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PLOS ONE logoLink to PLOS ONE
. 2020 Aug 19;15(8):e0236817. doi: 10.1371/journal.pone.0236817

Characterization of patients with advanced chronic pancreatitis using natural language processing of radiology reports

Fagen Xie 1, Qiaoling Chen 1, Yichen Zhou 1, Wansu Chen 1, Jemianne Bautista 2, Emilie T Nguyen 2, Rex A Parker 2, Bechien U Wu 3,*
Editor: Dejing Dou4
PMCID: PMC7437899  PMID: 32813684

Abstract

Study aim

To develop and apply a natural language processing algorithm for characterization of patients diagnosed with chronic pancreatitis in a diverse integrated U.S. healthcare system.

Methods

Retrospective cohort study including patients initially diagnosed with chronic pancreatitis (CP) within a regional integrated healthcare system between January 1, 2006 and December 31, 2015. Imaging reports from these patients were extracted from the electronic medical record system and split into training, validation and implementation datasets. A natural language processing (NLP) algorithm was first developed through the training dataset to identify specific features (atrophy, calcification, pseudocyst, cyst and main duct dilatation) from free-text radiology reports. The validation dataset was applied to validate the performance by comparing against the manual chart review. The developed algorithm was then applied to the implementation dataset. We classified patients with calcification(s) or ≥2 radiographic features as advanced CP. We compared etiology, comorbid conditions, treatment parameters as well as survival between advanced CP and others diagnosed during the study period.

Results

6,346 patients were diagnosed with CP during the study period with 58,085 radiology studies performed. For individual features, NLP yielded sensitivity from 88.7% to 95.3%, specificity from 98.2% to 100.0%. A total of 3,672 patients met cohort inclusion criteria: 1,330 (36.2%) had evidence of advanced CP. Patients with advanced CP had increased frequency of smoking (57.8% vs. 43.0%), diabetes (47.6% vs. 35.9%) and underweight body mass index (6.6% vs. 3.6%), all p<0.001. Mortality from pancreatic cancer was higher in advanced CP (15.3/1,000 person-year vs. 2.8/1,000, p<0.001). Underweight BMI (HR 1.6, 95% CL 1.2, 2.1), smoking (HR 1.4, 95% CL 1.1, 1.7) and diabetes (HR 1.4, 95% CL 1.2, 1.6) were independent risk factors for mortality.

Conclusion

Patients with advanced CP experienced increased disease-related complications and pancreatic cancer-related mortality. Excess all-cause mortality was driven primarily by potentially modifiable risk factors including malnutrition, smoking and diabetes.

Introduction

Chronic pancreatitis is a distinct pathologic and clinical entity along the spectrum of inflammatory conditions that involve the pancreas. Previous estimates indicate a population prevalence ranging from 50/100,000 persons [1] to 91.9/100,000 persons [2] in the United States. However, reliable real-world data relating to the natural history of chronic pancreatitis is limited based on the inability to accurately characterize patients diagnosed in the context of routine clinical practice. In particular, given the complexity of establishing a diagnosis of chronic pancreatitis [3], previous studies evaluating accuracy of diagnosis codes alone have found accuracy rates below 50% [4].

A key challenge in studying chronic pancreatitis at the population level is the lack of a structured format for reporting of pancreatitis-related imaging findings. A systematic approach to accurately identifying these features from the free-text of existing radiology reports is a major step towards enhancing our ability to study the natural history of chronic pancreatitis (CP) on a large-scale. The application of clinical natural language processing (NLP) has the potential to address these challenges. By developing various methods for semantic processing and analysis of clinical texts, these methods can be applied to a variety of clinical applications [511]. To date, this technology has not been applied to characterize features specific to chronic pancreatitis.

The objective of this study was to leverage NLP technologies to perform a systematic assessment of patients diagnosed with CP in a diverse, integrated community-based healthcare system. Specifically, we sought to identify a subset of patients with advanced CP with respect to both radiographic findings and clinical presentation.

Methods

Study setting and patient population

This study was approved by the Kaiser Permanente Southern California Institutional Review Board, protocol #11121. Waiver of informed consent was granted due to the data-only nature of study (no direct patient contact). We conducted a retrospective cohort study to characterize patients with advanced features of chronic pancreatitis that were diagnosed in a large racially/ethnically diverse community-based population. The study was conducted among patients with an initial diagnosis of chronic pancreatitis (International Classification of Disease 9th revision 577.1 or 10th revision K86.1) from Kaiser Permanente Southern California (KPSC) between January 2006 and December 2015. KPSC is an integrated healthcare delivery system composed of 15 hospitals and more than 220 satellite medical offices throughout southern California with a comprehensive electronic medical record system, providing comprehensive care for over 4.6 million active members [12]. The electronic medical record (EMR) systems captures members’ care information including structured as well as unstructured data, such as radiology reports and clinical notes.

Patients with a history of pancreatic cancer prior to diagnosis of CP, those with a diagnosis of CP prior to 2006 and those with less than one year of continuous health plan enrollment prior to the diagnosis of CP were excluded. In addition, all patients were required to have at least 1 pancreas-related image (abdominal ultrasound, computed tomography CT or magnetic resonance imaging MRI). The present study was approved by the KPSC Institutional Review Board.

Natural language processing for characterization of pancreatic imaging findings

Feature terms

The recent American Pancreatic Association (APA) clinical guideline established a number of pancreas imaging features to characterize CP [3]. The following five features were included in the present study: atrophy, calcification, pseudocyst, cyst and ductal dilatation. The search keywords or terms for each feature were compiled based on the APA clinical guideline definitions, ontologies in the Unified Medical Language System [13] and enriched from training datasets during the algorithm development to capture additional possible linguistic variations. For example, the compiled terms for atrophy included atrophy, atrophic and atrophied. In addition to the search terms, excluded terms were also identified for pseudo cyst and duct dilation features to exclude the report for processing. The excluded terms of “pseudo cyst”, “pseudo-cyst” and “cystic duct” are applied for identifying the feature of cyst because “pseudocyst” and “cyst” were identified independently and exclusively while the term of “common duct”, “bile duct” or “pancreatic duct side branch” is excluded for ductal dilation because the study aimed to identify main pancreatic ductal dilation. Furthermore, a modifier term of “duct” or “ductal” was used to define the feature of ductal dilation. Specifically, the feature of ductal dilatation is identified by searching a feature term (i.e., “dilation”) and a modifier term (i.e., “duct”) within ten words. The compiled keywords and their corresponding modifier terms or exclusion terms are summarized in Table 1 in S1 Table.

