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Article history: Purpose: The purpose of this paper is to analyse the feasibility and usefulness of expressing
Received 15 December 2006 clinical data sets (CDSs) as openEHR archetypes. For this, we present an approach to trans-
Received in revised form form CDS into archetypes, and outline typical problems with CDS and analyse whether some
15 February 2007 of these problems can be overcome by the use of archetypes.
Accepted 19 February 2007 Methods: Literature review and analysis of a selection of existing Australian, German, other
European and international CDSs; transfer of a CDS for Paediatric Oncology into openEHR
archetypes; implementation of CDSs in application systems.
Keywords: Results: To explore the feasibility of expressing CDS as archetypes an approach to transform
Electronic health records existing CDSs into archetypes is presented in this paper. In case of the Paediatric Oncology
Semantic interoperability CDS (which consists of 260 data items) this lead to the definition of 48 openEHR archetypes.
openEHR To analyse the usefulness of expressing CDS as archetypes, we identified nine problems
Archetypes with CDS that currently remain unsolved without a common model underpinning the CDS.
Clinical data sets Typical problems include incompatible basic data types and overlapping and incompati-
Computerized medical record ble definitions of clinical content. A solution to most of these problems based on openEHR
systems archetypes is motivated. With regard to integrity constraints, further research is required.
Conclusions: While openEHR cannot overcome all barriers to Ubiquitous Computing, it can
provide the common basis for ubiquitous presence of meaningful and computer-processable
knowledge and information, which we believe is a basic requirement for Ubiquitous Com-
puting. Expressing CDSs as openEHR archetypes is feasible and advantageous as it fosters
semantic interoperability, supports ubiquitous computing, and helps to develop archetypes
that are arguably of better quality than the original CDS.
© 2007 Elsevier Ireland Ltd. All rights reserved.
∗
Corresponding author at: Health Informatics Research Group, Faculty of Business and Informatics, Central Queensland University,
Melbourne, Vic. and Rockhampton, Qld., Australia. Tel.: +61 3 9496 4040; fax: +61 3 9496 4224.
E-mail address: s.garde@cqu.edu.au (S. Garde).
URL: http://healthinformatics.cqu.edu.au (S. Garde).
1386-5056/$ – see front matter © 2007 Elsevier Ireland Ltd. All rights reserved.
doi:10.1016/j.ijmedinf.2007.02.004
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more user-friendly and comprehensive data capture. On the existing standards) for good data development in Ref. [7], cir-
other hand, we believe that ubiquitous computing requires culated until January 2007 for public comment and now being
ubiquitous availability of information and knowledge as a pre- revised based on this feedback. Also, desiderata for terminolo-
requisite. gies (e.g. ICD) have been postulated by Cimino [8]. These are
A considerable amount of work has already been under- not applicable as such to CDSs or archetypes, but still helped
taken by the Health Informatics community along the us to identify some common problems of CDSs. In addition,
path to ubiquitous use of patient information and health our work on defining CDSs and implementing them in applica-
knowledge: National and international standards develop- tion systems with structured data entry is of importance here:
ments, connectivity using HL7, document exchange using
HL7 CDA [2], comprehensive specifications for Electronic • standardizing terminology in Paediatric Oncology: the basic
Health Records like the recent release of openEHR Version data set [5];
1.0 (http://www.openEHR.org), the development of special- • recording clinical data: from a general set of record items to
ist clinical data sets (CDSs) on a national and sometimes case report forms (CRF) for clinics [9];
international level. Also the detailed clinical models (DCM, • an architecture for using routine data for nationwide
http://detailedclinicalmodels.org) initiative is worth mention- research [10];
ing internationally. Creating CDSs is a tedious task and the • TERMTrial: terminology-based documentation systems for
bigger the scope or the applicable region is, the bigger is the cooperative clinical trials [4].
effort [3]. To name but a few, in Germany, Merzweiler et al.
defined a basic data set for pediatric oncology [4,5], Flynn et Most importantly, we used the process described later in
al. recently defined the European data standard for clinical car- this paper for the development of archetypes based on existing
diology practice [6], and the international Nursing Minimum CDSs to develop archetypes based on the German Basic Data
Data Set (i-NMDS, http://www.inmds.org) is currently under Set for Paediatric Oncology.
development.
