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International Journal for Quality in Health Care 2009; Volume 21, Number 1: pp. 37 –43 10.

1093/intqhc/mzn049
Advance Access Publication: 6 November 2008

The cycle of change: implementing


best-evidence clinical practice
MARIKO CAREY 1,2, HEATHER BUCHAN3 AND ROB SANSON-FISHER4
1
The Cancer Council Victoria, Carlton, Australia, 2The University of Melbourne, Parkville, Australia, 3National Institute of Clinical Studies,
Melbourne, Australia, and 4University of Newcastle, Newcastle, Australia

Abstract
To improve health outcomes, effective and systematic mechanisms to foster the adoption of evidence-based guideline
recommendations into routine practice need to be identified. A cyclical process for achieving this objective involving three
key phases is suggested.
Phase 1. Writing actionable best-evidence guidelines that prioritize key recommendations while indicating the levels of
adoption needed for population health benefits to be accomplished.
Phase 2. Developing implementation plans for the priority guideline recommendations. These should systematically consider
skills training and accreditation; social influences including opinion leaders and patient influences; environmental factors;
monitoring and feedback; and incentives for clinical change.
Phase 3. Pilot testing the effectiveness of proposed approaches in producing the desired clinical changes. If implementation
requires system changes and evaluation at an organizational level, the use of alternative research designs to the randomized

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controlled trial could be considered. The purpose evaluation would be to enable refinement of the implementation plans
before widespread dissemination.
Keywords: evidence-based practice, guidelines, guideline adherence, quality in healthcare

Introduction recommendations that require changes in individual


behaviour, while recognizing that system changes may also
Closing the gap between best evidence and existing clinical be needed to support these changes. A summary of the strat-
practice has the potential to improve health outcomes [1]. egies suggested, underlying theoretical constructs and empiri-
Evidence-based clinical guidelines aim to do this; however cal references is shown in Table 1.
guidelines alone may not result in the required change in clini-
cal practice [2]. We propose a three-phase process for achieving
these objectives. The first involves producing evidence-based Box 1 Key points for the implementation
guidelines that maximize the likelihood of implementation. of the three-phase model
The second relates to developing implementation plans that † Carefully consider how the guideline is presented
give guidance on improving uptake of priority recommen- and how recommendations are phrased
dations. The third component involves testing of the † Identify priority recommendations within the
implementation plan to enable refinement before widespread guideline
dissemination. Although the model is resource intensive, such † Produce guideline in conjunction with an
investment is warranted in order to translate evidence develop- implementation plan for priority recommendations
ment efforts into clinical benefit in priority health areas. An † Involve key stakeholders in production of
overview of key steps in the model is shown in Box 1. implementation plan
The need for an organizing framework to aid the appli- † Pilot test both the guideline and implementation
cation of theoretical concepts to the development of plan
evidence-implementation interventions has been identified † Refine guideline and implementation plan before
[3]. The current model suggests strategies targeting factors widespread dissemination
associated with behavioural change in a logical sequence.
Our focus is on improving uptake of guideline

Address reprint requests to: Mariko Carey, Tel: þ61 3 9635 5377; Fax: þ61 3 9635 5380; E-mail: mariko.carey@cancervic.org.au

International Journal for Quality in Health Care vol. 21 no. 1


# The Author 2008. Published by Oxford University Press in association with the International Society for Quality in Health Care;
all rights reserved 37
38

Carey et al.
Table 1 Strategies to promote guideline implementation: theoretical constructs and examples of application

Strategy Relevant constructs Key illustrative examples


............................................................................................................................................................................................................................................

