidence of pulmonary embolus. It did show interlobular septal thickening and small bilateral pleural effusions, consistent with left ventricular dysfunction.

The patient's initial lab, imaging, and diagnostic work‐up continues to be consistent with the diagnosis of heart failure. The patient appears to have cardiomegaly and mild pulmonary edema by imaging. The etiology of heart failure remains unknown, but ischemia remains in the differential, given the mildly elevated troponins initially and the ECG findings of left anterior fascicular block and T‐wave inversions in the lateral leads. Left anterior fascicular block can be seen with ischemic heart disease (especially involving the left anterior descending coronary artery), hypertensive heart disease, valvular disease, and some infiltrative cardiac processes. The lateral T‐wave inversions are likely secondary to left ventricular hypertrophy (a so‐called strain pattern), rather than ischemia. Left ventricular hypertrophy is consistent with his hypertension, suggesting that it is chronic; his presentation may be due to hypertensive heart disease with new onset heart failure.
He was admitted to the hospital, and metoprolol, lisinopril, and intravenous furosemide were given. Transthoracic echocardiography demonstrated severe global hypokinesis with a left ventricular ejection fraction of 10%. There was no evidence of ventricular thrombus or valvular disease; however, prominent left ventricular trabeculation with deep recesses was noted (see Figure 2).

The echocardiographic findings of deep recesses and prominent left ventricular trabeculation are seen in only a few disorders. Sometimes these findings are thought to be due to hypertrophic obstructive cardiomyopathy. The deep trabeculations can be seen in patients with some forms of congenital heart disease associated with ventricular pressure overload during fetal development. The other cause is left ventricular noncompaction, a genetic cardiomyopathy which is becoming increasingly recognized. The disorder, along with causing heart failure, is associated with a high risk of ventricular thrombus and thromboembolic events, and a high risk of arrhythmias and sudden death. The overall prognosis appears to be poor, compared to some other cardiomyopathies. The imaging findings of left ventricular noncompaction are nearly pathognomonic, and experienced echocardiographers can usually make the diagnosis. Finally, left heart catheterization or noninvasive stress testing should be part of the workup to definitively exclude an ischemic cardiomyopathy, even in the setting of noncompaction, and especially given his recent history of chest pain.
A left heart catheterization with coronary arteriography demonstrated no angiographic evidence of obstructive coronary disease. Left ventriculography revealed severe global hypokinesis. The patient was diagnosed with left ventricular noncompaction.
The initial medical management centers upon the treatment of heart failure with a beta‐blocker, ACE‐inhibitor, and diuretics for fluid management. Patients with left ventricular noncompaction are at particularly high risk of both embolic events (thought due to propensity to develop left ventricular clots within the deep recesses of the endocardium) and sudden death from arrhythmias. Thus, anticoagulation with warfarin is often indicated and would be reasonable in this patient, given the extremely low ejection fraction. The patient does meet established criteria for primary prophylaxis of sudden death with an implantable cardioverter‐defibrillator in nonischemic cardiomyopathy (left ventricular ejection fraction <35% and New York Heart Association class II failure), and this would also be appropriate therapy as well, given the high‐risk profile of this patient population.
He was discharged in stable condition with a medical regimen consisting of diuretics, metoprolol, and lisinopril. Given the risk for thromboembolism, he was started on warfarin. On subsequent follow‐up, repeat echocardiogram revealed a persistently low left ventricular ejection fraction at 10%. Despite his marked improvement in exercise tolerance and overall well‐being after 4 months of treatment, his ejection fraction did not improve. As a result, he was evaluated and counseled for placement of an implantable cardioverter‐defibrillator, and received a dual‐chamber device shortly afterward.
COMMENTARY
Left ventricular noncompaction is a form of cardiomyopathy increasingly recognized in both pediatric and adult populations. The hallmark features are a pattern of prominent trabeculations and deep recesses in the left ventricular wall. During normal gestation, the myocardium compacts and matures while deep recesses evolve into capillary precursors of the coronary circulation. Left ventricular noncompaction may result from an arrest in this process, with cardiac myofibers failing to compact from their initial spongiform architecture into a developed endocardium.1 Restrictive relaxation from persistent trabeculae predisposes to diastolic dysfunction, while systolic dysfunction may be related to subendocardial hypoperfusion and mechanical dyssynchrony between compacted and noncompacted myocardium.2
Differentiation of left ventricular noncompaction from other cardiomyopathies, based on history and physical examination alone, is essentially impossible. There is high variability and lack of specificity in both clinical profile and onset of symptoms. Electrocardiographic findings are also nonspecific, and the diagnosis typically becomes evident only with transthoracic echocardiography. Current diagnostic criteria include: 1) absence of coexisting cardiac abnormalities; 2) a two‐layer structure with >2:1 ratio of noncompacted to compacted myocardium; 3) predominant involvement of the apical segment of myocardium; and 4) deep intertrabecular recesses demonstrated on Doppler imaging.2, 3 Although echocardiography remains the standard in clinical practice, cardiac magnetic resonance imaging is being increasingly employed as well.4
With more awareness of the disease and the development of higher resolution imaging, the reported incidence has risen. In one single‐center study performed at a heart failure/transplant clinic, 3% of 960 patients referred to heart failure clinic were diagnosed with left ventricular noncompaction, a prevalence similar to hypertensive disease and hypertrophic cardiomyopathy.5 In another community‐hospitalbased study of 4929 adult patients referred for echocardiography, 3.7% of those with systolic dysfunction were diagnosed with noncompaction.6
Left ventricular noncompaction is considered a genetic cardiomyopathy; a family history of heart failure is often present.7 Despite its congenital origin and genetic involvement,2 it is unclear why symptoms may first present at an advanced age. Chest pain and shortness of breath are common complaints, and approximately 62% of patients will have congestive heart failure at presentation.8
Tachyarrhythmia and ventricular tachycardia are commonly seen, as are systemic embolic events and pulmonary embolism. Significant predictors of death include New York Heart Association class III‐IV, sustained ventricular arrhythmias, and increased left atrial size.9
Management is focused on the treatment of arrhythmias, heart failure, and thromboembolic events. The use of standard medical therapy for heart failure (including ACE‐inhibitors and beta‐blockers) is not based on large‐scale studies, yet remains the cornerstone of therapy. An implantable cardioverter‐defibrillator is indicated after hemodynamically compromising sustained ventricular tachycardia or aborted sudden cardiac death, but there are no guidelines for primary prophylaxis outside of patients with heart failure and a depressed ejection fraction.10 Cardiac resynchronization therapy has been successful in some patients with isolated left ventricular noncompaction. Long‐term oral anticoagulation is recommended, especially when impaired left ventricular function, thrombi, or atrial fibrillation have been documented. Patients with left ventricular dysfunction in concert with left ventricular noncompaction are at 10% higher risk for embolic complications when compared to those without noncompaction.11 Familial screening with echocardiography is indicated once the diagnosis has been made.2
In this Clinical Care Conundrum, we describe a rare but increasingly recognized condition, and highlight the importance of delineating the underlying cause of cardiomyopathy when possible. Treatment of heart failure in the hospital setting is sometimes more focused on initiation of diuresis and further stabilization of the patient, and less focused on elucidation of the etiology. While recognition of left ventricular failure led to early treatment with standard therapy in this case, identification of the underlying cause allowed for targeted interventions directed at cardiac arrhythmias, embolic events, and familial screening. Of note, the discussant was careful not to let the prior history of syncopal events distract him from the central issues in this case.
This case also serves as a reminder that congenital anomalies should remain on the differential diagnosis when evaluating new complaints in adult patients. The discussant approached the presentation of new‐onset left ventricular dysfunction in a thorough manner, weighing the likelihood of ischemic and nonischemic causes in the context of the history and physical examination. Careful consideration of the patient's new clinical manifestationscoupled with characteristic echocardiographic findings and normal coronary anatomysolidified the diagnosis. By developing a broad differential, the discussant and clinical team arrived at a diagnosis that for this 66‐year‐old gentleman was a lifetime in the making.
Teaching Points
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Left ventricular noncompaction is characterized by a pattern of prominent trabecular meshwork and deep intertrabecular recesses communicating with the left ventricular cavity. Heightened awareness among clinicians and echocardiographers has led to increased detection of this condition.
-
This disease needs to be considered in patients of all ages presenting with heart failure, especially in cases characterized by ventricular arrhythmias, thromboembolism, and a family history of similar events.
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Left ventricular noncompaction management is mainly focused on the treatment of arrhythmias, heart failure, and thromboembolic events.
The approach to clinical conundrums by an expert clinician is revealed through the presentation of an actual patient's case in an approach typical of a morning report. Similarly to patient care, sequential pieces of information are provided to the clinician, who is unfamiliar with the case. The focus is on the thought processes of both the clinical team caring for the patient and the discussant.
- Isolated ventricular non‐compaction of the myocardium in adults.Heart.2006;93:11–15. , , .
- Left ventricular noncompaction.Circ J.2009;73:19–26. .
- Echocardiographic and pathoanatomical characteristics of isolated left ventricular non‐compaction: a step towards classification as a distinct cardiomyopathy.Heart.2001;86:666–671. , , , , .
- Left ventricular non‐compaction: insights from cardiovascular magnetic resonance imaging.J Am Coll Cardiol.2005;46:101–105. , , , et al.
- Isolated left ventricular noncompaction as a cause for heart failure and heart transplantation: a single center experience.Cardiology.2009;112:158–164. , , , , , .
- Prevalence and characteristics of left ventricular noncompaction in a community hospital cohort of patients with systolic dysfunction.Echocardiography.2008;25(1):8–12. , , , .
- Contemporary definitions and classification of the cardiomyopathies: an American Heart Association Scientific Statement from the Council on Clinical Cardiology, Heart Failure and Transplantation Committee; Quality of Care and Outcomes Research and Functional Genomics and Translational Biology Interdisciplinary Working Groups; and Council on Epidemiology and Prevention.Circulation.2006;113:1801–1816. , , , et al.
- Long‐term follow‐up of 34 adults with isolated left ventricular noncompaction: a distinct cardiomyopathy with poor prognosis.J Am Coll Cardiol.2000;36:493–500. , , , , .
- Wide spectrum of presentation and variable outcomes of isolated left ventricular non‐compaction.Heart.2007;93(1):65–71. , , , et al.
- Prophylactic defibrillator implantation in patients with nonischemic dilated cardiomyopathy.N Engl J Med.2004;350:2151–2159. , , , et al.
- Left ventricular hypertrabeculation/noncompaction and stroke or embolism.Cardiology.2005;103:68–72. , .
- Isolated ventricular non‐compaction of the myocardium in adults.Heart.2006;93:11–15. , , .
- Left ventricular noncompaction.Circ J.2009;73:19–26. .
- Echocardiographic and pathoanatomical characteristics of isolated left ventricular non‐compaction: a step towards classification as a distinct cardiomyopathy.Heart.2001;86:666–671. , , , , .
- Left ventricular non‐compaction: insights from cardiovascular magnetic resonance imaging.J Am Coll Cardiol.2005;46:101–105. , , , et al.
- Isolated left ventricular noncompaction as a cause for heart failure and heart transplantation: a single center experience.Cardiology.2009;112:158–164. , , , , , .
- Prevalence and characteristics of left ventricular noncompaction in a community hospital cohort of patients with systolic dysfunction.Echocardiography.2008;25(1):8–12. , , , .
- Contemporary definitions and classification of the cardiomyopathies: an American Heart Association Scientific Statement from the Council on Clinical Cardiology, Heart Failure and Transplantation Committee; Quality of Care and Outcomes Research and Functional Genomics and Translational Biology Interdisciplinary Working Groups; and Council on Epidemiology and Prevention.Circulation.2006;113:1801–1816. , , , et al.
- Long‐term follow‐up of 34 adults with isolated left ventricular noncompaction: a distinct cardiomyopathy with poor prognosis.J Am Coll Cardiol.2000;36:493–500. , , , , .
- Wide spectrum of presentation and variable outcomes of isolated left ventricular non‐compaction.Heart.2007;93(1):65–71. , , , et al.
- Prophylactic defibrillator implantation in patients with nonischemic dilated cardiomyopathy.N Engl J Med.2004;350:2151–2159. , , , et al.
- Left ventricular hypertrabeculation/noncompaction and stroke or embolism.Cardiology.2005;103:68–72. , .
Prolonged Stay Factors in Bronchiolitis
Prior studies have identified risk factors for increased severity of illness, readmission, or prolonged length of stay (LOS) in infants admitted with bronchiolitis.123 These risk factors include birth‐related factors (prematurity, birth within six months of respiratory syncytial virus [RSV] season, discharge from the neonatal intensive care unit during winter, multiple birth infant), environmental factors (day care attendance, school‐age siblings, smoke exposure), and underlying diseases (chronic lung disease and other pulmonary conditions, failure to thrive (FTT), congenital heart disease, immunologic disorders, and neuromuscular disease).123 Additional risk factors occurring during the bronchiolitis course that have been associated with prolonged hospital course are mechanical ventilation, intensive care unit (ICU) admission, hypoxia on admission, apnea, feeding problems, and duration of supplemental oxygen.2123
Having a reliable model to identify infants at high risk for prolonged LOS early in the course of an admission would be helpful, both for clinical care and for studies of interventions designed to reduce LOS. Prior attempts at developing a model have yielded mixed results. The Michigan Logistic Regression Model displayed excellent predictive ability with an area under the receiver‐operator curve (ROC) of 0.88 using variables including prematurity, FTT, pulmonary disease, other comorbid diseases, and early mechanical ventilation.21 However, when applied to another patient population it did not perform as well. The Rotterdam Model using the variables of weight and supplemental oxygen had an ROC of 0.65.24
Prior prediction models have focused more on birth‐ and disease‐related risk factors than on hospital course factors, particularly common clinical assessments including respiratory status and caloric intake. An additional limitation of prior models is some loss of ability to study the interaction between various predictor variables when using multivariate regression methods.
Our aims were: 1) to study the associations of various clinical markers identifiable during the first two days of the hospital admission with LOS; and 2) to develop a LOS prediction model, using both previously identified risk factors and more detailed clinical data from the first two days of the hospital admission.
MATERIALS AND METHODS
Study Population and Setting
We conducted a retrospective cohort study during a single bronchiolitis season to identify factors predictive of a prolonged length of stay.
Children's Hospital of Wisconsin (CHW) is a 242‐bed tertiary care academic center. The charts of all infants discharged from CHW who met the following criteria were reviewed:
Age <365 days;
Admitted between November 1, 2004 and April 15, 2005;
Bronchiolitis diagnosis using the International Classification of Diseases, 9th edition (ICD‐9) discharge codes 466.11 (RSV bronchiolitis) or 466.19 (bronchiolitis from other organisms);
Placement on the CHW bronchiolitis treatment protocol. Major elements of this protocol include:
respiratory therapists (RT) assessments three times daily providing a standard means of evaluating severity of illness throughout the admission;
pre‐ and post‐intervention assessments.
Infants in this protocol differ from those not on the protocol; their average LOS is one day shorter and their care is more closely aligned with practices established in the Child Health Accountability Initiative (CHAI)25 and the American Academy of Pediatrics Guidelines,26 including: emphasis on clinical diagnosis rather than using laboratory and radiologic testing; avoiding routine bronchodilator use; and decreasing continuous pulse oximetry use. Only patients placed on the bronchiolitis treatment protocol were studied because these infants have a consistent model of care proven to be effective at CHW and other institutions25, 27; 70% of infants admitted to CHW with bronchiolitis were placed on the protocol. Common reasons for not placing infants on the protocol include: 1) the diagnosis of bronchiolitis was initially unclear; 2) the infant had chronic respiratory problems; and 3) physician preference.
Infants with events occurring during the admission not related to bronchiolitis and impacting LOS were excluded. Infants admitted or transferred to the ICU were included if placed on the bronchiolitis protocol; however, few ICU patients were placed on the protocol, as its intent is mainly for the general units.
Data Collected
Five trained abstractors (two were study authors) abstracted the following information from patient records: 1) baseline patient characteristics; 2) initial evaluation: respiratory rate, oxygen saturation, supplemental oxygen use, presence of increased work of breathing, weight, height, Waterlow percentile (percent of ideal body weight);28 3) fluid and nutritional information on hospital days 15; 4) respiratory assessments and treatments on hospital days 15 (clinical respiratory scores, respiratory rates, oxygen saturation, use of supplemental oxygen, medications received; 5) laboratory and imaging results; and 6) diagnoses. Each hospital day was defined as 0600 to 0559 the following day.
Clinical Respiratory Scores
The Children's Hospital of Wisconsin Respiratory Score (CHWRS) is a marker of overall respiratory status (not yet validated.) It contains six variables scored 03 based on degree: breath sounds, dyspnea, retractions, respiratory rate, heart rate, and supplemental oxygen. Scores range from 0 to 18, with lower scores representing less respiratory distress.
Outcomes and Analysis
The primary outcome was LOS, defined as the number of hours from the time a subject arrived on the hospital unit to time of last nursing documentation at time of discharge. The average LOS at CHW of 2.5 days is comparable to the lower end of that reported in the literature (2.85 days21, 22, 29, 30). LOS was dichotomized as short or prolonged, with prolonged LOS defined as 108 hours. We chose this length as it represents the 80th percentile LOS at our institution. Most physicians caring for infants with bronchiolitis at CHW use discharge criteria aligned with those in the hospitalist group's bronchiolitis clinical practice guideline,31 the SOFFFAR criteria: Sno longer dependent on nasopharyngeal suctioning; Ooff oxygen, or to baseline oxygen requirement; Ffamily agreeable to discharge; F follow‐up plan in place; FFeeding well enough to maintain hydration; Aif albuterol responsive, requiring treatments no more frequently than every six hours, Rrespiratory status acceptable (not too tachypneic or in respiratory distress).
Univariate Analysis
We examined the association between selected variables and LOS group (short or prolonged). Three groups of variables were studied: 1) variables identifiable upon admission (Table 1); 2) variables identifiable on hospital days 1 and 2 (Table 2); and 3) variables identifiable later in the admission. The variables evaluated were all non‐normally distributed and, therefore, the MannWhitney test was used to examine differences between groups with continuous or categorical variables. Dichotomous variables were compared using chi‐square or Fisher's exact test. SPSS (Chicago, IL) was used for these analyses. Because of multiple comparisons, 90% power and an alpha of 0.01 were used.
Variable | Median (IQR), N [% of subjects] | P Value | |
---|---|---|---|
Short (N = 225) | Long (N = 47) | ||
| |||
Age (days) | 134 (63‐225.5) | 139 (63‐240) | 0.86 |
Gestation (weeks) | 40 (37‐40) | 39 (35‐40) | 0.07 |
Race | |||
White | 108 [48] | 23 [49] | 0.91 |
Other | 117 [52] | 24 [51] | |
Gender | |||
Male | 121 [54] | 25 [53] | 0.94 |
Respiratory support at birth | 22 [10] | 12 [26] | 0.003* |
Chronic respiratory disease | 21 [9] | 8 [17] | 0.12 |
Respiratory rate on admission | 56 (44‐64) | 56 (46‐66) | 0.58 |
Cardiac conditions | 4 [2] | 3 [6] | 0.10 |
Waterlow percent | 100 (92‐109) {n =203} | 96 (88‐107) {n =46} | 0.16 |
Days of cough prior to admission | 4 (2‐6) {n =202} | 4 (2‐5) {n = 40} | 0.78 |
Days of congestion prior to admission | 3 (1‐5) {n =183} | 3 (1‐5) {n =35} | 0.98 |
Days of fever prior to admission | 1 (0‐3) {n =206} | 1 (0‐2) {n =43} | 0.50 |
Days of decreased oral intake prior to admission | 1 (0‐2) {n =181} | 1 (0‐1) {n =36} | 0.44 |
Variable | Median (IQR) or N [%] | P | Median (IQR) or N [%] | P | ||
---|---|---|---|---|---|---|
Short | Long | Short | Long | |||
Hospital Day 1 | Hospital Day 2 | |||||
| ||||||
Hours of supplemental oxygen | 3 (0‐10) | 11 (5‐17) | <0.001* | 3 (0‐19) | 24 (17‐24) | <0.001* |
Minimum supplemental oxygen use (liters) | 0 (0‐0.1) | 0.25 (0‐0.5) | <0.001* | 0 (0‐0) | 0.2 (0‐0.5) | <0.001* |
Maximum supplemental oxygen use (liters) | 0.5 (0‐1) | 0.75 (0.5‐1.5) | <0.001* | 0.2 (0‐0.5) | 1 (0.5‐1.5) | <0.001* |
Minimum oxygen saturation (percent) | 94 (92‐96) | 94 (92‐96) | 0.89 | 94 (92‐95) | 93 (91‐94) | 0.001* |
Maximum oxygen saturation (percent) | 99 (98‐100) | 100 (99‐100) | 0.23 | 100 (98‐100) | 100 (99‐100) | 0.37 |
Minimum respiratory rate | 36 (32‐46) | 36 (32‐46) | 0.92 | 34 (30‐40) | 36 (32‐41) | 0.11 |
Maximum respiratory rate | 53 (45‐62) | 56 (48‐64) | 0.14 | 55 (48‐64) | 63 (52‐75) | <0.001* |
Mean respiratory score | 4 (3‐5.5) | 5 (4‐6.7) | 0.008* | 3.4 (2.7‐4.5) | 4.8 (3.7‐7) | <0.001* |
Change in respiratory score | 0 (0‐1) | 0 (1‐1.5) | 0.3 | 1 (0‐2) | 0 (‐2‐2) | 0.022 |
Number of times nasopharyngeal suctioned | 1 (0‐2) | 2 (1‐3) | 0.012 | 1 (0‐3) | 4 (2‐5) | <0.001* |
Calories consumed (Kcal/kg/day) | 53 (22‐82) | 54 (33‐79) | 0.801 | 66 (47‐90) | 54 (21‐72) | 0.001* |
ICU (% of subjects) | 4 (1.8%) | 2 (4.3%) | 0.28 | 4 (1.8%) | 5 (10.6%) | 0.009* |
Recursive Partitioning Analysis
We chose recursive partitioning as the method for model creation instead of multivariate linear regression in order to: 1) study multiple possible variable interactions without having to create multiple interaction terms; and 2) generate an easy‐to‐use flow diagram to identify infants at risk for prolonged LOS without having to use a complex formula generated by multivariate regression. In recursive partitioning methodology, the statistical program selects the variable among the set of candidate variables that best separates the first parent node with all subjects into short and prolonged stay intermediate nodes. The process is repeated with additional variables selected that further separate the intermediate nodes into short and prolonged stay nodes, until finally a flow diagram is generated, resulting in terminal nodes of predicted short and prolonged stay subjects. Recursive partitioning was performed using Salford Systems' CART software San Diego, CA. The minimum number of cases required in parent/emntermediate nodes was 20, and in terminal nodes was 5. Eighty percent of cases were randomly selected for the learning tree, and 20% in the test tree for cross‐validation.
Sixteen variables were considered a priori as potentially important in affecting LOS and were candidates for inclusion. These included five baseline variables (age, gestation, Waterlow percentile, presence of chronic respiratory disease, and a marker for missing Waterlow percentile) and 11 variables from hospital day 2 (kcal/kg/day consumed, hours of supplemental oxygen, maximum supplemental oxygen use, maximum oxygen saturation, maximum respiratory rate, minimum supplemental oxygen use, minimum oxygen saturation, minimum respiratory rate, mean clinical respiratory score, change in respiratory score, and nasopharyngeal suctioning frequency). Hospital day 2 variables were chosen rather than hospital day 1, because hospital day 1 was only a partial day in the hospital for the majority of subjects. Several aspects of oxygenation were studied because oxygen need has been consistently found to be an important predictor of LOS. We sought to discover which particular aspect of oxygen need was most important. For comparison, recursive partitioning was performed on the variable sets taken from the Michigan (weight, congenital heart disease, failure to thrive, gestational age, chronic pulmonary diseases, and early mechanical ventilation)21 and Rotterdam (weight and need for supplemental oxygen)24 Models.
This study was approved by the CHW Institutional Review Board.
RESULTS
Three hundred forty‐seven infants were admitted during the 20042005 bronchiolitis season, with 273 placed in the bronchiolitis treatment protocol. The charts of these 273 patients were reviewed. One was excluded because of gastrostomy tube placement during the admission. Of the remaining 272 patients, 47 (17.3%) had a LOS 108 hours. The median LOS was 59 hours (range 10334 hours). Two patients had missing data for caloric intake on days 1 and 2; and 23 patients did not have height obtained, therefore their Waterlow classification could not be determined. Historical details concerning fever, congestion, cough, and diminished caloric intake preceding admission were variably reported, resulting in a smaller sample size for these baseline characteristics as described in Table 1.
Univariate Analysis
Baseline characteristics of infants having short and prolonged LOS are described in Table 1. Groups were statistically similar except that the long stay group contained a significantly larger proportion of infants requiring respiratory support at birth (defined as needing intubation, continuous positive airway pressure [CPAP], or oxygen).
Table 2 describes selected variables on hospital days 1 and 2 in infants having short and prolonged LOS. On hospital day 1, infants in the prolonged LOS group had a significantly greater need for supplemental oxygen, and mean respiratory score. On hospital day 2, infants in the prolonged LOS group had a significantly greater need for supplemental oxygen maximum respiratory rate, mean respiratory score, and number of times they were suctioned. They had a significantly lower minimum oxygen saturation and caloric intake. On hospital day 2, the prolonged LOS group had a greater proportion of subjects in the ICU, on CPAP, and on the ventilator.
We examined two characteristics identifiable after the second hospital day. There was a significant difference in: a) the median number of discharge diagnoses in the short LOS group (two) vs the prolonged LOS group (three) (P < 0.001); and b) the presence of apnea during the admission in the short LOS group (0.1%) vs the prolonged LOS group (9%) (P = 0.009).