With the release of openEHR Version 1.0 there is a com-
2.2. The openEHR and archetypes approach
mon information and knowledge model for Electronic Health
Records available that can solve some of these still pre-
The openEHR approach (http://www.openEHR.org) is defined in
vailing problems of insufficiently ubiquitous information
comprehensive specifications originally based on the results
and knowledge in the health sector by improving semantic
of the European Union’s GEHR-Project, used and refined in a
interoperability and providing a common basis for decision
series of further European and Australian projects. Its design
support, data mining, etc.
principles are described by Beale et al. [11]. The main char-
To investigate our hypothesis that ‘expressing clinical data
acteristic of openEHR is a two level modelling approach for
sets as openEHR clinical content models (archetypes) is feasible
EHRs. The first level of this approach is the reference model
and useful, the aim of this paper is to
which is reduced to a relatively small set of classes to sup-
port the medico-legal requirements and record management
• present an approach to develop openEHR archetypes based functions. The second level involves the openEHR archetype
on existing CDSs (feasibility); methodology representing all the clinical knowledge that
• outline typical problems that arise when developing CDSs; rather than being hard-coded in databases and applications
• analyse whether openEHR archetypes can be used to over- is defined in archetypes. Each archetype represents one clini-
come some of the problems of CDS development (usefulness). cal concept by constraining instances of the openEHR reference
model. By using two levels – a reference model and archetypes
Please note that nothing in this paper is intended to imply – openEHR separates technical concerns from clinical data col-
that the concept of CDSs is unimportant or needs to be lection. Archetypes themselves are terminology-neutral, but
replaced. Rather, it is about showing an alternative way to can link to external terminologies like SNOMED CT.
structure and organise CDSs.
3. Results
2. Material and methods
The Clinical Data Set for Paediatric Oncology in Germany
2.1. Analysis of clinical data sets consists of 260 items. Using the process described in this
paper, we transferred the CDS into a total of 46 openEHR
The results in this paper stem from the analysis of var- archetypes. Before we present the problems found with this
ious existing CDSs and typical development processes for and other CDSs and discuss possible solutions using the
CDSs with a special focus on German, other European and openEHR archetype methodology, we present an overview of
Australian data sets. Further, we analysed the openEHR and the process used to transform CDSs into openEHR archetypes.
archetypes approach with regard to their suitability for the
development of CDSs. For this, we investigated existing liter- 3.1. An overview of the process to transform CDSs
ature for criteria for ‘good’ CDSs. While we found very little into archetypes
published literature dealing with this exact problem, some
not yet published works are currently circulated as drafts, In order to explore the feasibility of our approach to express
for example the principles (e.g. system-independency, use of CDS as archetypes, we took an existing CDS and transferred
S336 i n t e r n a t i o n a l j o u r n a l o f m e d i c a l i n f o r m a t i c s 7 6 S ( 2 0 0 7 ) S334–S341
it into archetypes. The process we followed is documented in device was used) can be added to the archetype. Broad input
this section. from clinicians should be sought during this phase (however
After proper analysis of the existing CDS, initially all appro- if the data set is already well defined less input is necessary).
priate high-level archetype concepts present in the CDS, for Often CDSs do not define the exact points of time when data
example ‘blood pressure measurement’ or ‘diagnosis’ should documentation is required. If the data set does not provide all
be defined. It is possible to use an Archetype Editor at the necessary information, this information has to be gath-
this stage already, but not necessary. Of good value is the ered or agreed on by the responsible domain experts. Finally,
use of a mindmap laying out all the archetype concepts.1 section and composition archetypes are defined for ordering
Thus, overlapping concepts can be identified and appro- the clinical contexts into a fitting structure.
priately dealt with. At this stage, we also decide on the Once an archetype is defined, it should be submitted to the
use of existing demographics archetypes. These should be Clinical Review Board of openEHR as for semantically interop-
identical or specialized from existing openEHR demographics erable systems, archetype development should be coordinated
archetypes. to avoid incompatible archetypes for the same concept by
After all high-level archetype concepts are defined—and systematic Domain Knowledge Governance. Thus, it can be
before actually designing the archetypes from scratch using ensured that no overlapping concepts or otherwise incom-
an Archetype Editor, it is necessary to check for existing ref- patible archetypes are used for different health disciplines,
erence archetypes. Archetypes already published for example etc.
on the openEHR website have undergone extensive peer-review The resulting archetypes will look considerably different
already and thus are a valuable source for any archetype than the original CDS. This is because archetypes define
developer. The Archetype Finder developed by the first author a comprehensive clinical concept, whereas CDS are data-
of this paper is available at http://www.archetypes.com.au oriented.
and helps identifying relevant existing archetypes by use of
an OWL ontology [3]. The use of the Archetype Finder by 3.2. Developed archetypes
archetype developers avoids that already defined archetypes
are reinvented thus saving effort and also fostering seman- An overview of some the developed observation, evaluation,
tic interoperability by avoiding overlapping and incompatible instruction and action archetypes is given in Fig. 1. In addition,
concepts. If an archetype is only available in a foreign language we developed SECTION archetypes (roughly equivalent to Doc-
it can be translated. If no fitting archetypes are discovered, ument Headings), and structural archetypes (e.g. ITEM TREE
an appropriate structure for the new archetype has to be archetypes), which can be reused in various other archetypes,
selected: This includes the decision if a clinical concept and ADMIN ENTRY archetypes, which are used for adminis-
is an trative purposes.
