Using ECA Rules in Database Systems to Support Clinical Protocols
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Using ECA Rules in Database Systems to Support Clinical Protocols
1 Computer Science, School of Computing, Dublin Institute of Technology, Ireland ... Computer-based support for clinical protocols or guidelines is currently a ...
Using ECA Rules in Database Systems to Support Clinical Protocols 1
Kudakwashe Dube , Bing Wu1, and Jane B. Grimson2 1
Computer Science, School of Computing, Dublin Institute of Technology, Ireland {kudakwashe.dube, bing.wu}@dit.ie 2 Computer Science, Trinity College Dublin, Ireland [email protected]
Abstract. Computer-based support for clinical protocols or guidelines is currently a subject of a lot of interest within the Healthcare Informatics community. The Event-Condition-Action (ECA) rule paradigm, as supported in active databases and originating from production rules in expert systems, promises to be of great potential in supporting clinical protocols or guidelines. The problem being addressed in the authors’ work is that of managing complex information encountered in the management (i.e., the specification, execution and manipulation as well as querying) of clinical protocols whose specification and execution models are based on the ECA rule paradigm. This paper presents a generic framework and a mechanism for the management of ECA rule-based protocols using modern database technology.
1. Introduction Computer-based support for clinical guidelines and protocols1 is currently a subject of active research within the Healthcare Informatics community. Current approaches to computer-based support for clinical guidelines focus mainly on providing expressive specification languages and execution mechanisms that provide enough flexibility and ease-of-use for them to be acceptable by clinicians in daily routine patient care. An important aspect that is lacking in these approaches is the support for easy integration of the guideline support mechanisms with the electronic patient record systems. The Event-Condition-Action (ECA) rule2 paradigm, as found in active databases and originating from production rules in some expert systems, promises to be an effective means of representing, sharing, enforcing and managing medical knowledge and expertise in the form of clinical protocols. Researchers have highlighted several advantages of ECA rules within database systems [3][4][5][6][7]. The use of the ECA 1 A clinical guideline is “a set of schematic plans, at varying levels of detail, for the management of patients who have a particular clinical condition (e.g. insulin-dependent diabetes)” [1]. Clinical protocols are highly detailed clinical guidelines and are usually mandatory [2]. In this paper, the terms clinical guideline and clinical protocol refer to the same concept and are interchangeable. 2 An ECA rule monitors and reacts to a situation by performing a relevant action or task. Situation monitoring involves detecting an event of interest and evaluating a condition associated with the event. The action is performed only if the condition holds [3]. R. Cicchetti et al. (Eds.): DEXA 2002, LNCS 2453, pp. 226–235, 2002. Springer-Verlag Berlin Heidelberg 2002
Using ECA Rules in Database Systems to Support Clinical Protocols
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rule paradigm with database technology also promises to provide an excellent framework for integrating guideline and patient record systems. The rest of this paper is organised as follows: Section 2 covers related work in computer-based support for clinical guidelines/protocols. Section 3 presents our framework for supporting the management of ECA rule-based clinical protocols. Section 4 briefly outlines our ECA rule-based model and language, called PLAN (Protocol LANguage), for specifying clinical protocols and briefs on the database for storing protocol specifications. Section 5 presents the architecture that would support the framework, presented in Section 3, for specifying, storing, executing and manipulating clinical protocols. Section 6 briefly presents a summary and discussion of the framework and architecture, the current and future work. Section 7 concludes this paper.
2. Related Work This section gives a brief survey of the computer-based support for clinical guidelines with focus on those that use the rule-based formalism. Of special interest to the authors are the guideline support approaches that make use of the ECA rule paradigm in database systems. Several guideline modeling frameworks, architectures and representation languages have been developed for computer-based support of guideline-based care [2][8][9][10][11][12][13][14][15]. More recent approaches make use of Internet Technology such as HTML and XML [16][17][18]. One of the main reasons for the general lack of widespread use of these guideline systems is the difficulty associated with integrating these systems with the medical record so that the systems use the patient’s data and present guideline knowledge at the point of care while the clinician is accessing the patient’s data [1][19]. To the best of the authors’ knowledge, only two previous efforts have been encountered that apply the ECA rule paradigm in supporting clinical guidelines/protocols. These efforts are: the Arden Syntax and Medical Logic Modules (MLMs) [20]; and HyperCare [21]. The Arden Syntax is a language for encoding medical knowledge bases that consists of independent modules, the MLMs. MLMs are ECA rules stored as separate text files. An MLM is a set of slots categorised into maintenance information, library information, and the actual medical knowledge [22]. The knowledge slot is expressed in the ECA rule format and is the core of a MLM. The MLMs have been applied to generating alerts, patient management suggestions, management critiques and diagnostic scores3. Attempts have also been made to build complex care plans and clinical guidelines/protocols by chaining MLMs in such a way that the action of one MLM evokes the next MLMs [25][26][27]. Since MLMs specifications are stored as individual text files, they cannot be queried and manipulated easily4. As a result, a limitation of the Arden Syntax, which is important to this work, is the lack of support 3
4
The Arden Syntax is currently the only standard for sharing and encoding medical knowledge among systems in various medical institutions[23][24], which is an indication of the promise the ECA Rule paradigm has as a viable technology. In a study to quantify changes that occur as an MLM knowledge base evolves, 156 MLMs developed over 78 months were studied and 2020 distinct versions of these MLMs were observed. It was also found out that 38.7% of changes occur primarily in the logic slot while 17.8% and 12.4% of the changes occur in the action and data slots respectively [28]. For instance, changes in laboratory testing can cause disruptions in MLM execution unless the code of these MLMs is revised and modified [29].