Recursive Partitioning Model
Figure 1 depicts the recursive partitioning model that best predicted LOS. Five variables were selected by the recursive partitioning model. Selected variables, in order of appearance (variable importance is related to order of appearance, ie, most important variable is first), were: hours of supplemental oxygen, maximum respiratory rate, minimum supplemental oxygen use, gestation, and kilocalories (kcal)/kilogram (kg)/day consumed. The characteristics of this model were: ROC 0.89 and 0.72 for the learning and test trees, respectively; sensitivity, 0.85; and specificity, 0.82

Infants predicted as having a short LOS had three distinct profiles labeled S1, S2, and S3 in Figure 1. The S1 group required 6.5 hours of oxygen. The S2 group required >6.5 hours of oxygen, but had a maximum respiratory rate 49. The S3 group required >6.5 hours of oxygen, had a maximum respiratory rate >49, but were >36.5 week gestation, and consumed >23.5 kcal/kg/day.
Infants predicted as having a long LOS had three distinct profiles labeled L1, L2, and L3 in Figure 1. The L1 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, and required some level of oxygen support the entire day. The L2 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, were on room air some portion of the day, but had a gestation 36.5 weeks. The L3 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, were on room air for some portion of the day, had a gestation >36.5 weeks, but consumed 23.5 kcal/kg/day.
Table 3 compares the performance of our model (the Milwaukee Model), the Michigan Model, and the Rotterdam Model in predicting LOS group. Overall, the Milwaukee Model had the highest ROC 0.89/0.72 for the learning and test trees. All three models had good sensitivity (Milwaukee, 85%; Michigan, 85%), with the Rotterdam Model having the highest (98%). The Milwaukee Model also had good specificity (82%), while the Michigan and Rotterdam Models were less specific (46% and 44%).
Model | Priors* | Sensitivity | Specificity | Learning Tree ROC | Test Tree ROC | |
---|---|---|---|---|---|---|
Long LOS | Short LOS | |||||
| ||||||
Michigan | 0.5 | 0.5 | 0.85 | 0.46 | 0.69 | 0.56 |
Rotterdam | 0.5 | 0.5 | 0.98 | 0.44 | 0.73 | 0.61 |
Milwaukee | 0.5 | 0.5 | 0.85 | 0.82 | 0.89 | 0.72 |
DISCUSSION
We confirmed several previously recognized risk factors for prolonged LOS, including: apnea, at least part of the hospital stay in ICU, use of CPAP, mechanical ventilation, and prematurity. However, most patients admitted with bronchiolitis do not have these risk factors. The major contribution of this study is the evaluation of factors applicable to all patients admitted with bronchiolitis, and a more in‐depth analysis of clinical assessments performed on hospital days 1 and 2 than had been previously reported.
We did find strong associations between a number of clinical assessments and LOS. While some were apparent on day 1 of the admission, the number and degree of clinical differences between infants destined for a short vs prolonged stay were more apparent on hospital day 2. On this day, there were significant differences between the groups in the length and amount of oxygen received, oxygen saturation, maximum respiratory rate, respiratory scores, nasopharyngeal suctioning need, and caloric intake. Interestingly, it was noted the prolonged stay group had overall worsening or a lack of improvement in several clinical markers from day 1 to day 2, in areas where the short stay group showed improvements.
To our knowledge, the Milwaukee Model is the first bronchiolitis LOS prediction model to incorporate several clinical markers occurring early in the hospital stay. These clinical markers were found to be more effective predictors of LOS group in our study population than some of the traditional birth‐ and disease‐related risk factors previously reported. The model highlighted some important interactions among variables, and identified specific profiles of patients likely to have a short or prolonged LOS based on their day 2 clinical status.
The short LOS groups all shared one of the following three features: 1) low duration of oxygen use; 2) absence of tachypnea (tachypnea defined as a respiratory rate >60 in infants <2 months old and >50 for infants between 2 and 12 months old.3234); or 3) absence of severely diminished caloric intake. The prolonged LOS groups shared the common characteristics of higher duration of oxygen use and higher maximum respiratory rates. In addition to these two elements, each long stay group had either a constant oxygen requirement, prematurity (36.5 weeks), or very low caloric intake (<23.5 kcal/kg/day).
While all three models shared good sensitivity, the increased specificity of the Milwaukee Model limits the number of false positives (infants screening as destined for a prolonged LOS who actually will have a short LOS). For clinicians or researchers planning interventions for high‐risk infants, this greater specificity would reduce the number of infants who might unnecessarily receive those interventions. While there are limited proven therapies to hasten the recovery of patients with bronchiolits,35 many treatments and combinations of treatments are currently being used and studied. Nebulized hypertonic saline,36 airway secretion clearance modalities,37 and nutritional supplementation22, 38 are some examples of interventions that could be used and evaluated in infants screened as high risk for prolonged LOS. While it may have been better to identify short vs long stay immediately upon admission or after hospital day 1, it was the more clear separation between the short and long stay groups that occurred on day 2 that allowed us to develop an accurate predictive model. We believe that for infants destined to be in the hospital for at least three more days, a model based on hospital day 2 variables is worthwhile.
When evaluating the characteristics of the three models, it is important to note that they were initially studied in populations with some important differences. Only 11% of Milwaukee patients had chronic respiratory diseases, whereas the previously developed models were generated from a sample with a higher prevalence of chronic respiratory diseases (Michigan, 20%; Rotterdam, 23%). Only 3% of subjects needed placement in the ICU compared to higher rates in prior studies (Michigan, 15%; Rotterdam, 43.5%). In a population of patients with a lower prevalence of chronic respiratory diseases and need for ICU, early clinical markers may become more important in predicting LOS. While our model may generalize well in such a cohort of patients, it might not generalize as well to a cohort with a high prevalence of chronic lung disease and higher need for ICU. It is also important to note that the area under the ROC was lower in the test tree than the learning tree. This variation demonstrates the need for evaluating the performance of this model in additional populations.
This study has several limitations. First, it is a retrospective study of a single bronchiolitis season at a single institution. Second, the authors served as data abstractors and could have been biased, as they were not blinded. Third, four out of the five markers in our model are clinical markers that could vary based on clinical assessment skills and institutional practice. For example, oxygen use is dependent on the practice of nurses and respiratory therapists charged with regulating the oxygen delivery. However, the practice of initiating and weaning oxygen is fairly standardized at our institution. Fourth, environmental and social risk factors, such as day care attendance, school‐age siblings, and smoke exposure, can impact LOS but were not included in our model. Fifth, we do not have data on those infants not included in the bronchiolitis protocol. It is possible that they differed from those in protocol. Finally, six infants were either placed or transferred to the ICU on day 1, which may make them inherently different than the other infants in the model. However, four out of these six infants did go on to have a short stay, highlighting the fact that many other factors affect LOS.
We believe this model may be useful because the clinical markers it uses represent some of the key problems seen in bronchiolitis (poor oxygenation, tachypnea, and poor feeding). Careful assessment of these clinical markers can allow effective prediction of those infants likely to have a prolonged LOS. This early risk assessment could allow more effective targeting of interventions to help high‐risk infants.
CONCLUSIONS
There are important differences between infants with bronchiolitis having short and prolonged hospital stays, including several clinical markers identifiable on hospital day 2, such as the length and amount of oxygen received, minimum oxygen saturation, maximum respiratory rate, clinical respiratory scores, deep suctioning need, and caloric intake. The Milwaukee Model uses the number of hours of supplemental oxygen, respiratory rate, minimum supplemental oxygen use, gestation, and caloric intake to predict short or prolonged LOS. It performed well with a good ROC, sensitivity, and specificity in one population of infants with a low prevalence of chronic respiratory disease.
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Prior studies have identified risk factors for increased severity of illness, readmission, or prolonged length of stay (LOS) in infants admitted with bronchiolitis.123 These risk factors include birth‐related factors (prematurity, birth within six months of respiratory syncytial virus [RSV] season, discharge from the neonatal intensive care unit during winter, multiple birth infant), environmental factors (day care attendance, school‐age siblings, smoke exposure), and underlying diseases (chronic lung disease and other pulmonary conditions, failure to thrive (FTT), congenital heart disease, immunologic disorders, and neuromuscular disease).123 Additional risk factors occurring during the bronchiolitis course that have been associated with prolonged hospital course are mechanical ventilation, intensive care unit (ICU) admission, hypoxia on admission, apnea, feeding problems, and duration of supplemental oxygen.2123
Having a reliable model to identify infants at high risk for prolonged LOS early in the course of an admission would be helpful, both for clinical care and for studies of interventions designed to reduce LOS. Prior attempts at developing a model have yielded mixed results. The Michigan Logistic Regression Model displayed excellent predictive ability with an area under the receiver‐operator curve (ROC) of 0.88 using variables including prematurity, FTT, pulmonary disease, other comorbid diseases, and early mechanical ventilation.21 However, when applied to another patient population it did not perform as well. The Rotterdam Model using the variables of weight and supplemental oxygen had an ROC of 0.65.24
Prior prediction models have focused more on birth‐ and disease‐related risk factors than on hospital course factors, particularly common clinical assessments including respiratory status and caloric intake. An additional limitation of prior models is some loss of ability to study the interaction between various predictor variables when using multivariate regression methods.
Our aims were: 1) to study the associations of various clinical markers identifiable during the first two days of the hospital admission with LOS; and 2) to develop a LOS prediction model, using both previously identified risk factors and more detailed clinical data from the first two days of the hospital admission.
MATERIALS AND METHODS
Study Population and Setting
We conducted a retrospective cohort study during a single bronchiolitis season to identify factors predictive of a prolonged length of stay.
Children's Hospital of Wisconsin (CHW) is a 242‐bed tertiary care academic center. The charts of all infants discharged from CHW who met the following criteria were reviewed:
Age <365 days;
Admitted between November 1, 2004 and April 15, 2005;
Bronchiolitis diagnosis using the International Classification of Diseases, 9th edition (ICD‐9) discharge codes 466.11 (RSV bronchiolitis) or 466.19 (bronchiolitis from other organisms);
Placement on the CHW bronchiolitis treatment protocol. Major elements of this protocol include:
respiratory therapists (RT) assessments three times daily providing a standard means of evaluating severity of illness throughout the admission;
pre‐ and post‐intervention assessments.
Infants in this protocol differ from those not on the protocol; their average LOS is one day shorter and their care is more closely aligned with practices established in the Child Health Accountability Initiative (CHAI)25 and the American Academy of Pediatrics Guidelines,26 including: emphasis on clinical diagnosis rather than using laboratory and radiologic testing; avoiding routine bronchodilator use; and decreasing continuous pulse oximetry use. Only patients placed on the bronchiolitis treatment protocol were studied because these infants have a consistent model of care proven to be effective at CHW and other institutions25, 27; 70% of infants admitted to CHW with bronchiolitis were placed on the protocol. Common reasons for not placing infants on the protocol include: 1) the diagnosis of bronchiolitis was initially unclear; 2) the infant had chronic respiratory problems; and 3) physician preference.
Infants with events occurring during the admission not related to bronchiolitis and impacting LOS were excluded. Infants admitted or transferred to the ICU were included if placed on the bronchiolitis protocol; however, few ICU patients were placed on the protocol, as its intent is mainly for the general units.
Data Collected
Five trained abstractors (two were study authors) abstracted the following information from patient records: 1) baseline patient characteristics; 2) initial evaluation: respiratory rate, oxygen saturation, supplemental oxygen use, presence of increased work of breathing, weight, height, Waterlow percentile (percent of ideal body weight);28 3) fluid and nutritional information on hospital days 15; 4) respiratory assessments and treatments on hospital days 15 (clinical respiratory scores, respiratory rates, oxygen saturation, use of supplemental oxygen, medications received; 5) laboratory and imaging results; and 6) diagnoses. Each hospital day was defined as 0600 to 0559 the following day.
Clinical Respiratory Scores
The Children's Hospital of Wisconsin Respiratory Score (CHWRS) is a marker of overall respiratory status (not yet validated.) It contains six variables scored 03 based on degree: breath sounds, dyspnea, retractions, respiratory rate, heart rate, and supplemental oxygen. Scores range from 0 to 18, with lower scores representing less respiratory distress.
Outcomes and Analysis
The primary outcome was LOS, defined as the number of hours from the time a subject arrived on the hospital unit to time of last nursing documentation at time of discharge. The average LOS at CHW of 2.5 days is comparable to the lower end of that reported in the literature (2.85 days21, 22, 29, 30). LOS was dichotomized as short or prolonged, with prolonged LOS defined as 108 hours. We chose this length as it represents the 80th percentile LOS at our institution. Most physicians caring for infants with bronchiolitis at CHW use discharge criteria aligned with those in the hospitalist group's bronchiolitis clinical practice guideline,31 the SOFFFAR criteria: Sno longer dependent on nasopharyngeal suctioning; Ooff oxygen, or to baseline oxygen requirement; Ffamily agreeable to discharge; F follow‐up plan in place; FFeeding well enough to maintain hydration; Aif albuterol responsive, requiring treatments no more frequently than every six hours, Rrespiratory status acceptable (not too tachypneic or in respiratory distress).
Univariate Analysis
We examined the association between selected variables and LOS group (short or prolonged). Three groups of variables were studied: 1) variables identifiable upon admission (Table 1); 2) variables identifiable on hospital days 1 and 2 (Table 2); and 3) variables identifiable later in the admission. The variables evaluated were all non‐normally distributed and, therefore, the MannWhitney test was used to examine differences between groups with continuous or categorical variables. Dichotomous variables were compared using chi‐square or Fisher's exact test. SPSS (Chicago, IL) was used for these analyses. Because of multiple comparisons, 90% power and an alpha of 0.01 were used.
Variable | Median (IQR), N [% of subjects] | P Value | |
---|---|---|---|
Short (N = 225) | Long (N = 47) | ||
| |||
Age (days) | 134 (63‐225.5) | 139 (63‐240) | 0.86 |
Gestation (weeks) | 40 (37‐40) | 39 (35‐40) | 0.07 |
Race | |||
White | 108 [48] | 23 [49] | 0.91 |
Other | 117 [52] | 24 [51] | |
Gender | |||
Male | 121 [54] | 25 [53] | 0.94 |
Respiratory support at birth | 22 [10] | 12 [26] | 0.003* |
Chronic respiratory disease | 21 [9] | 8 [17] | 0.12 |
Respiratory rate on admission | 56 (44‐64) | 56 (46‐66) | 0.58 |
Cardiac conditions | 4 [2] | 3 [6] | 0.10 |
Waterlow percent | 100 (92‐109) {n =203} | 96 (88‐107) {n =46} | 0.16 |
Days of cough prior to admission | 4 (2‐6) {n =202} | 4 (2‐5) {n = 40} | 0.78 |
Days of congestion prior to admission | 3 (1‐5) {n =183} | 3 (1‐5) {n =35} | 0.98 |
Days of fever prior to admission | 1 (0‐3) {n =206} | 1 (0‐2) {n =43} | 0.50 |
Days of decreased oral intake prior to admission | 1 (0‐2) {n =181} | 1 (0‐1) {n =36} | 0.44 |
Variable | Median (IQR) or N [%] | P | Median (IQR) or N [%] | P | ||
---|---|---|---|---|---|---|
Short | Long | Short | Long | |||
Hospital Day 1 | Hospital Day 2 | |||||
| ||||||
Hours of supplemental oxygen | 3 (0‐10) | 11 (5‐17) | <0.001* | 3 (0‐19) | 24 (17‐24) | <0.001* |
Minimum supplemental oxygen use (liters) | 0 (0‐0.1) | 0.25 (0‐0.5) | <0.001* | 0 (0‐0) | 0.2 (0‐0.5) | <0.001* |
Maximum supplemental oxygen use (liters) | 0.5 (0‐1) | 0.75 (0.5‐1.5) | <0.001* | 0.2 (0‐0.5) | 1 (0.5‐1.5) | <0.001* |
Minimum oxygen saturation (percent) | 94 (92‐96) | 94 (92‐96) | 0.89 | 94 (92‐95) | 93 (91‐94) | 0.001* |
Maximum oxygen saturation (percent) | 99 (98‐100) | 100 (99‐100) | 0.23 | 100 (98‐100) | 100 (99‐100) | 0.37 |
Minimum respiratory rate | 36 (32‐46) | 36 (32‐46) | 0.92 | 34 (30‐40) | 36 (32‐41) | 0.11 |
Maximum respiratory rate | 53 (45‐62) | 56 (48‐64) | 0.14 | 55 (48‐64) | 63 (52‐75) | <0.001* |
Mean respiratory score | 4 (3‐5.5) | 5 (4‐6.7) | 0.008* | 3.4 (2.7‐4.5) | 4.8 (3.7‐7) | <0.001* |
Change in respiratory score | 0 (0‐1) | 0 (1‐1.5) | 0.3 | 1 (0‐2) | 0 (‐2‐2) | 0.022 |
Number of times nasopharyngeal suctioned | 1 (0‐2) | 2 (1‐3) | 0.012 | 1 (0‐3) | 4 (2‐5) | <0.001* |
Calories consumed (Kcal/kg/day) | 53 (22‐82) | 54 (33‐79) | 0.801 | 66 (47‐90) | 54 (21‐72) | 0.001* |
ICU (% of subjects) | 4 (1.8%) | 2 (4.3%) | 0.28 | 4 (1.8%) | 5 (10.6%) | 0.009* |
Recursive Partitioning Analysis
We chose recursive partitioning as the method for model creation instead of multivariate linear regression in order to: 1) study multiple possible variable interactions without having to create multiple interaction terms; and 2) generate an easy‐to‐use flow diagram to identify infants at risk for prolonged LOS without having to use a complex formula generated by multivariate regression. In recursive partitioning methodology, the statistical program selects the variable among the set of candidate variables that best separates the first parent node with all subjects into short and prolonged stay intermediate nodes. The process is repeated with additional variables selected that further separate the intermediate nodes into short and prolonged stay nodes, until finally a flow diagram is generated, resulting in terminal nodes of predicted short and prolonged stay subjects. Recursive partitioning was performed using Salford Systems' CART software San Diego, CA. The minimum number of cases required in parent/emntermediate nodes was 20, and in terminal nodes was 5. Eighty percent of cases were randomly selected for the learning tree, and 20% in the test tree for cross‐validation.
Sixteen variables were considered a priori as potentially important in affecting LOS and were candidates for inclusion. These included five baseline variables (age, gestation, Waterlow percentile, presence of chronic respiratory disease, and a marker for missing Waterlow percentile) and 11 variables from hospital day 2 (kcal/kg/day consumed, hours of supplemental oxygen, maximum supplemental oxygen use, maximum oxygen saturation, maximum respiratory rate, minimum supplemental oxygen use, minimum oxygen saturation, minimum respiratory rate, mean clinical respiratory score, change in respiratory score, and nasopharyngeal suctioning frequency). Hospital day 2 variables were chosen rather than hospital day 1, because hospital day 1 was only a partial day in the hospital for the majority of subjects. Several aspects of oxygenation were studied because oxygen need has been consistently found to be an important predictor of LOS. We sought to discover which particular aspect of oxygen need was most important. For comparison, recursive partitioning was performed on the variable sets taken from the Michigan (weight, congenital heart disease, failure to thrive, gestational age, chronic pulmonary diseases, and early mechanical ventilation)21 and Rotterdam (weight and need for supplemental oxygen)24 Models.
This study was approved by the CHW Institutional Review Board.
RESULTS
Three hundred forty‐seven infants were admitted during the 20042005 bronchiolitis season, with 273 placed in the bronchiolitis treatment protocol. The charts of these 273 patients were reviewed. One was excluded because of gastrostomy tube placement during the admission. Of the remaining 272 patients, 47 (17.3%) had a LOS 108 hours. The median LOS was 59 hours (range 10334 hours). Two patients had missing data for caloric intake on days 1 and 2; and 23 patients did not have height obtained, therefore their Waterlow classification could not be determined. Historical details concerning fever, congestion, cough, and diminished caloric intake preceding admission were variably reported, resulting in a smaller sample size for these baseline characteristics as described in Table 1.
Univariate Analysis
Baseline characteristics of infants having short and prolonged LOS are described in Table 1. Groups were statistically similar except that the long stay group contained a significantly larger proportion of infants requiring respiratory support at birth (defined as needing intubation, continuous positive airway pressure [CPAP], or oxygen).
Table 2 describes selected variables on hospital days 1 and 2 in infants having short and prolonged LOS. On hospital day 1, infants in the prolonged LOS group had a significantly greater need for supplemental oxygen, and mean respiratory score. On hospital day 2, infants in the prolonged LOS group had a significantly greater need for supplemental oxygen maximum respiratory rate, mean respiratory score, and number of times they were suctioned. They had a significantly lower minimum oxygen saturation and caloric intake. On hospital day 2, the prolonged LOS group had a greater proportion of subjects in the ICU, on CPAP, and on the ventilator.
We examined two characteristics identifiable after the second hospital day. There was a significant difference in: a) the median number of discharge diagnoses in the short LOS group (two) vs the prolonged LOS group (three) (P < 0.001); and b) the presence of apnea during the admission in the short LOS group (0.1%) vs the prolonged LOS group (9%) (P = 0.009).
Recursive Partitioning Model
Figure 1 depicts the recursive partitioning model that best predicted LOS. Five variables were selected by the recursive partitioning model. Selected variables, in order of appearance (variable importance is related to order of appearance, ie, most important variable is first), were: hours of supplemental oxygen, maximum respiratory rate, minimum supplemental oxygen use, gestation, and kilocalories (kcal)/kilogram (kg)/day consumed. The characteristics of this model were: ROC 0.89 and 0.72 for the learning and test trees, respectively; sensitivity, 0.85; and specificity, 0.82

Infants predicted as having a short LOS had three distinct profiles labeled S1, S2, and S3 in Figure 1. The S1 group required 6.5 hours of oxygen. The S2 group required >6.5 hours of oxygen, but had a maximum respiratory rate 49. The S3 group required >6.5 hours of oxygen, had a maximum respiratory rate >49, but were >36.5 week gestation, and consumed >23.5 kcal/kg/day.
Infants predicted as having a long LOS had three distinct profiles labeled L1, L2, and L3 in Figure 1. The L1 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, and required some level of oxygen support the entire day. The L2 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, were on room air some portion of the day, but had a gestation 36.5 weeks. The L3 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, were on room air for some portion of the day, had a gestation >36.5 weeks, but consumed 23.5 kcal/kg/day.
Table 3 compares the performance of our model (the Milwaukee Model), the Michigan Model, and the Rotterdam Model in predicting LOS group. Overall, the Milwaukee Model had the highest ROC 0.89/0.72 for the learning and test trees. All three models had good sensitivity (Milwaukee, 85%; Michigan, 85%), with the Rotterdam Model having the highest (98%). The Milwaukee Model also had good specificity (82%), while the Michigan and Rotterdam Models were less specific (46% and 44%).
Model | Priors* | Sensitivity | Specificity | Learning Tree ROC | Test Tree ROC | |
---|---|---|---|---|---|---|
Long LOS | Short LOS | |||||
| ||||||
Michigan | 0.5 | 0.5 | 0.85 | 0.46 | 0.69 | 0.56 |
Rotterdam | 0.5 | 0.5 | 0.98 | 0.44 | 0.73 | 0.61 |
Milwaukee | 0.5 | 0.5 | 0.85 | 0.82 | 0.89 | 0.72 |
DISCUSSION
We confirmed several previously recognized risk factors for prolonged LOS, including: apnea, at least part of the hospital stay in ICU, use of CPAP, mechanical ventilation, and prematurity. However, most patients admitted with bronchiolitis do not have these risk factors. The major contribution of this study is the evaluation of factors applicable to all patients admitted with bronchiolitis, and a more in‐depth analysis of clinical assessments performed on hospital days 1 and 2 than had been previously reported.
We did find strong associations between a number of clinical assessments and LOS. While some were apparent on day 1 of the admission, the number and degree of clinical differences between infants destined for a short vs prolonged stay were more apparent on hospital day 2. On this day, there were significant differences between the groups in the length and amount of oxygen received, oxygen saturation, maximum respiratory rate, respiratory scores, nasopharyngeal suctioning need, and caloric intake. Interestingly, it was noted the prolonged stay group had overall worsening or a lack of improvement in several clinical markers from day 1 to day 2, in areas where the short stay group showed improvements.
To our knowledge, the Milwaukee Model is the first bronchiolitis LOS prediction model to incorporate several clinical markers occurring early in the hospital stay. These clinical markers were found to be more effective predictors of LOS group in our study population than some of the traditional birth‐ and disease‐related risk factors previously reported. The model highlighted some important interactions among variables, and identified specific profiles of patients likely to have a short or prolonged LOS based on their day 2 clinical status.
The short LOS groups all shared one of the following three features: 1) low duration of oxygen use; 2) absence of tachypnea (tachypnea defined as a respiratory rate >60 in infants <2 months old and >50 for infants between 2 and 12 months old.3234); or 3) absence of severely diminished caloric intake. The prolonged LOS groups shared the common characteristics of higher duration of oxygen use and higher maximum respiratory rates. In addition to these two elements, each long stay group had either a constant oxygen requirement, prematurity (36.5 weeks), or very low caloric intake (<23.5 kcal/kg/day).
While all three models shared good sensitivity, the increased specificity of the Milwaukee Model limits the number of false positives (infants screening as destined for a prolonged LOS who actually will have a short LOS). For clinicians or researchers planning interventions for high‐risk infants, this greater specificity would reduce the number of infants who might unnecessarily receive those interventions. While there are limited proven therapies to hasten the recovery of patients with bronchiolits,35 many treatments and combinations of treatments are currently being used and studied. Nebulized hypertonic saline,36 airway secretion clearance modalities,37 and nutritional supplementation22, 38 are some examples of interventions that could be used and evaluated in infants screened as high risk for prolonged LOS. While it may have been better to identify short vs long stay immediately upon admission or after hospital day 1, it was the more clear separation between the short and long stay groups that occurred on day 2 that allowed us to develop an accurate predictive model. We believe that for infants destined to be in the hospital for at least three more days, a model based on hospital day 2 variables is worthwhile.
