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1033301 JOO Journal of OrthodonticsMeade and Dreyer

Scientific Section

Journal of Orthodontics

Orthodontic treatment consent forms: 1­–7


https://doi.org/10.1177/14653125211033301
DOI: 10.1177/14653125211033301
© The Author(s) 2021
A readability analysis Article reuse guidelines:
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Maurice J Meade and Craig W Dreyer

Abstract
Objective: To evaluate the readability of orthodontic treatment informed consent forms (ICFs).
Design: A cross-sectional observational investigation.
Methods: An online search strategy was adopted to identify ICFs for orthodontic treatment. The text of each form that
satisfied inclusion criteria was modified to a standardised protocol. The readability was evaluated using three validated
instruments. GraphPad Software (GraphPad Software Inc., La Jolla, CA, USA) was used for statistical analyses.
Results: A total of 59 ICFs were evaluated. The majority were available on the websites of orthodontists (66.1%) and
general dentists (27.1%). The scores recorded from the three instruments indicated that the content of 93.2%–98.3% of
ICFs was difficult to read. A strong correlation was observed between the Simple Measure of Gobbledegook (SMOG)
and the Flesch Kincaid Grade level (FKGL) instruments (r = 0.9782; P < 0.0001). The mean SMOG score for all assessed
forms was 11.19 (95% confidence interval [CI] 10.85−11.54). The ICFs authored by the manufacturers of orthodontic
appliances provided by clinicians recorded a mean Flesch Reading (FRE) score of 40.14 (95% CI 33.91−46.37) out of a
maximum 100. An analysis of the SMOG scores indicated that the content of ICFs authored by national orthodontic
societies was more difficult to read than those written by all other authors (P=0.01; 95% CI −1.6 to −0.2)
Conclusion: The readability of the ICFs was too difficult for a significant number of the population. Many patients
will be unable to validly consent to treatment based solely on reading of the content of the evaluated ICFs. A greater
effort is required to improve the readability of ICFs to help ensure patient autonomy regarding orthodontic treatment
decision-making and management.

Keywords
informed consent, orthodontic treatment, health literacy, readability

Date received: 13 April 2021; revised: 7 June 2021; accepted: 29 June 2021

Introduction Valid consent, however, is not a one-off event repre-


sented by a signature on a document. It is an ongoing pro-
Valid consent is an integral component of modern health- cess that requires effective communication and engagement
care and is essential for the enablement of patient autonomy between the clinician and the patient (Meade et al., 2019).
(Tyson, 2016). Three criteria must be satisfied to ensure Nevertheless, a signed consent form can act as an outline of
consent is valid: patient capacity; patient voluntariness; and
disclosure of information.
Orthodontic Unit, The School of Dentistry, The University of Adelaide,
The judgement from a recent court case has signified a SA, Australia
more ‘patient-centred’ approach in what information should
be provided to patients and how this information is con- Corresponding author:
veyed (Montgomery vs Lanarkshire, 2015). Although a Maurice J Meade, Orthodontic Unit, The School of Dentistry, The
University of Adelaide, Level 10 Adelaide Health and Medical Sciences
signed informed consent form (ICF) is not mandatory for Building, Corner of North Terrace and George Street, Adelaide, SA
most dental procedures, an ICF is commonly obtained 5000, Australia.
before commencing orthodontic treatment (Tyson, 2016). Email: maurice.meade@adelaide.edu.au
2 Journal of Orthodontics 

