Abstract
Background.
The published literature provides few insights regarding how to implement or consider the effects of knowledge co-production partnerships in the context of delivery system science.
Objective.
To describe how a health care organization—university-based research partnership was developed and used to design, develop and implement a practice-integrated decision support tool for patients with a physician recommendation for colorectal cancer screening.
Design:
Instrumental case study.
Participants:
Data were ascertained from project documentation records and semi-structured questionnaires sent to 16 health care organization leaders and staff, research investigators, and research staff members.
Key Results.
Using a logic model framework, we organized the key inputs, processes and outcomes of a health care organization—university-based research partnership. In addition to pragmatic researchers, partnership inputs included a health care organization with a supportive practice environment and an executive-level project sponsor, a mid-level manager to serve as the organizational champion, and continual access to organizational employees with relevant technical, policy and system/process knowledge. During program design and implementation, partnership processes included using project team meetings, standing organizational meetings, and one-on-one consultancies to provide platforms for shared learning and problem solving. Decision-making responsibility was shared between the health care organization and research team. We discuss the short-term outcomes of the partnership, including how the partnership affected the current research team’s knowledge and health system initiatives.
Conclusion.
Using a logic model framework, we have described how a health care organization—university-based research team partnership was implemented. Others interested in developing, implementing, and evaluating knowledge co-production partnerships in the context of delivery system science projects can use the experiences to consider ways to develop, implement and evaluate similar co-production partnerships.
Keywords: Delivery system science, health care stakeholder engagement, implementation science, knowledge co-production, quality improvement
INTRODUCTION
Traditional sequential, linear models of research-to-practice result in long delays and gaps in the translation of research-generated knowledge.(1,2) Voids in the use of shared decision-making and decision aids represent such a gap: Despite strong ethical reasons and evidence of their benefits,(3,4) both are rarely used in practice.(5–7) Barriers to implementation include clinician knowledge gaps and time constraints (5,6), and factors that limit the practicality of their use, including challenges integrating decision support within clinic workflows(8,9). How to better support decision aid implementation remains an ongoing challenge.
Participatory research (10) and knowledge co-production (11) models are advocated as alternative models to facilitate research translation.(12–16) Within knowledge co-production models, both researchers and practitioners are considered experts, each bringing their complementary knowledge, skills, insights and professional networks to the team. In the context of health care delivery research, if interventions are designed without involving those who deliver care, this means interventions are developed without input from those who have an understanding of the complex context of care delivery. In a knowledge co-production model, this contextual knowledge is considered in hopes of increasing relevance and usability. In such partnerships, practitioners and researchers work together to solve problem-driven issues with the expectation that the research will generate solutions that easily translate into practice or policy. (17–22)
Although conducting research within a partnership has become popular,(23,24) the literature is void of insights regarding how such health care organization - research partnerships can be operationalized.(25,26) This is particularly true for health service researchers wanting to partner with care delivery organizations.(27) The result is a general gap in knowledge regarding the implementation of knowledge co-production strategies.(22) To address this gap, we used a logic model framework to illustrate how we operationalized a health care organization - research partnership during the design, development and implementation phases of an NCI-funded project (R01CA197205), the e-assist: Colon Health study.
METHODS
The e-assist: Colon Health study has been described in detail elsewhere.(28) In brief, we developed a post-office visit, colorectal cancer (CRC) decision support program for patients with a physician recommendation for CRC screening. The program was embedded within the health care organization’s electronic health record (EHR) with patients accessing it via an online patient portal. Program content reinforced CRC screening benefits, compared the benefits and risks of screening alternatives, and addressed the common questions and barriers patients have after receiving a physician recommendation for CRC screening (29). Program content included short videos addressing reasons for screening and common barriers to screening. Much of the program was self-directed, enabling users to view content in their preferred order and supplemental material (e.g., tips for how to complete screening) only if it was of interest.
We used an instrumental case study approach (30) to describe how the partnership was developed and implemented. The instrumental case study is an established research approach in which the study of a specific case is used to produce a broader understanding of a complex phenomenon (31). Using this approach enabled us to provide an in-depth understanding of how health care organization-research partnerships can be operationalized (30,31).
