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. 2022 Dec 9;17(12):e0276192. doi: 10.1371/journal.pone.0276192

Descriptive epidemiology of hospitalized patients with bacterial nosocomial pneumonia who experience 30-day readmission in the US, 2014–2019

Marya D Zilberberg 1,*, Brian H Nathanson 2, Laura A Puzniak 3, Noah W D Zilberberg 1,4, Andrew F Shorr 5
Editor: Steven Eric Wolf6
PMCID: PMC9733878  PMID: 36490261

Abstract

Introduction

Nosocomial pneumonia (NP) remains associated with excess morbidity and mortality. The effect of NP on measures such as re-admission at 30 days remains unclear. Moreover, differing types of NP may have varying impacts on re-admissions.

Methods

We conducted a multicenter retrospective cohort study within the Premier Research database, a source containing administrative, pharmacy, and microbiology data. We compared NP patients readmitted with pneumonia (RaP) as the principal diagnosis to those readmitted for other reasons (RaO) with respect to the type of NP (ventilator-associated bacterial pneumonia [VABP], ventilated hospital-acquired bacterial pneumonia [vHABP], and non-ventilated HABP [nvHABP]), and characteristics and outcomes of the index hospitalization.

Results

Among 17,819 patients with NP, 14,123 (79.3%) survived to discharge, of whom 2,151 (15.2%) required an acute readmission within 30 days of index discharge. Of these, 106 (4.9%) were RaP, and the remainder were RaO. At index hospitalization, RaP patients were older (mean age [SD] 67.4 (13.9] vs. 63.0 [15.2] years), more likely medical (44.3% vs. 36.7%), and less chronically ill (median [IQR] Charlson scores (3 [2–5] vs. 4 [2–5]) than persons with RaO. Bacteremia (10.4% vs. 17.5%), need for vasopressors (15.1% vs. 20.0%), dialysis (9.4% vs. 16.5%), and/or sepsis (9.4% vs. 16.5%) or septic shock 14.2% vs. 17.1%) occurred less frequently in the RaP group. With respect to NP type, nvHABP was most common in RaP (47.2%) and VABP in RaO (38.1%).

Conclusions

One in seven survivors of a hospitalization complicated by NP requires an acute rehospitalization within 30 days. However, few of these readmissions had a principal diagnosis of pneumonia, irrespective of NP type. Of the 5% of NP subjects with RaP, the plurality initially suffered from nvHABP.

Introduction

Nosocomial pneumonia (NP), which includes both hospital-acquired (HAP) and ventilator-associated (VAP), continues to be a frequent hospital-acquired complication (HAC). In fact, NP accounts for over one-fifth of all healthcare-associated infections (HAIs) [1]. Presently, the Centers for Medicare and Medicaid Services (CMS), via its Hospital Value Based Purchasing program, target both HACs and 30-day readmissions as part of its initiatives focusing on quality improvement [2]. As both a HAC and a syndrome associated with potential readmissions, NP represents a key component of efforts to improve healthcare quality and to reduce healthcare expenditures. Much effort has rightly been devoted to NP prevention, and to the optimization of its treatment and outcomes. For example, the ventilator bundle serves as one of the most widely used strategies for avoiding VAP [3]. Likewise, appropriate empiric treatment for NP is now well understood as the main modifiable factor affecting both mortality and morbidity [4–8]. Despite improvements in the understanding of what drives the development of NP and the outcomes associated with it, less is known regarding the variables that affect hospital readmission after a bout of NP. Specifically, it remains unclear whether a readmission following NP is driven mainly by the NP event itself or by other comorbid conditions. This distinction has important implications. Namely, if there is a considerable risk of being readmitted with pneumonia after an admission complicated by HAP/VAP it suggests that some aspect of NP care may be implicated as a cause. Conversely, if patients with NP are readmitted primarily for non-pneumonia conditions, then efforts to address readmissions should focus on issues other than the initial pneumonia care.

To explore this topic, we analyzed patients who survived a case of NP and were subsequently readmitted to the hospital, and compared those who were readmitted for pneumonia (RaP) to those whose rehospitalization was due to other reasons (RaO).