Fig. 2 presents one concrete example for the conversion of
• Observation (i.e. objective data the health professional the representation of toxicities in existing CDS to one openEHR
observes from the patient, e.g. a blood pressure measure- archetype. Although both CDS and archetype are in German, it
ment); is evident from this figure that we chose to represent toxicities
• Evaluation (i.e. opinions, including assessments, goals and differently in the resulting archetype: The original CDS uses
plans by the health professional usually based on observa- coding tables to define the various toxicities like ‘vomiting’
tions, e.g. a diagnosis); (German: “Erbrechen”) and the available value set (here: num-
• Instruction (i.e. the health professional instructs an ‘agent’, ber of episodes within 24 h coded to severities 0–4) whereas
e.g. a medication order); archetypes can explicitly represent these toxicities and define
• Action (i.e. an action on the patient, e.g. a medication action, appropriate value sets. (NB: These value sets could also be
which includes among others the dispensing and adminis- derived from or linked to a terminology query, e.g. to SNOMED
tration of the medication. Actions are often but not always CT.) (Fig. 3).
based on an instruction).2
3.3. Problems with current CDSs
1
Cp. the Mindmap of existing archetypes at http://svn.openehr.
3.4. The potential of openEHR to overcome the
org/knowledge/archetypes/dev/html/en/ArchetypeMap.html.
2 problems with CDSs
The resulting process model of observations, evaluations,
instructions and actions is a synthesis of Lawrence Weed’s
problem-oriented method of EHR recording, and later related The openEHR approach and archetypes address the problems
efforts, including among others the model of Rector et al. [12]. associated with CDSs as presented in Table 2.
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Fig. 1 – A simplified overview of a selection of developed ‘clinical’ archetypes for Paediatric Oncology. Not taken into
account are administrative archetypes (ADMIN ENTRY), structure archetypes (e.g. ITEM TREE), or SECTION archetypes.
Fig. 2 – An example of the conversion of the 260 items of the German CDS for Paediatric Oncology to 46 openEHR archetypes:
Toxicities as coded in the CDS are converted to openEHR archetypes. Toxicities in the CDS are coded in corresponding coding
tables, whereas we chose to incorporate the various toxicities as distinct fields directly into the archetype.
S338 i n t e r n a t i o n a l j o u r n a l o f m e d i c a l i n f o r m a t i c s 7 6 S ( 2 0 0 7 ) S334–S341
Fig. 3 – A screenshot from Ocean Informatics’ Archetype Editor, displaying the state data for a Blood Pressure Measurement.
State data is the data that is required for safe interpretation of the actual measurement.
set, whereas a CDS would usually serve as a minimum basic representation for a clinical concept. However, as archetypes
data set. While this statement is not inherently true of the separate informatics concerns and clinical content discus-
two approaches, it describes the way the two approaches are sion, in our experience from archetype workshops recently
currently usually used. The way we currently use these two conducted for clinicians in Melbourne, Sydney and Brisbane,
approaches is to a large part due to the direction that on the archetypes help clinicians to focus on the discussion of clinical
one hand existing CDSs and CDS design tools and on the other content, serve as a great ‘change agent’ and are a good means
hand existing archetypes, archetype principles and archetype to involve clinicians in the ‘boring’ modelling of clinical con-
design tools provide. tent. Thus, by using archetypes to develop new CDSs, a more
Thus, reporting based on defined CDSs can be seen as one streamlined development process can be adopted. Some train-
feature of an archetype-based system. Although we cannot ing for clinicians serving as lead developers for archetypes is
prove it yet, we believe that openEHR archetypes are more necessary to understand the basic concepts of archetypes [18].
expressive than any kind of conventional structure for CDSs. More generally, the openEHR two-level modelling and
Because of this and the described advantages of archetypes, archetype methodology cannot overcome all of the barri-
we believe that openEHR archetypes are an adequate means ers to ubiquitous computing (cp. [19]). For example, easier,
for developing and structuring new CDSs. As shown in Sec- higher quality, more convenient and faster data capture at
tion 3.1, it is also possible to transform existing CDSs into the point of care (or in fact anywhere) as envisioned by ubiq-
archetypes. Generally speaking, the better the quality of the uitous computing (e.g. wearable devices, and combination of
CDS adheres to good data development guidelines, the less technologies such as voice or handwriting recognition) are
effort is required to transform it into a collection of archetypes. beyond the scope of this approach. The openEHR approach
We note that this transformation is not an automatic process, can however provide the common basis for ubiquitous pres-
but requires thinking and judgment on a conceptual level, ence of meaningful and computer-processable knowledge and
and additional clinical input during the actual development information and thus contribute to the usability of clini-
of these archetypes. Also, archetypes do not solve the prob- cal systems, improve data quality, and improve semantic
lem that domain experts will need to agree on the appropriate interoperability.
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