To obtain information for the case study, we reviewed project-meeting minutes and routine decision notes/logs maintained by the research staff, and administered a semi-structured questionnaire to project team members (Appendix A). We used the questionnaire to solicit information regarding individuals’ goals and priorities for the development of the program, and their perceptions of the processes used during the partnership (e.g., we solicited descriptions of the working relationships and how health care employees were involved). We also inquired about challenges faced, and how project participation may have enhanced knowledge and skills. Furthermore, because a specific goal of working in partnership with the health care organization was to ensure the decision support was integrated with clinic workflows, we asked respondents how they perceived the e-assist program fit (or did not fit) with clinic workflows and processes. A post-doctoral fellow (AAT) who was not involved with the project during the design, development or implementation phases emailed the questionnaire to health care organization leaders and staff who routinely partnered with the research team (n=4), each of the research investigators on the team (n=7), and key research staff members (n=5). We used a thematic analysis approach (32) to analyze questionnaire responses. We developed a preliminary codebook of emergent topics (33), coded important passages into related theme(s), and selected illustrative quotations when they were explanatory of each theme. Finally, we used a logic model approach (34) to organize the key components of the partnership, and to structure a framework that depicted key inputs to, processes of, and outcomes from the partnership (Figure 1).
Activities reported here were part of a planned formative evaluation approved by the health system’s Institutional Review Board. An introductory email sent to questionnaire recipients explained that information was being collected to understand how the program partnership was developed, and that responses would be used to describe how the partnership was used to develop and test the e-assist program. Twelve (75%) of those sent the questionnaire (3 health care organization employees, 4 research investigators, and 5 research staff) provided responses.
RESULTS
Inputs
Research-ready and Supportive Organization
During project conceptualization, the university-based research team sought to identify a ‘research-ready’ and supportive health care organization partner. We perceived a ‘research ready’ organization as a manifestation of a learning health care system (35), defined as an organization within which “science, informatics, incentives, and culture are aligned for continuous improvement and innovation.” (36) As such, a ‘research ready’ organization was one that understood the importance of research and wanted not only to use the results of research, but also actively participate in how the research was designed, conducted, and made available to those delivering care, In addition to identifying an organization with a supportive improvement and innovation culture, it was also important to identify an organization that could embrace and provide an environment that was supportive of the organizational change needed to support the specific research topic and questions (37). The first entry in Table 1 provides an illustrative quotation regarding the research-readiness of the partnering health care organization (Table 1, IQ 1).
Table 1.
Domain | Quotation Number | Illustrative Quotation (Participant’s role, Study Participant Number) |
---|---|---|
Research-ready and Supportive Organization | 1 |
|
Pragmatic and Responsive Researchers | 2 |
|
3 |
|
|
Core Health Care Organization Team Members | 4 |
|
Shared Responsibilities and Commitment | 5 |
|
Communication and Decision Making | 6 |
|
7 |
|
|
Shared Learning and Problem-Solving Opportunities | 8 |
|
9 |
|
|
Outcomes | 10 |
|
11 |
|
|
12 |
|
Because organizational context has been found critical to the success (or failure) of projects that rely on co-production strategies (38–40), it was crucial that members of the research team be familiar with the health care partner’s organizational culture and priorities. Such familiarization can often best come from an established relationship.(40) In this case, the principal investigator’s (PI’s) knowledge of the partnering health system, and existing relationships with members of their leadership team, led her to reach out to the system’s Chief Quality Officer (CQO) during project development.
Conversations between the PI and the CQO confirmed an organizational interest in co-developing new ways to support patient decision making, if that support could enable the health care organization to leverage the capabilities of a newly purchased EHR. These conversations not only helped shape the direction of the grant application but established clear expectations and boundaries for the project. Importantly, they as served as the foundation for a trusting and collaborative relationship.
Pragmatic and Responsive Researchers
In addition to identifying a ‘research ready’ organization, it was important that the research team be pragmatic in that they had realistic expectations of what could be achieved, and how the health care organization staff could assist. We achieved this, by ensuring that the research team collectively not only had the academic training and experiences needed to design and test the decision support program, but also understand the organization’s operational needs and priorities. As such, the research team included practicing clinicians and those with experience working as embedded health services researchers. Members of the research team also had experience using quality improvement approaches (e.g., process mapping) and anthropological field methods (e.g., observation) important to garnering an understanding of organizational context and lived experiences.