Phase 1
Concrete and specific Knowledge, executability, Concrete and specific recommendations were more likely to be adopted by GPs than
recommendations decidability vague non-specific recommendations. Observational study. Grol et al. [19]
Identify priorities Goal-setting, action planning Of 228 primary care patients with cardiovascular disease risk factors who made an
Set targets for implementation Goal-setting action plan to identify behavioural change goals, 53% also reported making behavioural
change related to their action plan. Descriptive study. Handley et al. [11]
Present a rationale Beliefs, attitudes, perceived relative Recommendations compatible with current values were more likely to be adopted by
advantage GPs than those perceived as controversial or incompatible with values. Observational
study. Grol et al. [19]
Highlight clinical norms Normative beliefs, attitudes, An intervention to improve myocardial infarction care that involved using local medical
modelling/verbal persuasion opinion leaders to influence peers through small group discussions, informal
consultation and revisions of clinical protocols was compared with performance
feedback alone. Hospitals in both groups improved from baseline to follow up on
indicators of quality, however the improvement was greatest for those allocated to the
peer intervention. RCT Soumerai et al. [21]
Orient to the need of the end user Complexity Among the guideline characteristics most commonly endorsed to promote use by GPs
was ‘clarity, simplicity and availability of a short format’. Descriptive study of 391 GPs.
Watkins et al. [20]
Phase 2
Skills training Skills, knowledge, self-efficacy CME improves knowledge, skills, attitudes and patient outcomes. CME that is
interactive, uses multimedia, live media, and involves multiple exposures is more effective
than other types. Systematic review. Marinopoulos et al. [23]
Social influences Normative beliefs, attitudes, The use of local opinion leaders in hospital settings can be effective in promoting
modelling, verbal persuasion evidence-based practice. Systematic review of 12 studies. Doumitt et al. [24]
Environmental influences Cues to action, environmental Guideline adherence improved due to the implementation of a computerized clinical
triggers decision aid that gave clinicians real time recommendations for venous
thromboembolism prophylaxis. Time series study. Durieux et al. [26]
Patient-mediated Knowledge, skills and attitudes of Patient request for a new drug and patient acceptability were cited as contributing to
patients decisions to prescribe a new drug in 20% of cases. Descriptive study. Prosser et al. [28]

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Putting evidence into practice

Phase 1: Producing actionable guidelines

Breakthrough collaborative model intervention that involved a series of iterative plan, do,
studies examining provider group-level incentives demonstrated partial or positive effects
Audit and feedback are effective strategies for improving care, particularly when baseline

study, act cycles was found to be effective in improving care for chronic heart failure.
Although guidelines are a way of helping clinicians keep

Five out of six studies examining physician level incentives, and seven out of nine
adherence to the recommended practice is low. Systematic review of 118 studies.
up-to-date with best evidence, their utility rests upon their
capacity to effect implementation [4]. While much effort has
been invested in developing rigorous processes for appraising
the evidence used to construct evidence-based guideline rec-
ommendations [5], until recently there has been less focus on
other attributes of guidelines which may affect clinical
behaviour. A study of 51 lung cancer guidelines appraised
using the AGREE (Appraisal of Guidelines Research and
on quality indicators. Systematic review. Petersen et al. [36]

Evaluation) instrument found that implementation issues were


inadequately addressed [6]. Leading international guideline
Quasi experimental, controlled study. Asch et al. [44]

developers are now exploring mechanisms that may improve


the implementability of guidelines. Strategies have included
use of the GLIA (GuideLine Implementability Appraisal)
instrument [11] and the use of questionnaires and consul-
tation processes that seek feedback on local applicability [8].
Some guideline recommendations may be more difficult to
implement because of the intrinsic nature of the required
practice changes [9]. The evidence-based behaviour may be
unconventional, require acquisition of new skills or equip-
Key illustrative examples

ment, or require systems to change in ways that are expensive


or difficult. Although some of these matters may not be able
Jamtvedt et al. [30]

to be modified, guideline developers should be cognizant of

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how recommendations are phrased and presented. The fol-
lowing mechanisms, which might optimize the actionability
of the guidelines, should be considered [10].

