Cahil2010
Cahil2010
Enteral Nutrition
Volume 34 Number 6
Framework
Naomi E. Cahill, RD, MSc1,2; Jeanette Suurdt, RN, MSc3;
Hélène Ouellette-Kuntz, RN, MSc1; and
Daren K. Heyland, MD, MSc, FRCPC1,2,4
Financial disclosure: The study was unfunded. NEC received personnel support from the Canadian Institutes for Health Research
(CIHR) Training Program in Digestive Diseases and currently holds a CIHR Fellowship in Knowledge Translation.
Background: Clinical practice guidelines (CPGs) have been hailed the developed framework were characteristics of the CPGs, the
as a useful method of translating evidence into practice. Several implementation process, institutional factors, provider intent, and
CPGs have been published that provide recommendations for the clinical condition of the patient. These key themes encapsu-
feeding patients in the intensive care unit (ICU). Despite a rigor- late numerous itemized factors that contribute to guideline adher-
ous development process and active dissemination of these guide- ence either as barriers or enablers. Conclusions: Adherence to
lines, their impact on nutrition practice has been modest. The nutrition CPGs is determined by a complex interaction of multi-
purpose of this study was to develop a comprehensive framework ple factors that act as barriers or enablers. The comprehensive
for understanding adherence to nutrition CPGs in the critical framework for adherence to CPGs in the ICU attempts to eluci-
care setting. Methods: Multiple case studies were completed at 4 date this process and provides a useful template for future
Canadian ICUs. Semistructured interviews were conducted with research. Future quality improvement initiatives should assess
7 key informants at each ICU site who were asked about their local barriers to change and design interventions to overcome
perceptions and attitudes toward guidelines in general and the these barriers. (JPEN J Parenter Enteral Nutr. 2010;34:616-624)
Canadian Critical Care Nutrition CPGs specifically. Interview
transcripts and related documents were analyzed qualitatively Keywords: nutrition therapy; critical care; guideline
using a framework approach. Results: The 5 key components of implementation; guideline adherence; knowledge translation
E
vidence-based practice has been described as the making.3 Clinical practice guidelines (CPGs) are “system-
“conscientious, explicit, and judicious use of cur- atically developed statements to assist practitioner and
rent best evidence in making decisions about the patient decisions about appropriate health care for spe-
care of individual patients.”1 Busy critical care practition- cific clinical circumstances”4 and have been hailed as a
ers are faced with the challenge of managing the rapid method for facilitating this translation of evidence into
proliferation of new information. Systematic literature practice. Several CPGs have been published that provide
reviews that critically evaluate and integrate evidence are recommendations regarding the delivery of nutrition ther-
a useful method for remaining updated2 but fail to pro- apy in the intensive care unit (ICU).5-7 These guidelines
vide a method for applying these data in everyday decision aim to assist practitioners in making appropriate deci-
sions with regard to feeding their critically ill patients.
From the 1Department of Community Health and Epidemiology, Knowledge translation or Implementation science is
Queen’s University, Kingston, Ontario, Canada; 2Clinical
Evaluation Research Unit, Kingston General Hospital, Kingston, the scientific study of methods to promote the systematic
Ontario, Canada; 3School of Nursing, Queen’s University, uptake of clinical research findings and other evidence-
Kingston, Ontario, Canada; and 4Department of Medicine, based practices into routine practice and is an emerging
Queen’s University, Kingston, Ontario, Canada. area of interest. The few studies of non-nutrition guide-
Received for publication June 2, 2009; accepted for publication line implementation that have been conducted in the
August 30, 2009. ICU have demonstrated that these strategies have the
Address correspondence to: Daren K. Heyland, MD, MSc, potential to improve the processes8 and outcomes9 and
FRCPC, Kingston General Hospital, 76 Stuart St, Kingston, reduce the costs10 of caring for critically ill patients.