Imaging reports

The imaging reports (CT, MRI and ultrasound) for patients diagnosed with chronic pancreatitis during the study period were first extracted from the KPSC EMR system. The extracted imaging reports are free-text format, and most of them contain the sections of clinical history, procedure, technique, finding. Imaging reports without the string “pancreas” were removed. The remaining imaging reports were used to form the training, validation and implementation datasets (see below).

Training dataset

A sample of 100 CP patients (20 for each imaging feature) was randomly selected from the study cohort. Their corresponding radiology imaging reports (total = 1,253) were manually reviewed by the clinical study team to determine the presence of each of the individual pancreatitis-related imaging finding. The results were used for initial algorithm development for each imaging feature. An additional set of 500 imaging reports from a separate sample of 450 patients were then randomly selected from the remaining imaging reports and reviewed manually by the study radiologists. The results of the manual review of these 500 imaging reports were used to provide further refining of the rule-based computer-generated algorithms.

Validation dataset

A total of randomly selected 500 imaging reports from another sample of 453 patients were used to generate the reference standard for the purposes of validation. All reports were fully reviewed by the study radiologists to identify the study interested five imaging features. Implementation dataset: The final computer algorithm was implemented among the remaining imaging reports (exclusions of training and validation reports). The results of the algorithm-based classification were then used to determine the pancreatic imaging features among patients included in the CP study cohort.

Imaging report preprocessing

The extracted imaging reports were first pre-processed. This included cleaning special characters, spelling checking and correction for these mistyped, misspelled or concatenated words detected from our development training datasets, section detection, sentence separation, and tokenization (i.e., segmenting text into linguistic units such as words and punctuation). For example, the phrase “cyst lesion” was mistakenly concatenated as “cystlesion” and “suspicious” was mistyped as “supsicious” in some reports.

NLP algorithm development

An internally developed NLP platform installed on a Linux server was used to develop the algorithm. Built by using Python programming language, the platform integrated a number of well-known open source application programming interfaces including the Negex and ContextNLP [5, 6], the Natural Language Toolkit (NLTK) [14] and Stanford Core NLP [15]. A rule-based NLP algorithm was developed for each imaging feature using the two training datasets as previously mentioned. The rules were first defined at the sentence level and the results were later combined to reflect report or patient level information. The detailed steps for algorithm development and validation are presented in S1 Appendix.

NLP algorithm validation

The manual chart review results of the validation dataset served as the reference standard to evaluate the performance of the computerized algorithm at imaging report level. Any discrepancy between manual review and NLP algorithm results were fully adjudicated by the clinical team (JB, EN, BW).

NLP algorithm implementation

The validated NLP algorithm was applied to the implementation dataset to classify the five pancreatic imaging features for patients included in the study cohort.

Data analysis

To qualify as advanced CP, patients were required to either have calcification(s) on imaging or at least 2 of the 5 previously delineated abnormal imaging findings. Patients with presence of only cyst and/or pseudocyst were not classified as advanced CP. To characterize differences in the clinical profile of patients with advanced CP we performed Chi-square test, t-test or Wilcoxon test to assess the age, sex and racial/ethnic distribution as well as the frequency distribution of etiologic risk factors (alcohol, smoking), comorbid illnesses (diabetes, underweight body habitus: body mass index<18.5) and pancreatic exocrine insufficiency (fecal elastase <200 g/dL, prescription for pancreatic enzyme replacement therapy). We also identified patients in the study cohort with chronic opioid use defined as history of opioid dispensations in the outpatient setting for duration >6 months at any time during follow-up.

To evaluate differences in the natural history of patients with advanced imaging features compared to others diagnosed with CP during the study period we performed survival analysis using the Kaplan-Meier method to assess rates of all-cause mortality. We further compared rates of pancreatic cancer and pancreatic cancer-related mortality based on CP status. Finally, we performed multivariable Cox proportional hazards regression to evaluate independent risk factors for all-cause mortality across the study cohort.

Results

Chronic pancreatitis study cohort

We identified a total of 7,072 patients diagnosed with chronic pancreatitis based on ICD-9 code during the study period. Among these, 6,346 (89.7%) had pancreas imaging obtained. Following study inclusion and exclusion criteria, a total of 3,672 patients were included in the final study cohort (see Fig 1 for cohort assembly). The median age at time of CP diagnosis was 58.0 years (interquartile range 46.0, 70.0). Overall, 1794 (48.9%) of the study cohort were women and 1,813 (49.4%) were non-Hispanic White, 1,037 (28.2%) Hispanic, 517 (14.1%) Black and 233 (6.3%) were Asian.

Fig 1. Flow diagram for cohort assembly.

Fig 1

Natural language processing for pancreatitis-imaging findings

A total of 58,085 radiology imaging reports incorporating the pancreas-related keywords were retrieved among 6,346 eligible CP patients. A total of 726 (~10%) CP patients did not have any imaging reports that contained the pancreas-related keyword and thus were excluded. The mean number of imaging reports per patient was 9.1 (standard deviation 9.6). The results of the algorithm-based identification for the five pancreatic features applied to the implementation dataset at the imaging report level and patient level are shown in Table 2 in S1 Table. The definite (positive) rate of these features ranged from 5.0% (atrophy) to 12.29% (calcification) at report level and 19.16% (pseudocyst) to 27.33% (calcification) at patient level. The NLP algorithm also identified a certain percentage of probable or likely cases for each feature, which ranged from 0.13% (atrophy) to 2.47% (pseudocyst) at the report level and from 0.3% (atrophy) to 4.83% (pseudocyst) at the patient level. Table 3 in S1 Table summarizes the distribution of the total number of definite or probable features at the report level as well as at the patient level. Overall, nearly 33.0% of imaging reports and 56.0% of CP patients presented with at least one of the five common pancreatic imaging features.