When evaluating the characteristics of the three models, it is important to note that they were initially studied in populations with some important differences. Only 11% of Milwaukee patients had chronic respiratory diseases, whereas the previously developed models were generated from a sample with a higher prevalence of chronic respiratory diseases (Michigan, 20%; Rotterdam, 23%). Only 3% of subjects needed placement in the ICU compared to higher rates in prior studies (Michigan, 15%; Rotterdam, 43.5%). In a population of patients with a lower prevalence of chronic respiratory diseases and need for ICU, early clinical markers may become more important in predicting LOS. While our model may generalize well in such a cohort of patients, it might not generalize as well to a cohort with a high prevalence of chronic lung disease and higher need for ICU. It is also important to note that the area under the ROC was lower in the test tree than the learning tree. This variation demonstrates the need for evaluating the performance of this model in additional populations.
This study has several limitations. First, it is a retrospective study of a single bronchiolitis season at a single institution. Second, the authors served as data abstractors and could have been biased, as they were not blinded. Third, four out of the five markers in our model are clinical markers that could vary based on clinical assessment skills and institutional practice. For example, oxygen use is dependent on the practice of nurses and respiratory therapists charged with regulating the oxygen delivery. However, the practice of initiating and weaning oxygen is fairly standardized at our institution. Fourth, environmental and social risk factors, such as day care attendance, school‐age siblings, and smoke exposure, can impact LOS but were not included in our model. Fifth, we do not have data on those infants not included in the bronchiolitis protocol. It is possible that they differed from those in protocol. Finally, six infants were either placed or transferred to the ICU on day 1, which may make them inherently different than the other infants in the model. However, four out of these six infants did go on to have a short stay, highlighting the fact that many other factors affect LOS.
We believe this model may be useful because the clinical markers it uses represent some of the key problems seen in bronchiolitis (poor oxygenation, tachypnea, and poor feeding). Careful assessment of these clinical markers can allow effective prediction of those infants likely to have a prolonged LOS. This early risk assessment could allow more effective targeting of interventions to help high‐risk infants.
CONCLUSIONS
There are important differences between infants with bronchiolitis having short and prolonged hospital stays, including several clinical markers identifiable on hospital day 2, such as the length and amount of oxygen received, minimum oxygen saturation, maximum respiratory rate, clinical respiratory scores, deep suctioning need, and caloric intake. The Milwaukee Model uses the number of hours of supplemental oxygen, respiratory rate, minimum supplemental oxygen use, gestation, and caloric intake to predict short or prolonged LOS. It performed well with a good ROC, sensitivity, and specificity in one population of infants with a low prevalence of chronic respiratory disease.
Prior studies have identified risk factors for increased severity of illness, readmission, or prolonged length of stay (LOS) in infants admitted with bronchiolitis.123 These risk factors include birth‐related factors (prematurity, birth within six months of respiratory syncytial virus [RSV] season, discharge from the neonatal intensive care unit during winter, multiple birth infant), environmental factors (day care attendance, school‐age siblings, smoke exposure), and underlying diseases (chronic lung disease and other pulmonary conditions, failure to thrive (FTT), congenital heart disease, immunologic disorders, and neuromuscular disease).123 Additional risk factors occurring during the bronchiolitis course that have been associated with prolonged hospital course are mechanical ventilation, intensive care unit (ICU) admission, hypoxia on admission, apnea, feeding problems, and duration of supplemental oxygen.2123
Having a reliable model to identify infants at high risk for prolonged LOS early in the course of an admission would be helpful, both for clinical care and for studies of interventions designed to reduce LOS. Prior attempts at developing a model have yielded mixed results. The Michigan Logistic Regression Model displayed excellent predictive ability with an area under the receiver‐operator curve (ROC) of 0.88 using variables including prematurity, FTT, pulmonary disease, other comorbid diseases, and early mechanical ventilation.21 However, when applied to another patient population it did not perform as well. The Rotterdam Model using the variables of weight and supplemental oxygen had an ROC of 0.65.24
Prior prediction models have focused more on birth‐ and disease‐related risk factors than on hospital course factors, particularly common clinical assessments including respiratory status and caloric intake. An additional limitation of prior models is some loss of ability to study the interaction between various predictor variables when using multivariate regression methods.
Our aims were: 1) to study the associations of various clinical markers identifiable during the first two days of the hospital admission with LOS; and 2) to develop a LOS prediction model, using both previously identified risk factors and more detailed clinical data from the first two days of the hospital admission.
MATERIALS AND METHODS
Study Population and Setting
We conducted a retrospective cohort study during a single bronchiolitis season to identify factors predictive of a prolonged length of stay.
Children's Hospital of Wisconsin (CHW) is a 242‐bed tertiary care academic center. The charts of all infants discharged from CHW who met the following criteria were reviewed:
Age <365 days;
Admitted between November 1, 2004 and April 15, 2005;
Bronchiolitis diagnosis using the International Classification of Diseases, 9th edition (ICD‐9) discharge codes 466.11 (RSV bronchiolitis) or 466.19 (bronchiolitis from other organisms);
Placement on the CHW bronchiolitis treatment protocol. Major elements of this protocol include:
respiratory therapists (RT) assessments three times daily providing a standard means of evaluating severity of illness throughout the admission;
pre‐ and post‐intervention assessments.
Infants in this protocol differ from those not on the protocol; their average LOS is one day shorter and their care is more closely aligned with practices established in the Child Health Accountability Initiative (CHAI)25 and the American Academy of Pediatrics Guidelines,26 including: emphasis on clinical diagnosis rather than using laboratory and radiologic testing; avoiding routine bronchodilator use; and decreasing continuous pulse oximetry use. Only patients placed on the bronchiolitis treatment protocol were studied because these infants have a consistent model of care proven to be effective at CHW and other institutions25, 27; 70% of infants admitted to CHW with bronchiolitis were placed on the protocol. Common reasons for not placing infants on the protocol include: 1) the diagnosis of bronchiolitis was initially unclear; 2) the infant had chronic respiratory problems; and 3) physician preference.
Infants with events occurring during the admission not related to bronchiolitis and impacting LOS were excluded. Infants admitted or transferred to the ICU were included if placed on the bronchiolitis protocol; however, few ICU patients were placed on the protocol, as its intent is mainly for the general units.
Data Collected
Five trained abstractors (two were study authors) abstracted the following information from patient records: 1) baseline patient characteristics; 2) initial evaluation: respiratory rate, oxygen saturation, supplemental oxygen use, presence of increased work of breathing, weight, height, Waterlow percentile (percent of ideal body weight);28 3) fluid and nutritional information on hospital days 15; 4) respiratory assessments and treatments on hospital days 15 (clinical respiratory scores, respiratory rates, oxygen saturation, use of supplemental oxygen, medications received; 5) laboratory and imaging results; and 6) diagnoses. Each hospital day was defined as 0600 to 0559 the following day.
Clinical Respiratory Scores
The Children's Hospital of Wisconsin Respiratory Score (CHWRS) is a marker of overall respiratory status (not yet validated.) It contains six variables scored 03 based on degree: breath sounds, dyspnea, retractions, respiratory rate, heart rate, and supplemental oxygen. Scores range from 0 to 18, with lower scores representing less respiratory distress.
Outcomes and Analysis
The primary outcome was LOS, defined as the number of hours from the time a subject arrived on the hospital unit to time of last nursing documentation at time of discharge. The average LOS at CHW of 2.5 days is comparable to the lower end of that reported in the literature (2.85 days21, 22, 29, 30). LOS was dichotomized as short or prolonged, with prolonged LOS defined as 108 hours. We chose this length as it represents the 80th percentile LOS at our institution. Most physicians caring for infants with bronchiolitis at CHW use discharge criteria aligned with those in the hospitalist group's bronchiolitis clinical practice guideline,31 the SOFFFAR criteria: Sno longer dependent on nasopharyngeal suctioning; Ooff oxygen, or to baseline oxygen requirement; Ffamily agreeable to discharge; F follow‐up plan in place; FFeeding well enough to maintain hydration; Aif albuterol responsive, requiring treatments no more frequently than every six hours, Rrespiratory status acceptable (not too tachypneic or in respiratory distress).
Univariate Analysis
We examined the association between selected variables and LOS group (short or prolonged). Three groups of variables were studied: 1) variables identifiable upon admission (Table 1); 2) variables identifiable on hospital days 1 and 2 (Table 2); and 3) variables identifiable later in the admission. The variables evaluated were all non‐normally distributed and, therefore, the MannWhitney test was used to examine differences between groups with continuous or categorical variables. Dichotomous variables were compared using chi‐square or Fisher's exact test. SPSS (Chicago, IL) was used for these analyses. Because of multiple comparisons, 90% power and an alpha of 0.01 were used.
Variable | Median (IQR), N [% of subjects] | P Value | |
---|---|---|---|
Short (N = 225) | Long (N = 47) | ||
| |||
Age (days) | 134 (63‐225.5) | 139 (63‐240) | 0.86 |
Gestation (weeks) | 40 (37‐40) | 39 (35‐40) | 0.07 |
Race | |||
White | 108 [48] | 23 [49] | 0.91 |
Other | 117 [52] | 24 [51] | |
Gender | |||
Male | 121 [54] | 25 [53] | 0.94 |
Respiratory support at birth | 22 [10] | 12 [26] | 0.003* |
Chronic respiratory disease | 21 [9] | 8 [17] | 0.12 |
Respiratory rate on admission | 56 (44‐64) | 56 (46‐66) | 0.58 |
Cardiac conditions | 4 [2] | 3 [6] | 0.10 |
Waterlow percent | 100 (92‐109) {n =203} | 96 (88‐107) {n =46} | 0.16 |
Days of cough prior to admission | 4 (2‐6) {n =202} | 4 (2‐5) {n = 40} | 0.78 |
Days of congestion prior to admission | 3 (1‐5) {n =183} | 3 (1‐5) {n =35} | 0.98 |
Days of fever prior to admission | 1 (0‐3) {n =206} | 1 (0‐2) {n =43} | 0.50 |
Days of decreased oral intake prior to admission | 1 (0‐2) {n =181} | 1 (0‐1) {n =36} | 0.44 |
Variable | Median (IQR) or N [%] | P | Median (IQR) or N [%] | P | ||
---|---|---|---|---|---|---|
Short | Long | Short | Long | |||
Hospital Day 1 | Hospital Day 2 | |||||
| ||||||
Hours of supplemental oxygen | 3 (0‐10) | 11 (5‐17) | <0.001* | 3 (0‐19) | 24 (17‐24) | <0.001* |
Minimum supplemental oxygen use (liters) | 0 (0‐0.1) | 0.25 (0‐0.5) | <0.001* | 0 (0‐0) | 0.2 (0‐0.5) | <0.001* |
Maximum supplemental oxygen use (liters) | 0.5 (0‐1) | 0.75 (0.5‐1.5) | <0.001* | 0.2 (0‐0.5) | 1 (0.5‐1.5) | <0.001* |
Minimum oxygen saturation (percent) | 94 (92‐96) | 94 (92‐96) | 0.89 | 94 (92‐95) | 93 (91‐94) | 0.001* |
Maximum oxygen saturation (percent) | 99 (98‐100) | 100 (99‐100) | 0.23 | 100 (98‐100) | 100 (99‐100) | 0.37 |
Minimum respiratory rate | 36 (32‐46) | 36 (32‐46) | 0.92 | 34 (30‐40) | 36 (32‐41) | 0.11 |
Maximum respiratory rate | 53 (45‐62) | 56 (48‐64) | 0.14 | 55 (48‐64) | 63 (52‐75) | <0.001* |
Mean respiratory score | 4 (3‐5.5) | 5 (4‐6.7) | 0.008* | 3.4 (2.7‐4.5) | 4.8 (3.7‐7) | <0.001* |
Change in respiratory score | 0 (0‐1) | 0 (1‐1.5) | 0.3 | 1 (0‐2) | 0 (‐2‐2) | 0.022 |
Number of times nasopharyngeal suctioned | 1 (0‐2) | 2 (1‐3) | 0.012 | 1 (0‐3) | 4 (2‐5) | <0.001* |
Calories consumed (Kcal/kg/day) | 53 (22‐82) | 54 (33‐79) | 0.801 | 66 (47‐90) | 54 (21‐72) | 0.001* |
ICU (% of subjects) | 4 (1.8%) | 2 (4.3%) | 0.28 | 4 (1.8%) | 5 (10.6%) | 0.009* |
Recursive Partitioning Analysis
We chose recursive partitioning as the method for model creation instead of multivariate linear regression in order to: 1) study multiple possible variable interactions without having to create multiple interaction terms; and 2) generate an easy‐to‐use flow diagram to identify infants at risk for prolonged LOS without having to use a complex formula generated by multivariate regression. In recursive partitioning methodology, the statistical program selects the variable among the set of candidate variables that best separates the first parent node with all subjects into short and prolonged stay intermediate nodes. The process is repeated with additional variables selected that further separate the intermediate nodes into short and prolonged stay nodes, until finally a flow diagram is generated, resulting in terminal nodes of predicted short and prolonged stay subjects. Recursive partitioning was performed using Salford Systems' CART software San Diego, CA. The minimum number of cases required in parent/emntermediate nodes was 20, and in terminal nodes was 5. Eighty percent of cases were randomly selected for the learning tree, and 20% in the test tree for cross‐validation.
Sixteen variables were considered a priori as potentially important in affecting LOS and were candidates for inclusion. These included five baseline variables (age, gestation, Waterlow percentile, presence of chronic respiratory disease, and a marker for missing Waterlow percentile) and 11 variables from hospital day 2 (kcal/kg/day consumed, hours of supplemental oxygen, maximum supplemental oxygen use, maximum oxygen saturation, maximum respiratory rate, minimum supplemental oxygen use, minimum oxygen saturation, minimum respiratory rate, mean clinical respiratory score, change in respiratory score, and nasopharyngeal suctioning frequency). Hospital day 2 variables were chosen rather than hospital day 1, because hospital day 1 was only a partial day in the hospital for the majority of subjects. Several aspects of oxygenation were studied because oxygen need has been consistently found to be an important predictor of LOS. We sought to discover which particular aspect of oxygen need was most important. For comparison, recursive partitioning was performed on the variable sets taken from the Michigan (weight, congenital heart disease, failure to thrive, gestational age, chronic pulmonary diseases, and early mechanical ventilation)21 and Rotterdam (weight and need for supplemental oxygen)24 Models.
This study was approved by the CHW Institutional Review Board.
RESULTS
Three hundred forty‐seven infants were admitted during the 20042005 bronchiolitis season, with 273 placed in the bronchiolitis treatment protocol. The charts of these 273 patients were reviewed. One was excluded because of gastrostomy tube placement during the admission. Of the remaining 272 patients, 47 (17.3%) had a LOS 108 hours. The median LOS was 59 hours (range 10334 hours). Two patients had missing data for caloric intake on days 1 and 2; and 23 patients did not have height obtained, therefore their Waterlow classification could not be determined. Historical details concerning fever, congestion, cough, and diminished caloric intake preceding admission were variably reported, resulting in a smaller sample size for these baseline characteristics as described in Table 1.
Univariate Analysis
Baseline characteristics of infants having short and prolonged LOS are described in Table 1. Groups were statistically similar except that the long stay group contained a significantly larger proportion of infants requiring respiratory support at birth (defined as needing intubation, continuous positive airway pressure [CPAP], or oxygen).
Table 2 describes selected variables on hospital days 1 and 2 in infants having short and prolonged LOS. On hospital day 1, infants in the prolonged LOS group had a significantly greater need for supplemental oxygen, and mean respiratory score. On hospital day 2, infants in the prolonged LOS group had a significantly greater need for supplemental oxygen maximum respiratory rate, mean respiratory score, and number of times they were suctioned. They had a significantly lower minimum oxygen saturation and caloric intake. On hospital day 2, the prolonged LOS group had a greater proportion of subjects in the ICU, on CPAP, and on the ventilator.
We examined two characteristics identifiable after the second hospital day. There was a significant difference in: a) the median number of discharge diagnoses in the short LOS group (two) vs the prolonged LOS group (three) (P < 0.001); and b) the presence of apnea during the admission in the short LOS group (0.1%) vs the prolonged LOS group (9%) (P = 0.009).
Recursive Partitioning Model
Figure 1 depicts the recursive partitioning model that best predicted LOS. Five variables were selected by the recursive partitioning model. Selected variables, in order of appearance (variable importance is related to order of appearance, ie, most important variable is first), were: hours of supplemental oxygen, maximum respiratory rate, minimum supplemental oxygen use, gestation, and kilocalories (kcal)/kilogram (kg)/day consumed. The characteristics of this model were: ROC 0.89 and 0.72 for the learning and test trees, respectively; sensitivity, 0.85; and specificity, 0.82

Infants predicted as having a short LOS had three distinct profiles labeled S1, S2, and S3 in Figure 1. The S1 group required 6.5 hours of oxygen. The S2 group required >6.5 hours of oxygen, but had a maximum respiratory rate 49. The S3 group required >6.5 hours of oxygen, had a maximum respiratory rate >49, but were >36.5 week gestation, and consumed >23.5 kcal/kg/day.
Infants predicted as having a long LOS had three distinct profiles labeled L1, L2, and L3 in Figure 1. The L1 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, and required some level of oxygen support the entire day. The L2 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, were on room air some portion of the day, but had a gestation 36.5 weeks. The L3 group required >6.5 hours of supplemental oxygen, had a maximum respiratory rate >49, were on room air for some portion of the day, had a gestation >36.5 weeks, but consumed 23.5 kcal/kg/day.
Table 3 compares the performance of our model (the Milwaukee Model), the Michigan Model, and the Rotterdam Model in predicting LOS group. Overall, the Milwaukee Model had the highest ROC 0.89/0.72 for the learning and test trees. All three models had good sensitivity (Milwaukee, 85%; Michigan, 85%), with the Rotterdam Model having the highest (98%). The Milwaukee Model also had good specificity (82%), while the Michigan and Rotterdam Models were less specific (46% and 44%).
Model | Priors* | Sensitivity | Specificity | Learning Tree ROC | Test Tree ROC | |
---|---|---|---|---|---|---|
Long LOS | Short LOS | |||||
| ||||||
Michigan | 0.5 | 0.5 | 0.85 | 0.46 | 0.69 | 0.56 |
Rotterdam | 0.5 | 0.5 | 0.98 | 0.44 | 0.73 | 0.61 |
Milwaukee | 0.5 | 0.5 | 0.85 | 0.82 | 0.89 | 0.72 |
DISCUSSION
We confirmed several previously recognized risk factors for prolonged LOS, including: apnea, at least part of the hospital stay in ICU, use of CPAP, mechanical ventilation, and prematurity. However, most patients admitted with bronchiolitis do not have these risk factors. The major contribution of this study is the evaluation of factors applicable to all patients admitted with bronchiolitis, and a more in‐depth analysis of clinical assessments performed on hospital days 1 and 2 than had been previously reported.
We did find strong associations between a number of clinical assessments and LOS. While some were apparent on day 1 of the admission, the number and degree of clinical differences between infants destined for a short vs prolonged stay were more apparent on hospital day 2. On this day, there were significant differences between the groups in the length and amount of oxygen received, oxygen saturation, maximum respiratory rate, respiratory scores, nasopharyngeal suctioning need, and caloric intake. Interestingly, it was noted the prolonged stay group had overall worsening or a lack of improvement in several clinical markers from day 1 to day 2, in areas where the short stay group showed improvements.
To our knowledge, the Milwaukee Model is the first bronchiolitis LOS prediction model to incorporate several clinical markers occurring early in the hospital stay. These clinical markers were found to be more effective predictors of LOS group in our study population than some of the traditional birth‐ and disease‐related risk factors previously reported. The model highlighted some important interactions among variables, and identified specific profiles of patients likely to have a short or prolonged LOS based on their day 2 clinical status.
The short LOS groups all shared one of the following three features: 1) low duration of oxygen use; 2) absence of tachypnea (tachypnea defined as a respiratory rate >60 in infants <2 months old and >50 for infants between 2 and 12 months old.3234); or 3) absence of severely diminished caloric intake. The prolonged LOS groups shared the common characteristics of higher duration of oxygen use and higher maximum respiratory rates. In addition to these two elements, each long stay group had either a constant oxygen requirement, prematurity (36.5 weeks), or very low caloric intake (<23.5 kcal/kg/day).
While all three models shared good sensitivity, the increased specificity of the Milwaukee Model limits the number of false positives (infants screening as destined for a prolonged LOS who actually will have a short LOS). For clinicians or researchers planning interventions for high‐risk infants, this greater specificity would reduce the number of infants who might unnecessarily receive those interventions. While there are limited proven therapies to hasten the recovery of patients with bronchiolits,35 many treatments and combinations of treatments are currently being used and studied. Nebulized hypertonic saline,36 airway secretion clearance modalities,37 and nutritional supplementation22, 38 are some examples of interventions that could be used and evaluated in infants screened as high risk for prolonged LOS. While it may have been better to identify short vs long stay immediately upon admission or after hospital day 1, it was the more clear separation between the short and long stay groups that occurred on day 2 that allowed us to develop an accurate predictive model. We believe that for infants destined to be in the hospital for at least three more days, a model based on hospital day 2 variables is worthwhile.
When evaluating the characteristics of the three models, it is important to note that they were initially studied in populations with some important differences. Only 11% of Milwaukee patients had chronic respiratory diseases, whereas the previously developed models were generated from a sample with a higher prevalence of chronic respiratory diseases (Michigan, 20%; Rotterdam, 23%). Only 3% of subjects needed placement in the ICU compared to higher rates in prior studies (Michigan, 15%; Rotterdam, 43.5%). In a population of patients with a lower prevalence of chronic respiratory diseases and need for ICU, early clinical markers may become more important in predicting LOS. While our model may generalize well in such a cohort of patients, it might not generalize as well to a cohort with a high prevalence of chronic lung disease and higher need for ICU. It is also important to note that the area under the ROC was lower in the test tree than the learning tree. This variation demonstrates the need for evaluating the performance of this model in additional populations.
This study has several limitations. First, it is a retrospective study of a single bronchiolitis season at a single institution. Second, the authors served as data abstractors and could have been biased, as they were not blinded. Third, four out of the five markers in our model are clinical markers that could vary based on clinical assessment skills and institutional practice. For example, oxygen use is dependent on the practice of nurses and respiratory therapists charged with regulating the oxygen delivery. However, the practice of initiating and weaning oxygen is fairly standardized at our institution. Fourth, environmental and social risk factors, such as day care attendance, school‐age siblings, and smoke exposure, can impact LOS but were not included in our model. Fifth, we do not have data on those infants not included in the bronchiolitis protocol. It is possible that they differed from those in protocol. Finally, six infants were either placed or transferred to the ICU on day 1, which may make them inherently different than the other infants in the model. However, four out of these six infants did go on to have a short stay, highlighting the fact that many other factors affect LOS.
We believe this model may be useful because the clinical markers it uses represent some of the key problems seen in bronchiolitis (poor oxygenation, tachypnea, and poor feeding). Careful assessment of these clinical markers can allow effective prediction of those infants likely to have a prolonged LOS. This early risk assessment could allow more effective targeting of interventions to help high‐risk infants.
CONCLUSIONS
There are important differences between infants with bronchiolitis having short and prolonged hospital stays, including several clinical markers identifiable on hospital day 2, such as the length and amount of oxygen received, minimum oxygen saturation, maximum respiratory rate, clinical respiratory scores, deep suctioning need, and caloric intake. The Milwaukee Model uses the number of hours of supplemental oxygen, respiratory rate, minimum supplemental oxygen use, gestation, and caloric intake to predict short or prolonged LOS. It performed well with a good ROC, sensitivity, and specificity in one population of infants with a low prevalence of chronic respiratory disease.
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- Risk factors for bronchiolitis‐associated deaths among infants in the United States.Pediatr Infect Dis J.2003;22(6):483–490. , , , , .
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- Rates of hospitalization for respiratory syncytial virus infection among children in Medicaid.J Pediatr.2000;137(6):865–870. , , , , .
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- Respiratory syncytial virus infection in young hospitalized children. Identification of risk patients and prevention of nosocomial spread by rapid diagnosis.Acta Paediatr Scand.1983;72(1):47–51. , , , , .
- Pathogenesis of bronchiolitis—epidemiologic considerations.Pediatr Res.1977;11(3 pt 2):239–243. .
- Respiratory syncytial virus infection in children with bronchopulmonary dysplasia.Pediatrics.1988;82(2):199–203. , , .
- Respiratory syncytial viral infection in children with compromised immune function.N Engl J Med.1986;315(2):77–81. , , , et al.
- Risk of secondary bacterial infection in infants hospitalized with respiratory syncytial viral infection.J Pediatr.1988;113(2):266–271. , , , , .
- Respiratory syncytial viral infection in infants with congenital heart disease.N Engl J Med.1982;307(7):397–400. , , , , , .
- Hospitalized children with respiratory syncytial virus infection and neuromuscular impairment face an increased risk of a complicated course.Pediatr Infect Dis J.2007;26(6):485–491. , , , et al.
- Rehospitalization for respiratory illness in infants of less than 32 weeks' gestation.Pediatrics.1991;88(3):527–532. , , .
- Respiratory syncytial virus (RSV) immune globulin intravenous therapy for RSV lower respiratory tract infection in infants and young children at high risk for severe RSV infections: Respiratory Syncytial Virus Immune Globulin Study Group.Pediatrics.1997;99(3):454–461. , , , et al.
- Risk factors for bronchiolitis‐associated deaths among infants in the United States.Pediatr Infect Dis J.2003;22(6):483–490. , , , , .
- Risk factors for severe respiratory syncytial virus infection in infants.Respir Med.2002;96(suppl B):S9–S14. , .