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for the manipulation, querying and the resultant difficulty in maintenance of the MLMs specifications. HyperCare [21] is a prototype system that employs the ECA rule paradigm in the active object-oriented database, Chimera, to support clinical guideline compliance in the domain of essential hypertension. The limitations of HyperCare are: 1) the difficulty in managing the rules making up the protocol; 2) lack of support for dynamic manipulation, querying, versioning and customisation of clinical protocol specifications and instances; and 3) it is an implementation of a specific guideline and does not attempt to provide a generic formalism to support similar protocols. In summary, the Arden Syntax and HyperCare make use of the ECA rule paradigm to support clinical protocols. Both the Arden Syntax and HyperCare do not create patient-specific instances; instead rules operate at a global level. The approach presented in this paper differs from the above works in that it permits generic clinical protocols not only to be declaratively specified, stored, and executed but also to be dynamically manipulated (i.e. operated on and queried) at the individual patient level, with both the specification and its instances being manageable on a full-scale.
3. Framework for the ECA Rule-Based Support for Clinical Protocols This section describes the framework for the computer-based support for the management of clinical protocols. The managed protocols guide the care of patients within clinical categories, which may be disease-based, such as diabetes mellitus and/or its sub-types: type I and type II. The challenge is to provide each patient with an executable care plan that is appropriate for the management of the patient’s clinical condition based on the patient’s recent pathology. The framework, illustrated in Figure 1, consists of the three planes: specification, execution and management of the protocol specifications and their instances, the individual patient care plans (Figure 1(a)). Protocol specifications are created in the specification plane. A declarative specification language, PLAN, is used to describe the protocol [30]. In the execution plane, the customisation of protocols produces plans that take into consideration the individual patient’s condition and recent pathology. Also in the execution plane, the patient’s care plan is executed. Execution state data is generated and made available for querying and decision-making. The protocol specifications and their instances are managed in the manipulation plane. The interaction between the specification and the execution aspects of the problem is illustrated in Figure 1(b). It involves: 1) the customisation of a generic specification to suit a specific situation (patient condition); 2) the instantiation of a customised specification; and 3) the propagation of dynamic changes between the specification and the executing instance. Interaction between the manipulation and the specification aspects involves: 1) the querying of specification’s components; 2) the manipulation of specifications such as adding, deleting and modifying components; and 3) the maintenance of versions of the specifications. The interactions between the manipulation and execution planes involve the dynamic querying and manipulation of the execution process. Central to the three planes, are the ECA rule mechanism and the database that form the core technologies employed in this approach.
Using ECA Rules in Database Systems to Support Clinical Protocols
Patient Plan Rules customised to monitor patient record
EXECUTION Plane
ECA Rules Each ECA rule maps to one or more database triggers
MANIPULATION Plane
Patient Plan
Operations and Queries
Protocol Linked to individual patient
Static & Dynamic Manipulation & Querying
SPECIFICATION Plane
Clinical Protocol
229
Customisation, instantiation and change propagation
Specification y, er n Qu tio n a io ul ip e r s n c e n v Ma n d e n a a int a m
ECA Mechanism + Database
Execution Q in u e r m ter y, d an ac yn ip tio a ul n m a t a ic io n d n
Management
Database Triggers
(a) Planes for supporting the management of clinical protocols
(b) Interactions between the specification, execution and manipulation planes
Fig. 1. Framework for supporting the management of clinical protocols using event-conditionaction (ECA) rules in a database system
In summary the framework presented here aims at allowing static and dynamic aspects of clinical protocols to be easily manageable on a full-scale. The next sections outline how this is achieved.
4. ECA Rule-Based Clinical Protocol Specification This section briefly outlines the PLAN model and language. For more details on PLAN, the reader is referred elsewhere [30]. Figure 2 illustrate the entity-relationship model for a clinical protocol specification. Patients are put into clinical categories and subcategories. Each category has a clinical protocol defined for it. A Clinical Protocol is a generic care plan consisting of ECA rule-controlled clinical tasks for the management of patients. The clinical protocol is made up of a collection of a set of schedules and one protocol rule set for managing a patient in a clinical category. Each patient is associated with a care plan, which consists of one schedule and one set of dynamic rules. The plan is derived from customising the generic protocol to suit the Fig. 2. Entity-Relationship Diagram patient. A schedule is a set of static5 rules, for the clinical protocol specification which is a time-driven rule that schedules using the ECA rule paradigm clinical tasks. The schedule also contains as a set of schedule rules. The Schedule, when contained in a patient plan, is a collection of static rules only. Only one schedule is required for a plan. Each schedule in a protocol is associated with entry criteria to be satisfied by a patient before the schedule is selected to be part of the patient’s plan. Patient
Care Plan
Clinical Category
Clinical Protocol
Schedule
Protocol Rule
Schedule Rule
Static Rule
Dynamic Rule
ECA Rule
5
The concept static for describing a rule refers to the idea that the firing time of the rule is predetermined and definite on creation of the rule. Static rules usually react to time events.
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The Schedule and the Protocol Rule sets modularise the rules into two distinct sets with elements of one set interacting with elements of the other set. Schedule rules and protocol rules are dynamic6 rules, which are placed into one set when creating the patient plan. A Dynamic Rule is an ECA rule that monitors: 1) the state or effects of actions of a static rule or set of static rules and conditionally performs an action; and/or 2) the condition of a patient as reflected in in-coming test results and takes appropriate action. The plan has the ability to monitor and react to: 1) changes in the patient condition over time; and 2) feedback in form of test results and other measurements of the patient’s attributes. Figure 3 (a) illustrates the syntax of a Static Rule. Figure 3 (b) illustrates a Dynamic Rule. Figure 3(c) and 3(d) illustrates examples of static and dynamic ECA rules taken from a protocol for diabetes management. := ON STARTING EVERY ENDING [IF ] DO := ,