Data on the comparison of NLP algorithm results versus the manual results for each imaging feature from the validation set are shown in Table 1. Compared to manual validation, the NLP algorithm demonstrated sensitivity ranging from 88.7% (cyst) to 95.3% (atrophy), specificity from 98.2% (cyst) to 100.0% (ductal dilation), PPV from 85.5% (cyst) to 100.0% (ductal dilation), NPV from to 98.7% (cyst) to 99.6% (atrophy), F-score from 0.87 (cyst) to 0.97 (pseudocyst, ductal dilation). When “Definite” and “Probable” were combined as one category, the sensitivity of atrophy and ductal dilation remained same while the sensitivity was increased to 91.2%, 96.3%, 98.7% for cyst, calcification, pseudocyst, respectively and PPV was increased to 92.9% for cyst, and 97.5% for calcification. The F-score of cyst became 0.92. Details of error analysis between NLP and chart review are presented in S1 Error analysis.

Table 1. Accuracy of the computerized algorithm based on the validation dataset.

Pancreatic features TP TN FN FP Sensitivity (%) Specificity (%) PPV (%) NPV (%) F-score
Definite and probable as separate groups
 Atrophy 41 456 2 1 95.3 99.8 97.6 99.6 0.96
 Calcification 77 416 4 3 95.1 99.3 96.3 99.0 0.95
 Pseudocyst 75 421 3 1 95.2 99.8 98.7 99.3 0.97
 Cyst 47 439 6 8 88.7 98.2 85.5 98.7 0.87
 Ductal dilatation 83 412 5 0 94.3 100.0 100.0 98.8 0.97
Definite and probable as one single group
 Atrophy 41 456 2 1 95.3 99.8 97.6 99.6 0.96
 Calcification 79 416 3 2 96.3 99.5 97.5 99.3 0.97
 Pseudocyst 77 421 1 1 98.7 99.8 98.7 99.8 0.99
 Cyst 52 439 5 4 91.2 98.9 92.9 99.1 0.92
 Ductal dilatation 83 412 5 0 94.3 100.0 100.0 98.8 0.97

FN: false negative; FP: false positive; TN: true negative; TP: true positive

PPV: positive predictive value; NPV: negative predictive value

A total of 1,330 (36.2%) patients had evidence of calcification and/or at least 2 imaging abnormalities and qualified as advanced CP as defined by the present study. Baseline demographic and clinical characteristics for the study cohort stratified by CP status are presented in Table 2. Patients with advanced CP tended to be older at the time of diagnosis (median age 63 years vs 54 years, p<0.001) and were more frequently male (55.8% vs 48.5% p<0.001) as well as White race/ethnicity (56.9% vs 45.1%, p<0.001). Smoking (57.8% vs. 43.0%, p<0.001) and alcohol (31.7% vs 28.6%, p<0.001) were also more common among patients with features of advanced CP.

Table 2. Baseline and follow-up characteristics of KPSC patients with chronic pancreatitis between 2006 and 2015.

Advanced CP (N = 1,330) Not advanced AP (N = 2,342) P-value
Patient Baseline Demographics
Age at CP diagnosis <.001
 Mean (SD) 62.8 (15.34) 53.7 (17.42)
 Median (Q1, Q3) 63 (53.0, 74.0) 54 (42.0, 67.0)
Gender <.001
 Female 588 (44.2%) 1206 (51.5%)
 Male 742 (55.8%) 1136 (48.5%)
Race/Ethnicity <.001
 Asian 74 (5.6%) 159 (6.8%)
 Black 187 (14.1%) 330 (14.1%)
 Hispanic 294 (22.1%) 743 (31.7%)
 White 757 (56.9%) 1056 (45.1%)
 Others/unknown 18 (1.4%) 54 (2.3%)
Median household income 0.094
 < = $45,000 298 (22.4%) 581 (24.8%)
 $45,001-$80,000 570 (42.9%) 987 (42.1%)
 $80,001+ 348 (26.2%) 545 (23.3%)
 Unknown 114 (8.6%) 229 (9.8%)
Membership duration: pre-index CP diagnosis (year) <.001
 Mean (SD) 16.0 (12.78) 13.1 (11.74)
 Median (Q1, Q3) 12.6 (5.0, 24.0) 9.4 (4.1, 18.9)
Patient baseline clinical characteristics
Pancreatic surgery 53 (4%) 41 (1.8%) <.001
Alcohol 0.008
 No 625 (47%) 1074 (45.9%)
 Yes 422 (31.7%) 669 (28.6%)
 Unknown 283 (21.3%) 599 (25.6%)
Smoking status <.001
 Non-smoker 443 (33.3%) 1055 (45%)
 Former smoker 482 (36.2%) 648 (27.7%)
 Current smoker 287 (21.6%) 358 (15.3%)
 Unknown 118 (8.9%) 281 (12%)
Diabetes 633 (47.6%) 840 (35.9%) <.001
Acute pancreatitis 439 (33%) 809 (34.5%) 0.345
BMI, Mean (SD) 25.8 (5.58) 28.3 (6.66) <.001
 Under Weight 88 (6.6%) 84 (3.6%) <.001
 Normal Weight 562 (42.3%) 687 (29.3%)
 Over weight 403 (30.3%) 756 (32.3%)
 Obese 272 (20.5%) 792 (33.8%)
 Unknown 5 (0.4%) 23 (1%)
Follow-up
Length of follow-up (year) 0.011
 Mean (SD) 3.9 (2.94) 4.2 (3.13)
 Median (Q1, Q3) 3.2 (1.4, 5.9) 3.5 (1.5, 6.5)
Pancreatic cancer 97 (7.3%) 43 (1.8%) <.001
Chronic opioid use 467 (35.1%) 670 (28.6%) <.001
Pancreatic enzyme insufficiency* 569 (42.8%) 538 (23%) <.001
 Pancreatic enzyme supplementation 558 (42%) 536 (22.9%) <.001
 Fecal elastase <200 mg/dL 79 (5.9%) 21 (0.9%) <.001
5-year Mortality, %(95%CI) 33.2 (30.3, 36.1) 21.8 (19.9, 23.8) <.001

Disease-associated morbidity

A total of 1,137 (31%) of patients received opioids for >6 months during the study period. Chronic opioid use was more common among patients with advanced CP (35.1% vs 28.6%, p<0.001). Diabetes (47.6% vs. 35.9%, p<0.001) as well as underweight body mass index (6.6% vs. 3.6%, p<0.001) at the time of diagnosis were also more common among patients with advanced imaging features of CP.

