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SECTION
INFRASTRUCTURE
AND
SUPPORTING TECHNOLOGIES
1
What Is the Electronic
Health Record?
Jerome H. Carter, MD
eports of using computers to support clinical data management activities date back to the late 1950s. Over the years systems have been
designed that support most major activities related to health care business practices and clinical processes. The most common systems are listed
below (Table 1-1).
Until recently, hospitals have led the way in the development of clinical information systems. This was owing, in part, to several factors: 1) the
cost of these systems (including personnel) made information technology
too expensive for smaller entities, and 2) hospitals had greater need of
meeting regulatory and financial requirements. Hospital information systems (HIS) usually have, as their central component, an Admission, Discharge, and Transfer (ADT) system that manages census and patient
demographic information. Billing and accounting packages are also frequently included as core components. In many community hospitals, financial and ADT systems, along with Laboratory Information Systems
(LIS), comprised the complete HIS package until recently. In the past fifteen years, most hospitals, regardless of size, have begun to create information systems solutions via integration of departmental systems with the
core HIS, although almost 20% still do not have electronic implementations
of all major ancillary systems (1,2).
Departmental systems, especially those for pharmacy, radiology, and laboratory, have evolved from a focus on administrative tasks (scheduling, order entry, billing) to more clinically oriented functions. For example, modern
pharmacy systems commonly provide drug interactions, allergy alerts, and
drug monographs as part of their standard feature set. When looking at
the evolution of clinical information systems, it is instructive to consider how
the end-user has changed over the years. Departmental systems were designed primarily for use by workers within those departments, not health
3
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Table 1-1
HOSPITAL INFORMATION TECHNOLOGY APPLICATIONS
System Type
Function
Chart management/medical
records systems
Practice management system
care providers. Thus drug interaction information was available only to pharmacists and their staffs, not directly to doctors and nurses. Clinical information systems were labeled as such because they were utilized in areas that
supported clinical activities, not because they were intended for use primarily by clinicians. Of all the systems that fall under the rubric of clinical information systems, only a few are designed primarily for use by health care
providers: intensive care unit systems (ICU), picture archiving and communications systems (PACS), computerized physician order entry systems
(CPOE), and the EHR.
The modern era of clinical information systems is being driven by concerns of quality, patient safety, and cost, in addition to secondary business
and operational issues (3). Today emphasis has shifted toward providing information systems that support providers during the process of care, resulting in the advent of CPOE systems and a much higher profile for EHRs (4).
CPOE systems provide an integrated view of orders and results (medications, radiology, laboratory) along with decision support functions (drug interactions, duplicate requests, clinical protocols, etc.) and are most often
seen in hospital settings. These are complex provider-centric applications
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however, the data are not comprehensively coded. One might consider the
EMR or EPR as transitional between the paper-based record and the CPR. (9)
The perspective offered by Dick relates the CPR, EPR, and EMR along a
continuum based on, among other factors, the level of granularity of stored
data. A true CPR requires that every data item be uniquely coded and individually searchable; an EPR/EMR does not. EPR/EMR systems only require
that the data be in electronic form.
The CPR report, while providing a conceptual framework for discussion
of electronic record systems, proved to be less useful when evaluating real
world products. That task fell to Key Capabilities of EHR Systems, a report published by the Institute of Medicine in 2003 (10). Building on the
work of the 1991 report, it offered a more practical definition of EHRs. The
report states:
An EHR system includes: 1) longitudinal collection of electronic health
information for and about persons, where health information is defined as
information pertaining to the health of an individual or a health care provider
to an individual; 2) immediate electronic access to person- and populationlevel information by authorized, and only authorized, users; 3) provision of
knowledge and decision-support that enhances the quality, safety, and
efficiency of patient care; and 4) support for efficient processes for health
care delivery.
Table 1-2
CORE FUNCTIONAL AREAS IDENTIFIED
BY THE
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these eight core areas were further expanded and developed by Health
Level 7 organization (HL7) into a standard by which commercially available
products could be evaluated and eventually certified by the Certification
Commission for Health Information Technology (CCHIT) (11). The 2003 report acknowledges that EHR technology develops incrementally and that for
a given setting or a particular product, EHR features and functions will vary
over time. Therefore, many products will have advanced features in some
areas while being relatively deficient in others: todays EHR products are
seen as the progenitors of tomorrows comprehensive EHR systems.