Being pragmatic also required an understanding of organizational priorities and being respectful of those priorities and health care organization staff time. For example, while the research team was committed to grounding the program in behavioral theory and it being practice integrated, they were flexible regarding how practice integration was achieved. Because of the health care organization’s priorities and interests, prior to grant submission it was decided that the proposed decision support program would leverage the platform of the EHR-embedded, online patient portal. This decision enhanced the potential for practice integration while affording an opportunity for health care organization employees to develop their own ability to leverage their EHR environment for other innovations. The result was an intervention grounded conceptually within behavioral theory yet feasible to integrate within the delivery system. In addition, during program development, the research team routinely provided updates to organizational staff, and when asked by organizational representatives to submit abstracts to and present at internal learning and quality forums, did so. As such, the project was designed to be meaningful to the researchers and health care organization (Table 1, IQ 2 and 3).
Core Health Care Organization Team Members
Senior executive-level support was crucial to the project’s success as such an individual could articulate how study participation benefited the organization, identify an internal project champion, protect the time of key individuals, and serve as a liaison with others in the organization. Such functions were crucial given the desire for active participation from those with direct knowledge of the relevant care system and processes, as this was deemed necessary for practice integration.
With the support of the CQO, the project had the equivalent of a quality improvement (QI) sponsor within the organization.(41) Her participation enabled the research team to understand organizational challenges, and the strategic directions of the organization (Table 1, IQ4). Upon the recommendation of the CQO, the research team also partnered with a nurse manager who worked within the health care organization’s Information Technology division. Establishing the latter relationship prior to securing funding ensured engagement of a person who oversaw frontline staff and who was supervised by a member of the senior management team (42). As such, the nurse manager could serve as a project champion with local knowledge of QI initiatives and processes within the health care organization. Her role knowledge of the organization was instrumental to the project, as was her ability to garner support for the project among and within key quality-oriented leaders and committees.
Once funding was secured, an EHR programmer, who reported to the nurse manager, received partial salary coverage from the grant. This ensured regular health care staff representation during project meetings, solidified organizational commitment to project success, and enhanced information exchange between the health care organization and research team. Including these three individuals within the core project team enabled continual insights into the organization’s priorities, challenges, and strategic directions—each important consideration for multi-year, practice-embedded delivery system science studies.
Engaging Knowledgeable Stakeholders and Content Experts
While core team members were instrumental inputs to the co-production process, they alone could not provide the organizational content expertise and knowledge needed. Thus, core team members’ organizational networks and connections were critical to the project team’s ability to solicit input from clinicians and other content experts. Through these connections, the project team was introduced to individuals with relevant technical, clinical and administrative expertise. Those individuals were involved in consultancy roles, having no decision-making authority per se, but instead influencing decisions made by the project team.(43) We used this type of involvement, for example, to understand the feasibility of information exchange across the Health System’s firewall as the project team explored where to house video content contained within the decision support program.
Processes
Shared Responsibilities and Commitment
The team’s commitment to developing a program that could be sustained by the health care organization post research funding served as a backdrop for all subsequent decisions. For example, as indicated above, a joint decision was made to build the e-assist: Colon Health program within the health care organization’s EHR. This decision was important to the CQO as it meant EHR infrastructure could be used to integrate program and clinic workflows without additional resource allocation. Furthermore, this enabled the health care organization to advance their EHR and patient portal capabilities—something desired by senior leadership. As such, an interdependency existed between the research team and health care organization, as each one needed each other to move forward their individual agendas (Table 1, IQ 5). Despite this interdependency, the reliance on the health system’s EHR resulted in an imbalance of power. Nonetheless, because of the pragmatism of the research team and the shared responsibilities and commitment to the project, when challenges arose (e.g., during scheduled EHR upgrades or other organizational competing demands) we were able to work together to modify timetables and programs to accommodate competing priorities while still achieving research milestones.
Communication and Decision Making
Communications within partnerships are characterized fundamentally by being respectful, open and honest, but also by their bi-directional nature.(44) The latter is characterized importantly by all team members initiating communication exchanges, not just the research team. For example, within the e-assist partnership, shortly before the trial was scheduled to begin pilot testing, the research team received an email from the nurse manager alerting them that the CRC screening policies within the health care organization were likely to be changed (Figure 2). This enabled the research team to adapt program content, keeping trial materials relevant and consistent with clinic practices (Table 1, IQs 6 and 7). Similarly, open and honest communications ensured that results from patient focus groups that were used to inform program design, were shared with health care organization staff as they became available. Among other things (45), these results highlighted patients’ preferences for a program logo that “looked like” the health system’s logo. However, because some health system staff raised concerns regarding trademark infringement, the research team redirected its logo development efforts. Doing so enabled us to avoid a potentially lengthy project delay while organizational approval was sought and/or compromising the established working relationship.