Mortality

A total of 928 (25.3%) patients in the cohort died during the study period (mortality rate 62/1,000 person-year). Among patients with advanced CP, the mortality rate was 83/1,000 person-year. A kaplan-meier survival plot stratified by disease category is presented in Fig 2. Advanced CP was associated with worsened mortality (median 5-year mortality 33.2% (95% CI 30.3, 36.1) vs 21.8% (19.9, 23.8), p < .001). The most frequent causes of mortality across the study groups are listed in Table 3. Frequency of pancreatic cancer-related death was increased among patients with advanced CP (5.9% vs. 1.2%, p < .001) with pancreatic cancer-related mortality of 15/1,000 person-years among patients with advanced CP. The results of multivariable Cox proportional hazards analysis are presented in Table 4. In multivariable analysis, advanced CP status was not independently associated with increased risk of mortality whereas underweight BMI (hazard ratio HR 1.57, 95% CL 1.20, 2.05), active smoking (HR 1.36, 95% CL 1.10, 1.68) and diabetes (HR 1.35, 95% CL 1.18, 1.55) at diagnosis were each independent risk factors for all-cause mortality.

Fig 2. Survival analysis, Kaplan-Meier curve for all-cause mortality.

Fig 2

Advanced chronic pancreatitis based on radiographic findings abstracted through natural language processing.

Table 3. Causes of mortality.
Advanced CP (N = 1,330) Not advanced CP (N = 2,342) Total (N = 3,672)
Person-years 5174.6 9737.8 14913
Death from all causes 432 (32.5%) 496 (21.2%) 928 (25.3%)
 Pancreatic cancer 79 (5.9%) 27 (1.2%) 113 (3.1%)
 Other malignancies 94 (7.1%) 94 (4%) 211 (5.7%)
 Circulatory system disease 80 (6%) 106 (4.5%) 214 (5.8%)
 Diseases of the digestive system 61 (4.6%) 82 (3.5%) 149 (4.1%)
 Diseases of the respiratory system 25 (1.9%) 24 (1%) 61 (1.7%)
 Endocrine, nutritional and metabolic diseases 28 (2.1%) 34 (1.5%) 73 (2%)
 Other diagnosis 52 (3.9%) 111 (4.7%) 183 (5%)
 Unknown 13 (1%) 18 (0.8%) 31 (0.8%)
Table 4. Adjusted hazard ratios for mortality.
Mortality
Hazard Ratio 95% Confidence Limits P-value
Advanced CP (ref = no) 1.11 0.97 1.27 0.14
Age 1.04 1.03 1.04 <.001
Gender (male vs. female) 1.16 1.01 1.32 0.03
Race/ethnicity (Ref = White) 0.02
 Asian 0.75 0.56 1.00 0.05
 Black 0.99 0.81 1.20 0.89
 Hispanic 0.83 0.70 0.99 0.04
 Others/unknown 1.62 1.01 2.60 0.05
Median household income (ref: < = $45,000) 0.15
 $45,001-$80,000 0.99 0.84 1.16 0.86
 $80,001+ 0.84 0.70 1.02 0.08
 Unknown 0.82 0.62 1.09 0.17
BMI (ref = normal weight) <.001
 Underweight 1.57 1.20 2.05 0.001
 Over weight 0.72 0.61 0.84 <.001
 Obese 0.67 0.56 0.80 <.001
  Unknown 6.00 3.49 10.30 <.001
Alcohol (Ref = No) 0.99
 Unknown 0.99 0.81 1.21 0.88
 Yes 1.00 0.84 1.18 0.97
Smoking (Ref = Non-smoker) 0.001
 Current smoker 1.36 1.10 1.68 0.004
 Former smoker 1.27 1.08 1.50 0.004
 Unknown 1.51 1.17 1.95 0.002
Acute pancreatitis (Yes vs. no) 1.09 0.94 1.26 0.26
Diabetes (Yes vs. no) 1.35 1.18 1.55 <.001

Discussion

We developed a natural language processing algorithm to identify radiographic features commonly associated with chronic pancreatitis from the free text of radiology reports. This algorithm was then applied on existing data to help characterize a cohort of patients diagnosed with chronic pancreatitis in a large integrated healthcare system. Through use of the NLP algorithm we were able to identify a subset of patients with advanced features of chronic pancreatitis based on radiographic findings that corresponded to increased rates of diabetes, chronic opioid use, underweight body mass index as well as pancreas cancer-related mortality. In multivariable analysis, smoking, diabetes and underweight body status were independent risk factors for all-cause mortality.

The ability to further characterize patients diagnosed in a real-world setting is an important step to improving understanding of the natural history of chronic pancreatitis. A major limitation to studying chronic pancreatitis at the population-level has been the limited accuracy of diagnosis codes with positive-predictive value <50% compared to manual chart review using established clinical criteria [4]. As radiographic imaging features are one of the key objective criteria used in the diagnosis and staging of chronic pancreatitis, we sought to develop a rule-based NLP algorithm to identify five of the most common pancreatic imaging features from radiology reports associated with chronic pancreatitis. Compared with findings from the manual review, the NLP algorithm produced a high level of performance for each of the specific pancreatitis-related features.