Recommendations should specifically describe


the desired clinical behaviour
Positive/negative reinforcement;

Positive/negative reinforcement

The guideline should describe the desired behaviour in con-


goal-setting; skill development

Perceived advantages; beliefs;

crete and specific terms. This would include details about the
specific recommended clinical action, who should undertake
the action, to which group of patients it should be applied,
Relevant constructs

and under what circumstances [5, 7]. The GLIA tool [7]
refers to concepts of ‘decidability’ (i.e. the precise circum-
stances under which something should be done), and
‘executability’ (i.e. exactly what should be done under the cir-
trialability

cumstances defined).

Guidelines should identify priorities


Pilot testing with iterative refinement

Prioritization of actions is an important feature of action


plans, a tool commonly used to attain goals [11]. To increase
guideline effectiveness, developers should prioritize those
recommendations that exhibit important divergence from
of implementation strategies

best practice; which are sufficiently potent to produce signifi-


cant health benefits if broadly adopted; and for which there
are accurate outcome measures of provider adherence.
Currently there is limited research on how these priority rec-
ommendations should be presented within the guideline
Incentives
Feedback

format. Educational research suggests that presenting priority


Strategy

Phase 3

recommendations first in any document, emphasizing their


importance, and re-iterating them in a summary may increase
recall and hence potentially implementation [12].

39
Carey et al.

Targets for adoption should be defined for implementation, as well as the resources for guideline
users that could accompany the guideline document.
Goal-setting is a key component of many behavioural change
theories [13, 14]. Combinations of short-term and longer-
term goals may be more effective than long-term goals alone
[13]. Therefore, guidelines should specify a series of incre-
Phase 2: Designing implementation plans
mental population-level targets for clinically significant
Providing strategies for implementation in guidelines [7] and
change in uptake of priority recommendations, and indicate a
suggestions about overcoming organizational barriers to
reasonable time frame in which this level of change could be
implementation may also be helpful [5]. These may require a
expected. Advice on specific indicators that may be used to
mix of individual, organizational and general system strategies.
measure whether targets have been achieved should be
Because different guideline recommendations focus on differ-
included [7].
ent aspects of clinical behaviour or system performance,
each priority recommendation should be accompanied by a
Recommendations should specify benefits detailed plan that provides step-by-step suggestions for
associated with change implementation. These plans are most likely to be successful
if there is early identification and involvement of key stake-
A number of theories including Operant [15], Social holders from the area of practice where the need for change
Cognitive [14] and Diffusion of Innovations [16] postulate is identified (such as clinicians, managers and policy makers
that the way people behave is influenced by their beliefs and representatives from professional associations involved in
about the likely outcomes and the perceived value attached accreditation and professional development). Specialists such
to those outcomes. Therefore, guidelines should include as behavioural scientists, epidemiologists, health economists
rationales for adoption in order to increase the likelihood of and legal experts may also be needed to help design
implementation. An evaluation of the implementation of implementation strategies. Plans should consider six key areas:
guidelines issued by the UK National Institute for Clinical requirement for new skills; social influences such as opinion
Excellence concluded that practice had changed faster in leaders; environmental factors that may promote adoption;