- Rehospitalization for respiratory syncytial virus among premature infants.Pediatrics.1999;104(4 pt 1):894–899. , , , , .
- Risk of respiratory syncytial virus infection for infants from low‐income families in relationship to age, sex, ethnic group, and maternal antibody level.J Pediatr.1981;98(5):708–715. , , , , .
- Preterm twins and triplets. A high‐risk group for severe respiratory syncytial virus infection.Am J Dis Child.1993;147(3):303–306. , , , .
- Rehospitalization because of respiratory syncytial virus infection in premature infants younger than 33 weeks of gestation: a prospective study. IRIS Study Group.Pediatr Infect Dis J.2000;19(7):592–597. , , , et al.
- Parental smoking, presence of older siblings, and family history of asthma increase risk of bronchiolitis.Am J Dis Child.1986;140(8):806–812. , .
- Role of respiratory syncytial virus in early hospitalizations for respiratory distress of young infants with cystic fibrosis.J Pediatr.1988;113(5):826–830. , , , , .
- Variable morbidity of respiratory syncytial virus infection in patients with underlying lung disease: a review of the PICNIC RSV database. Pediatric Investigators Collaborative Network on Infections in Canada.Pediatr Infect Dis J.1999;18(10):866–869. , , , et al.
- Rates of hospitalization for respiratory syncytial virus infection among children in Medicaid.J Pediatr.2000;137(6):865–870. , , , , .
- Severity of illness models for respiratory syncytial virus‐associated hospitalization.Am J Respir Crit Care Med.1999;159(4 pt 1):1234–1240. , .
- Effect of oxygen supplementation on length of stay for infants hospitalized with acute viral bronchiolitis.Pediatrics.2008;121(3):470–475. , .
- Pediatric Investigators Collaborative Network on Infections in Canada (PICNIC) prospective study of risk factors and outcomes in patients hospitalized with respiratory syncytial viral lower respiratory tract infection.J Pediatr.1995;126(2):212–219. , , .
- Prediction of duration of hospitalization in respiratory syncytial virus infection.Pediatr Pulmonol.2002;33(6):453–457. , , , .
- Impact of a bronchiolitis guideline: a multisite demonstration project.Chest.2002;121(6):1789–1797. , , , , , .
- Diagnosis and management of bronchiolitis.Pediatrics.2006;118(4):1774–1793. , , , , , , , , ,
- Evaluation of an evidence‐based guideline for bronchiolitis.Pediatrics.1999;104(6):1334–1341. , , , et al.
- Classification and definition of protein‐calorie malnutrition.Br Med J.1972;3(5826):566–569. .
- Inpatient care for uncomplicated bronchiolitis: comparison with Milliman and Robertson guidelines.Arch Pediatr Adolesc Med.2001;155(12):1323–1327. , , , , .
- Impact of pulse oximetry and oxygen therapy on length of stay in bronchiolitis hospitalizations.Arch Pediatr Adolesc Med.2004;158(6):527–530. , , , .
- Bronchiolitis clinical practice guideline.Children's Hospital of Wisconsin Intranet;2007. http://clinicalpractice.chw.org/display/displayFile.asp?docid=393185(2):319–336. .
- The rational clinical examination. Does this infant have pneumonia?JAMA.1998;279(4):308–313. , .
- Focused ethnographic studies in the WHO Programme for the Control of Acute Respiratory Infections.Med Anthropol.1994;15(4):409–424. , .
- Bronchiolitis: recent evidence on diagnosis and management.Pediatrics.125(2):342–349. , .
- Nebulized hypertonic saline solution for acute bronchiolitis in infants.Cochrane Database Syst Rev.2008(4):CD006458. , , , .
- Airway clearance applications in infants and children.Respir Care.2007;52(10):1382–1391. .
- Immunonutrition in critically ill patients: a systematic review and analysis of the literature.Intensive Care Med.2008;34(11):1980–1990. , .
Copyright © 2011 Society of Hospital Medicine
Important Postdischarge Culture Results
Many hospitalized patients have microbiology test results pending at the time of discharge.1, 2 Failure to follow up on these results in a timely fashion can lead to delays in diagnosis and adequate treatment of important infections. Prompt communication of the results of these pending tests to the responsible providers is crucial to minimize these delays.36 As hospitalized patients are increasingly cared for by clinicians other than their primary care providers,7 important information may be lost during the discharge process.8 This increasing fragmentation makes reliable communication of pending tests even more crucial.9, 10
Studies to date have primarily investigated tests from general medical services. In that setting, there is clearly room for improvement in test result communication. Discharge summaries often do not reach the outpatient providers at the time of the patients' follow‐up visits after hospitalization.11 When the discharge summaries are present, the majority of pending tests are not mentioned in them,2, 12, 13 and both inpatient and outpatient physicians are unaware of most of these results when they return.1 However, the specific characteristics of postdischarge microbiology results and the extent to which these results represent potential follow‐up errors in specialties other than general medicine have not been adequately studied.
We aimed to describe the issue of microbiology tests pending at the time of discharge from a hospital‐wide perspective. Specifically, we sought to determine: (1) frequency and characteristics of these results across all admitting services; and (2) how often these results potentially require a change in antimicrobial therapy.
Methods
Study Setting
We conducted our study at a 777‐bed, tertiary‐care academic hospital in Boston, MA with 13 medical and 18 surgical admitting specialties. The human research committee reviewed and approved the study design. For inpatient services, the hospital had well‐established computerized order entry and electronic discharge medication list systems, along with paper clinical notes. The affiliated outpatient practices used an internally developed electronic health record that could access the test results obtained during hospitalization.
Data Collection
We analyzed all 111,331 results of blood, urine, cerebrospinal fluid (CSF), and sputum cultures that were finalized by the hospital's microbiology laboratory in calendar year 2007. For each result, we determined the type of culture, the date of collection, the date of final result, and the identity and antibiotic susceptibility of any organisms isolated in the microbiology lab. For blood and CSF cultures, we also collected the date of preliminary susceptibilities. Preliminary susceptibilities are not reported for urine and sputum cultures at our institution. For cultures collected during hospital admission, we determined the dates of hospital admission and discharge, hospital service caring for the patient at the time of discharge, and the list of medications prescribed to the patient at discharge.
Case Selection Criteria
Our goal was to screen for postdischarge microbiology results that were likely to require action from the clinicians. To this end, we identified cases that were: (1) clinically important, which we defined as likely to represent a true infection or require further evaluation; and (2) were untreated at the time of discharge, which we defined as cases with no antibiotic or inadequate antibiotic therapy. We first excluded cultures obtained while patients were in the outpatient setting. We further excluded all cultures for which the preliminary susceptibilities or final results returned on or before the day of discharge from the hospital.
For each of the four culture types, we developed criteria to identify clinically important results. For blood cultures, we used a prediction model developed and validated at our institution that was based on the identity of the organism, time to first growth, and prior matching culture results.14 For the remaining three culture types, we defined clinical importance based on Centers for Disease Control and Prevention (CDC) definitions of nosocomial infections. These criteria were felt to be adequate to screen for both community‐acquired and nosocomial infections. For urine cultures, we required at least 100,000 colony‐forming units and growth of no more than two distinct organisms. For CSF, any growth was considered clinically important. For sputum, we required a positive culture as well as a discharge diagnosis of pneumonia based on International Classification of Diseases, Ninth Revision (ICD‐9) codes. The discharge diagnosis was included to incorporate the clinical interpretation required to separate true infections from contaminated samples or colonization.
To identify the untreated cultures, we compared the antibiotic susceptibility of the clinically important postdischarge results against the list of antibiotics prescribed to the patients at the time of hospital discharge. We considered the infections treated if there was at least one antibiotic on the discharge medication list to which the organism was found to be susceptible.
Manual Review
We manually reviewed a random sample of 94 of the clinically important and untreated postdischarge results to determine if the results potentially required a change in therapy and therefore required follow‐up. For each case, the electronic patient chart was reviewed by two internal medicine‐trained physicians on the study staff. Each reviewer was blinded to events that occurred after the cultures returned, and determined whether the results necessitated a potential change in antibiotic. The reviewer then indicated the level of certainty of that determination on a 6‐point Likert scale that had been previously used in reviews to identify adverse medical events15, 16: 1 = little or no evidence, 2 = slight evidence, 3 = not quite likely (<50:50 but close call), 4 = more likely than not (>50:50 but close call), 5 = strong evidence, and 6 = virtually certain evidence. To standardize the assignment of certainty for potential need for antibiotic change, we used a set of review guidelines developed by our study staff (Figure 1). A microbiology result was defined as potentially necessitating antibiotic change if both reviewers indicated as such and recorded a certainty with a score 4. Differences in assessments were resolved through discussion of the case between the reviewers.

Statistical Analysis
Using the 94 manually reviewed results, we examined how the proportion of clinically important and untreated microbiology results requiring follow‐up varied by type of culture and primary discharging service. We created a multivariable logistic regression model to predict which of the untreated, postdischarge results required follow‐up. The covariates in our model were selected a priori and included type of culture, hospital service at the time of discharge, patient age, sex, and insurance status. Type of culture and hospital service were included to determine how the distribution of untreated results varied across hospital specialties. Patient age, sex, and insurance status were included to account for differences in the prevalence of antibiotic‐resistant organisms and the clinician's choice of which empiric antimicrobial agent, if any, to initiate based on these patient‐level factors. We calculated a kappa statistic to measure the concordance of the assessments of the two reviewers prior to resolution of disagreements. All analyses were performed using SAS (version 9.2, Cary, NC).
Results
Of the 111,331 blood, urine, sputum, and CSF cultures analyzed, 77,349 (69%) were collected from hospitalized patients. The majority (63%) of the inpatient results were for blood cultures and one quarter (24%) were for urine cultures. Table 1 shows the distribution of the microbiology results across primary services responsible for the patients at the time of discharge. Half (49%) of the patients from whom the specimens were collected were female. The mean age of patients was 55 years. Most (68%) were white and most (86%) had either commercial insurance or Medicare (Table 1).
Variable | Results for Admitted Patients (n = 77,349) | Results Finalized Postdischarge (n = 8,668) |
---|---|---|
| ||
Type of culture, n (%) | ||
Urine | 18,746 (24) | 2,843 (33) |
Blood | 48,546 (63) | 4,696 (54) |
Sputum | 8,466 (11) | 1,059 (12) |
CSF | 1,591 (2) | 70 (1) |
Hospital service at discharge, n (%) | ||
General Medicine | 15,997 (21) | 2,548 (29) |
Oncology | 13,138 (17) | 1,341 (15) |
Medical subspecialties | 20,846 (27) | 2,025 (23) |
Surgery | 23,380 (30) | 2,031 (23) |
Other | 3,988 (5) | 723 (8) |
Patient characteristics | ||
Female, n (%) | 38,125 (49) | 4,539 (52) |
Age, n (SD) | 55 (21) | 56 (19) |
Race, n (%) | ||
White | 52,824 (68) | 5,669 (65) |
Black | 9,319 (12) | 1,241 (14) |
Asian | 1,565 (2) | 183 (2) |
Hispanic | 5,116 (7) | 897 (10) |
Other | 1,330 (2) | 146 (2) |
Unavailable | 7,195 (9) | 532 (6) |
Insurance, n (%) | ||
Commercial | 35,893 (46) | 3,977 (46) |
Medicare | 30,553 (40) | 3,473 (40) |
Medicaid | 9,514 (12) | 1,034 (12) |
Other | 1,389 (2) | 184 (2) |
Of the 77,349 microbiology tests obtained during hospital stays, 8668 (11%) of the inpatient microbiology results were reported after the patients were discharged from the hospital. Most (54%) of these postdischarge results were for blood cultures. The distribution of results across primary hospital service, patient sex, race, insurance, and mean patient age were similar to those for all inpatient results (Table 1). Of the 8668 postdischarge results, 385 (4%) met our screening criteria of being both clinically important and not treated by an antibiotic to which the organism was found susceptible at the time of discharge from the hospital. After manual review of a random subset of 94 of these screen‐positive cases, 50 (53%) required follow‐up (Figure 2). The interrater reliability for the reviewers was found to be kappa = 0.58 (P < 0.001). From our results, we estimated that 2.4% of the postdischarge microbiology results required follow‐up and potential change in therapy.

Potential need for antibiotic change was present in 30 of 45 (67%) urine cultures, 12 of 32 (38%) blood cultures, 8 of 16 (50%) sputum cultures, and 0 of 1 (0%) CSF cultures. By primary service, reviewers identified a potential need for antibiotic change in 19 of 25 (76%) of results from surgical services, 17 of 29 (59%) from general medicine, 6 of 16 (38%) from oncology, and 8 of 23 (35%) from medical subspecialties. Examples of cases that potentially required antibiotic change are shown in Table 2.
Culture Type | Scenario |
---|---|
Urine | 42‐year‐old woman with dysuria after admission for hysterectomy; no empiric antibiotic treatment given; postdischarge urine culture grew Klebsiella pneumoniae |
Blood | 81‐year‐old man with Crohn's disease on total parenteral nutrition (TPN) who was initially treated for sepsis from suspected line infection, but discharged without antibiotics, given negative cultures during admission; postdischarge blood culture grew Klebsiella pneumoniae |
Sputum | 46‐year‐old woman prescribed levofloxacin for pneumonia; sputum culture returns postdischarge with Pseudomonas aeruginosa resistant to levofloxacin |
In our logistic regression model, both the type of culture and the primary hospital service were found to be significant predictors of a potential need for antibiotic change in the manually reviewed cases. Urine cultures were more likely than non‐urine cultures to potentially require antibiotic change (P = 0.03; OR 2.8, 95% CI 1.1‐7.2). Results from surgical services were most likely to potentially require antibiotic change, followed by general medicine, oncology, and medical subspecialties (Table 3).
Variable | Results Potentially Requiring Change in Therapy (n = 50) | Results Not Requiring Change in Therapy (n = 44) | Odds Ratio (95% CI)* | Adjusted P‐value* |
---|---|---|---|---|
| ||||
Type of culture, n (%) | ||||
Urine | 30 (60) | 15 (34) | 2.84 (1.13‐7.17) | 0.03 |
Non‐urine | 20 (40) | 29 (66) | Ref | |
Hospital service at discharge, n (%) | ||||
General Medicine | 17 (34) | 12 (27) | Ref | |
Oncology | 6 (12) | 10 (23) | 0.41 (0.11‐1.56) | 0.02 |
Medical subspecialties | 8 (16) | 16 (36) | 0.34 (0.10‐1.16) | |
Surgery | 19 (38) | 6 (14) | 2.40 (0.65‐8.89) | |
Age, mean (SD) | 61 (20) | 59 (21) | 1.01 (0.98‐1.04) | 0.62 |
Female, n (%) | 29 (58) | 21 (42) | 1.15 (0.44‐2.98) | 0.77 |
Insurance, n (%) | ||||
Commercial | 17 (34) | 19 (43) | Ref | |
Medicare | 25 (50) | 19 (43) | 1.60 (0.42‐6.11) | 0.65 |
Medicaid and other | 8 (16) | 6 (14) | 1.78 (0.43‐7.36) |
Discussion
We performed a retrospective analysis of all blood, urine, sputum, and CSF cultures finalized at our institution in 2007 and found that many returned after patients were discharged. Overall, we estimated that 2.4% of these postdischarge results potentially required a change in antibiotic. This proportion varied by culture type and by primary hospital service at the time of discharge, with urine cultures and cultures from surgical services being most likely to potentially need change in antibiotic.
We speculate that postdischarge urine cultures may have been more likely to require antibiotic change in part due to different urgency that clinicians assign to different culture types. Urinary tract infections may present with more vague, transient, or minor complaints compared with bacteremia, pneumonia, and cerebrospinal fluid infections. For that reason, clinicians may be more likely to forego empiric antibiotics for pending urine cultures in favor of watchful waiting. Therefore, the postdischarge urine cultures with growth may include a higher proportion of untreated true infections compared with other culture types.
A similar difference in prescription of empiric antibiotics may help explain the differences seen across primary hospital specialties. For example, if patients on surgical services were less likely to receive empiric antibiotics, then the pool of postdischarge results would be more likely to include true infections that require antibiotic change. Furthermore, it is possible that surgical services may tend to order cultures for patients only if they already have convincing evidence of infections. It may be that selecting a group with higher likelihood of infection led to a higher proportion of true infections in surgical patients with cultures with growth.
Prior studies led by Roy and Were illustrated that pending microbiology results from general medicine services were often not communicated and followed up adequately.1, 2 For patients discharged with pending test results, between 47% and 89% of discharge summaries did not mention the pending tests.2, 12, 13, 17 These deficiencies in discharge summaries likely have a substantial impact on the proportion of tests followed up by outpatient clinicians. By extending the analysis hospital‐wide, our study suggests that pending microbiology results occur for a wide range of hospital services. While our study was not designed to determine whether these results were followed up appropriately, opportunities for miscommunication and missed follow‐up likely exist for all specialties.
The potential harms associated with inadequate test follow‐up have gained the attention of the patient safety community. In 2005, the Joint Commission underscored the importance of proper communication of critical lab results.3, 5, 18 Their recommendations included the development of systems to ensure adequate follow‐up of critical results in high‐risk scenarios including the postdischarge period.5 While many of the microbiology results do not fall into the criticalcategory, we feel that these results should be considered for inclusion in hospital efforts to track postdischarge results. These efforts should also address issues specific to microbiology results, such as preliminary status before antibiotic sensitivities are known.
Developing a comprehensive strategy for test result communication is challenging, and more so for results that return after transitions of care. Even defining the proper target of communication interventions can involve complex organizational and cultural issues. As these results span the inpatient and outpatient domains, there may be some ambiguity as to which provider is responsible when the results return. The inpatient clinicians ordering the microbiology cultures are in the best position to put the results into the patient's clinical context. However, these clinicians may no longer be on clinical duty when the results return, or they may not have a system to ensure that they are notified about these results. While the outpatient providers may be available, they have often not seen the patient in follow‐up at the time the results return and would need to repeat a clinical assessment to determine whether a change in antibiotics is required. While many feel that the ordering provider is a logical choice to perform the follow‐up of the result, not all agree and few institutions have developed clear policies on this issue. To avoid this ambiguity, future work will require institutions to clearly outline which party is responsible for test result follow‐up during transitions of care.
Potential solutions to improve communication of these results must be tailored to the local infrastructure of the institution. In hospitals that do not have extensive electronic systems, a solution might involve a registered nurse, nurse practitioner, or lab technician whose responsibilities include identifying postdischarge results and communicating them to the ordering clinician, primary care provider, and patient. In settings with more advanced electronic infrastructure, solutions could be designed to automatically notify the responsible providers electronically, as well as post the results to a patient portal. Regardless of the level of technical sophistication, it is vital to create a system that has is highly reliable to prevent these important results from falling through the cracks.
Our study did have some limitations. First, we evaluated results from only one institution. It is unclear how substantially differences in practice patterns or patient populations would affect the number of postdischarge microbiology results in other settings. Second, we did not assess whether these results were actually followed up or whether treatment regimens were altered. As this study was retrospective in nature, we could not expect clinicians to recall the clinical scenarios surrounding each result and decided that documentation in clinical notes would be an unreliable indicator of whether any follow‐up action had been taken. Even without this information, however, we would submit that our findings represent a substantial near‐miss rate and threat to patient safety (approximately one potentially actionable, postdischarge microbiology result every other day for our hospital), and call for a fail‐safe system to ensure appropriate actions are taken.
In conclusion, microbiology results are often pending at the time patients are discharged from the hospital and roughly 2.4% of these results potentially require a change in therapy. This proportion was highest for urine cultures and cultures drawn from surgical patients. Our results suggest that a hospital‐wide system is warranted to ensure adequate communication of postdischarge microbiology results. Further research is required to evaluate the impact of such a system on the follow‐up rates of pending microbiology tests.
Acknowledgements
The authors thank Deborah Williams from the Brigham and Women's Division of General Medicine for her programming assistance.
- Patient safety concerns arising from test results that return after hospital discharge.Ann Intern Med.2005;143(2):121–128. , , , et al.
- Adequacy of hospital discharge summaries in documenting tests with pending results and outpatient follow‐up providers.J Gen Intern Med.2009;24(9):1002–1006. , , , et al.
- Doing better with critical test results.Jt Comm J Qual Patient Saf.2005;31(2):61,66–67. , .
- Fumbled handoffs: one dropped ball after another.Ann Intern Med.2005;142(5):352–358. .
- Communicating critical test results: safe practice recommendations.Jt Comm J Qual Patient Saf.2005;31(2):68–80. , , , .
- Introduction: Communicating critical test results.Jt Comm J Qual Patient Saf.2005;31(2):61,63–65. .
- Growth in the care of older patients by hospitalists in the United States.N Engl J Med.2009;360(11):1102–1112. , , , .
- Gaps in the continuity of care and progress on patient safety.BMJ.2000;320(7237):791–794. , , .
- Key legal principles for hospitalists.Am J Med.2001;111(9B):5S–9S. .
- Passing the clinical baton: 6 principles to guide the hospitalist.Am J Med.2001;111(9B):36S–39S. , , .
- Dissemination of discharge summaries. Not reaching follow‐up physicians.Can Fam Physician.2002;48:737–742. , , .
- Communication and information deficits in patients discharged to rehabilitation facilities: an evaluation of five acute care hospitals.J Hosp Med.2009;4(8):E28–33. , , , et al.
- Pending laboratory tests and the hospital discharge summary in patients discharged to sub‐acute care.J Gen Intern Med.2010;26(4):393–398. , , , , .
- Using electronic data to predict the probability of true bacteremia from positive blood cultures.Proc AMIA Symp.2000:893–897. , , , , , .
- The nature of adverse events in hospitalized patients. Results of the Harvard Medical Practice Study II.N Engl J Med.1991;324(6):377–384. , , , et al.
- Incidence and types of adverse events and negligent care in Utah and Colorado.Med Care.2000;38(3):261–271. , , , et al.
- General practitioner‐hospital communications: a review of discharge summaries.J Qual Clin Pract.2001;21(4):104–108. , , , .
- Failure to recognize and act on abnormal test results: the case of screening bone densitometry.Jt Comm J Qual Patient Saf.2005;31(2):90–97. , , , , , .
Many hospitalized patients have microbiology test results pending at the time of discharge.1, 2 Failure to follow up on these results in a timely fashion can lead to delays in diagnosis and adequate treatment of important infections. Prompt communication of the results of these pending tests to the responsible providers is crucial to minimize these delays.36 As hospitalized patients are increasingly cared for by clinicians other than their primary care providers,7 important information may be lost during the discharge process.8 This increasing fragmentation makes reliable communication of pending tests even more crucial.9, 10
Studies to date have primarily investigated tests from general medical services. In that setting, there is clearly room for improvement in test result communication. Discharge summaries often do not reach the outpatient providers at the time of the patients' follow‐up visits after hospitalization.11 When the discharge summaries are present, the majority of pending tests are not mentioned in them,2, 12, 13 and both inpatient and outpatient physicians are unaware of most of these results when they return.1 However, the specific characteristics of postdischarge microbiology results and the extent to which these results represent potential follow‐up errors in specialties other than general medicine have not been adequately studied.
We aimed to describe the issue of microbiology tests pending at the time of discharge from a hospital‐wide perspective. Specifically, we sought to determine: (1) frequency and characteristics of these results across all admitting services; and (2) how often these results potentially require a change in antimicrobial therapy.
Methods
Study Setting
We conducted our study at a 777‐bed, tertiary‐care academic hospital in Boston, MA with 13 medical and 18 surgical admitting specialties. The human research committee reviewed and approved the study design. For inpatient services, the hospital had well‐established computerized order entry and electronic discharge medication list systems, along with paper clinical notes. The affiliated outpatient practices used an internally developed electronic health record that could access the test results obtained during hospitalization.
Data Collection
We analyzed all 111,331 results of blood, urine, cerebrospinal fluid (CSF), and sputum cultures that were finalized by the hospital's microbiology laboratory in calendar year 2007. For each result, we determined the type of culture, the date of collection, the date of final result, and the identity and antibiotic susceptibility of any organisms isolated in the microbiology lab. For blood and CSF cultures, we also collected the date of preliminary susceptibilities. Preliminary susceptibilities are not reported for urine and sputum cultures at our institution. For cultures collected during hospital admission, we determined the dates of hospital admission and discharge, hospital service caring for the patient at the time of discharge, and the list of medications prescribed to the patient at discharge.
Case Selection Criteria
Our goal was to screen for postdischarge microbiology results that were likely to require action from the clinicians. To this end, we identified cases that were: (1) clinically important, which we defined as likely to represent a true infection or require further evaluation; and (2) were untreated at the time of discharge, which we defined as cases with no antibiotic or inadequate antibiotic therapy. We first excluded cultures obtained while patients were in the outpatient setting. We further excluded all cultures for which the preliminary susceptibilities or final results returned on or before the day of discharge from the hospital.
For each of the four culture types, we developed criteria to identify clinically important results. For blood cultures, we used a prediction model developed and validated at our institution that was based on the identity of the organism, time to first growth, and prior matching culture results.14 For the remaining three culture types, we defined clinical importance based on Centers for Disease Control and Prevention (CDC) definitions of nosocomial infections. These criteria were felt to be adequate to screen for both community‐acquired and nosocomial infections. For urine cultures, we required at least 100,000 colony‐forming units and growth of no more than two distinct organisms. For CSF, any growth was considered clinically important. For sputum, we required a positive culture as well as a discharge diagnosis of pneumonia based on International Classification of Diseases, Ninth Revision (ICD‐9) codes. The discharge diagnosis was included to incorporate the clinical interpretation required to separate true infections from contaminated samples or colonization.
To identify the untreated cultures, we compared the antibiotic susceptibility of the clinically important postdischarge results against the list of antibiotics prescribed to the patients at the time of hospital discharge. We considered the infections treated if there was at least one antibiotic on the discharge medication list to which the organism was found to be susceptible.