Findings from the present study with respect to etiologic risk factors including increased frequency of smoking and alcohol among patients with more advanced radiographic findings are consistent with previous prospective studies of chronic pancreatitis from North America [1618]. It is also interesting to note that although the base cohort was racially and ethnically diverse, patients with advanced findings were disproportionately white and male.

In terms of disease management, the proportion of patients with advanced CP that received testing or treatment for exocrine insufficiency was relatively low (40%). This is likely the result of broad uncertainty regarding appropriate testing and treatment for exocrine insufficiency [19]. Moreover, previous literature indicates pervasive issues regarding under-treatment for this aspect of chronic pancreatitis including a survey from the Netherlands that indicated >70% of patients with advanced CP continued to experience symptoms of steatorrhea despite enzyme replacement [20]. These findings highlight an important opportunity to improve care for these patients that may help address the increased prevalence of underweight body mass index and worsened survival in this patient population.

In the present study, 35% of patients with advanced CP were treated with chronic opioids (35%). This is lower than previous reports from the North American Pancreatitis Study-2 where nearly half (47%) of patients indicated chronic opioid use based on self-report [21]. This discrepancy could be due to differences in care-setting given previous reports were conducted primarily based on data from tertiary care referral centers as well as recent initiatives to curb use of these medications within the KPSC health system [22].

Increased mortality among patients with chronic pancreatitis has been previously described [23,24]. However, all-cause mortality among the advanced CP patients in the present study (83/1,000 pyr) was notably higher than that reported from previous longitudinal studies of CP (25-77/1,000 pyr) [2426]. In addition, the rate of pancreatic cancer-related mortality (15/1,000 pyr) was strikingly higher than the rate (0.06/1,000 pyr) reported in a recent large population-based study in the Netherlands24. We believe that discordant findings between the present study and previous examinations are likely related to differences in design such that previous endoscopy-based cohorts [25] may not have captured the full spectrum of patients with advanced chronic pancreatitis whereas population-based estimates relied upon either diagnosis codes exclusively [24] or included a relatively small number of carefully curated CP cases [23, 26].

There were several limitations to the current study. First, there were limitations with respect to the NLP algorithm such that features were abstracted from the free text of radiology reports. Therefore, it is likely that unreported or infrequent findings would not be adequately captured. This was the rationale to limit the algorithm to identify the five most common findings associated with chronic pancreatitis. Second, based on the retrospective nature of the study we were unable to capture direct measures of disease manifestations such as chronic abdominal pain or steatorrhea. As a result, the present analyses were limited to measures of disease treatment including opioid dispensation(s) as well as pancreatic enzyme supplementation.

Despite these limitations, findings from the present study have several important implications for both further research as well as clinical practice. From a research perspective, the ability to apply an automated NLP-based algorithm to identify features related to chronic pancreatitis from the free-text of radiology reports at-scale offers a tremendous opportunity to gain further insight into the natural history of disease as illustrated by several of the present analyses. From a clinical perspective, it is important to note that although patients with advanced CP experienced greater overall mortality, the results from multivariable analysis suggest that this finding is driven primarily through potentially modifiable risk factors including diabetes, smoking and underweight BMI. This stresses the importance of adequately managing these comorbid conditions in order to improve long-term survival particularly among patients with advanced stages of chronic pancreatitis. Finally, the relatively high rate of pancreatic cancer-related mortality among patients with advanced features of CP suggests that this is a population that may benefit from further strategies for early detection of pancreatic cancer.

It should also be noted out that the computerized algorithm developed in the present study can be applied in other healthcare systems as well as potentially adapted for other disease states. It may yield some varied results due to the variation in format and presentation of clinical reports. However, the accuracy should not be significantly affected because the algorithm was not targeted or limited to any fixed/strict formatted reports. In addition, our approach and process can be modified to address other medical conditions with some modifications, such as replacing the keywords or terms of interest, corresponding modifiers and potential excluded terms, etc.

In summary, we have developed and applied a natural-language processing algorithm to identify features commonly associated with chronic pancreatitis from the free text of radiology reports. Using this algorithm, we were able to identify a subset of patients with advanced disease among those diagnosed with chronic pancreatitis in a large integrated healthcare system. Patients with advanced chronic pancreatitis were at increased risk for pancreatitis-associated morbidity as well as pancreatic cancer-related mortality. Excess overall mortality observed among patients with advanced CP was driven primarily by underweight BMI, smoking and diabetes. Greater emphasis on addressing these cofactors has the potential to substantially improve survival for patients with advanced stage chronic pancreatitis.

Supporting information

S1 Appendix. NLP development processing.

(DOCX)

S1 Table. Supplementary tables for NLP processing and results.

(DOCX)

S1 Error analysis. Error analysis between the NLP algorithm and manual review against the validation dataset.

(DOCX)

Data Availability

The Kaiser Permanente Southern California institutional policy requires a data transfer agreement be executed between KPSC and the individual recipient entity prior to transmittal of patient-level data outside KPSC. This is a legal requirement. Requests for data can be addressed to the Central Business Office of the Department of Research and Evaluation (contact via Judy.J.Angmorter@kp.org).

Funding Statement

BW, U01 DK 108314, National Institutes of Diabetes, Digestive and Kidney Diseases, https://www.niddk.nih.gov/. The funders had no role in study design, data collection and analysis, decision to publish or preparation of the manuscript.

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Decision Letter 0

Dejing Dou

29 May 2020

PONE-D-20-02468

Characterization of patients with advanced chronic pancreatitis based on electronic health data and high-throughput natural language processing of radiology reports.

PLOS ONE

Dear Dr. Wu,

Thank you for submitting your manuscript to PLOS ONE. After careful consideration, we feel that it has merit but does not fully meet PLOS ONE’s publication criteria as it currently stands. Therefore, we invite you to submit a revised version of the manuscript that addresses the points raised during the review process.

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We look forward to receiving your revised manuscript.

Kind regards,

Dejing Dou, Ph.D.