the material to include in the information disclosure process. Methods


It can also act as a summary of the ‘conversation’ between
the clinician and the patient and a resource to which the Ethical approval was not required as this study only evalu-
patient can refer during treatment (Prado and Waring, 2019). ated forms available in the public domain.
The concept of health literacy refers to the ability to The search term ‘orthodontic informed consent form’
acquire and understand health information combined with was entered into three Internet search engines (Google™,
the capacity to use this information to improve health Yahoo™ and Bing™) on a desktop computer on 28
(Nielson-Bohlman et al., 2004). Health literacy has been February 2021. The search engines’ geographical settings
shown to be a predictor of general and oral health status in were turned off and browsing history deleted before the
addition to patient compliance with treatment (McCray, search. Inclusion criteria constituted ICFs contained within
2015). Reading ability or literacy is a key element of health the websites of orthodontic treatment providers and those
literacy (Pleasant, 2014). written in the English language. Also included were the
Many factors require consideration in determining the ICFs authored by the manufacturers of those orthodontic
suitability of written information such as accuracy, presen- appliances, such as Invisalign™, that are provided by
tation and formatting (Harwood and Harrison, 2004). One orthodontic treatment providers. Exclusion criteria involved
approach used to improve health literacy is to ensure that consent forms related to participants in clinical trials and
written health information contained within an ICF, is ICFs that contained identical text to ICFs already included
‘easy’ to read and therefore has a level of ‘readability’ for analysis. ICFs, however, that contained variations of
(Meade et al., 2019). text already included were evaluated. The unique resource
Several reliable and valid formulae have been devised to locator (URL) of each of the first 100 websites from the
quantitatively determine the readability of written informa- three searches were recorded and each website was checked
tion (Fitzsimmons et al., 2010). The formulae evaluate sen- for the presence of an ICF.
tences, words and syllables within a text to generate scores The website type (‘orthodontist’, ‘general dental practi-
that indicate the ease of readability or determine scores that tioner’ [GDP] and ‘other’) and the website’s country of ori-
equate to the number of years of education that an individ- gin that contained ICFs that satisfied inclusion and
ual must receive to read the text with ease. exclusion criteria were recorded. The author of each
In the UK, the average adult has a ‘reading age’ below included ICF was also documented. If the author’s identity
16 years with nearly one in seven adults having a ‘reading was unclear, it was categorised as ‘unspecified’.
age’ comparable with that of an 11-year old. Furthermore, The written material within each form to be assessed was
5% of adults in England have a reading level expected of a ‘copied and pasted’ as plain text in a Microsoft Word docu-
child aged 5−years (Department for Business, Innovation ment. The text of each form was modified to a standardised
and Skills, 2011). Rates of literacy in the United States are protocol. All non-text, such as images and copyright sym-
similar as research has indicated that 20% of adults read bols, were removed. In addition, characters such as colons,
below the level expected of a 5th grade (10-year-old) child bullet points, abbreviations and typographical errors were
(Dobbs et al., 2017). The U.S. Department of Health and excluded from the text to be analysed (Dobbs et al., 2017;
Human Services (USDHHS, 2010) has advised that patient- Flesch, 1948; Meade and Dreyer, 2020b). Text up to the cal-
related health material should be written at, or below, a culator’s limit of 3000 words was then entered into an online
‘6th-grade level’. This equates to a UK reading age of readability calculator (www.readabilityformulas.com).
11−12 years (Fitzsimmons et al., 2010). In the absence of Three readability tools were used to calculate readability
similar advice in the UK, the USDHSS guidance has been scores (Table 1).
adopted as a benchmark in many UK-based studies The Simple Measure of Gobbledygook (SMOG) score is
(Fitzsimmons et al., 2010; Todhunter et al., 2010). based on the number of sentences and polysyllables within
Current evidence, however, indicates that the readability the text (McLaughlin, 1969). The Flesch-Kincaid Grade-
of a variety of written orthodontic information may be too Level (FKGL) and the Flesch Reading Ease (FRE) scores
difficult for the individual with ‘average’ readability are derived from the length of the average sentence and the
(Harwood and Harrison, 2004; Meade and Dreyer, 2020a; mean number of syllables per word, respectively. The
Patel and Cobourne, 2011) Although there is some evi- SMOG and FKGL provide scores that equate to the year
dence related to the readability of ICFs in many medical level in the US public school system that the text would
disciplines, there appears to be little research regarding the expect to be understood. The FRE score provides an ease of
readability of orthodontic treatment consent forms (Eltorai readability metric where scores range are in the range of
et al., 2015; Graham et al., 2015; Perni et al., 2018; 0-100. Higher FRE scores indicate text that is easier to read.
Sivanadarajah et al., 2017). Once scores are recorded, the ICF’s ‘readability’ can be
The aim of this investigation, therefore, was to deter- described as ‘easy’ (equivalent to grade 4−6), ‘average’
mine the readability of orthodontic treatment consent (equivalent to grade 7−9) and ‘difficult’ (equivalent to grade
forms. 10+) as per USDHHS criteria (Fitzsimmons et al., 2010).
Meade and Dreyer 3