Manual Review
We manually reviewed a random sample of 94 of the clinically important and untreated postdischarge results to determine if the results potentially required a change in therapy and therefore required follow‐up. For each case, the electronic patient chart was reviewed by two internal medicine‐trained physicians on the study staff. Each reviewer was blinded to events that occurred after the cultures returned, and determined whether the results necessitated a potential change in antibiotic. The reviewer then indicated the level of certainty of that determination on a 6‐point Likert scale that had been previously used in reviews to identify adverse medical events15, 16: 1 = little or no evidence, 2 = slight evidence, 3 = not quite likely (<50:50 but close call), 4 = more likely than not (>50:50 but close call), 5 = strong evidence, and 6 = virtually certain evidence. To standardize the assignment of certainty for potential need for antibiotic change, we used a set of review guidelines developed by our study staff (Figure 1). A microbiology result was defined as potentially necessitating antibiotic change if both reviewers indicated as such and recorded a certainty with a score 4. Differences in assessments were resolved through discussion of the case between the reviewers.

Statistical Analysis
Using the 94 manually reviewed results, we examined how the proportion of clinically important and untreated microbiology results requiring follow‐up varied by type of culture and primary discharging service. We created a multivariable logistic regression model to predict which of the untreated, postdischarge results required follow‐up. The covariates in our model were selected a priori and included type of culture, hospital service at the time of discharge, patient age, sex, and insurance status. Type of culture and hospital service were included to determine how the distribution of untreated results varied across hospital specialties. Patient age, sex, and insurance status were included to account for differences in the prevalence of antibiotic‐resistant organisms and the clinician's choice of which empiric antimicrobial agent, if any, to initiate based on these patient‐level factors. We calculated a kappa statistic to measure the concordance of the assessments of the two reviewers prior to resolution of disagreements. All analyses were performed using SAS (version 9.2, Cary, NC).
Results
Of the 111,331 blood, urine, sputum, and CSF cultures analyzed, 77,349 (69%) were collected from hospitalized patients. The majority (63%) of the inpatient results were for blood cultures and one quarter (24%) were for urine cultures. Table 1 shows the distribution of the microbiology results across primary services responsible for the patients at the time of discharge. Half (49%) of the patients from whom the specimens were collected were female. The mean age of patients was 55 years. Most (68%) were white and most (86%) had either commercial insurance or Medicare (Table 1).
Variable | Results for Admitted Patients (n = 77,349) | Results Finalized Postdischarge (n = 8,668) |
---|---|---|
| ||
Type of culture, n (%) | ||
Urine | 18,746 (24) | 2,843 (33) |
Blood | 48,546 (63) | 4,696 (54) |
Sputum | 8,466 (11) | 1,059 (12) |
CSF | 1,591 (2) | 70 (1) |
Hospital service at discharge, n (%) | ||
General Medicine | 15,997 (21) | 2,548 (29) |
Oncology | 13,138 (17) | 1,341 (15) |
Medical subspecialties | 20,846 (27) | 2,025 (23) |
Surgery | 23,380 (30) | 2,031 (23) |
Other | 3,988 (5) | 723 (8) |
Patient characteristics | ||
Female, n (%) | 38,125 (49) | 4,539 (52) |
Age, n (SD) | 55 (21) | 56 (19) |
Race, n (%) | ||
White | 52,824 (68) | 5,669 (65) |
Black | 9,319 (12) | 1,241 (14) |
Asian | 1,565 (2) | 183 (2) |
Hispanic | 5,116 (7) | 897 (10) |
Other | 1,330 (2) | 146 (2) |
Unavailable | 7,195 (9) | 532 (6) |
Insurance, n (%) | ||
Commercial | 35,893 (46) | 3,977 (46) |
Medicare | 30,553 (40) | 3,473 (40) |
Medicaid | 9,514 (12) | 1,034 (12) |
Other | 1,389 (2) | 184 (2) |
Of the 77,349 microbiology tests obtained during hospital stays, 8668 (11%) of the inpatient microbiology results were reported after the patients were discharged from the hospital. Most (54%) of these postdischarge results were for blood cultures. The distribution of results across primary hospital service, patient sex, race, insurance, and mean patient age were similar to those for all inpatient results (Table 1). Of the 8668 postdischarge results, 385 (4%) met our screening criteria of being both clinically important and not treated by an antibiotic to which the organism was found susceptible at the time of discharge from the hospital. After manual review of a random subset of 94 of these screen‐positive cases, 50 (53%) required follow‐up (Figure 2). The interrater reliability for the reviewers was found to be kappa = 0.58 (P < 0.001). From our results, we estimated that 2.4% of the postdischarge microbiology results required follow‐up and potential change in therapy.

Potential need for antibiotic change was present in 30 of 45 (67%) urine cultures, 12 of 32 (38%) blood cultures, 8 of 16 (50%) sputum cultures, and 0 of 1 (0%) CSF cultures. By primary service, reviewers identified a potential need for antibiotic change in 19 of 25 (76%) of results from surgical services, 17 of 29 (59%) from general medicine, 6 of 16 (38%) from oncology, and 8 of 23 (35%) from medical subspecialties. Examples of cases that potentially required antibiotic change are shown in Table 2.
Culture Type | Scenario |
---|---|
Urine | 42‐year‐old woman with dysuria after admission for hysterectomy; no empiric antibiotic treatment given; postdischarge urine culture grew Klebsiella pneumoniae |
Blood | 81‐year‐old man with Crohn's disease on total parenteral nutrition (TPN) who was initially treated for sepsis from suspected line infection, but discharged without antibiotics, given negative cultures during admission; postdischarge blood culture grew Klebsiella pneumoniae |
Sputum | 46‐year‐old woman prescribed levofloxacin for pneumonia; sputum culture returns postdischarge with Pseudomonas aeruginosa resistant to levofloxacin |
In our logistic regression model, both the type of culture and the primary hospital service were found to be significant predictors of a potential need for antibiotic change in the manually reviewed cases. Urine cultures were more likely than non‐urine cultures to potentially require antibiotic change (P = 0.03; OR 2.8, 95% CI 1.1‐7.2). Results from surgical services were most likely to potentially require antibiotic change, followed by general medicine, oncology, and medical subspecialties (Table 3).
Variable | Results Potentially Requiring Change in Therapy (n = 50) | Results Not Requiring Change in Therapy (n = 44) | Odds Ratio (95% CI)* | Adjusted P‐value* |
---|---|---|---|---|
| ||||
Type of culture, n (%) | ||||
Urine | 30 (60) | 15 (34) | 2.84 (1.13‐7.17) | 0.03 |
Non‐urine | 20 (40) | 29 (66) | Ref | |
Hospital service at discharge, n (%) | ||||
General Medicine | 17 (34) | 12 (27) | Ref | |
Oncology | 6 (12) | 10 (23) | 0.41 (0.11‐1.56) | 0.02 |
Medical subspecialties | 8 (16) | 16 (36) | 0.34 (0.10‐1.16) | |
Surgery | 19 (38) | 6 (14) | 2.40 (0.65‐8.89) | |
Age, mean (SD) | 61 (20) | 59 (21) | 1.01 (0.98‐1.04) | 0.62 |
Female, n (%) | 29 (58) | 21 (42) | 1.15 (0.44‐2.98) | 0.77 |
Insurance, n (%) | ||||
Commercial | 17 (34) | 19 (43) | Ref | |
Medicare | 25 (50) | 19 (43) | 1.60 (0.42‐6.11) | 0.65 |
Medicaid and other | 8 (16) | 6 (14) | 1.78 (0.43‐7.36) |
Discussion
We performed a retrospective analysis of all blood, urine, sputum, and CSF cultures finalized at our institution in 2007 and found that many returned after patients were discharged. Overall, we estimated that 2.4% of these postdischarge results potentially required a change in antibiotic. This proportion varied by culture type and by primary hospital service at the time of discharge, with urine cultures and cultures from surgical services being most likely to potentially need change in antibiotic.
We speculate that postdischarge urine cultures may have been more likely to require antibiotic change in part due to different urgency that clinicians assign to different culture types. Urinary tract infections may present with more vague, transient, or minor complaints compared with bacteremia, pneumonia, and cerebrospinal fluid infections. For that reason, clinicians may be more likely to forego empiric antibiotics for pending urine cultures in favor of watchful waiting. Therefore, the postdischarge urine cultures with growth may include a higher proportion of untreated true infections compared with other culture types.
A similar difference in prescription of empiric antibiotics may help explain the differences seen across primary hospital specialties. For example, if patients on surgical services were less likely to receive empiric antibiotics, then the pool of postdischarge results would be more likely to include true infections that require antibiotic change. Furthermore, it is possible that surgical services may tend to order cultures for patients only if they already have convincing evidence of infections. It may be that selecting a group with higher likelihood of infection led to a higher proportion of true infections in surgical patients with cultures with growth.
Prior studies led by Roy and Were illustrated that pending microbiology results from general medicine services were often not communicated and followed up adequately.1, 2 For patients discharged with pending test results, between 47% and 89% of discharge summaries did not mention the pending tests.2, 12, 13, 17 These deficiencies in discharge summaries likely have a substantial impact on the proportion of tests followed up by outpatient clinicians. By extending the analysis hospital‐wide, our study suggests that pending microbiology results occur for a wide range of hospital services. While our study was not designed to determine whether these results were followed up appropriately, opportunities for miscommunication and missed follow‐up likely exist for all specialties.
The potential harms associated with inadequate test follow‐up have gained the attention of the patient safety community. In 2005, the Joint Commission underscored the importance of proper communication of critical lab results.3, 5, 18 Their recommendations included the development of systems to ensure adequate follow‐up of critical results in high‐risk scenarios including the postdischarge period.5 While many of the microbiology results do not fall into the criticalcategory, we feel that these results should be considered for inclusion in hospital efforts to track postdischarge results. These efforts should also address issues specific to microbiology results, such as preliminary status before antibiotic sensitivities are known.
Developing a comprehensive strategy for test result communication is challenging, and more so for results that return after transitions of care. Even defining the proper target of communication interventions can involve complex organizational and cultural issues. As these results span the inpatient and outpatient domains, there may be some ambiguity as to which provider is responsible when the results return. The inpatient clinicians ordering the microbiology cultures are in the best position to put the results into the patient's clinical context. However, these clinicians may no longer be on clinical duty when the results return, or they may not have a system to ensure that they are notified about these results. While the outpatient providers may be available, they have often not seen the patient in follow‐up at the time the results return and would need to repeat a clinical assessment to determine whether a change in antibiotics is required. While many feel that the ordering provider is a logical choice to perform the follow‐up of the result, not all agree and few institutions have developed clear policies on this issue. To avoid this ambiguity, future work will require institutions to clearly outline which party is responsible for test result follow‐up during transitions of care.
Potential solutions to improve communication of these results must be tailored to the local infrastructure of the institution. In hospitals that do not have extensive electronic systems, a solution might involve a registered nurse, nurse practitioner, or lab technician whose responsibilities include identifying postdischarge results and communicating them to the ordering clinician, primary care provider, and patient. In settings with more advanced electronic infrastructure, solutions could be designed to automatically notify the responsible providers electronically, as well as post the results to a patient portal. Regardless of the level of technical sophistication, it is vital to create a system that has is highly reliable to prevent these important results from falling through the cracks.
Our study did have some limitations. First, we evaluated results from only one institution. It is unclear how substantially differences in practice patterns or patient populations would affect the number of postdischarge microbiology results in other settings. Second, we did not assess whether these results were actually followed up or whether treatment regimens were altered. As this study was retrospective in nature, we could not expect clinicians to recall the clinical scenarios surrounding each result and decided that documentation in clinical notes would be an unreliable indicator of whether any follow‐up action had been taken. Even without this information, however, we would submit that our findings represent a substantial near‐miss rate and threat to patient safety (approximately one potentially actionable, postdischarge microbiology result every other day for our hospital), and call for a fail‐safe system to ensure appropriate actions are taken.
In conclusion, microbiology results are often pending at the time patients are discharged from the hospital and roughly 2.4% of these results potentially require a change in therapy. This proportion was highest for urine cultures and cultures drawn from surgical patients. Our results suggest that a hospital‐wide system is warranted to ensure adequate communication of postdischarge microbiology results. Further research is required to evaluate the impact of such a system on the follow‐up rates of pending microbiology tests.
Acknowledgements
The authors thank Deborah Williams from the Brigham and Women's Division of General Medicine for her programming assistance.
Many hospitalized patients have microbiology test results pending at the time of discharge.1, 2 Failure to follow up on these results in a timely fashion can lead to delays in diagnosis and adequate treatment of important infections. Prompt communication of the results of these pending tests to the responsible providers is crucial to minimize these delays.36 As hospitalized patients are increasingly cared for by clinicians other than their primary care providers,7 important information may be lost during the discharge process.8 This increasing fragmentation makes reliable communication of pending tests even more crucial.9, 10
Studies to date have primarily investigated tests from general medical services. In that setting, there is clearly room for improvement in test result communication. Discharge summaries often do not reach the outpatient providers at the time of the patients' follow‐up visits after hospitalization.11 When the discharge summaries are present, the majority of pending tests are not mentioned in them,2, 12, 13 and both inpatient and outpatient physicians are unaware of most of these results when they return.1 However, the specific characteristics of postdischarge microbiology results and the extent to which these results represent potential follow‐up errors in specialties other than general medicine have not been adequately studied.
We aimed to describe the issue of microbiology tests pending at the time of discharge from a hospital‐wide perspective. Specifically, we sought to determine: (1) frequency and characteristics of these results across all admitting services; and (2) how often these results potentially require a change in antimicrobial therapy.
Methods
Study Setting
We conducted our study at a 777‐bed, tertiary‐care academic hospital in Boston, MA with 13 medical and 18 surgical admitting specialties. The human research committee reviewed and approved the study design. For inpatient services, the hospital had well‐established computerized order entry and electronic discharge medication list systems, along with paper clinical notes. The affiliated outpatient practices used an internally developed electronic health record that could access the test results obtained during hospitalization.
Data Collection
We analyzed all 111,331 results of blood, urine, cerebrospinal fluid (CSF), and sputum cultures that were finalized by the hospital's microbiology laboratory in calendar year 2007. For each result, we determined the type of culture, the date of collection, the date of final result, and the identity and antibiotic susceptibility of any organisms isolated in the microbiology lab. For blood and CSF cultures, we also collected the date of preliminary susceptibilities. Preliminary susceptibilities are not reported for urine and sputum cultures at our institution. For cultures collected during hospital admission, we determined the dates of hospital admission and discharge, hospital service caring for the patient at the time of discharge, and the list of medications prescribed to the patient at discharge.
Case Selection Criteria
Our goal was to screen for postdischarge microbiology results that were likely to require action from the clinicians. To this end, we identified cases that were: (1) clinically important, which we defined as likely to represent a true infection or require further evaluation; and (2) were untreated at the time of discharge, which we defined as cases with no antibiotic or inadequate antibiotic therapy. We first excluded cultures obtained while patients were in the outpatient setting. We further excluded all cultures for which the preliminary susceptibilities or final results returned on or before the day of discharge from the hospital.
For each of the four culture types, we developed criteria to identify clinically important results. For blood cultures, we used a prediction model developed and validated at our institution that was based on the identity of the organism, time to first growth, and prior matching culture results.14 For the remaining three culture types, we defined clinical importance based on Centers for Disease Control and Prevention (CDC) definitions of nosocomial infections. These criteria were felt to be adequate to screen for both community‐acquired and nosocomial infections. For urine cultures, we required at least 100,000 colony‐forming units and growth of no more than two distinct organisms. For CSF, any growth was considered clinically important. For sputum, we required a positive culture as well as a discharge diagnosis of pneumonia based on International Classification of Diseases, Ninth Revision (ICD‐9) codes. The discharge diagnosis was included to incorporate the clinical interpretation required to separate true infections from contaminated samples or colonization.
To identify the untreated cultures, we compared the antibiotic susceptibility of the clinically important postdischarge results against the list of antibiotics prescribed to the patients at the time of hospital discharge. We considered the infections treated if there was at least one antibiotic on the discharge medication list to which the organism was found to be susceptible.
Manual Review
We manually reviewed a random sample of 94 of the clinically important and untreated postdischarge results to determine if the results potentially required a change in therapy and therefore required follow‐up. For each case, the electronic patient chart was reviewed by two internal medicine‐trained physicians on the study staff. Each reviewer was blinded to events that occurred after the cultures returned, and determined whether the results necessitated a potential change in antibiotic. The reviewer then indicated the level of certainty of that determination on a 6‐point Likert scale that had been previously used in reviews to identify adverse medical events15, 16: 1 = little or no evidence, 2 = slight evidence, 3 = not quite likely (<50:50 but close call), 4 = more likely than not (>50:50 but close call), 5 = strong evidence, and 6 = virtually certain evidence. To standardize the assignment of certainty for potential need for antibiotic change, we used a set of review guidelines developed by our study staff (Figure 1). A microbiology result was defined as potentially necessitating antibiotic change if both reviewers indicated as such and recorded a certainty with a score 4. Differences in assessments were resolved through discussion of the case between the reviewers.

Statistical Analysis
Using the 94 manually reviewed results, we examined how the proportion of clinically important and untreated microbiology results requiring follow‐up varied by type of culture and primary discharging service. We created a multivariable logistic regression model to predict which of the untreated, postdischarge results required follow‐up. The covariates in our model were selected a priori and included type of culture, hospital service at the time of discharge, patient age, sex, and insurance status. Type of culture and hospital service were included to determine how the distribution of untreated results varied across hospital specialties. Patient age, sex, and insurance status were included to account for differences in the prevalence of antibiotic‐resistant organisms and the clinician's choice of which empiric antimicrobial agent, if any, to initiate based on these patient‐level factors. We calculated a kappa statistic to measure the concordance of the assessments of the two reviewers prior to resolution of disagreements. All analyses were performed using SAS (version 9.2, Cary, NC).
Results
Of the 111,331 blood, urine, sputum, and CSF cultures analyzed, 77,349 (69%) were collected from hospitalized patients. The majority (63%) of the inpatient results were for blood cultures and one quarter (24%) were for urine cultures. Table 1 shows the distribution of the microbiology results across primary services responsible for the patients at the time of discharge. Half (49%) of the patients from whom the specimens were collected were female. The mean age of patients was 55 years. Most (68%) were white and most (86%) had either commercial insurance or Medicare (Table 1).
Variable | Results for Admitted Patients (n = 77,349) | Results Finalized Postdischarge (n = 8,668) |
---|---|---|
| ||
Type of culture, n (%) | ||
Urine | 18,746 (24) | 2,843 (33) |
Blood | 48,546 (63) | 4,696 (54) |
Sputum | 8,466 (11) | 1,059 (12) |
CSF | 1,591 (2) | 70 (1) |
Hospital service at discharge, n (%) | ||
General Medicine | 15,997 (21) | 2,548 (29) |
Oncology | 13,138 (17) | 1,341 (15) |
Medical subspecialties | 20,846 (27) | 2,025 (23) |
Surgery | 23,380 (30) | 2,031 (23) |
Other | 3,988 (5) | 723 (8) |
Patient characteristics | ||
Female, n (%) | 38,125 (49) | 4,539 (52) |
Age, n (SD) | 55 (21) | 56 (19) |
Race, n (%) | ||
White | 52,824 (68) | 5,669 (65) |
Black | 9,319 (12) | 1,241 (14) |
Asian | 1,565 (2) | 183 (2) |
Hispanic | 5,116 (7) | 897 (10) |
Other | 1,330 (2) | 146 (2) |
Unavailable | 7,195 (9) | 532 (6) |
Insurance, n (%) | ||
Commercial | 35,893 (46) | 3,977 (46) |
Medicare | 30,553 (40) | 3,473 (40) |
Medicaid | 9,514 (12) | 1,034 (12) |
Other | 1,389 (2) | 184 (2) |
Of the 77,349 microbiology tests obtained during hospital stays, 8668 (11%) of the inpatient microbiology results were reported after the patients were discharged from the hospital. Most (54%) of these postdischarge results were for blood cultures. The distribution of results across primary hospital service, patient sex, race, insurance, and mean patient age were similar to those for all inpatient results (Table 1). Of the 8668 postdischarge results, 385 (4%) met our screening criteria of being both clinically important and not treated by an antibiotic to which the organism was found susceptible at the time of discharge from the hospital. After manual review of a random subset of 94 of these screen‐positive cases, 50 (53%) required follow‐up (Figure 2). The interrater reliability for the reviewers was found to be kappa = 0.58 (P < 0.001). From our results, we estimated that 2.4% of the postdischarge microbiology results required follow‐up and potential change in therapy.

Potential need for antibiotic change was present in 30 of 45 (67%) urine cultures, 12 of 32 (38%) blood cultures, 8 of 16 (50%) sputum cultures, and 0 of 1 (0%) CSF cultures. By primary service, reviewers identified a potential need for antibiotic change in 19 of 25 (76%) of results from surgical services, 17 of 29 (59%) from general medicine, 6 of 16 (38%) from oncology, and 8 of 23 (35%) from medical subspecialties. Examples of cases that potentially required antibiotic change are shown in Table 2.
Culture Type | Scenario |
---|---|
Urine | 42‐year‐old woman with dysuria after admission for hysterectomy; no empiric antibiotic treatment given; postdischarge urine culture grew Klebsiella pneumoniae |
Blood | 81‐year‐old man with Crohn's disease on total parenteral nutrition (TPN) who was initially treated for sepsis from suspected line infection, but discharged without antibiotics, given negative cultures during admission; postdischarge blood culture grew Klebsiella pneumoniae |
Sputum | 46‐year‐old woman prescribed levofloxacin for pneumonia; sputum culture returns postdischarge with Pseudomonas aeruginosa resistant to levofloxacin |
In our logistic regression model, both the type of culture and the primary hospital service were found to be significant predictors of a potential need for antibiotic change in the manually reviewed cases. Urine cultures were more likely than non‐urine cultures to potentially require antibiotic change (P = 0.03; OR 2.8, 95% CI 1.1‐7.2). Results from surgical services were most likely to potentially require antibiotic change, followed by general medicine, oncology, and medical subspecialties (Table 3).
Variable | Results Potentially Requiring Change in Therapy (n = 50) | Results Not Requiring Change in Therapy (n = 44) | Odds Ratio (95% CI)* | Adjusted P‐value* |
---|---|---|---|---|
| ||||
Type of culture, n (%) | ||||
Urine | 30 (60) | 15 (34) | 2.84 (1.13‐7.17) | 0.03 |
Non‐urine | 20 (40) | 29 (66) | Ref | |
Hospital service at discharge, n (%) | ||||
General Medicine | 17 (34) | 12 (27) | Ref | |
Oncology | 6 (12) | 10 (23) | 0.41 (0.11‐1.56) | 0.02 |
Medical subspecialties | 8 (16) | 16 (36) | 0.34 (0.10‐1.16) | |
Surgery | 19 (38) | 6 (14) | 2.40 (0.65‐8.89) | |
Age, mean (SD) | 61 (20) | 59 (21) | 1.01 (0.98‐1.04) | 0.62 |
Female, n (%) | 29 (58) | 21 (42) | 1.15 (0.44‐2.98) | 0.77 |
Insurance, n (%) | ||||
Commercial | 17 (34) | 19 (43) | Ref | |
Medicare | 25 (50) | 19 (43) | 1.60 (0.42‐6.11) | 0.65 |
Medicaid and other | 8 (16) | 6 (14) | 1.78 (0.43‐7.36) |
Discussion
We performed a retrospective analysis of all blood, urine, sputum, and CSF cultures finalized at our institution in 2007 and found that many returned after patients were discharged. Overall, we estimated that 2.4% of these postdischarge results potentially required a change in antibiotic. This proportion varied by culture type and by primary hospital service at the time of discharge, with urine cultures and cultures from surgical services being most likely to potentially need change in antibiotic.
We speculate that postdischarge urine cultures may have been more likely to require antibiotic change in part due to different urgency that clinicians assign to different culture types. Urinary tract infections may present with more vague, transient, or minor complaints compared with bacteremia, pneumonia, and cerebrospinal fluid infections. For that reason, clinicians may be more likely to forego empiric antibiotics for pending urine cultures in favor of watchful waiting. Therefore, the postdischarge urine cultures with growth may include a higher proportion of untreated true infections compared with other culture types.
A similar difference in prescription of empiric antibiotics may help explain the differences seen across primary hospital specialties. For example, if patients on surgical services were less likely to receive empiric antibiotics, then the pool of postdischarge results would be more likely to include true infections that require antibiotic change. Furthermore, it is possible that surgical services may tend to order cultures for patients only if they already have convincing evidence of infections. It may be that selecting a group with higher likelihood of infection led to a higher proportion of true infections in surgical patients with cultures with growth.
Prior studies led by Roy and Were illustrated that pending microbiology results from general medicine services were often not communicated and followed up adequately.1, 2 For patients discharged with pending test results, between 47% and 89% of discharge summaries did not mention the pending tests.2, 12, 13, 17 These deficiencies in discharge summaries likely have a substantial impact on the proportion of tests followed up by outpatient clinicians. By extending the analysis hospital‐wide, our study suggests that pending microbiology results occur for a wide range of hospital services. While our study was not designed to determine whether these results were followed up appropriately, opportunities for miscommunication and missed follow‐up likely exist for all specialties.
The potential harms associated with inadequate test follow‐up have gained the attention of the patient safety community. In 2005, the Joint Commission underscored the importance of proper communication of critical lab results.3, 5, 18 Their recommendations included the development of systems to ensure adequate follow‐up of critical results in high‐risk scenarios including the postdischarge period.5 While many of the microbiology results do not fall into the criticalcategory, we feel that these results should be considered for inclusion in hospital efforts to track postdischarge results. These efforts should also address issues specific to microbiology results, such as preliminary status before antibiotic sensitivities are known.
