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Guide for patients in understanding clinical audit reports - HQIP

Guide for patients in understanding clinical audit reports - HQIP

Guide for patients in understanding clinical audit reports - HQIP

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<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong>Understand<strong>in</strong>g Cl<strong>in</strong>icalAudit ReportsMary PearceHealthcare Quality QuestCl<strong>in</strong>ical <strong>audit</strong> tool to promote quality <strong>for</strong> better health servicesRevised -m<strong>in</strong>or changes to word<strong>in</strong>g -February 2012


Previous versions:April 2010 (first publication)Next review:February 2013


Contents1 Introduction to the guide 11.1 Who the guide is <strong>for</strong> 11.2 How it is <strong>in</strong>tended to help 12 Understand<strong>in</strong>g cl<strong>in</strong>ical <strong>audit</strong> 12.1 What cl<strong>in</strong>ical <strong>audit</strong> is <strong>in</strong>tended to do 12.2 The cl<strong>in</strong>ical <strong>audit</strong> process 23 Types of cl<strong>in</strong>ical <strong>audit</strong>s 34 What to expect <strong>in</strong> a report on a cl<strong>in</strong>ical report 44.1 What the report should be about 44.2 Types of cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong> 64.3 How cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong> are used 75 How to <strong>in</strong>terpret cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong> 75.1 Reports on local cl<strong>in</strong>ical <strong>audit</strong>s 75.2 Reports on national cl<strong>in</strong>ical <strong>audit</strong>s 85.3 Ways cl<strong>in</strong>ical <strong>audit</strong> f<strong>in</strong>d<strong>in</strong>gs are summarised 85.3.1 Averages across data 85.3.2 Spread across data 95.4 Ways cl<strong>in</strong>ical <strong>audit</strong> f<strong>in</strong>d<strong>in</strong>gs are displayed 105.5 Terms used to describe cl<strong>in</strong>ical <strong>audit</strong> data 17References 19Further read<strong>in</strong>g 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports i of 19


2.2 The cl<strong>in</strong>ical <strong>audit</strong> processThe important stages <strong>in</strong> the cl<strong>in</strong>ical <strong>audit</strong> process are described <strong>in</strong> the box.Key stages <strong>in</strong> a cl<strong>in</strong>ical <strong>audit</strong>The group that is do<strong>in</strong>g an <strong>audit</strong>:• Agrees on why the group members want to do the <strong>audit</strong> and exactly which types of <strong>patients</strong>they want to <strong>in</strong>clude <strong>in</strong> the <strong>audit</strong>• Agrees on the standards of patient care and def<strong>in</strong>es the standards very precisely so that theactual quality of care can be measured accurately• Goes through electronic or paper patient records or asks <strong>patients</strong> or carers directly to collect<strong>in</strong><strong>for</strong>mation about whether or not the standards are be<strong>in</strong>g met• Analyses the data gathered to see how many <strong>patients</strong> are gett<strong>in</strong>g care accord<strong>in</strong>g to the standards• Decides if the quality of care is acceptable or not• If the quality of care is acceptable, lets the staff know they are do<strong>in</strong>g a good job• If the quality of care is not acceptable, f<strong>in</strong>ds out what the problems are and takes action toimprove the quality of care. Then the group collects <strong>in</strong><strong>for</strong>mation aga<strong>in</strong> to see if the action hasresulted <strong>in</strong> more <strong>patients</strong> gett<strong>in</strong>g the right care.The cl<strong>in</strong>ical <strong>audit</strong> process is illustrated <strong>in</strong> the diagram.The cl<strong>in</strong>ical <strong>audit</strong> processStage 1 —Preparation and plann<strong>in</strong>g(<strong>in</strong>clud<strong>in</strong>g <strong>for</strong> repeat<strong>in</strong>gan <strong>audit</strong>)Stage 2 —Measur<strong>in</strong>gper<strong>for</strong>manceStage 4 —Susta<strong>in</strong><strong>in</strong>g improvement(<strong>in</strong>clud<strong>in</strong>g repeat<strong>in</strong>g an<strong>audit</strong>)Stage 3 —Implement<strong>in</strong>g changeSee Cl<strong>in</strong>ical Audit — An Introduction <strong>for</strong> Patients at www.hqip.org.uk.2 of 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports


3 Types of cl<strong>in</strong>ical <strong>audit</strong>sThere are three types of cl<strong>in</strong>ical <strong>audit</strong>s. They are usually referred to as national, regional (ormulti-site) and local cl<strong>in</strong>ical <strong>audit</strong>s. National cl<strong>in</strong>ical <strong>audit</strong>s <strong>in</strong>clude those that are funded bythe National Cl<strong>in</strong>ical Audit and Patient Outcomes Programme (NCAPOP) that is managed by<strong>HQIP</strong> or other national cl<strong>in</strong>ical <strong>audit</strong>s that have separate fund<strong>in</strong>g. Regional cl<strong>in</strong>ical <strong>audit</strong>s tendto be led by regional cl<strong>in</strong>ical groups. Local cl<strong>in</strong>ical <strong>audit</strong>s are led by cl<strong>in</strong>ical staff work<strong>in</strong>g <strong>in</strong> an<strong>in</strong>dividual healthcare organisation.The key features of each of the types of <strong>audit</strong>s are <strong>in</strong> the box.Type of cl<strong>in</strong>ical <strong>audit</strong>Key features of the cl<strong>in</strong>ical <strong>audit</strong>National 1• The subject of the cl<strong>in</strong>ical <strong>audit</strong> is highly important nationally.• The <strong>audit</strong> is <strong>in</strong>tended to <strong>in</strong>clude all NHS organisations <strong>in</strong>England that treat <strong>patients</strong> <strong>for</strong> the condition that is the subject ofthe <strong>audit</strong>.• The <strong>audit</strong> is designed to measure current cl<strong>in</strong>ical practice <strong>in</strong>comparison to national cl<strong>in</strong>ical guidel<strong>in</strong>es and/or patientoutcomes.• Individual NHS organisations are expected to study theircl<strong>in</strong>ical per<strong>for</strong>mance <strong>in</strong> comparison to the national f<strong>in</strong>d<strong>in</strong>gsof the <strong>audit</strong>, and make improvements <strong>in</strong> their practice asneeded.• Relevant national professional bodies, such as RoyalColleges, support the <strong>audit</strong>.• Relevant national voluntary organisations that represent<strong>patients</strong>’ <strong>in</strong>terests usually are <strong>in</strong>volved <strong>in</strong> the <strong>audit</strong>.Regional or multi-site• The subject of the cl<strong>in</strong>ical <strong>audit</strong> is highly important regionally.• The <strong>audit</strong> is <strong>in</strong>tended to <strong>in</strong>clude all NHS organisations <strong>in</strong> aregion that treat <strong>patients</strong> <strong>for</strong> the condition that is the subject ofthe <strong>audit</strong>.• The <strong>audit</strong> is designed to measure current cl<strong>in</strong>ical practice <strong>in</strong>comparison to national or regional cl<strong>in</strong>ical guidel<strong>in</strong>esand/or patient outcomes.• Individual NHS organisations are expected to study theircl<strong>in</strong>ical per<strong>for</strong>mance <strong>in</strong> comparison to the regional f<strong>in</strong>d<strong>in</strong>gsof the <strong>audit</strong>, and make improvements <strong>in</strong> their practice asneeded.• Relevant regional professional groups support the <strong>audit</strong>.• Relevant patient representatives may be <strong>in</strong>volved <strong>in</strong> the <strong>audit</strong>.<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports 3 of 19


QuestionWhat the cl<strong>in</strong>ical <strong>audit</strong> isabout• Background• Patient <strong>in</strong>volvementWhy the cl<strong>in</strong>ical <strong>audit</strong> wasdoneThe standards that wereusedHow it was doneWhat was learned aboutthe quality of patient carePart of the reportThe title of the cl<strong>in</strong>ical <strong>audit</strong>—preferably expla<strong>in</strong><strong>in</strong>g the subject ofthe <strong>audit</strong> as completely as possibleA brief explanation of the subject and why it was important to carryout an <strong>audit</strong> on the subjectA brief description of how <strong>patients</strong> or their representatives were<strong>in</strong>volved <strong>in</strong> the <strong>audit</strong>, if they wereThe aim(s) and/or specific objective(s) of the <strong>audit</strong> to confirmthat the present quality of care meets standards or to makeimprovements <strong>in</strong> care if neededExactly what care should have been given to <strong>patients</strong> and thepercentage of <strong>patients</strong> that should get that careNormally, this section expla<strong>in</strong>s:• the group of <strong>patients</strong> <strong>in</strong>cluded <strong>in</strong> the <strong>audit</strong> and how the <strong>patients</strong>were selected• how the data needed were collected.This <strong>in</strong><strong>for</strong>mation may be <strong>in</strong> a section of the report called methodology.The percentages of <strong>patients</strong> that had the right care from the datacollected. Sometimes <strong>audit</strong> f<strong>in</strong>d<strong>in</strong>gs are shown us<strong>in</strong>g other statistics.Depend<strong>in</strong>g on the type of <strong>audit</strong>, if the f<strong>in</strong>d<strong>in</strong>gs show that careprovided to <strong>patients</strong> wasn’t consistent with the standards used, thef<strong>in</strong>al report also should show the percentages of <strong>patients</strong> thathad the right care after changes <strong>in</strong> practice were made.The f<strong>in</strong>d<strong>in</strong>gs section also describes:• whether or not the f<strong>in</strong>d<strong>in</strong>gs of the first data collection showedacceptable quality of care or service, and if not, why not• problems identified by the <strong>audit</strong> f<strong>in</strong>d<strong>in</strong>gs• causes of any problems and how the causes of the problemswere identified.What was done about thef<strong>in</strong>d<strong>in</strong>gsHow successful actionstaken have beenThe report should describe improvements needed and theactions taken to achieve the improvements. If the group do<strong>in</strong>g the<strong>audit</strong> does not have the authority to take action, the report maydescribe the actions that are recommended.A f<strong>in</strong>al report on a cl<strong>in</strong>ical <strong>audit</strong> should <strong>in</strong>clude evidence thatactions taken resulted <strong>in</strong> needed improvements.For more <strong>in</strong><strong>for</strong>mation on what’s <strong>in</strong>cluded <strong>in</strong> a cl<strong>in</strong>ical <strong>audit</strong> report, see Template <strong>for</strong> Cl<strong>in</strong>icalAudit Report at www.hqip.org.uk.<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports 5 of 19