Table 1.  Tools used to evaluate ICF readability scores. A P value < 0.05 indicated statistical significance.
Readability tool Formula
Statistical analyses were performed through GraphPad
Prism 9.0 (GraphPad Software Inc., La Jolla, CA, USA).
SMOG Index 1.043 × √ (C × (30/S)) + 3.1291

FKGL (0.39 × ASL) + (11.8 × ASW) − 15.59 Results


FRE 206.835 − (1.015 × ASL) − (84.6 × ASW) A total of 59 websites out of 300 assessed websites con-
tained ICFs that satisfied inclusion and exclusion criteria.
ASL, average sentence length; ASW, average number of syllables per Figure 1 shows that the majority of ICFs were obtained
word; FKGL, Flesch-Kincaid Grade-Level; FRE, Flesch Reading Ease; ICF,
informed consent forms; SMOG, Simple Measure of Gobbledegook. from the websites of orthodontists (66.1%) and most web-
sites ‘originated’ from the USA (61%). Thirteen ICFs
(22%) were authored by orthodontic appliance manufactur-
A reading age equivalent to 11 years (corresponding to ers (OAMs), 11 (18.6%) were authored by national ortho-
SMOG grade 6, FKGL grade 6 and FRE >70) was adopted dontic societies (NOS) and 35 (59.4%) were unspecified.
as the ‘gold standard’ (Todhunter et al., 2010). No ICF was written at a level lower than grade 8 (Table 2).
A high correlation was observed between the SMOG and
the FKGL instruments (r = 0.9782; P < 0.0001). Figure 2
Statistical analysis shows that 93.2%−98.3% of ICFs were categorised as dif-
Descriptive statistics are presented in text and graphic ficult to read according to USDHSS criteria.
form. The D’Agostino−Pearson omnibus normality test The D’Agostino–Pearson omnibus normality test showed
was used to determine whether SMOG scores followed a that SMOG data followed a parametric distribution apart from
parametric distribution. data pertaining to the OAM and the NOS subgroups. Table 3
Unpaired t-tests with Welch’s correction were used to shows the readability scores of the ICFs according to the web-
compare subgroups with a parametric distribution of data site type in which they were located. There was no difference
values. The Mann−Whitney test was applied to compare in SMOG scores between the ICFs provided by orthodontist
SMOG scores between subgroups containing non-parametric and GDP websites (P = 0.35; 95% CI = −1.16 to 0.43). The
data. text was more difficult to read in the forms authored by NOSs

Figure 1.  Website type and country of origin (n = 59). AUS, Australia; CAN, Canada; GDP, general dental practitioner; UK,
United Kingdom; US, United States.
4 Journal of Orthodontics 

Table 2.  ICF readability scores by ICF author.

Readability test

ICF author SMOG FKGL FRE

Overall Mean ± SD 11.19 ± 1.32 12.06 ± 1.78 41.73 ± 7.96


  95% CI 10.85−11.54 11.6–12.52 39.65–43.8
  Range 8–15 8.5–17.9 23.7–60.1

NOS Mean ± SD 11.85 ± 0.59 12.78 ± 0.67 36.55 ± 4.44


  95% CI 11.45–12.24 12.31–13.32 33.56–39.53
  Range 10.2–12.4 12.33–13.23 32.3–49.3

OAM Mean ± SD 11.79 ± 1.655 13.08 ± 2.394 40.14 ± 10.31


  95% CI 10.79–12.79 11.64–14.53 33.91–46.37
  Range 9.7–15.1 9.6–17.9 23.7–60.1

UA Mean ± SD 10.76 ± 1.2 11.45 ± 1.5 43.94 ± 7.083


  95% CI 10.35–11.18 10.93–11.97 41.51–46.38
  Range 8.2–13.6 8.5–15.5 29.8–59

CI, confidence interval; FKGL, Flesch-Kincaid Grade Level; FRE, Flesch Reading Ease; ICF, informed consent form; NOS, National Orthodontic
Society; OAM, orthodontic appliance manufacturer; SD, standard deviation; SMOG, Simple Measure of Gobbledegook; UA, unspecified author.