Developing a comprehensive strategy for test result communication is challenging, and more so for results that return after transitions of care. Even defining the proper target of communication interventions can involve complex organizational and cultural issues. As these results span the inpatient and outpatient domains, there may be some ambiguity as to which provider is responsible when the results return. The inpatient clinicians ordering the microbiology cultures are in the best position to put the results into the patient's clinical context. However, these clinicians may no longer be on clinical duty when the results return, or they may not have a system to ensure that they are notified about these results. While the outpatient providers may be available, they have often not seen the patient in follow‐up at the time the results return and would need to repeat a clinical assessment to determine whether a change in antibiotics is required. While many feel that the ordering provider is a logical choice to perform the follow‐up of the result, not all agree and few institutions have developed clear policies on this issue. To avoid this ambiguity, future work will require institutions to clearly outline which party is responsible for test result follow‐up during transitions of care.
Potential solutions to improve communication of these results must be tailored to the local infrastructure of the institution. In hospitals that do not have extensive electronic systems, a solution might involve a registered nurse, nurse practitioner, or lab technician whose responsibilities include identifying postdischarge results and communicating them to the ordering clinician, primary care provider, and patient. In settings with more advanced electronic infrastructure, solutions could be designed to automatically notify the responsible providers electronically, as well as post the results to a patient portal. Regardless of the level of technical sophistication, it is vital to create a system that has is highly reliable to prevent these important results from falling through the cracks.
Our study did have some limitations. First, we evaluated results from only one institution. It is unclear how substantially differences in practice patterns or patient populations would affect the number of postdischarge microbiology results in other settings. Second, we did not assess whether these results were actually followed up or whether treatment regimens were altered. As this study was retrospective in nature, we could not expect clinicians to recall the clinical scenarios surrounding each result and decided that documentation in clinical notes would be an unreliable indicator of whether any follow‐up action had been taken. Even without this information, however, we would submit that our findings represent a substantial near‐miss rate and threat to patient safety (approximately one potentially actionable, postdischarge microbiology result every other day for our hospital), and call for a fail‐safe system to ensure appropriate actions are taken.
In conclusion, microbiology results are often pending at the time patients are discharged from the hospital and roughly 2.4% of these results potentially require a change in therapy. This proportion was highest for urine cultures and cultures drawn from surgical patients. Our results suggest that a hospital‐wide system is warranted to ensure adequate communication of postdischarge microbiology results. Further research is required to evaluate the impact of such a system on the follow‐up rates of pending microbiology tests.
Acknowledgements
The authors thank Deborah Williams from the Brigham and Women's Division of General Medicine for her programming assistance.
- Patient safety concerns arising from test results that return after hospital discharge.Ann Intern Med.2005;143(2):121–128. , , , et al.
- Adequacy of hospital discharge summaries in documenting tests with pending results and outpatient follow‐up providers.J Gen Intern Med.2009;24(9):1002–1006. , , , et al.
- Doing better with critical test results.Jt Comm J Qual Patient Saf.2005;31(2):61,66–67. , .
- Fumbled handoffs: one dropped ball after another.Ann Intern Med.2005;142(5):352–358. .
- Communicating critical test results: safe practice recommendations.Jt Comm J Qual Patient Saf.2005;31(2):68–80. , , , .
- Introduction: Communicating critical test results.Jt Comm J Qual Patient Saf.2005;31(2):61,63–65. .
- Growth in the care of older patients by hospitalists in the United States.N Engl J Med.2009;360(11):1102–1112. , , , .
- Gaps in the continuity of care and progress on patient safety.BMJ.2000;320(7237):791–794. , , .
- Key legal principles for hospitalists.Am J Med.2001;111(9B):5S–9S. .
- Passing the clinical baton: 6 principles to guide the hospitalist.Am J Med.2001;111(9B):36S–39S. , , .
- Dissemination of discharge summaries. Not reaching follow‐up physicians.Can Fam Physician.2002;48:737–742. , , .
- Communication and information deficits in patients discharged to rehabilitation facilities: an evaluation of five acute care hospitals.J Hosp Med.2009;4(8):E28–33. , , , et al.
- Pending laboratory tests and the hospital discharge summary in patients discharged to sub‐acute care.J Gen Intern Med.2010;26(4):393–398. , , , , .
- Using electronic data to predict the probability of true bacteremia from positive blood cultures.Proc AMIA Symp.2000:893–897. , , , , , .
- The nature of adverse events in hospitalized patients. Results of the Harvard Medical Practice Study II.N Engl J Med.1991;324(6):377–384. , , , et al.
- Incidence and types of adverse events and negligent care in Utah and Colorado.Med Care.2000;38(3):261–271. , , , et al.
- General practitioner‐hospital communications: a review of discharge summaries.J Qual Clin Pract.2001;21(4):104–108. , , , .
- Failure to recognize and act on abnormal test results: the case of screening bone densitometry.Jt Comm J Qual Patient Saf.2005;31(2):90–97. , , , , , .
- Patient safety concerns arising from test results that return after hospital discharge.Ann Intern Med.2005;143(2):121–128. , , , et al.
- Adequacy of hospital discharge summaries in documenting tests with pending results and outpatient follow‐up providers.J Gen Intern Med.2009;24(9):1002–1006. , , , et al.
- Doing better with critical test results.Jt Comm J Qual Patient Saf.2005;31(2):61,66–67. , .
- Fumbled handoffs: one dropped ball after another.Ann Intern Med.2005;142(5):352–358. .
- Communicating critical test results: safe practice recommendations.Jt Comm J Qual Patient Saf.2005;31(2):68–80. , , , .
- Introduction: Communicating critical test results.Jt Comm J Qual Patient Saf.2005;31(2):61,63–65. .
- Growth in the care of older patients by hospitalists in the United States.N Engl J Med.2009;360(11):1102–1112. , , , .
- Gaps in the continuity of care and progress on patient safety.BMJ.2000;320(7237):791–794. , , .
- Key legal principles for hospitalists.Am J Med.2001;111(9B):5S–9S. .
- Passing the clinical baton: 6 principles to guide the hospitalist.Am J Med.2001;111(9B):36S–39S. , , .
- Dissemination of discharge summaries. Not reaching follow‐up physicians.Can Fam Physician.2002;48:737–742. , , .
- Communication and information deficits in patients discharged to rehabilitation facilities: an evaluation of five acute care hospitals.J Hosp Med.2009;4(8):E28–33. , , , et al.
- Pending laboratory tests and the hospital discharge summary in patients discharged to sub‐acute care.J Gen Intern Med.2010;26(4):393–398. , , , , .
- Using electronic data to predict the probability of true bacteremia from positive blood cultures.Proc AMIA Symp.2000:893–897. , , , , , .
- The nature of adverse events in hospitalized patients. Results of the Harvard Medical Practice Study II.N Engl J Med.1991;324(6):377–384. , , , et al.
- Incidence and types of adverse events and negligent care in Utah and Colorado.Med Care.2000;38(3):261–271. , , , et al.
- General practitioner‐hospital communications: a review of discharge summaries.J Qual Clin Pract.2001;21(4):104–108. , , , .
- Failure to recognize and act on abnormal test results: the case of screening bone densitometry.Jt Comm J Qual Patient Saf.2005;31(2):90–97. , , , , , .
Copyright © 2010 Society of Hospital Medicine
A Numbers Game
New guidelines from the American College of Physicians (ACP) on the use of intensive insulin therapy (IIT) for glycemic control of hospitalized patients have prompted a backlash from physicians, including an SHM mentor, who think the rules could lead to needless confusion on best practices.
The guidelines, issued in February, recommend against using IIT to strictly control or normalize blood glucose in nonsurgical or medical ICU patients with or without diabetes. It also recommends a target blood-glucose level of 140 mg to 200 mg if insulin therapy is used in those patients.
Hospitalist Pedro Ramos, MD, assistant clinical professor of medicine at the University of California at San Diego and a mentor with SHM’s Glycemic Control Mentored Implementation (GCMI) program, says the first two guidelines are in line with current practice, as laid out by a 2009 consensus statement from the American Association of Clinical Endocrinologists and the American Diabetes Association.
The guideline on glucose levels, however, has generated harsh feedback, with one cardiothoracic surgeon calling for ACP to pull the recommendations. Dr. Ramos doesn’t go that far, but he wonders whether that guideline was necessary, as he believes there is little strong evidence on outcomes from 180 mg to 200 mg.
The third guidelin "didn't really add much, other than confusion," Dr. Ramos says.
Dr. Ramos says it's too early to draw best practices from SHM's GCMI program, but the initiative is drawing attention to the issue. He hopes the ACP guidelines won't impede that growth.
"I want [hospitalists] not to focus on the numbers: 140 to 180, 140 to 200," Dr. Ramos explains. "What I want them to take from it is we need control ... we need safe targets and they need to be achievable."
New guidelines from the American College of Physicians (ACP) on the use of intensive insulin therapy (IIT) for glycemic control of hospitalized patients have prompted a backlash from physicians, including an SHM mentor, who think the rules could lead to needless confusion on best practices.
The guidelines, issued in February, recommend against using IIT to strictly control or normalize blood glucose in nonsurgical or medical ICU patients with or without diabetes. It also recommends a target blood-glucose level of 140 mg to 200 mg if insulin therapy is used in those patients.
Hospitalist Pedro Ramos, MD, assistant clinical professor of medicine at the University of California at San Diego and a mentor with SHM’s Glycemic Control Mentored Implementation (GCMI) program, says the first two guidelines are in line with current practice, as laid out by a 2009 consensus statement from the American Association of Clinical Endocrinologists and the American Diabetes Association.
The guideline on glucose levels, however, has generated harsh feedback, with one cardiothoracic surgeon calling for ACP to pull the recommendations. Dr. Ramos doesn’t go that far, but he wonders whether that guideline was necessary, as he believes there is little strong evidence on outcomes from 180 mg to 200 mg.
The third guidelin "didn't really add much, other than confusion," Dr. Ramos says.
Dr. Ramos says it's too early to draw best practices from SHM's GCMI program, but the initiative is drawing attention to the issue. He hopes the ACP guidelines won't impede that growth.
"I want [hospitalists] not to focus on the numbers: 140 to 180, 140 to 200," Dr. Ramos explains. "What I want them to take from it is we need control ... we need safe targets and they need to be achievable."
New guidelines from the American College of Physicians (ACP) on the use of intensive insulin therapy (IIT) for glycemic control of hospitalized patients have prompted a backlash from physicians, including an SHM mentor, who think the rules could lead to needless confusion on best practices.
The guidelines, issued in February, recommend against using IIT to strictly control or normalize blood glucose in nonsurgical or medical ICU patients with or without diabetes. It also recommends a target blood-glucose level of 140 mg to 200 mg if insulin therapy is used in those patients.
Hospitalist Pedro Ramos, MD, assistant clinical professor of medicine at the University of California at San Diego and a mentor with SHM’s Glycemic Control Mentored Implementation (GCMI) program, says the first two guidelines are in line with current practice, as laid out by a 2009 consensus statement from the American Association of Clinical Endocrinologists and the American Diabetes Association.
The guideline on glucose levels, however, has generated harsh feedback, with one cardiothoracic surgeon calling for ACP to pull the recommendations. Dr. Ramos doesn’t go that far, but he wonders whether that guideline was necessary, as he believes there is little strong evidence on outcomes from 180 mg to 200 mg.
The third guidelin "didn't really add much, other than confusion," Dr. Ramos says.
Dr. Ramos says it's too early to draw best practices from SHM's GCMI program, but the initiative is drawing attention to the issue. He hopes the ACP guidelines won't impede that growth.
"I want [hospitalists] not to focus on the numbers: 140 to 180, 140 to 200," Dr. Ramos explains. "What I want them to take from it is we need control ... we need safe targets and they need to be achievable."
In the Lit: Research You Need to Know
Clinical question: Do hospitals caring for a higher volume of patients with congestive heart failure (CHF) provide better, more efficient care for those patients?
Background: For some surgical and cardiovascular procedures, higher procedure volumes have been associated with better outcomes and lower costs. It is unclear whether this association also exists for common medical conditions, such as CHF.
Study design: Retrospective cohort study.
Setting: National sample of Medicare fee-for-service patients 65 years or older.
Synopsis: National Medicare claims data for more than 1 million discharges from 4,095 hospitals were used to examine the relationship between hospital case volume and quality of care, outcomes, and cost for patients with CHF. Quality of care was defined using the Hospital Quality Alliance (HQA) data on four clinical process measures for CHF from 2007. Hospitals were grouped based on their number of CHF discharges during two years: low volume (25-200), medium volume (201-400), and high volume (>400). Risk adjustment was performed.
Hospitals in the low-volume group had lower performance on the process measures (80.2%) than did medium-volume (87.0%) or high-volume (89.1%) hospitals (P<0.001). Thirty-day mortality was highest in low-volume hospitals (10.2%), when compared to medium-volume (9.3%) and high-volume (8.6%) hospitals (P<0.001). Hospital costs were higher at high-volume hospitals ($8,300) than at medium-volume ($7,700) and low-volume ($7,300) hospitals (P<0.001). Readmission rates were not statistically different between hospital groups.
The relationship between volume and outcomes in the study was not linear, and the incremental benefits seen were small beyond the volume of patients seen at medium-volume hospitals.
Bottom line: Hospitals with higher volumes of CHF patients have better CHF process-of-care measures and lower 30-day CHF mortality but also higher CHF costs.
Citation: Joynt KE, Orav EJ, Jha AK. The association between hospital volume and processes, outcomes, and costs of care for congestive heart failure. Ann Intern Med. 2011;154(2):94-102.
For more physician reviews of HM-related research, visit our website.
Clinical question: Do hospitals caring for a higher volume of patients with congestive heart failure (CHF) provide better, more efficient care for those patients?
Background: For some surgical and cardiovascular procedures, higher procedure volumes have been associated with better outcomes and lower costs. It is unclear whether this association also exists for common medical conditions, such as CHF.
Study design: Retrospective cohort study.
Setting: National sample of Medicare fee-for-service patients 65 years or older.
Synopsis: National Medicare claims data for more than 1 million discharges from 4,095 hospitals were used to examine the relationship between hospital case volume and quality of care, outcomes, and cost for patients with CHF. Quality of care was defined using the Hospital Quality Alliance (HQA) data on four clinical process measures for CHF from 2007. Hospitals were grouped based on their number of CHF discharges during two years: low volume (25-200), medium volume (201-400), and high volume (>400). Risk adjustment was performed.
Hospitals in the low-volume group had lower performance on the process measures (80.2%) than did medium-volume (87.0%) or high-volume (89.1%) hospitals (P<0.001). Thirty-day mortality was highest in low-volume hospitals (10.2%), when compared to medium-volume (9.3%) and high-volume (8.6%) hospitals (P<0.001). Hospital costs were higher at high-volume hospitals ($8,300) than at medium-volume ($7,700) and low-volume ($7,300) hospitals (P<0.001). Readmission rates were not statistically different between hospital groups.
The relationship between volume and outcomes in the study was not linear, and the incremental benefits seen were small beyond the volume of patients seen at medium-volume hospitals.
Bottom line: Hospitals with higher volumes of CHF patients have better CHF process-of-care measures and lower 30-day CHF mortality but also higher CHF costs.
Citation: Joynt KE, Orav EJ, Jha AK. The association between hospital volume and processes, outcomes, and costs of care for congestive heart failure. Ann Intern Med. 2011;154(2):94-102.
For more physician reviews of HM-related research, visit our website.
Clinical question: Do hospitals caring for a higher volume of patients with congestive heart failure (CHF) provide better, more efficient care for those patients?
Background: For some surgical and cardiovascular procedures, higher procedure volumes have been associated with better outcomes and lower costs. It is unclear whether this association also exists for common medical conditions, such as CHF.
Study design: Retrospective cohort study.
Setting: National sample of Medicare fee-for-service patients 65 years or older.
Synopsis: National Medicare claims data for more than 1 million discharges from 4,095 hospitals were used to examine the relationship between hospital case volume and quality of care, outcomes, and cost for patients with CHF. Quality of care was defined using the Hospital Quality Alliance (HQA) data on four clinical process measures for CHF from 2007. Hospitals were grouped based on their number of CHF discharges during two years: low volume (25-200), medium volume (201-400), and high volume (>400). Risk adjustment was performed.
Hospitals in the low-volume group had lower performance on the process measures (80.2%) than did medium-volume (87.0%) or high-volume (89.1%) hospitals (P<0.001). Thirty-day mortality was highest in low-volume hospitals (10.2%), when compared to medium-volume (9.3%) and high-volume (8.6%) hospitals (P<0.001). Hospital costs were higher at high-volume hospitals ($8,300) than at medium-volume ($7,700) and low-volume ($7,300) hospitals (P<0.001). Readmission rates were not statistically different between hospital groups.
The relationship between volume and outcomes in the study was not linear, and the incremental benefits seen were small beyond the volume of patients seen at medium-volume hospitals.
Bottom line: Hospitals with higher volumes of CHF patients have better CHF process-of-care measures and lower 30-day CHF mortality but also higher CHF costs.
Citation: Joynt KE, Orav EJ, Jha AK. The association between hospital volume and processes, outcomes, and costs of care for congestive heart failure. Ann Intern Med. 2011;154(2):94-102.
For more physician reviews of HM-related research, visit our website.
EBUS Equals Mediastinoscopy for NSCLC Staging
PHILADELPHIA – Endobronchial ultrasound–guided biopsy of mediastinal lymph nodes in patients with operable non–small cell lung cancer worked as effectively for staging as did the standard approach – mediastinoscopy – in the first head-to-head comparison of the two methods.
"Our results showed that EBUS-TBNA [endobronchial ultrasound–guided transbronchial needle aspiration], when performed as in this study, can replace mediastinoscopy for accurate staging of the mediastinum in potentially resectable lung cancer," Dr. Kazuhiro Yasufuku said at the annual meeting of the American Association for Thoracic Surgery.
Based on these results, which were obtained in 153 patients treated by any one of seven surgeons working at Toronto General Hospital, Dr. Yasufuku and his colleagues now routinely use EBUS-TBNA as their initial approach for staging patients with inoperable non–small cell lung cancer (NSCLC), who account for about 70% of all NSCLC patients they treat. As long as they can collect adequate cell specimens for cytologic analysis from the lymph node stations they routinely assess, they rely exclusively on EBUS-TBNA for staging, which allows them to avoid mediastinoscopy for most of their patients, Dr. Yasufuku said in an interview.
"We knew that EBUS-TBNA was good, but [until now] we never knew how it compared with the gold standard, mediastinoscopy," he said. The major limiting factor is lymph node size, he noted. Surgeons find it challenging to routinely obtain an adequate cell specimen from nodes smaller than 5 mm in diameter, Dr. Yasufuku said. "The smaller the node, the harder it is to put a needle into it."
The Toronto group uses rapid, onsite cytologic evaluation, which means that a cytologist attends the procedure in the combined surgical and endoscopy suite. In the study, and also in routine practice, "we can make repeated needle passes until we obtain good specimens. The surgeon can learn how to place the needle by getting immediate feedback" on the specimens, he said.
The specimens obtained allow for a tissue diagnosis, and typically provide enough material to assess cells for the presence of epidermal growth factor receptor mutations, he added.
EBUS-TBNA uses local rather than general anesthesia, is less invasive, and has fewer complications compared with mediastinoscopy, said Dr. Yasufuku, a thoracic surgeon and director of the interventional thoracic surgery program at Toronto General and the University of Toronto.
The study enrolled adults with NSCLC who required mediastinoscopy as part of their staging to determine their suitability for lung cancer resection. The study excluded patients who were not fit for definitive surgical resection, because the researchers used the status of the surgically excised lymph nodes as the basis for judging the diagnostic accuracy of both techniques.
During July 2006–August 2010, they enrolled 153 patients with an average age of 69 years. The most common NSCLC histologic subtype was adenocarcinoma (59%), followed by squamous cell carcinoma (25%). Staging by ultrasound imaging identified 57% of the patients with stage I or II disease, and 39% with stage IIIA disease. The remaining 4% had stage IIIB or stage IV disease.
All patients underwent general anesthesia. A surgeon first performed EBUS-TBNA on each patient, followed immediately by mediastinoscopy. All patients then underwent surgical lymph node resection to definitively assess their nodes if EBUS-TBNA, mediastinoscopy, or both did not show signs of metastatic disease.
The surgeons attempted biopsies at five lymph node stations in each patient: stations 2R, 2L, 4R, 4L, and 7. They successfully biopsied an average of three stations per patient using EBUSTBNA, with an inadequate specimen obtained on an average of one station per patient. Average lymph node diameter on the short axis was 7 mm, and the procedure averaged a total of 20 minutes per patient. Overall, EBUS-TBNA identified 78 biopsies as malignant. During mediastinoscopy, surgeons successfully biopsied an average of 4 nodes per patient, with inadequate specimens obtained from 10 nodes, an average of fewer than 0.1 inadequate specimen per patient. Mediastinoscopy retrieved 79 biopsies that were identified as malignant.
The surgeons reached an identical and correct diagnosis using both modalities in 136 patients (89%). Neither modality produced the correct diagnosis in four patients (3%), which meant that overall EBUS-TBNA and mediastinoscopy agreed 92% of the time. EBUS-TBNA was correct and mediastinoscopy incorrect in seven patients, and mediastinoscopy was correct and EBUS-TBNA incorrect in six patients.
These outcomes meant that EBUS-TBNA had 81% sensitivity, 91% negative predictive value, and 93% diagnostic accuracy. Mediastinoscopy led to 79% sensitivity, 90% negative predictive value, and 93% accuracy. Both methods had a specificity and positive predictive value of 100%, Dr. Yasufuku said.
No complications occurred after EBUS-TBNA, but there were four minor complications following subsequent mediastinoscopy: Two patients had a hematoma, one had a recurrent nerve injury, and one had a wound infection.
"It was a very clean study, showing that in the hands of a trained surgeon in our setting, EBUS-TBNA works very well. We clearly showed that the diagnostic yield is similar, and that patients who require mediastinoscopy as part of their staging can undergo EBUS-TBNA as their initial modality. Depending on what you find, you want to also do mediastinoscopy," he added.
"I’m convinced that [Dr. Yasufuku has] demonstrated equivalent ability to stage the mediastinum with EBUS-TBNA and with mediastinoscopy," commented Dr. Joel D. Cooper, professor of surgery and chief of thoracic surgery at the University of Pennsylvania in Philadelphia.
The study was supported by Olympus Medical Systems, a company that markets an EBUS-TBNA system. Dr. Yasufuku said that he has received research support from Olympus. Dr. Cooper said that he had no relevant disclosures.
PHILADELPHIA – Endobronchial ultrasound–guided biopsy of mediastinal lymph nodes in patients with operable non–small cell lung cancer worked as effectively for staging as did the standard approach – mediastinoscopy – in the first head-to-head comparison of the two methods.
"Our results showed that EBUS-TBNA [endobronchial ultrasound–guided transbronchial needle aspiration], when performed as in this study, can replace mediastinoscopy for accurate staging of the mediastinum in potentially resectable lung cancer," Dr. Kazuhiro Yasufuku said at the annual meeting of the American Association for Thoracic Surgery.
Based on these results, which were obtained in 153 patients treated by any one of seven surgeons working at Toronto General Hospital, Dr. Yasufuku and his colleagues now routinely use EBUS-TBNA as their initial approach for staging patients with inoperable non–small cell lung cancer (NSCLC), who account for about 70% of all NSCLC patients they treat. As long as they can collect adequate cell specimens for cytologic analysis from the lymph node stations they routinely assess, they rely exclusively on EBUS-TBNA for staging, which allows them to avoid mediastinoscopy for most of their patients, Dr. Yasufuku said in an interview.
"We knew that EBUS-TBNA was good, but [until now] we never knew how it compared with the gold standard, mediastinoscopy," he said. The major limiting factor is lymph node size, he noted. Surgeons find it challenging to routinely obtain an adequate cell specimen from nodes smaller than 5 mm in diameter, Dr. Yasufuku said. "The smaller the node, the harder it is to put a needle into it."
The Toronto group uses rapid, onsite cytologic evaluation, which means that a cytologist attends the procedure in the combined surgical and endoscopy suite. In the study, and also in routine practice, "we can make repeated needle passes until we obtain good specimens. The surgeon can learn how to place the needle by getting immediate feedback" on the specimens, he said.
The specimens obtained allow for a tissue diagnosis, and typically provide enough material to assess cells for the presence of epidermal growth factor receptor mutations, he added.
EBUS-TBNA uses local rather than general anesthesia, is less invasive, and has fewer complications compared with mediastinoscopy, said Dr. Yasufuku, a thoracic surgeon and director of the interventional thoracic surgery program at Toronto General and the University of Toronto.
The study enrolled adults with NSCLC who required mediastinoscopy as part of their staging to determine their suitability for lung cancer resection. The study excluded patients who were not fit for definitive surgical resection, because the researchers used the status of the surgically excised lymph nodes as the basis for judging the diagnostic accuracy of both techniques.
During July 2006–August 2010, they enrolled 153 patients with an average age of 69 years. The most common NSCLC histologic subtype was adenocarcinoma (59%), followed by squamous cell carcinoma (25%). Staging by ultrasound imaging identified 57% of the patients with stage I or II disease, and 39% with stage IIIA disease. The remaining 4% had stage IIIB or stage IV disease.
All patients underwent general anesthesia. A surgeon first performed EBUS-TBNA on each patient, followed immediately by mediastinoscopy. All patients then underwent surgical lymph node resection to definitively assess their nodes if EBUS-TBNA, mediastinoscopy, or both did not show signs of metastatic disease.