Shared Learning and Problem-Solving Opportunities
A key component of the partnership was the development of opportunities for relationship building and shared learning.(46) These opportunities facilitated joint problem solving, and shared and transparent decision making. Having such opportunities required planning time for interactions among core project team members, and between research team members and health care organization leaders and staff. Core health care organization team members identified relevant standing committees and other forums that could be used as sounding boards, and core research team members made time to be present, listen and learn. For example, the Health System’s Ambulatory Care and Gastroenterology Quality Committees were leveraged both as sounding boards and for organizational endorsement and approvals. As entities with decision-making authority, these committees were approached during their regular meetings to secure feedback and approval on intervention design, content, and implementation tactics. Because the former committee meets via teleconference, off-site research team members were able to Join meetings remotely and for the full meeting duration—enabling research team members to better understand organizational priorities and context (Table 1, IQ 7). Multiple decisions regarding program-related workflow and content were discussed as agenda items within these committee meetings, enabling research team members and organizational staff jointly to solve challenges and make decisions. Members of these committees, as representative ‘end users,’ were also approached individually for input and feedback.
Because of the mutual commitment to project success, all members of the project team engaged in a dynamic and iterative information-sharing and learning process. The research team worked iteratively with the nurse manager and her local network to map the CRC screening process (Table 1, IQ8). Because of this mapping, the project team identified and sought input from additional people whose work might be affected by the patient-targeted decision support program. Similarly, the research team’s need to randomly allocate eligible patients across study arms for the evaluation led to discussions among relevant research and organizational content experts. While the need arose because of a research need, in jointly working towards a solution, the health care organization gained valuable knowledge and experience relevant to targeting programming content in general.
The use of process mapping and the open and ongoing bi-directional communications enabled program content to be consistent with the organization’s current screening practices. It also enabled program content to ascertain where within the screening process, and thus clinic workflows, a patient was at the time of program engagement. Knowing this enabled program content to provide appropriate organizational contact information should patients have questions regarding test completion or appointment scheduling, further enhancing program integration. Similarly, discussions with members of the health care organization’s Primary Care and Gastroenterology Quality Committees—combined with the team’s understanding of the colonoscopy referral process—were used to determine which patients with a physician order for CRC screening it would be most appropriate for the program to target. The result has been a decision support program that fits with existing clinic workflows and processes (Table 1, IQ 9).
Outcomes
When considering the short-term effects and long-term impact of a partnership, we considered benefits that accrue to patients, research team members, health care organizational staff, and the organizations more broadly (Figure 1). For example, one health care staff member described how working with the research team increased his/her knowledge about portal capabilities (Table 1, IQ 10). We have also observed that as a result of the partnership, both the health care organization and research team increased their capacity for innovation (Table 1, IQ 11). (47) Similarly the partnership has also provided opportunities to conduct research that was of relevance to the health care organization.(22) For example, not only has the partnership led to two joint publications,(28,48) it also led to a newly launched organizational initiative focused on eliminating racial disparities in portal access, and subsequent grant applications. The partnership has also left team members better prepared for subsequent partnerships (Table 1, IQ 12).
Although it is too soon to assess within thee-assist project, the long-term goal of such a partnership is the rapid translation of relevant research findings into practice and ultimately, improved health. Our experiences to date, have pointed to opportunities for additional organizational and research team impact, especially in terms of knowledge/skill development and its spillover into future projects.
DISCUSSION
As acknowledged in the patient and family engagement literature (43), engagement and partnership can happen across a continuum characterized by how much information flows, how active a role individuals play in decision making, and how involved the individuals become in the broader context. In this paper, we used a logic model framework to describe the inputs, processes and outcomes associated with a health care organization—university-based research team partnership. As such, the case study reported here provides a novel in-depth description of the design and implementation of a delivery system science partnership that was characterized by bi-directional information flow, shared decision-making authority, opportunities for shared problem solving, and mutual project responsibility.