System Integration
Presentation Integration
At the presentation level, users are able to view data from all connected
systems through a common interface (15,17,18). The user may access a single terminal to review patient information. Systems like this are quite useful, but they are limited when users wish to do more that simple data
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Data Integration
Data integration is required for true EHR functionality and is more difficult
to attain (21-23). Each component system may have its own data model and
naming conventions for data elements. Data-level integration requires that
all system components use a consistent scheme for coding data elements
and that a mechanism be present for movement of data between systems
(from components to the central system). In the case of a hospital or integrated delivery network (IDN), the central system is usually a large database called a clinical data repository (CDR) (15,16,24).
The CDR acts as the major information source for the entire EHR system
(Chapter 4). The simplest CDR implementations rely solely on laboratory,
radiology, pharmacy, ADT, and other standard department systems as information sources (1,2). Achieving true EHR functionality requires adding to
this basic CDR environment CPOE, advanced reporting, PACS, clinical documentation, clinical decision support capability, and other provider-centric
information technologies (1,2).
The goal of the CDR is to provide a common pool of data that all applications can access. The most frequently used method for populating the
CDR is through the use of interfaces to link each component system. Interfaces are special software programs that move data between systems. Data
that reside in component systems designed by different vendors use proprietary data models; therefore, similarly named data elements from different systems may have characteristics that prevent them from being
interchangeable. Simple messaging interfaces alone cannot resolve the
deeper semantic problems present by data from disparate systems (25,26).
The problems that arise in reconciling terms, data elements, and data formats between component systems require additional applications, such as
clinical data dictionaries, in order to provide true data-level integration. The
costs and issues associated with implementating interoperability between
systems, such as the lack of widely accepted data standards, create major
barriers to EHR adoption for many hospitals (2,27).
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Stroke
Pharmacy
Laboratory
ADT
MPI
INTERFACES
CPOE
Figure 1-1
Nursing
Documentation
Clinician
Documentation
Other
Applications
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journey to EHR functionality with the presence of a CDR that integrates data
from departmental systems (laboratory, radiology and medication) and allows providers to access information from a single workstation (results
viewing). Populating the clinical data repository, and by extension the EHR,
using the best-of-breed approach results in the data integration issues discussed previously (Table 1-3). Once this foundation has been laid, advanced functionality is added over time in the form of CPOE, clinical
documentation, electronic medication administration, and PACS (1,2).
Table 1-3
EHR INTEGRATION MODELS
Best-of-Breed:
Interfaced
Advantages
Hybrid
Build system
Build system
as-you-go.
as-you-go.
Select from best products Fewer vendors than
available.
best-of-breed.
Data integration less
costly than best-of
breed.
Back-up/availability
better.
Disadvantages Costly to get good data
Multiple interfaces
integration.
required.
Many interfaces required. Manage multiple
Manage multiple
vendors.
vendors.
Back-up/availability
more difficult.
Unified Database:
Integrated
Single vendor.
No interfaces
required (or very
few).
Complete data
integration.
Back-up/availability
best.
Tied to one vendor
(may have less
desirable
applications in
some areas).
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Radiology
Pharmacy
Laboratory
ADT
11
MPI
CPOE
Figure 1-2
Nursing
Documentation
Clinician
Documentation
Other
Applications
Laboratory Interface
Database Files
Office-Based EHR.
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Clinical Documentation
Full charting capabilities for nurses and clinicians are a major advancement
for inpatient EHRs. Documentation runs the gamut from vital signs and
basic nursing assessments to advanced systems that support structured
data entry for clinicians. Nursing information systems have been around
for quite a while but have not always been fully integrated with other systems. Clinician documentation functionality remains uncommon in most
hospitals (1,2).
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face. Care must be taken when reviewing products to avoid systems that
simply replicate the functions and content of paper-based records. This design is still seen in products that rely mainly on document imaging for storage of key chart documents (e.g., progress notes, lab reports). The ultimate
value of an EHR requires, as emphasized by the IOM, discrete data that
can be used for analysis or by other components of the EHR to support
patient care and decision-making. EHRs offering the required level of functionality are evidenced by data formats that permit laboratory results, problem lists, medication lists and other common record data to exist as coded
data elements. Ambulatory EHR products have begun to differentiate
themselves based on ancillary components that support advanced population health features, as well as improved data exchange/interoperability
features.