Figure 2.  Reading difficulty as per USDHSS criteria (n = 59 per readability tool). FKGL, Flesch-Kincaid Grade Level; FRE, Flesch
Reading Ease; SMOG, Simple Measure of Gobbledegook.

compared with that written by all other authors (P = 0.01; The ICFs contained within US websites, however, were
95% CI −1.6 to −0.2). There was no difference in the ease of significantly more difficult to read compared with those
readability between those ICFs authored by NOSs and those located in UK websites (P = 0.0185; 95% CI = 0.1852
authored by OAMs (P = 0.69; 95% CI = –2.1 to 1.7). to 1.817).
Meade and Dreyer 5

Table 3.  ICF readability scores by ICF website type.

Readability test

Website type SMOG FKGL FRE

Orthodontist Mean ± SD 11.37 ± 1.28 12.24 ± 1.69 40.33 ± 7.4


  95% CI 10.95−11.78 11.69–12.79 37.93–42.73
  Range 8.2–15.1 8.5–17.9 23.7–59

GDP Mean ± SD 11.0 ± 1.317 11.8 ± 1.83 44.9 ± 8.935


  95% CI 10.3–11.7 10.82–12.78 39.73–49.25
  Range 9.3–13.6 9.3–15.5 29.6–60.1

Other Mean ± SD 10.25 ± 1.59 11.35 ± 2.49 44.25 ± 7.69


  95% CI 7.71–12.79 7.38–15.32 32.02–56.48
  Range 8.2–12.1 8.7–14.7 34.3–52.4

CI, confidence interval; GDP, general dental practitioner; ICF, informed consent form; FKGL, Flesch-Kincaid Grade Level; FRE, Flesch Reading Ease;
SD, standard deviation; SMOG, Simple Measure of Gobbledegook.

Discussion of populations and individuals (Nielson-Bohlman et al.,


2004). Sub-optimal health literacy is associated with worse
This appears to be the first study to investigate the readabil- general and dental health, higher rates of hospitalisation
ity of orthodontic treatment consent forms. In addition, and greater healthcare costs (McCray, 2015). It harms the
apart from one investigation related to general dental pro- individual’s healthcare decision-making and management
cedures in a single university dental facility, this may be the capabilities and risks developing (and/or accentuating) cur-
first published study evaluating ICF readability of any den- rent health inequity. As a consequence of this association
tal procedure (Glick et al., 2010). The findings indicated between health literacy and health status, the USDHHS has
that the readability may be greater than the level understood determined that patient-targeted health literature should be
by a significant number of the general population. The rela- written at or below a grade 6 level, which is equivalent to a
tive difficulty of reading the information contained within UK reading age of 11−12 years. Even if this target was
the ICFs means that many patients are not benefitting from achieved, many would still be excluded from the benefits of
the content contained within and may even be harmed if written health information as over 15% of UK adults have
they misinterpret the information. Furthermore, reading a literacy level lower than that expected of a grade 6 pupil.
difficulty risks invalidating patient consent if the consent In addition, 20% of US adults have a literacy level below
process is overly reliant on the information within the that expected of a 10-year-old pupil (grade 5) (Dobbs et al.,
ICF—as patient comprehension of health information is 2017; Sivanadarajah et al., 2017).
central to informed consent (Meade et al., 2019). This may The three readability tools used in the current survey
result in adverse legal and ethical consequences (Eltorai have been validated against the McCall Crabbs Standard
et al., 2015). Test Lessons in Reading (Ley and Florio, 1996). All are
The three most commonly used global search engines commonly used in assessing the readability of written
were used in order to identify a wide range of ICFs written health materials and the application of all three increases
in the English language (EbizMBA, 2021). A total of 59 the reliability of this study’s results (Cheng and Dunn,
consent forms were evaluated by this survey. This com- 2015). Determining the scores is quick and easy via the use
pared favourably with 11−113 forms assessed in studies of the many available online readability calculators.
investigating ICFs associated with a variety of dental and The SMOG tool, in particular, is an accurate measure of
medical interventions (Eltorai et al., 2015; Glick et al., readability. It precisely determines the level for full text
2010; Perni et al., 2018; Sivanadarajah et al., 2017). The comprehension and is considered the ‘gold standard’ read-
majority of ICFs were sourced from websites in the USA. ability formula for health-related written material (Cheng
This is consistent with that country’s position as the nation and Dunn, 2015; Fitzsimmons et al, 2010).
with the greatest number of Internet users with English as A disadvantage of the readability tools, however, is that
their first language (Meade and Dreyer, 2020a). they do not recognise that some monosyllabic words may
Readability is a core element of health literacy, which is be more difficult to read (for instance, ‘plinth’) than some
an essential component for the improvement of the health polysyllabic words (such as ‘pineapple’).
6 Journal of Orthodontics 