Academic Editor

PLOS ONE

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Reviewer #1: Yes

Reviewer #2: Yes

**********

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Reviewer #1: I Don't Know

Reviewer #2: Yes

**********

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Reviewer #1: No

Reviewer #2: Yes

**********

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**********

5. Review Comments to the Author

Please use the space provided to explain your answers to the questions above. You may also include additional comments for the author, including concerns about dual publication, research ethics, or publication ethics. (Please upload your review as an attachment if it exceeds 20,000 characters)

Reviewer #1: In this paper, the authors present a retrospective cohort study including patients diagnosed with chronic pancreatitis (CP). To extract specific features from free-text radiology reports, a natural language processing (NLP) approach was developed and manually evaluated using a training set and a validation set, respectively. The algorithm was then applied on a large sets of reports, to define a subset of patients with advanced disease vs. other patients. As a main result, patients with advanced CP were at increased risk for pancreatic cancer-related mortality. Excess all-cause mortality was driven primarily by underweight BMI, smoking and diabetes.

The use of NLP solutions to support retrospective research is an interesting topic, especially for those use-cases where relevant data is only contained in free text. Despite using a rule-based NLP approach, where concept variants might not be captured, evaluation results are promising. However, I believe there are a few points in the manuscript that could be extended or clarified.

1. In general, the section “Natural language processing for characterization of pancreatic imaging findings” would benefit from some clarification. Although more details are given in Appendix A, it would be helpful to briefly mention the high-level approach here, at least defining “search keywords”, “modifiers” and “exclusion terms” (especially considering that references to specific excluded terms are given). Were these keywords manually defined, or was there any data-driven step? Related to this, the authors refer to “further training of the computer-generated algorithm”. Was there any machine learning training involved?

2. Could the authors provide a few more details about the typical structure of documents? Do these usually contain predefined sections? How was spelling checking performed? More generally, do the authors think their approach could be easily reused or extended to process similar documents from a different institution?

3. I would suggest clarifying the section “NLP Performance evaluation” in Appendix A. Were results evaluated on a sentence level, report level, or patient level? This could be also clarified in the main manuscript. Also: could you please check the definitions of Specificity and NPV given here?

4. Did the authors perform any error analysis to identify particular issues with the developed NLP approach, e.g. how many false negatives were due to missing variants or misspellings?

5. The authors report p-values when comparing specific characteristics in advanced CP vs. other patients. Could they please clarify which tests were applied?

6. Table 3 reports causes of mortality in advanced CP vs. other patients. Could the authors clarify how these were defined? More specifically, is “Death from all causes” including all the causes listed below? If so, could you please check if reported sums are correct?

Minor comments

7. I would suggest adding acronyms (NLP and CP) the first time they are mentioned in the text.

8. Please check the numbers in the following sentence (Pg. 9) vs. Table 3: “Frequency of pancreatic cancer-related death was increased among patients with advanced CP (6.9% vs. 5.2%, p<.001)..."

Reviewer #2: The study aim in the abstract seems a bit too generic for the study, at least some more detail could be added here, like the focus on extracting the imaging features using NLP?

Validation cohort: was this cohort also manually reviewed for the imaging findings? This is not explicitly mentioned in the methods section, however, seems to be required?

It is a bit odd that the “Chronic Pancreatitis Study cohort” results paragraph comes second, whereas here the study cohort is presented? Any reason why this is not the first results paragraph?

For figure 2 is the advanced diseases based on NLP extracted radiographic findings or is it based on manually curated findings? It would be good to make this explicit.

Do the authors have any sense on how this algorithm would perform on external data from another hospital system? Are there any potential biases? It would be good to add this to the discussion.

How is this approach generalizable to new problems in other diseases areas, e.g. cirrhosis or NASH in livers. Based on the appendix, it does seem that this approach is difficult to generalize, and scale to other problems. Can the authors comment on this and add this to the discussion?

**********

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Reviewer #1: No

Reviewer #2: No

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PLoS One. 2020 Aug 19;15(8):e0236817. doi: 10.1371/journal.pone.0236817.r002

Author response to Decision Letter 0


26 Jun 2020

Response to comments

Journal requirements:

When submitting your revision, we need you to address these additional requirements:

1. Please ensure that your manuscript meets PLOS ONE's style requirements, including those for file naming. The PLOS ONE style templates can be found at http://www.plosone.org/attachments/PLOSOne_formatting_sample_main_body.pdf and http://www.plosone.org/attachments/PLOSOne_formatting_sample_title_authors_affiliations.pdf

We have edited the revised manuscript to align with the PLOS ONE style requirements

2. Our internal editors have looked over your manuscript and determined that it is within the scope of our Digital Health Technology Call for Papers. This collection of papers is headed by a team of Guest Editors for PLOS ONE: Eun Kyoung Choe (University of Maryland, College Park), Chelsea Dobbins (University of Queensland), Sunghoon Ivan Lee (University of Massachusetts, Amherst), and Claudia Pagliari (University of Edinburgh).

The Collection will encompass a diverse range of research articles on digital health technologies ranging from technology design to patient care and health systems management. Additional information can be found on our announcement page: https://collections.plos.org/s/digital-health-tech.

If you would like your manuscript to be considered for this collection, please let us know in your cover letter and we will ensure that your paper is treated as if you were responding to this call. If you would prefer to remove your manuscript from collection consideration, please specify this in the cover letter.

We have indicated in our cover letter our desire for the manuscript to be considered for the Digital Health Technology collection.

3. We note that you have indicated that data from this study are available upon request. PLOS only allows data to be available upon request if there are legal or ethical restrictions on sharing data publicly. For information on unacceptable data access restrictions, please see http://journals.plos.org/plosone/s/data-availability#loc-unacceptable-data-access-restrictions.

In your revised cover letter, please address the following prompts:

a) If there are ethical or legal restrictions on sharing a de-identified data set, please explain them in detail (e.g., data contain potentially identifying or sensitive patient information) and who has imposed them (e.g., an ethics committee). Please also provide contact information for a data access committee, ethics committee, or other institutional body to which data requests may be sent.