4.2 Types of cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong>Cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong> vary accord<strong>in</strong>g to the type of cl<strong>in</strong>ical <strong>audit</strong>. Key features of <strong>reports</strong> are <strong>in</strong>the box.Type of cl<strong>in</strong>ical <strong>audit</strong>National and regionalKey features of the cl<strong>in</strong>ical <strong>audit</strong> report• The report is usually issued annually and <strong>in</strong>cludes f<strong>in</strong>d<strong>in</strong>gsfrom the previous year’s data collection.• The cl<strong>in</strong>ical <strong>audit</strong> f<strong>in</strong>d<strong>in</strong>gs represent the quality of careprovided at national (or regional) level.• The f<strong>in</strong>d<strong>in</strong>gs <strong>in</strong>clude many details that help <strong>in</strong>dividualhealthcare organisations <strong>in</strong>terpret the f<strong>in</strong>d<strong>in</strong>gs and see howtheir per<strong>for</strong>mance compares with the per<strong>for</strong>mance of otherorganisations.• The organisations that carry out national cl<strong>in</strong>ical <strong>audit</strong>s cannotdirect <strong>in</strong>dividual healthcare organisations to take specificactions to make improvements. There<strong>for</strong>e, the report tends toprovide recommendations <strong>for</strong> action to be followed up at locallevel by each organisation participat<strong>in</strong>g <strong>in</strong> the <strong>audit</strong>.• It may not be possible to see the effect of actions taken toachieve improvements <strong>in</strong> the quality of patient care until thenext report is issued, and f<strong>in</strong>d<strong>in</strong>gs are compared from year toyear.Local• A presentation or a report may be provided at various stages <strong>in</strong>the cl<strong>in</strong>ical <strong>audit</strong>, <strong>for</strong> example:– after data have been collected to present the f<strong>in</strong>d<strong>in</strong>gs tothose <strong>in</strong>volved <strong>in</strong> the <strong>audit</strong>– after those <strong>in</strong>volved have analysed the f<strong>in</strong>d<strong>in</strong>gs, identifiedany problems <strong>in</strong> care and their causes, and decided onactions that need to be taken (which may be calledrecommendations <strong>for</strong> action)– after actions have been taken and data have been collectedaga<strong>in</strong> to show whether or not improvements are achieved.• Cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong> can be called prelim<strong>in</strong>ary or <strong>in</strong>terim untilall the stages of the cl<strong>in</strong>ical <strong>audit</strong> have been completed andthere is evidence that the quality of care meets the standards <strong>in</strong>the cl<strong>in</strong>ical <strong>audit</strong>.• Reports on local cl<strong>in</strong>ical <strong>audit</strong>s may be updated severaltimes to reflect what happened after action was taken toachieve improvement and the collection of data was repeated tof<strong>in</strong>d out if the quality of care has improved.Reports <strong>for</strong> national cl<strong>in</strong>ical <strong>audit</strong>s that are part of the NCAPOP are available atwww.hqip.org.uk. Reports on local cl<strong>in</strong>ical <strong>audit</strong>s can be obta<strong>in</strong>ed from the cl<strong>in</strong>ical <strong>audit</strong>department at your local healthcare organisation.6 of 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports


4.3 How cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong> are usedCl<strong>in</strong>ical staff, healthcare organisations and <strong>patients</strong> want to know about the quality of carebe<strong>in</strong>g delivered and want to know that improvements <strong>in</strong> patient care are be<strong>in</strong>g made asneeded. Cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong> can be used <strong>for</strong> many purposes, <strong>in</strong>clud<strong>in</strong>g to:• demonstrate the quality of care currently provided to <strong>patients</strong>• show that the organisation is committed to improv<strong>in</strong>g the quality of patient care• share with people who weren’t <strong>in</strong>volved <strong>in</strong> the cl<strong>in</strong>ical <strong>audit</strong> what has been achieved• help cl<strong>in</strong>ical staff reflect on how an <strong>audit</strong> was done and learn how to do future cl<strong>in</strong>ical <strong>audit</strong>s<strong>in</strong> better ways• provide assurance to the organisation’s board that the organisation is meet<strong>in</strong>g itsobligations relat<strong>in</strong>g to the quality of patient care.5 How to <strong>in</strong>terpret cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong>5.1 Reports on local cl<strong>in</strong>ical <strong>audit</strong>sReports on local cl<strong>in</strong>ical <strong>audit</strong>s usually <strong>in</strong>clude the follow<strong>in</strong>g:• if standards set <strong>in</strong> the cl<strong>in</strong>ical <strong>audit</strong> are be<strong>in</strong>g met, that is, if <strong>patients</strong> are gett<strong>in</strong>g the rightcare• reasons <strong>for</strong> shortcom<strong>in</strong>gs <strong>in</strong> care• actions to address the shortcom<strong>in</strong>gs and evidence of the effectiveness of the actions<strong>in</strong> improv<strong>in</strong>g patient care.People do<strong>in</strong>g cl<strong>in</strong>ical <strong>audit</strong>s use statistical techniques to summarise and present the data toturn the data <strong>in</strong>to <strong>in</strong><strong>for</strong>mation you can <strong>in</strong>terpret.In local cl<strong>in</strong>ical <strong>audit</strong>s, the f<strong>in</strong>d<strong>in</strong>gs are usually shown by the percentage of <strong>patients</strong> <strong>in</strong>cluded<strong>in</strong> an <strong>audit</strong> whose care was consistent with the standards used <strong>in</strong> the <strong>audit</strong>.Example of a f<strong>in</strong>d<strong>in</strong>g <strong>in</strong> a local cl<strong>in</strong>ical <strong>audit</strong>Suppose a team decided to measure if plans <strong>for</strong> care at home follow<strong>in</strong>g discharge from the hospitalare discussed and agreed with <strong>patients</strong>. The team decides that there should be notes <strong>in</strong> a patient’srecord to confirm the discussion and agreement. If the team learned that 87 out of 100 <strong>patients</strong> <strong>in</strong>the <strong>audit</strong> had plans discussed and agreed, the f<strong>in</strong>d<strong>in</strong>g might be presented as follows.StandardThe plans <strong>for</strong> care at home follow<strong>in</strong>g discharge from thehospital are discussed and agreed with the patientFrequency(percentage)100%Actualpercentage87%The percentage shown also means that 13 out of 100 <strong>patients</strong> did not have discharge plansdiscussed and agreed.<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports 7 of 19