To provide context to the results determined by the pre- to those used generally in orthodontic practice. Nevertheless,
sent survey, the mean FRE and FKGL readability scores of it would be reasonable to expect that the ICFs provided by
articles in a range of British broadsheet newspapers article the NOSs and OAMs to be used widely among orthodontic
were found to be 42.35 and 11.76, respectively, in a 2010 treatment providers.
study (Williamson and Martin, 2010). In contrast, the same Improving patient comprehension and health literacy
investigation found that articles in a range of tabloid news- through addressing the readability of ICFs will aid the ame-
papers were easier to read (mean FRE = 58; mean FKGL lioration of patient outcomes. The orthodontic profession
= 9.9). In addition, the mean FRE, FKGL and SMOG needs to take the lead in providing ‘easier to read’ ortho-
scores of the penultimate draft of the presented academic dontic treatment ICFs as well as guiding clinicians and
article were 41.1, 9.7 and 8.5, respectively. manufacturers of orthodontic appliances on how best to
The mean overall FRE score of 41.73 is significantly deliver more readable ICFs. Whether clinicians should be
lower than the recommended minimum score of 70 recom- using ICFs from OAMs, which risk providing biased infor-
mended for written health information (Perni et al., 2018). mation, must be part of any conversation regarding patient
This indicates the level of readability required by a student consent. Correspondingly, simpler terms, less technical
attending university is required to understand most ICFs. It ‘jargon’ and shorter sentences will improve readability
compares with mean FRE scores of 29.1−68.9 observed in (Graham et al., 2015). In the future, quantitative and quali-
‘general dental’, ‘invasive medical procedure’ and ‘ortho- tative research will be required to enable the development
paedic procedure’ ICFs (Eltori et al., 2015; Glick et al., of consent forms that provide high-quality information that
2010; Sivanadarajah et al., 2017). is tailored for the patient, yet is easy to read.
The SMOG and FKGL scores were closely correlated in
the present survey. The mean SMOG score of 11.85 for
NOS ICFs exceeds the recommended grade 6 advocated by
Conclusion
USDHSS guidelines and ‘gold standards’ adopted in simi- Readability is a core element of health literacy and is essen-
lar surveys. This equates to a UK school age of almost 17 tial to ensure that ICFs are understood as intended. The
years (Fitzsimmons et al., 2010). It compares with SMOG readability of the ICFs evaluated in the present study was
scores of 14.1−14.5 for ICFs related to radiation therapy, determined to be too difficult to understand for a significant
general dental and urological procedures (Glick et al., number of the population. Many patients will be unable to
2010; Graham et al., 2015; Perni et al., 2018). validly consent to treatment based solely on reading of the
The British Orthodontic Society does not provide a ‘pro- content of the ICF. A greater effort is required to improve
forma’ ICF. It, nevertheless, provides guidance regarding the readability of ICFs to help ensure patient autonomy
the inclusion of content pertaining to treatment options, regarding orthodontic treatment decision-making and
treatment details, benefits and risks (British Orthodontic management.
Society, 2015). It also emphasises that valid consent com-
prises an ongoing communication process and is not just a Declaration of Conflicting Interests
signed ICF. The judgement of a recent UK court case con- The author(s) declared no potential conflicts of interest with
cluded that valid consent must stress information that is of respect to the research, authorship, and/or publication of this
particular relevance to the individual patient (Montgomery article.
vs Lanarkshire, 2015). This may mean that ICF templates
should be designed with ‘space’ to provide patient-specific Funding
information. However, a well-designed ICF containing rel- The author(s) received no financial support for the research,
evant high-quality information is of little value if the infor- authorship, and/or publication of this article.
mation is difficult to read.
The limitations of this investigation must be acknowl- ORCID iD
edged. The study did not assess the visual presentation and Maurice J Meade https://orcid.org/0000-0001-5688-1079
graphic layouts of the ICFs which can further influence
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