Kaiser Permanente Southern California (KPSC) institutional policy requires a Data Transfer Agreement to be completed naming all persons and entities that will have access to the data before any individual level data can be transmitted outside the organization. The KPSC Research & Evaluation Central Business Office handles data use agreements. For further inquiries: Judy Angmorter, senior contracts and grants administrator can be reached at Judy.J.Angmorter@kp.org

We will update your Data Availability statement on your behalf to reflect the information you provide.

4. Please include captions for your Supporting Information files at the end of your manuscript, and update any in-text citations to match accordingly. Please see our Supporting Information guidelines for more information: http://journals.plos.org/plosone/s/supporting-information.

Updated captions and in-text citations have been included in the revised manuscript.

[Note: HTML markup is below. Please do not edit.]

5. Review Comments to the Author

Please use the space provided to explain your answers to the questions above. You may also include additional comments for the author, including concerns about dual publication, research ethics, or publication ethics. (Please upload your review as an attachment if it exceeds 20,000 characters)

Reviewer #1:

In this paper, the authors present a retrospective cohort study including patients diagnosed with chronic pancreatitis (CP). To extract specific features from free-text radiology reports, a natural language processing (NLP) approach was developed and manually evaluated using a training set and a validation set, respectively. The algorithm was then applied on a large sets of reports, to define a subset of patients with advanced disease vs. other patients. As a main result, patients with advanced CP were at increased risk for pancreatic cancer-related mortality. Excess all-cause mortality was driven primarily by underweight BMI, smoking and diabetes.

The use of NLP solutions to support retrospective research is an interesting topic, especially for those use-cases where relevant data is only contained in free text. Despite using a rule-based NLP approach, where concept variants might not be captured, evaluation results are promising. However, I believe there are a few points in the manuscript that could be extended or clarified.

Response: Thank the reviewer for the recognition on the contribution of our study and helpful suggestions. We addressed each point and incorporated them into the revision in detail (see below).

1. In general, the section “Natural language processing for characterization of pancreatic imaging findings” would benefit from some clarification. Although more details are given in Appendix A, it would be helpful to briefly mention the high-level approach here, at least defining “search keywords”, “modifiers” and “exclusion terms” (especially considering that references to specific excluded terms are given). Were these keywords manually defined, or was there any data-driven step? Related to this, the authors refer to “further training of the computer-generated algorithm”. Was there any machine learning training involved?

Response: We appreciate the Reviewer’s suggestions. Our NLP algorithm was a rule-based approach developed through an iterative process. The keywords were manually defined. As described in the main context, the search keywords for each feature were compiled based on the American Pancreas Association clinical guideline definitions, ontologies in the Unified Medical Language System and enriched from training datasets during the algorithm development to capture additional possible linguistic variations. We have expanded the description of these terms and the development process in the methods section of the revised manuscript (Page 4, lines 118-121, Page 5, lines 122-131).

2. Could the authors provide a few more details about the typical structure of documents? Do these usually contain predefined sections? How was spelling checking performed? More generally, do the authors think their approach could be easily reused or extended to process similar documents from a different institution?

Response: In our care setting as in most clinical Radiology reporting, most of the imaging reports typically include sections of indication/clinical history, procedure, technique and findings as well as impression. Our NLP process only checked and corrected these mistyped, misspelled or concatenated words detected from our development training datasets. We added more detail descriptions regard structure of imaging reports and spell checking in the revision (Page 5, lines 134-135, Page 6, lines 154-155).

Although our NLP algorithm was developed based on the imaging reports, the steps as we described in the Appendix A are generalizable and can be implemented in other care settings. It may yield some varied results due to the variation in format and presentation of reports, but the accuracy should not be significantly affected because the algorithm was not specified or limited to any fixed/strict formatted reports. We have added the relevant discussion in the Discussion section (Page 13, lines 322-326).

3. I would suggest clarifying the section “NLP Performance evaluation” in Appendix A. Were results evaluated on a sentence level, report level, or patient level? This could be also clarified in the main manuscript. Also: could you please check the definitions of Specificity and NPV given here?

Response: We thank the reviewer for their suggestions. The NLP performance was evaluated at the report level. We have clarified this in the main manuscript (Page 6, line 168) and Appendix A. We also have also clarified the definitions of Specificity and NPV in the revised Appendix A.

4. Did the authors perform any error analysis to identify particular issues with the developed NLP approach, e.g. how many false negatives were due to missing variants or misspellings?

Response: We did review the discrepancies between the NLP algorithm and manual review results for validation datasets. The details of error analysis was summarized in the S1 Error Analysis file and cited in the result section of the manuscript (Page 8, 221).

5. The authors report p-values when comparing specific characteristics in advanced CP vs. other patients. Could they please clarify which tests were applied?

Response: To characterize differences in the clinical profile of patients with advanced CP we performed Chi-square test, t-test or Wilcoxon test to assess the age, sex and racial/ethnic distribution as well as the frequency distribution of etiologic risk factors. This information has been added to the revised Methods (page 7, lines 176-177).

6. Table 3 reports causes of mortality in advanced CP vs. other patients. Could the authors clarify how these were defined? More specifically, is “Death from all causes” including all the causes listed below? If so, could you please check if reported sums are correct?

Response: We thank the reviewer for identifying this discrepancy. We have identified the source of the error: when reporting individual causes of death, we failed to restrict the analysis to the end of the study period (2017). As a result, the sum of individual causes of death was greater than the total number of deaths during the study period, n=928. We have revised Table 3 and the manuscript text to reflect the updated numbers with respect to individual causes of death during the study period.

Minor comments

7. I would suggest adding acronyms (NLP and CP) the first time they are mentioned in the text.

Response: Thank the reviewer for the suggestion. We have added both acronyms at the first time place in the revision (Page 3, lines 86-87).

8. Please check the numbers in the following sentence (Pg. 9) vs. Table 3: “Frequency of pancreatic cancer-related death was increased among patients with advanced CP (6.9% vs. 5.2%, p<.001)..."

Response: This has been corrected in the revised manuscript as the estimate should read (5.9% vs. 1.2%, p<.001).