Important to the ability to develop the partnership was the compatibility of the project with the organization’s priorities and values. As others have proposed,(49,50) during the design and development phases of the project, the research team considered the compatibility of their ideas with different healthcare organizations’ norms, values, and needs, to make sure the project was likely to fit culturally and logistically within the organization. Selecting a compatible learning healthcare system (i.e., a research-ready organization) made it feasible to adapt, tailor and refine the project to be consistent with organizational needs and priorities.(20,40,51) Learning healthcare systems by definition have the structure to support communications among patients, providers and researchers, and the ability to leverage their EHR to conduct practice-embed research (52) both of which were important to the current research efforts. It is, however, important to note, that an organization that is research-ready in the context of one research project may not be ready to support a research partnership for a different project. This is the case, because in addition to having a culture and infrastructure that is compatible with a learning health system, the organization also has to have an interest in the success of the specific research project. This vested interest in the specific project can help minimize conflicts and problems during the project. Thus, as others have recommended, (18) we found the use of a scoping phase for familiarization and relationship building important to partnership success. Being pragmatic during this scoping phase also enabled us to facilitate the commitment of the organization to the research. In this case, multiple in-person, phone and email discussions among the PI, research project manager, nurse manager, and CQO took place during grant development. These communications ensured a shared understanding of research team and health care organization priorities, and enabled the team to develop a shared vision for the patient-centered CRC screening decision-making support program.(40)
Such health care organization-research partnerships likely are useful in situations where challenges with practice translation have been well documented(53). They also likely are useful when a user-centered design process could enhance program applicability and adoptability, and thus sustainability. By explicitly incorporating the needs and desires of the health care organization during the design, development, and implementation phases of the project, we were able to develop and implement a theory-based, decision support program that is integrated with clinic processes and workflows. As such, we were able to address previously identified barriers to implementing decision aids in practice, including physician concerns regarding time constraints and practicality (5,6,8,9). To do so, required compromises and an understanding that research rarely per se can be a priority for health care organization and their employees. The research team’s understanding of this, and that power dynamics are often a factor within the practice of knowledge co-production (54,55), led us to be sensitive to the organization’s needs and priorities and to continually seek to avoid confrontation. Furthermore, because power imbalance can jeopardize team outcomes (56,57) when challenges arose, we worked to find solutions that minimized operational disruptions and for which organizational partners indicated support.
In addition, following the recommendations of previously successful projects,(58–61) we created a culture of partnership and collaboration with key health care organization leaders during the project’s initial phases. Having an executive-level person along with a mid-level manager, as a sponsor and champion, respectively, helped to provide the organization with a sense of project ownership and ensured important project advocates at multiple levels of the organization. Such middle managers, in particular, can use their unique organizational positions to promote the adoption and implementation of the project, serve as a bridge between the health care organization and research team, help to engage different stakeholders, and mediate day-to-day activities. Others establishing such partnerships should not overlook their importance.
Limitations
Within the partnership, we tailored with whom and how we engaged to the organization’s structure and culture as well as to the specific research project. How these may need to be altered for other organizational contexts and projects cannot be determined from an instrumental case study. The in-depth description of program input considerations and partnership processes, however, are rarely discussed in the literature and our experiences may provide an important foundation upon which future partnership processes can be built and assessed. The partnership and experiences, nonetheless, remain a case study and care should be taken when generalizing specific aspects of the approach to other delivery system science research projects.
CONCLUSION
The e-assist: Colon Health study provided a unique opportunity to study how a health care organization—research partnership could be developed, implemented, and ultimately used to enhance the adoptability and implementation of an intervention in the context of health care delivery science studies. As illustrated by our experiences, a logic model framework can be useful for identifying the inputs needed for a successful partnership, what key processes are important to operationalize the partnership, and the outcomes that can be considered when determining the impact of a partnership. Others interested in developing, implementing, and evaluating knowledge co-production partnerships in the context of delivery system science projects can adopt the logic model framework presented here to consider ways to develop, Implement and evaluate similar co-production partnerships.
Appendix A. Open-ended Key Informant Questionnaire Items for Formative Evaluation
Please describe your working relationship with members of the research team or health care delivery team?
- What were your goals and priorities for the development of the e-assist program?
- How, if at all, did these change over time?
- How does the e-assist program fit (or not fit) with clinic workflows and processes?
- Please think about any aspect of the program, its content, who the program targets, its timing, its use of the EHR/patient portal, etc.
What challenges did the project face and how were they overcome?
- How has your participation with the project enhanced your or your teams’ knowledge and skills?
- What did you learn about EHR/portal capabilities?
- What did you learn about clinic processes?
- What did you learn about research methods?
- What did you learn about the patient’s needs or preferences?
- How were health system leaders and staff involved with the project?”
- Would you provide an example of how they were involved and what their roles were?
- How did their involvement help or hinder the project?
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