Professional Documents
Culture Documents
1093/intqhc/mzn049
Advance Access Publication: 6 November 2008
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
Address reprint requests to: Mariko Carey, Tel: þ61 3 9635 5377; Fax: þ61 3 9635 5380; E-mail: mariko.carey@cancervic.org.au
Carey et al.
Table 1 Strategies to promote guideline implementation: theoretical constructs and examples of application
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]
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]
Positive/negative reinforcement
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).
Phase 3
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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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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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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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Putting evidence into practice
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