Reviewer #2:

The study aim in the abstract seems a bit too generic for the study, at least some more detail could be added here, like the focus on extracting the imaging features using NLP?

Response: Thank the reviewer for the good suggestions. We have added more details of our method in the abstract of the revision (Page 2).

Validation cohort: was this cohort also manually reviewed for the imaging findings? This is not explicitly mentioned in the methods section, however, seems to be required?

Response: Yes, the validation cohort was manually reviewed for the imaging findings. We have explicitly indicated this in the revised methods section of the updated manuscript (Page 6, line 148)

It is a bit odd that the “Chronic Pancreatitis Study cohort” results paragraph comes second, whereas here the study cohort is presented? Any reason why this is not the first results paragraph?

Response: We have re-ordered the paragraphs as suggested in the revised manuscript.

For figure 2 is the advanced diseases based on NLP extracted radiographic findings or is it based on manually curated findings? It would be good to make this explicit.

Response: Advanced disease was based on NLP extracted radiographic findings. This has been added to the figure legend for clarity.

Do the authors have any sense on how this algorithm would perform on external data from another hospital system? Are there any potential biases? It would be good to add this to the discussion.

Response: The steps of the NLP algorithm described in the Appendix A can be applied to other healthcare systems provided they have an electronic medical record system that includes free-text of radiology reports. When applied to other hospital systems, the accuracy for the established features should not be significantly affected by report formatting because the algorithm was not specified or limited to any fixed/strict formatted reports. We have added the relevant discussion in the revised Discussion section (Page 13, lines 322-326).

How is this approach generalizable to new problems in other diseases areas, e.g. cirrhosis or NASH in livers. Based on the appendix, it does seem that this approach is difficult to generalize, and scale to other problems. Can the authors comment on this and add this to the discussion?

Response: We thank the reviewer for raising this potential implication of the present study. Although our study focused on features relevant to outcomes in chronic pancreatitis, the approach and processing could be adapted to other medical conditions with relatively minor modifications, such as replacing the disease-specific keywords or terms of interest, corresponding modifiers and potential excluded terms. In addition, because our study focused on the pancreas, text descriptions related to other organ were excluded from the beginning of the processing as described in the Appendix A. However, this can be easily modified to include a specific organ of interest. We have added more discussion on this topic in the revised Discussion section (Page 13, lines 326-328).

Attachment

Submitted filename: PONE-D-20-02468-response.docx

Decision Letter 1

Dejing Dou

15 Jul 2020

Characterization of patients with advanced chronic pancreatitis using natural language processing of radiology reports.

PONE-D-20-02468R1

Dear Dr. Wu,

We’re pleased to inform you that your manuscript has been judged scientifically suitable for publication and will be formally accepted for publication once it meets all outstanding technical requirements.

Within one week, you’ll receive an e-mail detailing the required amendments. When these have been addressed, you’ll receive a formal acceptance letter and your manuscript will be scheduled for publication.

An invoice for payment will follow shortly after the formal acceptance. To ensure an efficient process, please log into Editorial Manager at http://www.editorialmanager.com/pone/, click the 'Update My Information' link at the top of the page, and double check that your user information is up-to-date. If you have any billing related questions, please contact our Author Billing department directly at authorbilling@plos.org.

If your institution or institutions have a press office, please notify them about your upcoming paper to help maximize its impact. If they’ll be preparing press materials, please inform our press team as soon as possible -- no later than 48 hours after receiving the formal acceptance. Your manuscript will remain under strict press embargo until 2 pm Eastern Time on the date of publication. For more information, please contact onepress@plos.org.

Kind regards,

Dejing Dou, Ph.D.

Academic Editor

PLOS ONE

Additional Editor Comments (optional):

Reviewers' comments:

Reviewer's Responses to Questions

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Reviewer #1: All comments have been addressed

Reviewer #3: All comments have been addressed

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Reviewer #1: Yes

Reviewer #3: Yes

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3. Has the statistical analysis been performed appropriately and rigorously?

Reviewer #1: Yes

Reviewer #3: Yes

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4. Have the authors made all data underlying the findings in their manuscript fully available?

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Reviewer #1: No

Reviewer #3: No

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Reviewer #1: Yes

Reviewer #3: Yes

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Reviewer #1: (No Response)

Reviewer #3: This paper develops a NLP algorithm to identify five specific features of patients with chronic pancreatitis from their radiology reports, and identify a subset of patients with advanced CP based on these features. The proposed method can be applied to other data sources with text and other medical conditions after modification.

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Reviewer #1: No

Reviewer #3: No

Acceptance letter

Dejing Dou

7 Aug 2020

PONE-D-20-02468R1

Characterization of patients with advanced chronic pancreatitis using natural language processing of radiology reports.

Dear Dr. Wu:

I'm pleased to inform you that your manuscript has been deemed suitable for publication in PLOS ONE. Congratulations! Your manuscript is now with our production department.

If your institution or institutions have a press office, please let them know about your upcoming paper now to help maximize its impact. If they'll be preparing press materials, please inform our press team within the next 48 hours. Your manuscript will remain under strict press embargo until 2 pm Eastern Time on the date of publication. For more information please contact onepress@plos.org.

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Kind regards,

PLOS ONE Editorial Office Staff

on behalf of

Professor Dejing Dou

Academic Editor

PLOS ONE

Associated Data

    This section collects any data citations, data availability statements, or supplementary materials included in this article.

    Supplementary Materials

    S1 Appendix. NLP development processing.

    (DOCX)

    S1 Table. Supplementary tables for NLP processing and results.

    (DOCX)

    S1 Error analysis. Error analysis between the NLP algorithm and manual review against the validation dataset.

    (DOCX)

    Attachment

    Submitted filename: PONE-D-20-02468-response.docx

    Data Availability Statement

    The Kaiser Permanente Southern California institutional policy requires a data transfer agreement be executed between KPSC and the individual recipient entity prior to transmittal of patient-level data outside KPSC. This is a legal requirement. Requests for data can be addressed to the Central Business Office of the Department of Research and Evaluation (contact via Judy.J.Angmorter@kp.org).


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