Ontario, Canada, K7L 2V7; e-mail: dkh2@queensu.ca. However, the 3 cluster randomized controlled trials (RCTs)
616
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Framework for Understanding Guideline Adherence / Jones et al 617
focusing on the implementation of nutrition guidelines of the Canadian Critical Care Nutrition CPGs.11 ICUs
have had mixed results.11-13 To date, our understanding of with different macro-organizational characteristics were
the specific elements of the guidelines—the educational selected to ensure representation from academic and
intervention, the individuals involved, and the study set- community hospitals, open and closed ICUs, rural and
ting that determine the success or failure of implementa- urban locations, small and large units, and medical and
tion strategies—is limited. Identifying the barriers and surgical patient case mix, thus capturing maximum varia-
enablers to guideline implementation and subsequent tion and enabling full exploration of the study question
adherence may aid in designing more effective interven- (Table 1). Semistructured interviews were conducted with
tions by tailoring implementation strategies to local cir- 7 key informants at each site (ICU medical director, nurse
cumstances. manager, clinical nurse educator, dietitian, 2 physicians,
The objective of this study was to develop a comprehen- and 1 bedside staff nurse). These key informants were
sive framework for understanding the barriers and enablers selected to represent different roles, responsibilities, and
to adherence of CPGs in the critical care setting. Although levels of clinical experience within the ICU.
we expect the framework to be applicable to guidelines in During the interview, the key informants were asked
general in the ICU, we used the Canadian Critical Care about their perceptions and attitudes to CPGs and factors
Nutrition CPGs as an illustrative example of an ICU guide- that act as barriers or enablers to adherence to recommen-
line to enable us to probe both general and specific issues dations of guidelines in general and the Canadian Critical
related to guideline adherence. The Canadian Critical Care Care Nutrition CPGs specifically. The interview guide was
Nutrition guidelines, published in 2003 and most recently informed by review of the literature and peer feedback
updated in 2009, consist of 17 recommendations pertaining obtained through a piloting process. Data were also col-
to nutrition practices in the ICU.5,14 lected on the demographic characteristics of each key
informant. In addition, the content of documents pertain-
ing to the local implementation of guidelines, such as
Materials and Methods policy manuals, preprinted orders, bedside protocols, and
algorithms were obtained. Interview transcripts and rele-
Multiple Case Studies vant documents were analyzed qualitatively using a frame-
work approach.17 This strategy was particularly well suited
Multiple case studies were conducted at 4 ICU sites across to our objective, as it focused the analysis on an existing
Canada. The case study is a research strategy that focuses knowledge–attitude–behavior framework developed by
on understanding the dynamics present within specific set- Cabana et al18 in a review of 76 studies that assessed the
tings—in this instance, ICUs—and to date has been most potential barriers to physician adherence to CPGs. Other
commonly used in the fields of social sciences and busi- investigators have also used this framework to guide the
ness management. A case study design was adopted to development of a structured questionnaire, focus group,
provide an in-depth evaluation of the study objective and and key informant interview questions,19-22 and we believe
to explore less tangible aspects of guideline adherence, that its utilization as a starting point for our analysis was
thus identifying causal influences and interaction effects a pertinent and efficient methodology. Data analysis was
that are difficult to measure using conventional statistical managed by QSR NVivo 7 (QSR International Pty Inc.,
techniques.15 As such, case studies are particularly helpful Victoria, Australia).
in generating hypotheses and theories in emerging fields of
inquiry such as guideline implementation. The methods
Revision of the Framework
and results of the multiple case studies have been described
previously and are summarized briefly here.16 Following analysis of the first case ICU site, the results were
Case study sites were selected by purposeful sampling applied to the knowledge–attitude–behavior framework by
from ICU sites that were randomized to the active arm in the investigator (NEC), and revisions to the framework were
a cluster RCT comparing active to passive dissemination made. This process was repeated independently by a second
CLINICAL
PRACTICE
ADHERENCE
GUIDELINE
Provider Characteristics
Hospital and ICU Structure
Knowledge Attitudes
Hospital Processes
Resources Outcome
Familiarity Agreement
Expectancy
ICU Culture
Awareness Motivation Self-efficacy
Figure 1. Framework for adherence to clinical practice guidelines in the intensive care unit (ICU).