5.2 Reports on national cl<strong>in</strong>ical <strong>audit</strong>sNational cl<strong>in</strong>ical <strong>audit</strong>s <strong>in</strong>volve mak<strong>in</strong>g comparisons about the quality of patient care amongthe healthcare organisations participat<strong>in</strong>g <strong>in</strong> the <strong>audit</strong>. There<strong>for</strong>e, <strong>reports</strong> on national cl<strong>in</strong>ical<strong>audit</strong>s tend to have more <strong>in</strong><strong>for</strong>mation about the similarities and differences <strong>in</strong> practice amongorganisations.5.3 Ways cl<strong>in</strong>ical <strong>audit</strong> f<strong>in</strong>d<strong>in</strong>gs are summarisedThere are many ways that cl<strong>in</strong>ical <strong>audit</strong> data can be summarised to show you how similar—or dissimilar—the f<strong>in</strong>d<strong>in</strong>gs were <strong>for</strong> the <strong>patients</strong>, events or situations <strong>in</strong> an <strong>audit</strong>.5.3.1 Averages across dataThree ways used frequently to present cl<strong>in</strong>ical <strong>audit</strong> data are: 2-6• mode• median• meanThese methods can be used to report the f<strong>in</strong>d<strong>in</strong>gs <strong>in</strong> both local and national cl<strong>in</strong>ical <strong>audit</strong>s.The terms are expla<strong>in</strong>ed <strong>in</strong> the box.MethodModeMedianMeanMean<strong>in</strong>gIn a set of data, the number that occurs most frequentlyIn a set of data, the middle number, which is found by arrang<strong>in</strong>g the numbers <strong>in</strong>order of size go<strong>in</strong>g from lowest to highest and then f<strong>in</strong>d<strong>in</strong>g the middle numberThe arithmetic average, found by add<strong>in</strong>g all the numbers and divid<strong>in</strong>g by thetotal number of numbersExampleOne aspect of care that might be important <strong>in</strong> a cl<strong>in</strong>ical <strong>audit</strong> is length of stay <strong>in</strong> hospital <strong>in</strong> days. Ifan <strong>audit</strong> <strong>in</strong>cluded 15 <strong>patients</strong>, the number of days <strong>patients</strong> stayed <strong>in</strong> hospital could be reported threeways, as the mode, median or mean.3, 4, 5, 5, 5, 5, 6, 6, 8, 8, 10, 10, 10, 32, 335 = Mode3, 4, 5, 5, 5, 5, 6, 6, 8, 8, 10, 10, 10, 32, 336 = Median3 + 4 + 5 + 5 + 5 + 5 + 6 + 6 + 8 + 8 + 10 + 10 + 10 + 32 + 33 = 150There are 15 numbers.15015= 10 = MeanThe example shows that the mean is affected by a few extreme numbers so it is not always thefairest way to show what is happen<strong>in</strong>g ‘on average’ to <strong>patients</strong>.8 of 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports


5.3.2 Spread across dataTwo ways to show the spread across cl<strong>in</strong>ical <strong>audit</strong> data are: 2–6• percentiles and quartiles (sometimes called quantiles)• standard deviation.The terms are expla<strong>in</strong>ed <strong>in</strong> the box.MethodPercentilesand quartilesMean<strong>in</strong>gDivid<strong>in</strong>g a str<strong>in</strong>g of numbers, that are arranged <strong>in</strong> rank order, <strong>in</strong>to equal groupsWhen the numbers are divided <strong>in</strong>to quarters, the quarters are called quartiles (Q).When they are divided <strong>in</strong>to hundredths, the groups are called percentiles.The <strong>in</strong>terquartile range is the middle 50% of the array of numbers between Q1and Q3.ExampleIf the quartiles were calculated <strong>for</strong> the lengths of stay, they would show the effect of the very longstays.Illustration3, 4, 5, 5, 5, 5, 6, 6, 8, 8, 10, 10, 10, 32, 33| – – – – – | – – – – – | – – – – – | – – – – – |5 6 10Q1 Q2 Q35 = Q1 = 25th percentile = 25% of the numbers are below the number at QI.6 = Q2 = median = 50th percentile = 50% of the numbers are below the number at Q2.10 = Q3 = 75th percentile = 75% of the numbers are below the number at Q3.The <strong>in</strong>terquartile range = 5 to 10, the middle 50% of the length of stay.25% of the <strong>patients</strong> stayed 5 days or less and half the <strong>patients</strong> stayed 6 days or less. However, thereis then a gap <strong>in</strong> the days of stay. 75% of the <strong>patients</strong> stayed 10 days or less and 100% of the <strong>patients</strong>stayed 33 days or less.<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports 9 of 19