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areas where practitioners and managers saw clear advantages patient-mediated influences; monitoring and feedback; and
to adoption [17]. incentives. Organizations that have a commitment to imple-
menting the guidelines should then identify a leadership team
Compatibility with existing clinical who can take responsibility for assessing how the plan can be
norms should be highlighted used to inform quality improvement initiatives at the local
level. The strategy of engaging local leaders has been used
Social influences play an important role in the adoption of successfully to promote improvements in care across a variety
new practices [16] and behaviours that are perceived to be of areas, e.g. for acute myocardial infarction [21].
normative are more likely to be adopted [18]. If the practice
is one that is readily endorsed by a majority of the target
group, emphasis of this may be beneficial. A study of Dutch Assessing whether new skills are required
general practitioners found that guideline recommendations Like knowledge, appropriate level of skill is considered a
perceived as controversial and incompatible with current necessary pre-condition for behaviour change [14]. If a rec-
values were less likely to be adopted than those without this ommendation requires that clinicians learn new skills or
attribute [19]. improve existing skills, then skills assessment, training and
accreditation may be required. This is likely to be required
for specialty procedural skills, such as robot-assisted surgery
Guideline presentation should be oriented
[22]. Consultation with clinical experts and professional
to the needs of end users
bodies may enable implementation plans to provide appropri-
New practices that are difficult to understand or use may be ate strategies for assessment of existing skills in the work-
less likely to be adopted [16]. Consequently guidelines that are force. Depending on the complexity of the skill, strategies
oriented to the needs of the end user in terms of their presen- may include self-assessment, peer assessment, external
tation and by provision of tools to facilitate use may be more assessment, or credentialing by a professional body.
easily adopted. General practitioner (GPs) prefer guidelines If formal training and accreditation are required, the plans
that are presented in a short format or flowcharts [20]. Tools should provide information on types of training likely to be
for application such as patient education materials and guide- effective and means of accreditation. A recent review has
line summaries may aid implementation; while presentation found evidence that continuing medical education (CME)
and formatting can be used to make priority recommendations improves knowledge, skills, attitudes, clinical behaviour, and
easy to identify [5, 7]. As a result it is recommended that patient outcomes [23]. Providing opportunities for learners
careful attention is paid to the way in which guidelines are pre- to see a new skill performed (modelled), giving opportunities
sented, in particular, the provision of a compelling and com- for practice, and providing constructive performance feed-
prehensive rationale for practice change. Guideline developers back builds both skills and confidence to perform a new
should also consider the identification of priorities and targets behaviour [14]. Reviews of CME effectiveness have found

40
Putting evidence into practice

that educational approaches which are interactive, use multi- to influence patient attitudes and knowledge about best
media and live media and involve multiple exposures appear evidence practice.
more effective in changing clinical performance [23].
Collaboration between implementation plan developers and
Role of audit and feedback in adoption
professional associations would facilitate the development of
appropriate training packages. Feedback on performance is an important feature of beha-
vioural change theories that encompass goal-setting and skill
development [13, 14]. Early feedback allows refinement of
Using social influences to enhance goals and detection of knowledge or skill deficits that may
implementation hinder goal attainment, as well as enhance motivation [13].
Behavioural change theories [14, 16, 18] recognize the role Systematic reviews have shown that performance feedback is
of perceptions of the social environment in influencing beha- an effective means of changing provider practice [30].
viour. A Cochrane review indicates that opinion leaders can Therefore feedback on the extent of implementation of pri-
effectively promote evidence implementation [24], but there ority recommendations should be provided to clinicians and
are still uncertainties about how best to maximize effective- to health care organizations.
ness. A recent systematic review on innovation in health [25] If given non-punitively, feedback may be most effective
similarly found evidence to support the role of opinion given at the individual rather than group level [31]. The
leaders and champions (those committed to the adoption of impact of feedback is illustrated by Tibballs’ study [32] of
a new practice) in effecting change. Individuals who have handwashing among intensive care staff. Staff washed their
strong social ties both within and between organizations may hands both before and after patient contact 4.3% of the time
be particularly influential in promoting adoption of a new when covertly observed. This rose to 22.6% during a period
practice [25]. Adoption is greater when those who are the of overt observation and to 55.2% when feedback was
focus of the intervention are similar in terms of background added to the overt observation.
to the change agent [25]. Drawing on best evidence, Feedback may provide comparisons with past perform-
implementation plans should provide practical strategies for ance, peers, benchmarks, or gold standards. The type of