researcher (JS), with high agreement achieved. Two addi- from publication of guidelines to the final behavior of
tional experienced researchers were consulted to ensure adherence to guidelines,23 and this primary relationship is
accuracy of the revisions and to resolve any discrepancies indicated by shaded boxes. The characteristics of the
(DKH and HOK). Following completion of analyses for each CPGs, implementation process, and institutional, indi-
of the ICU sites, the framework was again revised by NEC, vidual provider, and patient characteristics were identi-
with consultation and feedback from the other 3 investiga- fied as key themes associated with adherence, as visualized
tors. Finally, key informants were sent the revised framework by the oval shapes. These 5 key themes encapsulate
for further comment and feedback. numerous factors that contribute to adherence through
Institutional ethics approval was obtained for this acting as a barrier or enabler for this behavior, which are
study from the Health Sciences Research Ethics Board at represented in the boxes. Italicized text is used to indicate
Queen’s University and all participating sites that required new themes and factors that had not previously been
approval. Written informed consent was obtained from included in the Cabana et al18 knowledge–attitude–
each key informant before being interviewed. behavior framework; a dashed-lined box (---------) repre-
sents how provider characteristics modify individuals’
knowledge, attitudes, and intended behavior; and shaded
Results text indicates factors specific to the Canadian Critical
Care Nutrition CPGs. It was felt that the scope of these
factors could not be reflected by the schema alone, and
Revision of the Framework
therefore additional explanatory tables were developed to
The developed framework for describing adherence to support interpretation of the schema (Table 2). All barri-
CPGs in the ICU is shown in Figure 1. The structure of ers and enablers reported by key informants were included
the framework reflects the temporal sequence that occurs in the explanatory tables.
Table 2. Framework for Adherence to Nutrition Clinical Practice Guidelines in the Intensive Care Unit
Theme Factor Barrier Enabler
CPG characteristics Outdated Evidence based
Vague or complex statements Respected developer
User-friendly format
Action oriented
Implementation process Lack of availability of entire ICU Multiple approaches
team to attend meetings, Support of clinical educator and
educational sessions etc medical director
No dedicated individual willing to Tailored to specific needs of
“champion” the guidelines individual
Time commitment to develop and Reminders (eg, checklist)
implement educational strategies Protocols
Restricted access to computers Academic detailing (eg, one-on-
Displacement of posters and one education)
pamphlets over time Educational sessions
Audit and feedback
E-mail/Web-based tools
Opinion leader (eg, the dietitian)
Institutional characteristics
Hospital and ICU Community hospital Large hospital and/or ICU
structure Open structure Closed structure
Rural location Critical care residency program
Small hospital and/or ICU Dedicated, stable workforce
Lack of geographical consolidation
Hospital processes Long, slow administrative process Support for evidence-based
Disconnect between priorities of practice
management and clinical Efficient, flexible administrative
personnel process
Organizational constraints on
practice
Resources for Shortage of staff Adequate resources available (eg,
implementation Limited budget level of staffing, equipment,
Lack of appropriate equipment/ budget for implementation
materials activities)
Lack of access to specialist services New, contemporary facilities
Prevailing culture of No cohesive multidisciplinary team Established multidisciplinary
ICU structure team
No multidisciplinary daily rounds Leadership support
Unresolved conflict or Collaborative decision making
disagreements among ICU team Patient-centered approach
members Formal/informal mentorship
Reliance on written communication Group learning
(eg, Cardex, paper notes) Respect for expertise of each ICU
Leadership not physically present team member
on unit Innovation, embracing change
Poor communication Informal, open communication
Positive work environment
Provider intent
Provider characteristics
Professional roles Circle of influence in nursing staff Attending physician responsible
and allied healthcare for patient care
professionals (eg, dietitian) Nurse manager and ICU medical
dependent on support of director accountable for
physician and leadership team management of ICU
Critical care expertise Junior, novice staff Senior, experienced staff
Locum or casual staff Full time in ICU
(continued)
Table 2. (continued)
Theme Factor Barrier Enabler
Educational
background
Clinical training >10 years Recent graduate
Reliance on expert opinion Training in evidence-based
medicine and critical appraisal
Training in large academic
institution
Shaded portions pertain to the Canadian Critical Care Nutrition Clinical Practice Guidelines. CPG, clinical practice guideline;
ICU, intensive care unit.
a
Type B personality = patient, relaxed, and easygoing.
b
Type A personality = high achieving, competitive, driven, time conscious, and unable to relax.