The surgeons attempted biopsies at five lymph node stations in each patient: stations 2R, 2L, 4R, 4L, and 7. They successfully biopsied an average of three stations per patient using EBUSTBNA, with an inadequate specimen obtained on an average of one station per patient. Average lymph node diameter on the short axis was 7 mm, and the procedure averaged a total of 20 minutes per patient. Overall, EBUS-TBNA identified 78 biopsies as malignant. During mediastinoscopy, surgeons successfully biopsied an average of 4 nodes per patient, with inadequate specimens obtained from 10 nodes, an average of fewer than 0.1 inadequate specimen per patient. Mediastinoscopy retrieved 79 biopsies that were identified as malignant.
The surgeons reached an identical and correct diagnosis using both modalities in 136 patients (89%). Neither modality produced the correct diagnosis in four patients (3%), which meant that overall EBUS-TBNA and mediastinoscopy agreed 92% of the time. EBUS-TBNA was correct and mediastinoscopy incorrect in seven patients, and mediastinoscopy was correct and EBUS-TBNA incorrect in six patients.
These outcomes meant that EBUS-TBNA had 81% sensitivity, 91% negative predictive value, and 93% diagnostic accuracy. Mediastinoscopy led to 79% sensitivity, 90% negative predictive value, and 93% accuracy. Both methods had a specificity and positive predictive value of 100%, Dr. Yasufuku said.
No complications occurred after EBUS-TBNA, but there were four minor complications following subsequent mediastinoscopy: Two patients had a hematoma, one had a recurrent nerve injury, and one had a wound infection.
"It was a very clean study, showing that in the hands of a trained surgeon in our setting, EBUS-TBNA works very well. We clearly showed that the diagnostic yield is similar, and that patients who require mediastinoscopy as part of their staging can undergo EBUS-TBNA as their initial modality. Depending on what you find, you want to also do mediastinoscopy," he added.
"I’m convinced that [Dr. Yasufuku has] demonstrated equivalent ability to stage the mediastinum with EBUS-TBNA and with mediastinoscopy," commented Dr. Joel D. Cooper, professor of surgery and chief of thoracic surgery at the University of Pennsylvania in Philadelphia.
The study was supported by Olympus Medical Systems, a company that markets an EBUS-TBNA system. Dr. Yasufuku said that he has received research support from Olympus. Dr. Cooper said that he had no relevant disclosures.
PHILADELPHIA – Endobronchial ultrasound–guided biopsy of mediastinal lymph nodes in patients with operable non–small cell lung cancer worked as effectively for staging as did the standard approach – mediastinoscopy – in the first head-to-head comparison of the two methods.
"Our results showed that EBUS-TBNA [endobronchial ultrasound–guided transbronchial needle aspiration], when performed as in this study, can replace mediastinoscopy for accurate staging of the mediastinum in potentially resectable lung cancer," Dr. Kazuhiro Yasufuku said at the annual meeting of the American Association for Thoracic Surgery.
Based on these results, which were obtained in 153 patients treated by any one of seven surgeons working at Toronto General Hospital, Dr. Yasufuku and his colleagues now routinely use EBUS-TBNA as their initial approach for staging patients with inoperable non–small cell lung cancer (NSCLC), who account for about 70% of all NSCLC patients they treat. As long as they can collect adequate cell specimens for cytologic analysis from the lymph node stations they routinely assess, they rely exclusively on EBUS-TBNA for staging, which allows them to avoid mediastinoscopy for most of their patients, Dr. Yasufuku said in an interview.
"We knew that EBUS-TBNA was good, but [until now] we never knew how it compared with the gold standard, mediastinoscopy," he said. The major limiting factor is lymph node size, he noted. Surgeons find it challenging to routinely obtain an adequate cell specimen from nodes smaller than 5 mm in diameter, Dr. Yasufuku said. "The smaller the node, the harder it is to put a needle into it."
The Toronto group uses rapid, onsite cytologic evaluation, which means that a cytologist attends the procedure in the combined surgical and endoscopy suite. In the study, and also in routine practice, "we can make repeated needle passes until we obtain good specimens. The surgeon can learn how to place the needle by getting immediate feedback" on the specimens, he said.
The specimens obtained allow for a tissue diagnosis, and typically provide enough material to assess cells for the presence of epidermal growth factor receptor mutations, he added.
EBUS-TBNA uses local rather than general anesthesia, is less invasive, and has fewer complications compared with mediastinoscopy, said Dr. Yasufuku, a thoracic surgeon and director of the interventional thoracic surgery program at Toronto General and the University of Toronto.
The study enrolled adults with NSCLC who required mediastinoscopy as part of their staging to determine their suitability for lung cancer resection. The study excluded patients who were not fit for definitive surgical resection, because the researchers used the status of the surgically excised lymph nodes as the basis for judging the diagnostic accuracy of both techniques.
During July 2006–August 2010, they enrolled 153 patients with an average age of 69 years. The most common NSCLC histologic subtype was adenocarcinoma (59%), followed by squamous cell carcinoma (25%). Staging by ultrasound imaging identified 57% of the patients with stage I or II disease, and 39% with stage IIIA disease. The remaining 4% had stage IIIB or stage IV disease.
All patients underwent general anesthesia. A surgeon first performed EBUS-TBNA on each patient, followed immediately by mediastinoscopy. All patients then underwent surgical lymph node resection to definitively assess their nodes if EBUS-TBNA, mediastinoscopy, or both did not show signs of metastatic disease.
The surgeons attempted biopsies at five lymph node stations in each patient: stations 2R, 2L, 4R, 4L, and 7. They successfully biopsied an average of three stations per patient using EBUSTBNA, with an inadequate specimen obtained on an average of one station per patient. Average lymph node diameter on the short axis was 7 mm, and the procedure averaged a total of 20 minutes per patient. Overall, EBUS-TBNA identified 78 biopsies as malignant. During mediastinoscopy, surgeons successfully biopsied an average of 4 nodes per patient, with inadequate specimens obtained from 10 nodes, an average of fewer than 0.1 inadequate specimen per patient. Mediastinoscopy retrieved 79 biopsies that were identified as malignant.
The surgeons reached an identical and correct diagnosis using both modalities in 136 patients (89%). Neither modality produced the correct diagnosis in four patients (3%), which meant that overall EBUS-TBNA and mediastinoscopy agreed 92% of the time. EBUS-TBNA was correct and mediastinoscopy incorrect in seven patients, and mediastinoscopy was correct and EBUS-TBNA incorrect in six patients.
These outcomes meant that EBUS-TBNA had 81% sensitivity, 91% negative predictive value, and 93% diagnostic accuracy. Mediastinoscopy led to 79% sensitivity, 90% negative predictive value, and 93% accuracy. Both methods had a specificity and positive predictive value of 100%, Dr. Yasufuku said.
No complications occurred after EBUS-TBNA, but there were four minor complications following subsequent mediastinoscopy: Two patients had a hematoma, one had a recurrent nerve injury, and one had a wound infection.
"It was a very clean study, showing that in the hands of a trained surgeon in our setting, EBUS-TBNA works very well. We clearly showed that the diagnostic yield is similar, and that patients who require mediastinoscopy as part of their staging can undergo EBUS-TBNA as their initial modality. Depending on what you find, you want to also do mediastinoscopy," he added.
"I’m convinced that [Dr. Yasufuku has] demonstrated equivalent ability to stage the mediastinum with EBUS-TBNA and with mediastinoscopy," commented Dr. Joel D. Cooper, professor of surgery and chief of thoracic surgery at the University of Pennsylvania in Philadelphia.
The study was supported by Olympus Medical Systems, a company that markets an EBUS-TBNA system. Dr. Yasufuku said that he has received research support from Olympus. Dr. Cooper said that he had no relevant disclosures.
FROM THE AMERICAN ASSOCIATION FOR THORACIC SURGERY ANNUAL MEETING
Major Finding: EBUS-TBNA proved similar to mediastinoscopy for lymph node staging of patients with operable NSCLC. EBUS-TBNA had a sensitivity of 81%, a negative predictive value of 91%, and 93% accuracy, compared with comparable values of 79%, 90%, and 93%, respectively, for mediastinoscopy when surgeons performed the two methods sequentially in each patient.
Data Source: A single-center study that included 153 patients who were staged by one of seven participating surgeons.
Disclosures: The study was supported by Olympus Medical Systems, a company that markets an EBUS-TBNA system. Dr. Yasufuku said that he has received research support from Olympus. Dr. Cooper said that he had no relevant disclosures.
CABG Outcomes Support More Liberal Blood Glucose Range
PHILADELPHIA – A blood glucose target of 121-180 mg/dL for patients following isolated coronary bypass surgery was as clinically effective as was a stricter glucose target and was easier to maintain in a randomized study with 189 patients.
Based on these results, the cardiac surgery program that ran the study switched its blood glucose range for postoperative patients from 90-120 mg/dL to the more liberal range of 121-180 mg/dL, Dr. Shalin P. Desai said at the annual meeting of the American Association for Thoracic Surgery.
"We believe that maintaining patients at a blood glucose level less than 180 mg/dL is safe and effective, and therefore should be considered for patients undergoing coronary artery bypass grafting surgery," said Dr. Desai, a cardiac surgeon at Inova Heart and Vascular Institute in Falls Church, Va.
"We know that a glucose level of less than 180 mg/dL is good, but does it need to be so strict that it’s almost normoglycemic, or can it be more liberal when we know the glucose levels will rise with the stress of surgery and illness? A range of 121-180 mg/dL is probably sufficient," Dr. Desai said in an interview. At that level, "we used less insulin, fewer finger sticks, and fewer resources" than when the target range aims for lower blood glucose levels, he said.
Dr. Desai and his associates enrolled patients undergoing first-time, isolated CABG who had diabetes or required insulin treatment following surgery based on having three consecutive blood glucose readings of at least 150 mg/dL, or one reading of at least 200 mg/dL. The researchers used a bedside, computerized device that regularly assessed blood glucose levels and adjusted the insulin infusion accordingly. The patients averaged 62 years of age, and about 43% had diabetes.
Among the 98 patients maintained on the 121-180 mg/dL regimen, the average time needed to reach the target blood glucose range was 84 minutes – significantly shorter than the average 173 minutes needed for the 91 patients on the strict regimen.
Patients maintained on the liberal target also fared significantly better in their average number of readings within their target range, minimum glucose level, number of hypoglycemic readings, and total insulin dose received (see table).
Assessment of clinical outcomes – renal failure, atrial fibrillation, pneumonia, deep sternal wound infections, prolonged ventilation, prolonged hospitalization, and operative mortality – showed that the liberal range was not inferior to the strict range for preventing these complications in the primary, intention-to-treat analysis. In the as-treated and per-protocol analyses, the liberal-range patients had outcomes that were noninferior to those of the strict control patients for all parameters except for atrial fibrillation. The liberal-range patients showed a small excess of atrial fibrillations in these two additional analyses.
Future studies should look at the same issue in patients undergoing other types of cardiac surgery, such as valve repair or replacement, or a maze procedure, he said.
Dr. Desai said that he had no relevant financial disclosures.
My associates and I recently reported similar results from a randomized study of 82 patients with diabetes who underwent coronary artery bypass grafting surgery. We also compared a target blood glucose range of 90-120 mg/dL with a range of 121-180 mg/dL. Like the current study, we found no difference in the 30-day rates of death, myocardial infarction, neurologic complications, deep sternal wound infections, or atrial fibrillation incidence. The patients maintained with more aggressive glucose control had a higher rate of hypoglycemic events, but this did not result in increased neurologic complications.
Why did tighter glycemic control not produce better outcomes? One possible explanation is that cardiac surgery patients often receive good treatment with cardioprotective drugs, including aspirin, statins, beta-blockers, and angiotensin-converting enzyme inhibitors. Also, the more liberal regimens still produce good glucose control. In our study, the average blood glucose level in the more liberal group was 135 mg/dL.
Tight glucose control may provide long-term benefits that have not yet been identified in these studies. For example, it may improve long-term graft patency and reduce long-term ischemic events. In our studies, we see that more aggressive glucose control results in lower levels of free fatty acids, a marker of inflammation.
Moderate glycemic control produces a significant reduction in morbidity and mortality in cardiac surgery patients that may be hard to improve upon with more aggressive control. I agree that the optimal glucose range following cardiac surgery appears to be 120-180 mg/dL. While the exact level for optimal control remains unknown, the importance of perioperative glycemic control by continuous insulin infusion is now well established.
Dr. Harold L. Lazar is a thoracic surgeon at Boston Medical Center. He said that he has received research support from Eli Lilly to study the effects of glycemic control during cardiac surgery.
My associates and I recently reported similar results from a randomized study of 82 patients with diabetes who underwent coronary artery bypass grafting surgery. We also compared a target blood glucose range of 90-120 mg/dL with a range of 121-180 mg/dL. Like the current study, we found no difference in the 30-day rates of death, myocardial infarction, neurologic complications, deep sternal wound infections, or atrial fibrillation incidence. The patients maintained with more aggressive glucose control had a higher rate of hypoglycemic events, but this did not result in increased neurologic complications.
Why did tighter glycemic control not produce better outcomes? One possible explanation is that cardiac surgery patients often receive good treatment with cardioprotective drugs, including aspirin, statins, beta-blockers, and angiotensin-converting enzyme inhibitors. Also, the more liberal regimens still produce good glucose control. In our study, the average blood glucose level in the more liberal group was 135 mg/dL.
Tight glucose control may provide long-term benefits that have not yet been identified in these studies. For example, it may improve long-term graft patency and reduce long-term ischemic events. In our studies, we see that more aggressive glucose control results in lower levels of free fatty acids, a marker of inflammation.
Moderate glycemic control produces a significant reduction in morbidity and mortality in cardiac surgery patients that may be hard to improve upon with more aggressive control. I agree that the optimal glucose range following cardiac surgery appears to be 120-180 mg/dL. While the exact level for optimal control remains unknown, the importance of perioperative glycemic control by continuous insulin infusion is now well established.
Dr. Harold L. Lazar is a thoracic surgeon at Boston Medical Center. He said that he has received research support from Eli Lilly to study the effects of glycemic control during cardiac surgery.
My associates and I recently reported similar results from a randomized study of 82 patients with diabetes who underwent coronary artery bypass grafting surgery. We also compared a target blood glucose range of 90-120 mg/dL with a range of 121-180 mg/dL. Like the current study, we found no difference in the 30-day rates of death, myocardial infarction, neurologic complications, deep sternal wound infections, or atrial fibrillation incidence. The patients maintained with more aggressive glucose control had a higher rate of hypoglycemic events, but this did not result in increased neurologic complications.
Why did tighter glycemic control not produce better outcomes? One possible explanation is that cardiac surgery patients often receive good treatment with cardioprotective drugs, including aspirin, statins, beta-blockers, and angiotensin-converting enzyme inhibitors. Also, the more liberal regimens still produce good glucose control. In our study, the average blood glucose level in the more liberal group was 135 mg/dL.
Tight glucose control may provide long-term benefits that have not yet been identified in these studies. For example, it may improve long-term graft patency and reduce long-term ischemic events. In our studies, we see that more aggressive glucose control results in lower levels of free fatty acids, a marker of inflammation.
Moderate glycemic control produces a significant reduction in morbidity and mortality in cardiac surgery patients that may be hard to improve upon with more aggressive control. I agree that the optimal glucose range following cardiac surgery appears to be 120-180 mg/dL. While the exact level for optimal control remains unknown, the importance of perioperative glycemic control by continuous insulin infusion is now well established.
Dr. Harold L. Lazar is a thoracic surgeon at Boston Medical Center. He said that he has received research support from Eli Lilly to study the effects of glycemic control during cardiac surgery.
PHILADELPHIA – A blood glucose target of 121-180 mg/dL for patients following isolated coronary bypass surgery was as clinically effective as was a stricter glucose target and was easier to maintain in a randomized study with 189 patients.
Based on these results, the cardiac surgery program that ran the study switched its blood glucose range for postoperative patients from 90-120 mg/dL to the more liberal range of 121-180 mg/dL, Dr. Shalin P. Desai said at the annual meeting of the American Association for Thoracic Surgery.
"We believe that maintaining patients at a blood glucose level less than 180 mg/dL is safe and effective, and therefore should be considered for patients undergoing coronary artery bypass grafting surgery," said Dr. Desai, a cardiac surgeon at Inova Heart and Vascular Institute in Falls Church, Va.
"We know that a glucose level of less than 180 mg/dL is good, but does it need to be so strict that it’s almost normoglycemic, or can it be more liberal when we know the glucose levels will rise with the stress of surgery and illness? A range of 121-180 mg/dL is probably sufficient," Dr. Desai said in an interview. At that level, "we used less insulin, fewer finger sticks, and fewer resources" than when the target range aims for lower blood glucose levels, he said.
Dr. Desai and his associates enrolled patients undergoing first-time, isolated CABG who had diabetes or required insulin treatment following surgery based on having three consecutive blood glucose readings of at least 150 mg/dL, or one reading of at least 200 mg/dL. The researchers used a bedside, computerized device that regularly assessed blood glucose levels and adjusted the insulin infusion accordingly. The patients averaged 62 years of age, and about 43% had diabetes.
Among the 98 patients maintained on the 121-180 mg/dL regimen, the average time needed to reach the target blood glucose range was 84 minutes – significantly shorter than the average 173 minutes needed for the 91 patients on the strict regimen.
Patients maintained on the liberal target also fared significantly better in their average number of readings within their target range, minimum glucose level, number of hypoglycemic readings, and total insulin dose received (see table).
Assessment of clinical outcomes – renal failure, atrial fibrillation, pneumonia, deep sternal wound infections, prolonged ventilation, prolonged hospitalization, and operative mortality – showed that the liberal range was not inferior to the strict range for preventing these complications in the primary, intention-to-treat analysis. In the as-treated and per-protocol analyses, the liberal-range patients had outcomes that were noninferior to those of the strict control patients for all parameters except for atrial fibrillation. The liberal-range patients showed a small excess of atrial fibrillations in these two additional analyses.
Future studies should look at the same issue in patients undergoing other types of cardiac surgery, such as valve repair or replacement, or a maze procedure, he said.
Dr. Desai said that he had no relevant financial disclosures.
PHILADELPHIA – A blood glucose target of 121-180 mg/dL for patients following isolated coronary bypass surgery was as clinically effective as was a stricter glucose target and was easier to maintain in a randomized study with 189 patients.
Based on these results, the cardiac surgery program that ran the study switched its blood glucose range for postoperative patients from 90-120 mg/dL to the more liberal range of 121-180 mg/dL, Dr. Shalin P. Desai said at the annual meeting of the American Association for Thoracic Surgery.
"We believe that maintaining patients at a blood glucose level less than 180 mg/dL is safe and effective, and therefore should be considered for patients undergoing coronary artery bypass grafting surgery," said Dr. Desai, a cardiac surgeon at Inova Heart and Vascular Institute in Falls Church, Va.
"We know that a glucose level of less than 180 mg/dL is good, but does it need to be so strict that it’s almost normoglycemic, or can it be more liberal when we know the glucose levels will rise with the stress of surgery and illness? A range of 121-180 mg/dL is probably sufficient," Dr. Desai said in an interview. At that level, "we used less insulin, fewer finger sticks, and fewer resources" than when the target range aims for lower blood glucose levels, he said.
Dr. Desai and his associates enrolled patients undergoing first-time, isolated CABG who had diabetes or required insulin treatment following surgery based on having three consecutive blood glucose readings of at least 150 mg/dL, or one reading of at least 200 mg/dL. The researchers used a bedside, computerized device that regularly assessed blood glucose levels and adjusted the insulin infusion accordingly. The patients averaged 62 years of age, and about 43% had diabetes.
Among the 98 patients maintained on the 121-180 mg/dL regimen, the average time needed to reach the target blood glucose range was 84 minutes – significantly shorter than the average 173 minutes needed for the 91 patients on the strict regimen.
Patients maintained on the liberal target also fared significantly better in their average number of readings within their target range, minimum glucose level, number of hypoglycemic readings, and total insulin dose received (see table).
Assessment of clinical outcomes – renal failure, atrial fibrillation, pneumonia, deep sternal wound infections, prolonged ventilation, prolonged hospitalization, and operative mortality – showed that the liberal range was not inferior to the strict range for preventing these complications in the primary, intention-to-treat analysis. In the as-treated and per-protocol analyses, the liberal-range patients had outcomes that were noninferior to those of the strict control patients for all parameters except for atrial fibrillation. The liberal-range patients showed a small excess of atrial fibrillations in these two additional analyses.
Future studies should look at the same issue in patients undergoing other types of cardiac surgery, such as valve repair or replacement, or a maze procedure, he said.
Dr. Desai said that he had no relevant financial disclosures.
FROM THE ANNUAL MEETING OF THE AMERICAN ASSOCIATION FOR THORACIC SURGERY
Major Finding: A postoperative blood glucose target range of 121-180 mg/dL led to similar clinical outcomes and proved more practical than did a target range of 90-120 mg/dL in patients undergoing first-time, isolated coronary artery bypass grafting surgery.
Data Source: Single-center, randomized trial with 189 patients.
Disclosures: Dr. Desai said he had no relevant financial disclosures.
Pemetrexed Continuation Maintenance Slows NSCLC Progression
CHICAGO – Pemetrexed maintenance therapy following pemetrexed plus cisplatin induction reduced the risk of progression by 38% in patients with advanced nonsquamous non–small cell lung cancer in the phase III PARAMOUNT trial.
The study’s primary end point of investigator-assessed progression-free survival was 4.1 months for pemetrexed (Alimta) plus best supportive care and 2.8 months for placebo plus best supportive care (log rank P = .00006; unadjusted hazard ratio, 0.62).
Independent review, completed in 88% of patients, confirmed the robustness of the primary end point, revealing a progression-free survival of 3.9 months for pemetrexed vs. 2.6 months for placebo (log rank P = .0002; HR, 0.64), lead author Dr. Luis Paz-Ares said at the annual meeting of the American Society of Clinical Oncology.
Overall survival data were not mature enough at the time of the analysis, with just 16 deaths.
"The magnitude of the benefit shown on progression-free survival, a 38% decrease in the risk of progression, is in favor of saying this is an effective treatment for patients with advanced nonsquamous non–small cell lung cancer," he said.
A previous trial (Lancet 2009;374:1432-40) showed that switching patients to pemetrexed maintenance improved the time free of cancer, but until now, it was unclear whether patients initially treated with pemetrexed would benefit from maintenance.
"This trial answers that," Dr. Mark Kris, chief of thoracic oncology at Memorial Sloan-Kettering Cancer Center in New York, told reporters in a press briefing at the meeting. "I think it’s very important in that it’s an example of how we can achieve an incremental benefit in our patients by the optimal use of drugs that are already available."
Pemetrexed (Eli Lilly) is approved in combination with cisplatin as first-line therapy for advanced nonsquamous non–small cell lung cancer (NSCLC) and in the second line as maintenance therapy in patients initially treated with chemotherapy.
Standard treatment for nonsquamous NSCLC is to continue bevacizumab until disease progression, but on the basis of these results, clinicians will likely give bevacizumab with pemetrexed, Dr. Kris said in an interview.
"The guidelines don’t say that because they didn’t have any data, but this will be the data that I’m pretty confident will change the guidelines," said Dr. Kris, who also is the William and Joy Ruane Chair in Thoracic Oncology at Sloan-Kettering.
During the formal presentation of the data, invited discussant Dr. Martin Edelman, director of solid tumor oncology at the University of Maryland Greenebaum Cancer Center in Baltimore, described the use of maintenance therapy as a contentious issue. He noted that many questions remain regarding maintenance trials, including the value of progression-free survival as an end point, how and when control patients are crossed over to active treatment, and whether the RECIST criteria should be used to determine progression.
Dr. Edelman described progression-free survival as an arbitrary end point subject to testing interval and considerable bias. To the credit of the PARAMOUNT investigators, he pointed out that there was use of independent review for this end point, but he said it still does not answer the question of overall survival.
"If one is supposed to change practice based on progression-free survival, we really need to know if particularly small differences are really beneficial," Dr. Edelman said. "That is where quality of life analysis can help us."
The PARAMOUNT investigators assessed health-related quality of life using the EuroQol-5D at baseline, day 1 of each cycle of induction or maintenance therapy, and at the 30-day postdiscontinuation visit. Compliance at all time points during the maintenance phase was more than 80%, but no statistical differences in the EQ-5D index score or its visual analog scale were observed between treatment arms, said Dr. Paz-Ares of the Hospital Universitario Virgen del Rocío, Seville, Spain.
A total of 939 patients were enrolled in the trial. They received pemetrexed 500 mg/m2 on day 1 of a 21-day cycle plus cisplatin 75 mg/m2 induction. In all, 539 patients whose disease had not progressed and had a performance status of 0-2 were then randomized to pemetrexed maintenance 500 mg/m2 on day 1 of a 21-day cycle plus best supportive care or placebo plus best supportive care until disease progression.
Dr. Paz-Ares said pemetrexed had a well-tolerated safety profile, similar to that seen in the previous pemetrexed switch maintenance trial. The pemetrexed and placebo groups had similar drug-related deaths (0.6% for both), drug-related serious adverse events (9% vs. 3%, respectively), and discontinuations due to adverse events (5.3% vs. 3.3%). Patients in the pemetrexed arm had significantly more grade 3/4 adverse fatigue (4.2% vs. 0.6%), anemia (4.5% vs. 0.6%), and neutropenia (3.6% vs. 0%). There was one on-study death with pemetrexed (pneumonia) and placebo (not otherwise specified), and one death within 30 days with pemetrexed (endocarditis), Dr. Paz-Ares reported.
"While overall very reasonable, this still comes at a cost in terms of significant toxicity, not to mention the cost of additional treatment," Dr. Edelman observed. "We really need a cost-effectiveness analysis in this era to follow strategies of frequent visits and scanning with early institution of second-line therapy versus the maintenance approach."
Eli Lilly funded the study. Dr. Paz-Ares disclosed no relevant relationships. Several coauthors reported relationships with industry, including employment, stock ownership, honoraria, and consultancy with Lilly, which markets pemetrexed.