MethodStandarddeviation(SD)Mean<strong>in</strong>gIn a str<strong>in</strong>g of numbers, the average deviation of numbers from the mean. Itshows how spread out the numbers are.The smaller the standard deviation, the more alike the data are.The larger the standard deviation, the more spread out and dissimilar the data are.ExampleSuppose that a national cl<strong>in</strong>ical <strong>audit</strong> shows that the mean age of <strong>patients</strong> <strong>in</strong> the <strong>audit</strong> was 73 yearsand the standard deviation (average deviation from the mean) was 10 years. In your local NHSorganisation, however, suppose that the mean age of <strong>patients</strong> <strong>in</strong> the <strong>audit</strong> was 58 years. Thisdifference would show that the <strong>patients</strong> treated <strong>in</strong> your local NHS organisation were dissimilar <strong>in</strong> ageto the <strong>patients</strong> treated at a national level. There<strong>for</strong>e, depend<strong>in</strong>g on what the cl<strong>in</strong>ical <strong>audit</strong> is about,the f<strong>in</strong>d<strong>in</strong>gs of the national <strong>audit</strong> may not be applicable to your local organisation.5.4 Ways cl<strong>in</strong>ical <strong>audit</strong> data are displayedThere are many ways <strong>for</strong> organis<strong>in</strong>g and present<strong>in</strong>g data, <strong>in</strong>clud<strong>in</strong>g: 2-8• table• bar chart and histogram• graph (frequency polygon)• box and whisker diagram• funnel plot.Tables, bar charts, histograms and graphs are used to report the f<strong>in</strong>d<strong>in</strong>gs <strong>in</strong> both local andnational cl<strong>in</strong>ical <strong>audit</strong>s. Box and whisker diagrams and funnel plots are used more frequently<strong>in</strong> <strong>reports</strong> of national cl<strong>in</strong>ical <strong>audit</strong>s.These ways of display<strong>in</strong>g data are described <strong>in</strong> the boxes that follow. The method is expla<strong>in</strong>edand an example is given. The examples are taken from two of the <strong>reports</strong> of national cl<strong>in</strong>ical<strong>audit</strong>s. 9–1010 of 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports


DisplayTableMean<strong>in</strong>gOrganisation and presentationof data <strong>in</strong>to clearly labelledcolumns and rowsEach column and row may havetotals to help <strong>in</strong> <strong>in</strong>terpret<strong>in</strong>g the data.Key po<strong>in</strong>tsData <strong>in</strong> each cell show the frequency ofoccurrence of each th<strong>in</strong>g be<strong>in</strong>g counted ormeasured, usually shown as a number or apercentage.ExampleIn the National Sent<strong>in</strong>el Stroke Audit, 9 data on meet<strong>in</strong>g 8 standards were collected and reported.The table shows the differences <strong>in</strong> care <strong>for</strong> <strong>patients</strong> who were admitted to stroke units and <strong>patients</strong>who were not. The percentage of <strong>patients</strong> whose care met the standards was higher <strong>for</strong> <strong>patients</strong>admitted to a stroke unit than <strong>for</strong> those who weren’t.Percentage of <strong>patients</strong> who had care accord<strong>in</strong>g to the standards, <strong>for</strong> applicable <strong>patients</strong>Measure1. Screened <strong>for</strong> swallow<strong>in</strong>g disorderswith<strong>in</strong> first 24 hours of admission2. Bra<strong>in</strong> scan with<strong>in</strong> 24 hours of stroke3. Commenced aspir<strong>in</strong> by 48 hours afterstroke4. Physiotherapy assessment with<strong>in</strong> first72 hours of admission5. Assessment by an Occupational Therapistwith<strong>in</strong> 4 work<strong>in</strong>g days of admission6. Weighed at least once dur<strong>in</strong>g admission7. Mood assessed by discharge8. Rehabilitation goals agreed by themultidiscipl<strong>in</strong>ary teamPercentage (%) among<strong>patients</strong> admitted toa stroke unit(8390 <strong>patients</strong>)7864878870797291Percentage (%) among<strong>patients</strong> not admittedto a stroke unit(2967 <strong>patients</strong>)5059796542463657<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports 11 of 19