E-Prescribing
Typical EHR medication features include medication lists and prescription
writers with automatic checks for allergies and drug interactions and drug
information. E-prescribing promises to add new features that promote
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patient safety and practice efficiency. E-prescribing services may be embedded in an EHR or provided as a stand-alone product. The most important
advance of e-prescribing over previous electronic prescription writing applications is the presence of a mechanism for standardized electronic data
interchange (40). With an accepted standard, all EHR and e-prescribing
vendors can create applications that can share and use the same data. This
makes it possible to have access to formularies from third-party payers,
share medication histories between providers, and securely submit prescriptions to any pharmacy that participates. These features are making
their way into second-generation EHRs systems but not without a few
glitches. A national study conducted in 2006 found on-going problems with
e-prescribing services (41).
Delivery Models
Most EHRs are deployed on computers that reside in physicians practices
and use a central computer (server) to house the main database, which is
accessed using workstations (client): this is referred to as a client/server
model. Using this model, practices must have access to technical expertise
(e.g., systems administrators) to maintain their computer systems. Over the
last 3 years, with the rise of the Internet and high-speed connections, the
application service provider (ASP) model for EHR deployments has become more popular. In the ASP model, the EHR resides on a central com-
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puter housed by a hosting company (usually the EHR vendor) and is accessed via the Internet. The ASP model is less expensive to deploy because
the practice does not have to buy a server and maintain it. The advantages
of each deployment model are listed in Table 1-4.
Table 1-4
ASP
VS
CLIENT/SERVER
Cost
Hardware
Support Needs
Access Method
Customization
Security
ASP
Client Server
Cheaper to start up
Subscription: cost ongoing
Maintenance included in
subscription price
Workstations with browsers
For EHR system only
Minimal need for information
technology support staff
Customization possible
Server security breachs possible
Back-ups under user control
Vendor bankruptcy results in
unsupported system but no
data loss
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Networking
Local Area Networks (LAN) are groups of computers linked together to permit communication and sharing of resources. LAN technology makes computing more affordable because it permits a build-it-as-you-need-it
approach to purchasing and installing both hardware and software. The
main computer on a LAN is referred to as the server. Depending upon the
amount of computing power required, a server may be a fast personal computer with extra memory or a special computer designed just for this purpose. In either case, a server for a small office can be purchased for a few
thousand dollars.
Wireless computer capability is also changing the networking equation.
Wireless networks rely on radio frequency transmissions to communicate.
One great feature of using wireless technology is that users are not tied to
one location. No more worrying about wiring schemes and which rooms
should have terminals. The cost of wireless technology is decreasing while
becoming more powerful. It is worthy of consideration when setting your
networking strategy. One caveat: wireless networks may be security risks if
not properly set up. Have your wireless network set up by a professional
and then tested for security vulnerabilities.
Internet technologies also provide a cost-effective means for sharing applications. Applications designed for use with Internet protocols may be
open to the public (Web site) or permit access only to a limited group of
computers or people (intranet). Intranets are used to provide EHR applications (ASP), as well as common office applications such as word processors
and spreadsheets, making intranet applications viable alternatives to LANbased, client/server arrangements.
User Authentication
Maintaining the security of the information stored in an EHR is of the utmost importance. The standard mechanism in most EHRs for restricting access to sensitive information is passwords. Passwords can be quite effective
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Standardization
One of the most exciting developments in recent years is the drive to develop a set of national standards for EHRs and interoperability. HL7 published its initial EHR functional model, which contains nearly 1000 criteria
organized into about 130 areas. A subset of this group is being used to define a legal EHR (48). The Healthcare Information Technology Standards
Panel is tackling the issue of interoperability by defining formats for information exchange based on currently available standards. The work of this
group may make the long-held dream of easily sharing health information
between computer systems a reality (49). Only time will tell.
Summary
Over the past 40 to 50 years clinical systems have undergone significant evolution. The EHR is the ultimate goal of those who see the value of information systems in the care of patients. However, much remains to be done in
the areas of data exchange/interoperability, data entry, user interfaces, database design, and security before the full benefits of EHRs can be realized.
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