CHICAGO – Pemetrexed maintenance therapy following pemetrexed plus cisplatin induction reduced the risk of progression by 38% in patients with advanced nonsquamous non–small cell lung cancer in the phase III PARAMOUNT trial.
The study’s primary end point of investigator-assessed progression-free survival was 4.1 months for pemetrexed (Alimta) plus best supportive care and 2.8 months for placebo plus best supportive care (log rank P = .00006; unadjusted hazard ratio, 0.62).
Independent review, completed in 88% of patients, confirmed the robustness of the primary end point, revealing a progression-free survival of 3.9 months for pemetrexed vs. 2.6 months for placebo (log rank P = .0002; HR, 0.64), lead author Dr. Luis Paz-Ares said at the annual meeting of the American Society of Clinical Oncology.
Overall survival data were not mature enough at the time of the analysis, with just 16 deaths.
"The magnitude of the benefit shown on progression-free survival, a 38% decrease in the risk of progression, is in favor of saying this is an effective treatment for patients with advanced nonsquamous non–small cell lung cancer," he said.
A previous trial (Lancet 2009;374:1432-40) showed that switching patients to pemetrexed maintenance improved the time free of cancer, but until now, it was unclear whether patients initially treated with pemetrexed would benefit from maintenance.
"This trial answers that," Dr. Mark Kris, chief of thoracic oncology at Memorial Sloan-Kettering Cancer Center in New York, told reporters in a press briefing at the meeting. "I think it’s very important in that it’s an example of how we can achieve an incremental benefit in our patients by the optimal use of drugs that are already available."
Pemetrexed (Eli Lilly) is approved in combination with cisplatin as first-line therapy for advanced nonsquamous non–small cell lung cancer (NSCLC) and in the second line as maintenance therapy in patients initially treated with chemotherapy.
Standard treatment for nonsquamous NSCLC is to continue bevacizumab until disease progression, but on the basis of these results, clinicians will likely give bevacizumab with pemetrexed, Dr. Kris said in an interview.
"The guidelines don’t say that because they didn’t have any data, but this will be the data that I’m pretty confident will change the guidelines," said Dr. Kris, who also is the William and Joy Ruane Chair in Thoracic Oncology at Sloan-Kettering.
During the formal presentation of the data, invited discussant Dr. Martin Edelman, director of solid tumor oncology at the University of Maryland Greenebaum Cancer Center in Baltimore, described the use of maintenance therapy as a contentious issue. He noted that many questions remain regarding maintenance trials, including the value of progression-free survival as an end point, how and when control patients are crossed over to active treatment, and whether the RECIST criteria should be used to determine progression.
Dr. Edelman described progression-free survival as an arbitrary end point subject to testing interval and considerable bias. To the credit of the PARAMOUNT investigators, he pointed out that there was use of independent review for this end point, but he said it still does not answer the question of overall survival.
"If one is supposed to change practice based on progression-free survival, we really need to know if particularly small differences are really beneficial," Dr. Edelman said. "That is where quality of life analysis can help us."
The PARAMOUNT investigators assessed health-related quality of life using the EuroQol-5D at baseline, day 1 of each cycle of induction or maintenance therapy, and at the 30-day postdiscontinuation visit. Compliance at all time points during the maintenance phase was more than 80%, but no statistical differences in the EQ-5D index score or its visual analog scale were observed between treatment arms, said Dr. Paz-Ares of the Hospital Universitario Virgen del Rocío, Seville, Spain.
A total of 939 patients were enrolled in the trial. They received pemetrexed 500 mg/m2 on day 1 of a 21-day cycle plus cisplatin 75 mg/m2 induction. In all, 539 patients whose disease had not progressed and had a performance status of 0-2 were then randomized to pemetrexed maintenance 500 mg/m2 on day 1 of a 21-day cycle plus best supportive care or placebo plus best supportive care until disease progression.
Dr. Paz-Ares said pemetrexed had a well-tolerated safety profile, similar to that seen in the previous pemetrexed switch maintenance trial. The pemetrexed and placebo groups had similar drug-related deaths (0.6% for both), drug-related serious adverse events (9% vs. 3%, respectively), and discontinuations due to adverse events (5.3% vs. 3.3%). Patients in the pemetrexed arm had significantly more grade 3/4 adverse fatigue (4.2% vs. 0.6%), anemia (4.5% vs. 0.6%), and neutropenia (3.6% vs. 0%). There was one on-study death with pemetrexed (pneumonia) and placebo (not otherwise specified), and one death within 30 days with pemetrexed (endocarditis), Dr. Paz-Ares reported.
"While overall very reasonable, this still comes at a cost in terms of significant toxicity, not to mention the cost of additional treatment," Dr. Edelman observed. "We really need a cost-effectiveness analysis in this era to follow strategies of frequent visits and scanning with early institution of second-line therapy versus the maintenance approach."
Eli Lilly funded the study. Dr. Paz-Ares disclosed no relevant relationships. Several coauthors reported relationships with industry, including employment, stock ownership, honoraria, and consultancy with Lilly, which markets pemetrexed.
CHICAGO – Pemetrexed maintenance therapy following pemetrexed plus cisplatin induction reduced the risk of progression by 38% in patients with advanced nonsquamous non–small cell lung cancer in the phase III PARAMOUNT trial.
The study’s primary end point of investigator-assessed progression-free survival was 4.1 months for pemetrexed (Alimta) plus best supportive care and 2.8 months for placebo plus best supportive care (log rank P = .00006; unadjusted hazard ratio, 0.62).
Independent review, completed in 88% of patients, confirmed the robustness of the primary end point, revealing a progression-free survival of 3.9 months for pemetrexed vs. 2.6 months for placebo (log rank P = .0002; HR, 0.64), lead author Dr. Luis Paz-Ares said at the annual meeting of the American Society of Clinical Oncology.
Overall survival data were not mature enough at the time of the analysis, with just 16 deaths.
"The magnitude of the benefit shown on progression-free survival, a 38% decrease in the risk of progression, is in favor of saying this is an effective treatment for patients with advanced nonsquamous non–small cell lung cancer," he said.
A previous trial (Lancet 2009;374:1432-40) showed that switching patients to pemetrexed maintenance improved the time free of cancer, but until now, it was unclear whether patients initially treated with pemetrexed would benefit from maintenance.
"This trial answers that," Dr. Mark Kris, chief of thoracic oncology at Memorial Sloan-Kettering Cancer Center in New York, told reporters in a press briefing at the meeting. "I think it’s very important in that it’s an example of how we can achieve an incremental benefit in our patients by the optimal use of drugs that are already available."
Pemetrexed (Eli Lilly) is approved in combination with cisplatin as first-line therapy for advanced nonsquamous non–small cell lung cancer (NSCLC) and in the second line as maintenance therapy in patients initially treated with chemotherapy.
Standard treatment for nonsquamous NSCLC is to continue bevacizumab until disease progression, but on the basis of these results, clinicians will likely give bevacizumab with pemetrexed, Dr. Kris said in an interview.
"The guidelines don’t say that because they didn’t have any data, but this will be the data that I’m pretty confident will change the guidelines," said Dr. Kris, who also is the William and Joy Ruane Chair in Thoracic Oncology at Sloan-Kettering.
During the formal presentation of the data, invited discussant Dr. Martin Edelman, director of solid tumor oncology at the University of Maryland Greenebaum Cancer Center in Baltimore, described the use of maintenance therapy as a contentious issue. He noted that many questions remain regarding maintenance trials, including the value of progression-free survival as an end point, how and when control patients are crossed over to active treatment, and whether the RECIST criteria should be used to determine progression.
Dr. Edelman described progression-free survival as an arbitrary end point subject to testing interval and considerable bias. To the credit of the PARAMOUNT investigators, he pointed out that there was use of independent review for this end point, but he said it still does not answer the question of overall survival.
"If one is supposed to change practice based on progression-free survival, we really need to know if particularly small differences are really beneficial," Dr. Edelman said. "That is where quality of life analysis can help us."
The PARAMOUNT investigators assessed health-related quality of life using the EuroQol-5D at baseline, day 1 of each cycle of induction or maintenance therapy, and at the 30-day postdiscontinuation visit. Compliance at all time points during the maintenance phase was more than 80%, but no statistical differences in the EQ-5D index score or its visual analog scale were observed between treatment arms, said Dr. Paz-Ares of the Hospital Universitario Virgen del Rocío, Seville, Spain.
A total of 939 patients were enrolled in the trial. They received pemetrexed 500 mg/m2 on day 1 of a 21-day cycle plus cisplatin 75 mg/m2 induction. In all, 539 patients whose disease had not progressed and had a performance status of 0-2 were then randomized to pemetrexed maintenance 500 mg/m2 on day 1 of a 21-day cycle plus best supportive care or placebo plus best supportive care until disease progression.
Dr. Paz-Ares said pemetrexed had a well-tolerated safety profile, similar to that seen in the previous pemetrexed switch maintenance trial. The pemetrexed and placebo groups had similar drug-related deaths (0.6% for both), drug-related serious adverse events (9% vs. 3%, respectively), and discontinuations due to adverse events (5.3% vs. 3.3%). Patients in the pemetrexed arm had significantly more grade 3/4 adverse fatigue (4.2% vs. 0.6%), anemia (4.5% vs. 0.6%), and neutropenia (3.6% vs. 0%). There was one on-study death with pemetrexed (pneumonia) and placebo (not otherwise specified), and one death within 30 days with pemetrexed (endocarditis), Dr. Paz-Ares reported.
"While overall very reasonable, this still comes at a cost in terms of significant toxicity, not to mention the cost of additional treatment," Dr. Edelman observed. "We really need a cost-effectiveness analysis in this era to follow strategies of frequent visits and scanning with early institution of second-line therapy versus the maintenance approach."
Eli Lilly funded the study. Dr. Paz-Ares disclosed no relevant relationships. Several coauthors reported relationships with industry, including employment, stock ownership, honoraria, and consultancy with Lilly, which markets pemetrexed.
FROM THE ANNUAL MEETING OF THE AMERICAN SOCIETY OF CLINICAL ONCOLOGY
Major Finding: Pemetrexed maintenance therapy plus best supportive care after pemetrexed/cisplatin induction reduced the risk of progression by 38% (log rank P = .00006, HR = 0.62).
Data Source: Phase III study in 939 patients with advanced nonsquamous non–small cell lung cancer.
Disclosures: Eli Lilly funded the study. Dr. Paz-Ares disclosed no relevant relationships. Several coauthors reported relationships with industry, including employment, stock ownership, honoraria, and consultancy with Lilly, which markets pemetrexed.
Pemetrexed Continuation Maintenance Slows NSCLC Progression
CHICAGO – Pemetrexed maintenance therapy following pemetrexed plus cisplatin induction reduced the risk of progression by 38% in patients with advanced nonsquamous non–small cell lung cancer in the phase III PARAMOUNT trial.
The study’s primary end point of investigator-assessed progression-free survival was 4.1 months for pemetrexed (Alimta) plus best supportive care and 2.8 months for placebo plus best supportive care (log rank P = .00006; unadjusted hazard ratio, 0.62).
Independent review, completed in 88% of patients, confirmed the robustness of the primary end point, revealing a progression-free survival of 3.9 months for pemetrexed vs. 2.6 months for placebo (log rank P = .0002; HR, 0.64), lead author Dr. Luis Paz-Ares said at the annual meeting of the American Society of Clinical Oncology.
Overall survival data were not mature enough at the time of the analysis, with just 16 deaths.
"The magnitude of the benefit shown on progression-free survival, a 38% decrease in the risk of progression, is in favor of saying this is an effective treatment for patients with advanced nonsquamous non–small cell lung cancer," he said.
A previous trial (Lancet 2009;374:1432-40) showed that switching patients to pemetrexed maintenance improved the time free of cancer, but until now, it was unclear whether patients initially treated with pemetrexed would benefit from maintenance.
"This trial answers that," Dr. Mark Kris, chief of thoracic oncology at Memorial Sloan-Kettering Cancer Center in New York, told reporters in a press briefing at the meeting. "I think it’s very important in that it’s an example of how we can achieve an incremental benefit in our patients by the optimal use of drugs that are already available."
Pemetrexed (Eli Lilly) is approved in combination with cisplatin as first-line therapy for advanced nonsquamous non–small cell lung cancer (NSCLC) and in the second line as maintenance therapy in patients initially treated with chemotherapy.
Standard treatment for nonsquamous NSCLC is to continue bevacizumab until disease progression, but on the basis of these results, clinicians will likely give bevacizumab with pemetrexed, Dr. Kris said in an interview.
"The guidelines don’t say that because they didn’t have any data, but this will be the data that I’m pretty confident will change the guidelines," said Dr. Kris, who also is the William and Joy Ruane Chair in Thoracic Oncology at Sloan-Kettering.
During the formal presentation of the data, invited discussant Dr. Martin Edelman, director of solid tumor oncology at the University of Maryland Greenebaum Cancer Center in Baltimore, described the use of maintenance therapy as a contentious issue. He noted that many questions remain regarding maintenance trials, including the value of progression-free survival as an end point, how and when control patients are crossed over to active treatment, and whether the RECIST criteria should be used to determine progression.
Dr. Edelman described progression-free survival as an arbitrary end point subject to testing interval and considerable bias. To the credit of the PARAMOUNT investigators, he pointed out that there was use of independent review for this end point, but he said it still does not answer the question of overall survival.
"If one is supposed to change practice based on progression-free survival, we really need to know if particularly small differences are really beneficial," Dr. Edelman said. "That is where quality of life analysis can help us."
The PARAMOUNT investigators assessed health-related quality of life using the EuroQol-5D at baseline, day 1 of each cycle of induction or maintenance therapy, and at the 30-day postdiscontinuation visit. Compliance at all time points during the maintenance phase was more than 80%, but no statistical differences in the EQ-5D index score or its visual analog scale were observed between treatment arms, said Dr. Paz-Ares of the Hospital Universitario Virgen del Rocío, Seville, Spain.
A total of 939 patients were enrolled in the trial. They received pemetrexed 500 mg/m2 on day 1 of a 21-day cycle plus cisplatin 75 mg/m2 induction. In all, 539 patients whose disease had not progressed and had a performance status of 0-2 were then randomized to pemetrexed maintenance 500 mg/m2 on day 1 of a 21-day cycle plus best supportive care or placebo plus best supportive care until disease progression.
Dr. Paz-Ares said pemetrexed had a well-tolerated safety profile, similar to that seen in the previous pemetrexed switch maintenance trial. The pemetrexed and placebo groups had similar drug-related deaths (0.6% for both), drug-related serious adverse events (9% vs. 3%, respectively), and discontinuations due to adverse events (5.3% vs. 3.3%). Patients in the pemetrexed arm had significantly more grade 3/4 adverse fatigue (4.2% vs. 0.6%), anemia (4.5% vs. 0.6%), and neutropenia (3.6% vs. 0%). There was one on-study death with pemetrexed (pneumonia) and placebo (not otherwise specified), and one death within 30 days with pemetrexed (endocarditis), Dr. Paz-Ares reported.
"While overall very reasonable, this still comes at a cost in terms of significant toxicity, not to mention the cost of additional treatment," Dr. Edelman observed. "We really need a cost-effectiveness analysis in this era to follow strategies of frequent visits and scanning with early institution of second-line therapy versus the maintenance approach."
Eli Lilly funded the study. Dr. Paz-Ares disclosed no relevant relationships. Several coauthors reported relationships with industry, including employment, stock ownership, honoraria, and consultancy with Lilly, which markets pemetrexed.
CHICAGO – Pemetrexed maintenance therapy following pemetrexed plus cisplatin induction reduced the risk of progression by 38% in patients with advanced nonsquamous non–small cell lung cancer in the phase III PARAMOUNT trial.
The study’s primary end point of investigator-assessed progression-free survival was 4.1 months for pemetrexed (Alimta) plus best supportive care and 2.8 months for placebo plus best supportive care (log rank P = .00006; unadjusted hazard ratio, 0.62).
Independent review, completed in 88% of patients, confirmed the robustness of the primary end point, revealing a progression-free survival of 3.9 months for pemetrexed vs. 2.6 months for placebo (log rank P = .0002; HR, 0.64), lead author Dr. Luis Paz-Ares said at the annual meeting of the American Society of Clinical Oncology.
Overall survival data were not mature enough at the time of the analysis, with just 16 deaths.
"The magnitude of the benefit shown on progression-free survival, a 38% decrease in the risk of progression, is in favor of saying this is an effective treatment for patients with advanced nonsquamous non–small cell lung cancer," he said.
A previous trial (Lancet 2009;374:1432-40) showed that switching patients to pemetrexed maintenance improved the time free of cancer, but until now, it was unclear whether patients initially treated with pemetrexed would benefit from maintenance.
"This trial answers that," Dr. Mark Kris, chief of thoracic oncology at Memorial Sloan-Kettering Cancer Center in New York, told reporters in a press briefing at the meeting. "I think it’s very important in that it’s an example of how we can achieve an incremental benefit in our patients by the optimal use of drugs that are already available."
Pemetrexed (Eli Lilly) is approved in combination with cisplatin as first-line therapy for advanced nonsquamous non–small cell lung cancer (NSCLC) and in the second line as maintenance therapy in patients initially treated with chemotherapy.
Standard treatment for nonsquamous NSCLC is to continue bevacizumab until disease progression, but on the basis of these results, clinicians will likely give bevacizumab with pemetrexed, Dr. Kris said in an interview.
"The guidelines don’t say that because they didn’t have any data, but this will be the data that I’m pretty confident will change the guidelines," said Dr. Kris, who also is the William and Joy Ruane Chair in Thoracic Oncology at Sloan-Kettering.
During the formal presentation of the data, invited discussant Dr. Martin Edelman, director of solid tumor oncology at the University of Maryland Greenebaum Cancer Center in Baltimore, described the use of maintenance therapy as a contentious issue. He noted that many questions remain regarding maintenance trials, including the value of progression-free survival as an end point, how and when control patients are crossed over to active treatment, and whether the RECIST criteria should be used to determine progression.
Dr. Edelman described progression-free survival as an arbitrary end point subject to testing interval and considerable bias. To the credit of the PARAMOUNT investigators, he pointed out that there was use of independent review for this end point, but he said it still does not answer the question of overall survival.
"If one is supposed to change practice based on progression-free survival, we really need to know if particularly small differences are really beneficial," Dr. Edelman said. "That is where quality of life analysis can help us."
The PARAMOUNT investigators assessed health-related quality of life using the EuroQol-5D at baseline, day 1 of each cycle of induction or maintenance therapy, and at the 30-day postdiscontinuation visit. Compliance at all time points during the maintenance phase was more than 80%, but no statistical differences in the EQ-5D index score or its visual analog scale were observed between treatment arms, said Dr. Paz-Ares of the Hospital Universitario Virgen del Rocío, Seville, Spain.
A total of 939 patients were enrolled in the trial. They received pemetrexed 500 mg/m2 on day 1 of a 21-day cycle plus cisplatin 75 mg/m2 induction. In all, 539 patients whose disease had not progressed and had a performance status of 0-2 were then randomized to pemetrexed maintenance 500 mg/m2 on day 1 of a 21-day cycle plus best supportive care or placebo plus best supportive care until disease progression.
Dr. Paz-Ares said pemetrexed had a well-tolerated safety profile, similar to that seen in the previous pemetrexed switch maintenance trial. The pemetrexed and placebo groups had similar drug-related deaths (0.6% for both), drug-related serious adverse events (9% vs. 3%, respectively), and discontinuations due to adverse events (5.3% vs. 3.3%). Patients in the pemetrexed arm had significantly more grade 3/4 adverse fatigue (4.2% vs. 0.6%), anemia (4.5% vs. 0.6%), and neutropenia (3.6% vs. 0%). There was one on-study death with pemetrexed (pneumonia) and placebo (not otherwise specified), and one death within 30 days with pemetrexed (endocarditis), Dr. Paz-Ares reported.
"While overall very reasonable, this still comes at a cost in terms of significant toxicity, not to mention the cost of additional treatment," Dr. Edelman observed. "We really need a cost-effectiveness analysis in this era to follow strategies of frequent visits and scanning with early institution of second-line therapy versus the maintenance approach."
Eli Lilly funded the study. Dr. Paz-Ares disclosed no relevant relationships. Several coauthors reported relationships with industry, including employment, stock ownership, honoraria, and consultancy with Lilly, which markets pemetrexed.
CHICAGO – Pemetrexed maintenance therapy following pemetrexed plus cisplatin induction reduced the risk of progression by 38% in patients with advanced nonsquamous non–small cell lung cancer in the phase III PARAMOUNT trial.
The study’s primary end point of investigator-assessed progression-free survival was 4.1 months for pemetrexed (Alimta) plus best supportive care and 2.8 months for placebo plus best supportive care (log rank P = .00006; unadjusted hazard ratio, 0.62).
Independent review, completed in 88% of patients, confirmed the robustness of the primary end point, revealing a progression-free survival of 3.9 months for pemetrexed vs. 2.6 months for placebo (log rank P = .0002; HR, 0.64), lead author Dr. Luis Paz-Ares said at the annual meeting of the American Society of Clinical Oncology.
Overall survival data were not mature enough at the time of the analysis, with just 16 deaths.
"The magnitude of the benefit shown on progression-free survival, a 38% decrease in the risk of progression, is in favor of saying this is an effective treatment for patients with advanced nonsquamous non–small cell lung cancer," he said.
A previous trial (Lancet 2009;374:1432-40) showed that switching patients to pemetrexed maintenance improved the time free of cancer, but until now, it was unclear whether patients initially treated with pemetrexed would benefit from maintenance.
"This trial answers that," Dr. Mark Kris, chief of thoracic oncology at Memorial Sloan-Kettering Cancer Center in New York, told reporters in a press briefing at the meeting. "I think it’s very important in that it’s an example of how we can achieve an incremental benefit in our patients by the optimal use of drugs that are already available."
Pemetrexed (Eli Lilly) is approved in combination with cisplatin as first-line therapy for advanced nonsquamous non–small cell lung cancer (NSCLC) and in the second line as maintenance therapy in patients initially treated with chemotherapy.
Standard treatment for nonsquamous NSCLC is to continue bevacizumab until disease progression, but on the basis of these results, clinicians will likely give bevacizumab with pemetrexed, Dr. Kris said in an interview.
"The guidelines don’t say that because they didn’t have any data, but this will be the data that I’m pretty confident will change the guidelines," said Dr. Kris, who also is the William and Joy Ruane Chair in Thoracic Oncology at Sloan-Kettering.
During the formal presentation of the data, invited discussant Dr. Martin Edelman, director of solid tumor oncology at the University of Maryland Greenebaum Cancer Center in Baltimore, described the use of maintenance therapy as a contentious issue. He noted that many questions remain regarding maintenance trials, including the value of progression-free survival as an end point, how and when control patients are crossed over to active treatment, and whether the RECIST criteria should be used to determine progression.
Dr. Edelman described progression-free survival as an arbitrary end point subject to testing interval and considerable bias. To the credit of the PARAMOUNT investigators, he pointed out that there was use of independent review for this end point, but he said it still does not answer the question of overall survival.
"If one is supposed to change practice based on progression-free survival, we really need to know if particularly small differences are really beneficial," Dr. Edelman said. "That is where quality of life analysis can help us."
The PARAMOUNT investigators assessed health-related quality of life using the EuroQol-5D at baseline, day 1 of each cycle of induction or maintenance therapy, and at the 30-day postdiscontinuation visit. Compliance at all time points during the maintenance phase was more than 80%, but no statistical differences in the EQ-5D index score or its visual analog scale were observed between treatment arms, said Dr. Paz-Ares of the Hospital Universitario Virgen del Rocío, Seville, Spain.
A total of 939 patients were enrolled in the trial. They received pemetrexed 500 mg/m2 on day 1 of a 21-day cycle plus cisplatin 75 mg/m2 induction. In all, 539 patients whose disease had not progressed and had a performance status of 0-2 were then randomized to pemetrexed maintenance 500 mg/m2 on day 1 of a 21-day cycle plus best supportive care or placebo plus best supportive care until disease progression.
Dr. Paz-Ares said pemetrexed had a well-tolerated safety profile, similar to that seen in the previous pemetrexed switch maintenance trial. The pemetrexed and placebo groups had similar drug-related deaths (0.6% for both), drug-related serious adverse events (9% vs. 3%, respectively), and discontinuations due to adverse events (5.3% vs. 3.3%). Patients in the pemetrexed arm had significantly more grade 3/4 adverse fatigue (4.2% vs. 0.6%), anemia (4.5% vs. 0.6%), and neutropenia (3.6% vs. 0%). There was one on-study death with pemetrexed (pneumonia) and placebo (not otherwise specified), and one death within 30 days with pemetrexed (endocarditis), Dr. Paz-Ares reported.
"While overall very reasonable, this still comes at a cost in terms of significant toxicity, not to mention the cost of additional treatment," Dr. Edelman observed. "We really need a cost-effectiveness analysis in this era to follow strategies of frequent visits and scanning with early institution of second-line therapy versus the maintenance approach."
Eli Lilly funded the study. Dr. Paz-Ares disclosed no relevant relationships. Several coauthors reported relationships with industry, including employment, stock ownership, honoraria, and consultancy with Lilly, which markets pemetrexed.
FROM THE ANNUAL MEETING OF THE AMERICAN SOCIETY OF CLINICAL ONCOLOGY
Major Finding: Pemetrexed maintenance therapy plus best supportive care after pemetrexed/cisplatin induction reduced the risk of progression by 38% (log rank P = .00006, HR = 0.62).
Data Source: Phase III study in 939 patients with advanced nonsquamous non–small cell lung cancer.
Disclosures: Eli Lilly funded the study. Dr. Paz-Ares disclosed no relevant relationships. Several coauthors reported relationships with industry, including employment, stock ownership, honoraria, and consultancy with Lilly, which markets pemetrexed.