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identifying, engaging, and using opinion leaders or other comparative data provided with feedback should be con-
change agents to promote implementation. sidered within the implementation plan. This may depend, in
part, on the level at which feedback is provided, e.g. to indi-
vidual clinicians, wards, practices, hospitals, or regional
Using environmental factors to promote adoption health services. Feedback is likely to be more effective when
given close to the time of patient contact [33] and on a fre-
The environment plays an important role in influencing quent basis [30]. Therefore, the feedback schedule, as well as
behaviour [14, 15]. Systems can support or deter a clinical practical issues such as cost, should be considered when
behaviour. Automated reminders have been used to improve examining the feasibility of different data collection methods.
adherence to venous thromboembolism prophylaxis guide-
lines [26]. Similarly, implementation of organizational pro-
cedures and protocols can change practice and reduce Using incentives to increase adoption
adverse events [27]. Implementation plans should assess how Positive consequences of behaviour encourage adoption of
systems can operate to maximize the probability of clinical specific behaviours, while negative consequences discourage
change at the organizational level (e.g. by development of adoption [15]. Desire to improve patient care, professional
policies and procedures) or at the regional level (e.g. diabetes pride and peer influences may act as powerful intangible
registers). Plans should outline methods for effectively adapt- motivators [34]. Intangible incentives such as these may be
ing to existing systems or setting up new systems to promote more effective where the type of clinical performance
implementation. required is difficult to accurately quantify [35]. These should
be the first choice for trialling with an implementation plan.
Over reliance on external tangible incentives such as financial
Using patient-mediated influences
rewards may damage internal motivators such as profession-
to increase adoption
alism [35].
Patient preferences and expectations are a form of social There is some evidence that pay for performance strat-
influence that can have a powerful effect on care. For egies for the individual clinician may change the care pro-
example, where GPs made a decision to prescribe a new vided [36]. A recent randomized study comparing
drug, the decision was reported to be influenced by patient interventions to improve dentists’ use of sealant treatments
requests in 22% of cases, and by patient acceptability in 20% to prevent cavities in newly erupted molars found that pro-
of cases [28]. Strategies to improve patient health literacy, viding a fee for service increased sealant use by 10%.
involvement in treatment decision-making, and self- Education alone had no significant effect on practice [37].
management of health conditions may assist patients to have Not all studies, however, have found evidence for the effec-
a positive impact on their own health care [29]. Consequently tiveness of financial incentives [38]. Several factors have been
implementation plans should identify effective strategies identified that may influence the effectiveness of such

41
Carey et al.

approaches: the size of the incentive, who it is directed at, implementation strategies, or aspects of the guidelines them-
and how the targets for incentive payments are set [39]. selves that need clarification. Hence, data from the evaluation
Using fixed performance targets might reward those insti- can be used iteratively to improve the guidelines and the
tutions with the highest baseline performance rather than implementation plans.
those who demonstrated the greatest improvement [38].
Given this literature, the implementation plan should
identify ways that both intangible and tangible incentives may Conclusion
promote implementation. If internal motivators are found to
be ineffective then external incentives should be considered. Guideline production and dissemination do not necessarily
Careful consideration should be given to the way in which result in the widespread adoption of best-evidence clinical
both the targets and the incentives are formulated. Punitive care. Guideline developers should give more attention to
strategies should be considered only when the relevant clini- the coordinated and systematic approaches required for
cal behaviour may result in serious patient harm. implementation. We suggest that three overlapping phases
are required. Firstly, the guidelines should be presented in a
way that identifies priorities and maximizes the likelihood of
implementation. Secondly, mechanisms designed to maximize
Phase 3: Evaluating the effectiveness of implementation should be identified concurrently with the
guideline dissemination through guideline development. Such implementation plans should
implementation plans involve testable strategies that systematically address knowl-
edge, skills, motivational and environmental factors that
Stakeholder opinions about implementation approaches are influence clinical performance. Thirdly, pilot testing to evalu-
commonly used to indicate the likely effectiveness of ate the effectiveness of implementation plans should routi-
implementation strategies. However in spite of positive nely occur. This would allow for improvement in the plans
reviews by providers this information does not always predict as well as the accumulation of evidence about how to
appropriate practice change [40, 41]. Preferably evaluation implement best-evidence care successfully.

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should measure if the guideline produces change in actual
clinical performance rather than reported guidelines intention
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