Guideline Characteristics we used the term provider intent instead of physician behav-
ior, as we felt that provider better represented the multidis-
The characteristics of the CPGs were identified as an
ciplinary nature of our study, and intent recognizes that
external factor affecting guideline adherence by key infor-
intention does not always lead to the behavior of adhering to
mants in our study. CPGs supported by high-level evi-
a guideline recommendation.
dence, presented in a user-friendly format, or developed
These 6 factors affecting provider intent to adhere to
by respected researchers enabled adherence. CPGs con-
guidelines were consistently reported by each key informant.
sisting of complex statements that were difficult to inter-
However, the influence of each of these factors differed by
pret or were based on outdated or weak evidence impeded
profession (physicians vs nurses vs dietitians), educational
adherence.
background, critical care experience, and personality. Lack
of agreement, a poor outcome expectancy, and paucity of
Implementation Process evidence supporting the recommendations were stronger
barriers for physicians, whereas practical concerns such as
The educational strategy used to implement the guide-
expertise, workload, and patient comfort were deemed to be
lines emerged as a new theme from the key informant
more important for nursing staff. The familiarity and confi-
interviews. Our findings suggest that multifaceted educa-
dence gained through experience of working in the critical
tional strategies tailored to the specific needs of the ICU
care setting enhanced a provider’s ability to apply CPGs
and the individual practitioner may facilitate adherence
appropriately. In contrast, key informants believed that pro-
to guidelines. Strategies that act as a reminder or aid in
viders who had recently completed their clinical training
incorporating guidelines into routine practice, such as
were more competent at critically appraising the literature
checklists, preprinted orders, protocols, or daily rounds,
compared with providers who were trained before the emer-
were deemed to be successful in facilitating adherence.
gence of evidence-based medicine. Personality type was also
Presentation of the evidence and rationale supporting
found to mold one’s attitudes toward guidelines. Key inform-
recommendations of guidelines through educational
ants felt that the critical care setting attracts individuals who
workshops or one-on-one discussion with an opinion
are assertive and proactive and therefore more willing to
leader were also important enablers for key informants.
embrace change.
Positive reinforcement or identification of problem areas
through a system of audit and feedback was another suc-
cessful motivator. However, lack of adequate resources in Patient Characteristics
terms of time to plan, conduct, and for critical care pro-
viders to attend educational sessions was recognized as a Key informants across all sites and professions identified
barrier to effective guideline implementation. the characteristics of the individual patient as the main
barrier to adherence in scenarios where they agreed with
guidelines and had adequate resources, training, and sup-
Institutional Factors port to perform the recommendation. Key informants felt
Institutional factors related to both the hospital and the that guideline adherence was more difficult in patients
ICU were perceived to have a significant impact on with a poor prognosis or for whom there were other more
adherence to guidelines. Having a closed ICU structure urgent priorities of care.
(ie, ICUs in which patients are under the care of an
intensivist) and being a large teaching hospital enhanced Factors Specific to Adherence of the Canadian
adherence to guidelines, whereas resource constraints
Critical Care Nutrition CPGs
and a slow administrative process were highlighted as bar-
riers. A novel factor that was not present in the original Although all the identified factors remain relevant when
knowledge–attitude–behavior framework was the concept considering adherence to the Canadian Critical Care
that the culture of an organization (eg, leadership style, Nutrition CPGs, the shaded text in Table 2 highlights
decision-making processes, communication, teamwork) factors that specifically affect adherence to these guide-
influences adherence to guidelines. lines and consequently may not apply to other, nonnu-
trition guidelines. These predominantly refer to role of
the dietitian and his or her integration into the multidis-
Provider Intent
ciplinary team. Dietitians felt that commitments exter-
The 6 factors associated with physician adherence to guide- nal to the ICU hindered their ability to be present
lines identified in the original framework by Cabana et al18 during daily rounds and engage in face-to-face discus-
(ie, familiarity, awareness, outcome expectancy, self-efficacy, sions about feeding patients. Lack of time to remain
motivation, and agreement) were also identified as pertinent updated and to provide nutrition education to the ICU
factors by the key informants in our study. In our framework, team was also cited as a barrier to the effectiveness of
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