DisplayMean<strong>in</strong>gKey po<strong>in</strong>tsBar chart andhistogramExampleDiagrams that have a series ofbars. The bars can either standup or go from side to side.Words that expla<strong>in</strong> what each barstands <strong>for</strong> are along the bottom orup the side of the diagram.The height (or length) of each barrepresents a number or percentage.A bar chart has spaces between the barsbecause bars are <strong>for</strong> separate th<strong>in</strong>gs thatcannot run onto each other, such asmedical specialties or types of therapy.A histogram is a bar chart that does nothave spaces between the bars. This isbecause bars are <strong>for</strong> th<strong>in</strong>gs that can runonto each other, such as age, time, weightor blood pressure.In the National Sent<strong>in</strong>el Stroke Audit, 9 an additional standard is that <strong>patients</strong> who have a strokeshould spend 90% of their hospital stay <strong>in</strong> a stroke unit.Over 2006-2008, there were 3806 <strong>patients</strong> who should have had care that met the 8 standards <strong>in</strong>the table on page 11 plus the standard on stay <strong>in</strong> a stroke unit.The bar chart shows the number of <strong>patients</strong> whose care met only one of the standards measures,the number of <strong>patients</strong> whose care met two of the standards and so on. The bar chart shows thatonly 645 of 3806 <strong>patients</strong> or 17% had care that was consistent with all of the standards.Bar chart of the number of standards met <strong>for</strong> 3806 <strong>patients</strong> <strong>for</strong> 2006 to 2008Number of <strong>patients</strong> (total eligible = 3806)100090080070060050040030020010004 1441972110 1 2 3 4 5 6 7 8 9of 9 of 9 of 9 of 9 of 9 of 9 of 9 of 9met met met met met met met metof 9met423552Total number of 9 standards met866953645of 9met12 of 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports


DisplayMean<strong>in</strong>gKey po<strong>in</strong>tsGraph(also calledfrequencypolygon)A curve that connects numbersthat are <strong>in</strong> the middle of the topsof each bar <strong>in</strong> a histogramDots that are <strong>in</strong> the middle of the top of eachbar <strong>in</strong> a histogram are connected <strong>in</strong>to l<strong>in</strong>esbetween the bars.ExampleIn the National Paediatric Intensive Care Audit, 10 data were collected on the number of admissionsper month <strong>for</strong> 2006 to 2008.The graph shows the number of admissions per month <strong>for</strong> three years, 2006–2008. The admissionsare shown <strong>for</strong> age groups of children: less than 1 year old, 1 to 4 years, 5 to 10 years and 11 to 15years. The graph shows that the most frequent age of children each month over time was childrenless than 1 year old. Also, <strong>for</strong> this group, there is a pattern <strong>in</strong> the data: Admissions start to rise <strong>in</strong>October and stay high through January. The data <strong>for</strong> the other age groups show no such patternsand are much lower <strong>in</strong> frequency.Graph of the number of admissions by month and age <strong>for</strong> 2006 to 2008Number of admissions100090080070060050040030020010000 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 122006 2007 2008


DisplayBox andwhiskerdiagram(also calledbox plot)Mean<strong>in</strong>gA diagram that shows how thenumbers collected ‘cluster’ <strong>in</strong>comparison to the extremeends of the numbers. It showsthe range and quartiles of thedata.The diagram <strong>in</strong>cludes the:• range (the whiskers)• median• a box that shows the <strong>in</strong>terquartilerange and consists ofthe numbers from the firstquartile to the third quartile.The diagram can show thepresence of more extreme valuesat one end of a range than theother. If extreme values occur atone end of a range <strong>for</strong> a group ofdata, it is known as ‘skewness’.The m<strong>in</strong>imum and maximum levels<strong>for</strong> the whiskers can be set toshow the lowest and highest values<strong>in</strong> a range. They also can be setstatistically to show outliers, whichare data po<strong>in</strong>ts that are veryextreme <strong>in</strong> comparison to therest of the data. The outliers areshown as circles.Key po<strong>in</strong>tsCircle = outlierWhisker = maximum or the highestvalue exclud<strong>in</strong>g outliersBox end = 75th percentile — 25% of dataare greater <strong>in</strong> valueL<strong>in</strong>e = median = 50th percentile — 50% ofdata are greater <strong>in</strong> valueWhole box = <strong>in</strong>terquartile range — themiddle 50% of valuesBox end = 25th percentile — 25% of dataare less <strong>in</strong> valueWhisker = m<strong>in</strong>imum or the least valueexclud<strong>in</strong>g outliersCircle = outlierExampleIn the National Sent<strong>in</strong>el Stroke Audit, 9 data on meet<strong>in</strong>g all 9 standards were collected. A box and whiskerdiagram was used to show the variation <strong>in</strong> meet<strong>in</strong>g the 9 standards among the participat<strong>in</strong>g hospitals.Look <strong>for</strong> the follow<strong>in</strong>g <strong>in</strong> the diagram:• Are some boxes higher than others? This tells you that there is better care <strong>for</strong> some standards than <strong>for</strong>others.• Are some boxes bigger (longer?) than others? Longer boxes means the data were not as clustered,that is, not as alike.• Are some whiskers longer than others? Longer whiskers means the data were not as clustered, thatis, not as alike.• Are there any circles? Circles mean outliers which are data that are very different from all the other data.Look<strong>in</strong>g at the example, the diagram shows you that the height of the boxes varies <strong>for</strong> the 9 <strong>in</strong>dividualstandards. The middle 50% of the hospitals did better on some standards, such as aspir<strong>in</strong> be<strong>in</strong>g givenwith<strong>in</strong> 48 hours, than on others, such as a bra<strong>in</strong> scan be<strong>in</strong>g done <strong>in</strong> 48 hours.14 of 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports


The boxes are smaller <strong>for</strong> some standards, such as the goals <strong>for</strong> rehabilitation be<strong>in</strong>g agreed, and larger <strong>for</strong>other standards, such as the patient’s mood be<strong>in</strong>g assessed. The smaller boxes tell you the middle 50%of the hospitals were more alike <strong>for</strong> how well they provided care and the larger boxes tell you there wasmuch more variation <strong>in</strong> how well care was provided.The whiskers have been set to allow <strong>for</strong> outliers. They show you that there were more outliers <strong>for</strong> somestandards, such as the patient be<strong>in</strong>g weighed, than <strong>for</strong> others. In summary, the diagram tells you that thehospitals were consistently better at meet<strong>in</strong>g some standards than others.Box and whisker diagram of hospital variation <strong>for</strong> compliance with each of 9 standards100Percentage of <strong>patients</strong>’ care meet<strong>in</strong>g the standards9080706050403020100190% ofstay <strong>in</strong> SU2Swallowscreen3Bra<strong>in</strong> scan<strong>in</strong> 24 hrs4Aspir<strong>in</strong><strong>in</strong> 48 hrs5Physio<strong>in</strong> 72 hrs6OT <strong>in</strong> 4work<strong>in</strong>gdays7Patientweighed8Moodassessed9Rehabgoalsagreed10Averageof 9standardsStandards<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports 15 of 19


DisplayMean<strong>in</strong>gKey po<strong>in</strong>tsFunnel plotExampleA diagram that shows wherenumbers fit <strong>in</strong> comparison to al<strong>in</strong>e that <strong>in</strong>dicates the target leveland dotted l<strong>in</strong>es that <strong>in</strong>dicatecontrol limits.Control limits serve as boundaries<strong>for</strong> data. Any data po<strong>in</strong>ts that fallabove the upper boundary orbelow the lower boundary areconsidered outliers. The chanceof dots be<strong>in</strong>g outside the limits dueto chance alone is very small, sosometh<strong>in</strong>g ‘special’ is happen<strong>in</strong>g.The control limits shown as dottedl<strong>in</strong>es <strong>for</strong>m a funnel shape becausethe space between the dottedl<strong>in</strong>es gets smaller as the samplesize gets bigger.Funnel plots help to identify anyoutliers and data po<strong>in</strong>ts that are‘<strong>in</strong> control’, that is, are with<strong>in</strong>the control limit boundaries.The centre l<strong>in</strong>e is usually but not always themean.The control limits are often set at 95% or99% us<strong>in</strong>g statistics to decide where theboundaries are drawn. For example, if thelimit is set at 99% and a data po<strong>in</strong>t isoutside the lower or upper boundary,then you can be 99% sure that there issometh<strong>in</strong>g different about that po<strong>in</strong>t. There isa ‘special cause’ <strong>for</strong> the po<strong>in</strong>t that should be<strong>in</strong>vestigated.There will be variation <strong>in</strong> the data plottedwith<strong>in</strong> the funnel. However, the variationoccurs at random and has no particularcause.In the National Paediatric Intensive Care Audit, 10 data were collected on the number of childrenadmitted and the number of children who died dur<strong>in</strong>g 2006 to 2008. A risk-adjusted standardisedmortality ratio (SMR) was calculated <strong>for</strong> each NHS organisation <strong>in</strong> the cl<strong>in</strong>ical <strong>audit</strong>. Risk-adjustedSMR is a way of compar<strong>in</strong>g the actual number of deaths that happened with the number that wouldbe expected based on available statistics. The method <strong>in</strong>volves mak<strong>in</strong>g statistical corrections <strong>in</strong>data about <strong>patients</strong> who died <strong>for</strong> th<strong>in</strong>gs such as patient age and the number of cl<strong>in</strong>ical diagnosesor problems or conditions that each patient has. The SMR allows <strong>for</strong> more precise—and fairer—comparison among hospitals.A funnel plot was created. The SMRs are plotted up the side of the diagram and the number ofadmissions are plotted along the bottom of the diagram. For a funnel plot, look to see where thedots sit <strong>in</strong> relation to the center l<strong>in</strong>e and how far away from the center l<strong>in</strong>e the dots are and if thereare any dots above or below the control limits.In this example, higher mortality rates show as po<strong>in</strong>ts above the central l<strong>in</strong>e that represents atarget number. Lower mortality rates show as po<strong>in</strong>ts below the central l<strong>in</strong>e. Those po<strong>in</strong>ts below thelower control limit (Hospitals J, Z and F) <strong>in</strong>dicate unusually low mortality.When dots occur outside the control limits, it is important to consider why this ishappen<strong>in</strong>g. For example, are the hospitals that much better at provid<strong>in</strong>g care, are the <strong>patients</strong>different <strong>in</strong> some way, or were the data collected and reported correctly?16 of 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports


Funnel plot of PICU standardised mortality ratio adjusted by the Paediatric Index of Mortalityby NHS trust <strong>for</strong> 2006–2008 with 99.9% control limitsAdjusted standardised mortality ratio (SMR)43210ZBGJSBZHN U M AL YCC DZA OW RX0 1000 2000 3000 4000 5000Number of admissionsIKPVFE5.5 Terms used to describe cl<strong>in</strong>ical <strong>audit</strong> dataWhen you read national cl<strong>in</strong>ical <strong>audit</strong> <strong>reports</strong>, you may come across terms that are used tohelp cl<strong>in</strong>ical staff <strong>in</strong>terpret cl<strong>in</strong>ical <strong>audit</strong> data. Some of these terms and what they are aboutare <strong>in</strong> the box.TermSignificantConfidence <strong>in</strong>tervals(levels)Normal distributionExplanationIn statistics, the likelihood that the f<strong>in</strong>d<strong>in</strong>gs of a cl<strong>in</strong>ical <strong>audit</strong> us<strong>in</strong>ga sample provide a true picture of what is happen<strong>in</strong>g. If the chanceis very small that the f<strong>in</strong>d<strong>in</strong>gs of a cl<strong>in</strong>ical <strong>audit</strong> are due purely tochance, the f<strong>in</strong>d<strong>in</strong>gs are said to be ‘statistically significant’.A confidence <strong>in</strong>terval is the range of values with<strong>in</strong> which, given thedata you have, you can have a stated level of confidence theunderly<strong>in</strong>g quality of care lies. Statisticians commonly use a 95%confidence <strong>in</strong>terval, mean<strong>in</strong>g that there is only a one <strong>in</strong> 20 chancethat the quality of care is outside the range. 11The normal distribution is often used to describe data po<strong>in</strong>ts thattend to cluster around the mean, with data spread out equally onboth sides of the middle of the curve. Another name <strong>for</strong> normaldistribution is the bell-shaped curve.<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports 17 of 19


TermRisk adjustmentExplanationA way of adjust<strong>in</strong>g data about quality of care to account <strong>for</strong>differences <strong>in</strong> patient ages and the number and types of conditionspatient <strong>in</strong> the group be<strong>in</strong>g measured have. Risk adjusted datagive a fairer picture of what is actually happen<strong>in</strong>g to <strong>patients</strong>.18 of 19<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports


References1. What is a national cl<strong>in</strong>ical <strong>audit</strong>? Available at: www.hqip.org.uk/what-is-a-national-cl<strong>in</strong>ical-<strong>audit</strong>.Last accessed 29 February 2012.2. Banerjee A. Medical Statistics Made Clear: An Introduction <strong>for</strong> Basic Concepts. London: RoyalSociety of Medic<strong>in</strong>e Press; 2004.3. Bourke GJ, Daly LE, McGilvray J. Interpretation and Uses of Medical Statistics. 3rd edition.Ox<strong>for</strong>d: Blackwell Scientific Publications; 1985.4. Hansen JP. Can’t miss: Conquer any number task by mak<strong>in</strong>g important statistics simple. Part 1:Types of variables, mean, median, variance and standard deviation. J Healthc Qual 2003;25(4):19–24.5. Altman DG, Mach<strong>in</strong> D, Bryant TN, Gardner MJ. Statistics with Confidence. 2nd edition. London:BMJ Publish<strong>in</strong>g Group; 2000.6. Hansen JP. Can’t miss: Conquer any number task by mak<strong>in</strong>g important statistics simple. Part 2:Probability, populations, samples and normal distributions. J Healthc Qual 2003;25(4):25–33.7. Spiegelhalter DJ. Funnel plots <strong>for</strong> <strong>in</strong>stitutional comparison. Qual Saf Health Care 2002;11(4):390–1.8. Spiegelhalter DJ. Handl<strong>in</strong>g over-dispersion of per<strong>for</strong>mance <strong>in</strong>dicators. Qual Saf Health Care2005;14(5):347–51.9. Intercollegiate Stroke Work<strong>in</strong>g Party. National Sent<strong>in</strong>el Stroke Audit Phase II (Cl<strong>in</strong>ical <strong>audit</strong>) 2008.Report <strong>for</strong> England, Wales and Northern Ireland. Cl<strong>in</strong>ical Effectiveness and Evaluation Unit,Royal College of Physicians of London, August 2009. Available at:http://old.rcplondon.ac.uk/cl<strong>in</strong>ical-standards/ceeu/Currentwork/stroke/Documents/stroke-<strong>audit</strong>-report-2008.pdf. Last accessed 29 February 2012.10. Paediatric Intensive Care Network. National Report of the Paediatric Intensive Care Network:January 2006–December 2008.11. Quality Accounts toolkit. Advisory guidance <strong>for</strong> providers of NHS services produc<strong>in</strong>g QualityAccounts <strong>for</strong> the year 2009/10. London: Department of Health; February 2010. Available at:www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidance/DH_112359. Last accessed: 29 February 2012.Further read<strong>in</strong>gHealthcare Quality Improvement Partnership. Criteria and <strong>in</strong>dicators of best practice <strong>in</strong> cl<strong>in</strong>ical <strong>audit</strong>.Available from: www.hqip.org.uk. Last accessed 29 February 2012.<strong>Guide</strong> <strong>for</strong> Patients <strong>in</strong> Understand<strong>in</strong>g Cl<strong>in</strong>ical Audit Reports 19 of 19

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