Methods

Ethics statement

Because this study used already existing fully de-identified data, it was exempt from ethics review under US 45 CFR 46.101(b)4 [9].

Study design and patient population

We conducted a multi-center retrospective cohort study of hospitalized patients with culture-positive non-ventilated hospital-acquired bacterial pneumonia (nvHABP), ventilated hospital-acquired bacterial pneumonia (vHABP), or ventilator-associated pneumonia (VABP) to explore the incidence of 30-day hospital readmissions specifically for pneumonia versus other causes. A RaP was defined as a rehospitalization with pneumonia as the principal diagnosis. A RaO was one with the principal diagnosis other than pneumonia.

The case identification approach relied on a slight modification of a previously published algorithm, and the details of the current study methods have been published elsewhere [10–12].

Briefly, patients were included if they were adults (age ≥ 18 years) whose initial pneumonia appeared as a secondary diagnosis, whose index respiratory and/or blood culture had to be obtained on hospital day 3 or later for HABP, or on MV day 3 or later for VABP, and who were treated with an antibiotic on the day of the index culture and for the next ≥3 consecutive days. We excluded patients who fit the definition for either a complicated urinary tract infection or a complicated intra-abdominal infection in order to reduce misclassification [13,14].

Data source

The data source was the Premier Research database, an electronic laboratory, pharmacy and billing data repository, for years 2014 through the 3rd quarter of 2019. The database has been described in detail previously [10–17]. Approximately 200 US institutions submitted microbiology data during the study time frame. The details of the current cohort can be found in citations #11 and #12 [11,12].

Pneumonia classification

Pneumonia was defined as HABP if at the time of the index culture the patient was not on MV and VABP if at the time of the index culture the patient had been on MV for 3+ days. HABP was further subdivided into vHABP and nvHABP. Specifically, vHABP designation was given for patients who needed MV ≤5 days following the onset of index HABP episode and nvHABP if MV was not required.

Infection and treatment variables

ICU admission, presence of severe sepsis or septic shock, dialysis, and vasopressor use were used as markers for acute disease severity. We determined whether each patient’s admission was due to medical, surgical, or trauma diagnosis, as well as whether the patient had suffered an acute neurologic insult [18,19].

Microbiology

We examined common Gram-positive and Gram-negative pathogens that cause bacterial nosocomial pneumonia. Namely, the Gram-negative organisms of interest were Pseudomonas aeruginosa, Escherichia coli, and Klebsiella pneumoniae, and Acinetobacter baumannii, while the Gram-positive ones were Staphylococcus aureus (both methicillin-susceptible [MSSA] and methicillin-resistant [MRSA]), and Streptococcus pneumoniae.

Antimicrobial coverage was considered appropriate if a drug administered within two days of the index culture being obtained covered the recovered organism. All other treatment was defined as inappropriate empiric treatment (IET).

Statistical analyses

We report descriptive statistics to compare patients with RaP to those with RaO within 30 days of the index discharge across all demographics, comorbidities, infection characteristics, hospital characteristics and processes, and hospital outcomes. Continuous variables are reported as means with standard deviations (SD) and as medians with interquartile ranges (IQR). Differences between mean values were tested via the Student’s t-test, and between medians using the Mann-Whitney test. Categorical data are summarized as counts and proportions, with the Chi-square test used to examine inter-group differences unless a cell count was < 5, wherein the Fisher exact test was used. P-values <0.05 were considered statistically significant.

Results

Among 17,819 patients who met enrollment criteria, 14,123 (79.3%) survived to discharge. Of those, 2,151 (15.2%) required a rehospitalization within 30 days of discharge. Among these readmissions, 106 (4.9% of all readmissions and 0.8% of all survivors) were classified as RaP and 2,045 (95.1%) as RaO. Of those with RaO, under 10% had a principal diagnosis of either sepsis or respiratory failure, events that may have been incited by a respiratory infection (Table 1 in S1 Appendix).

All results that follow pertain to the index hospitalization involving the NP bout in these two groups.

There were few substantive differences in hospital characteristics between the RaP and RaO groups, and none reached statistical significance (Table 1). However, hospitals that treated RaP patients tended to be smaller and less likely academic than those treating RaO. While RaP patients were older than those with RaO (mean age 67.4+/-13.9 vs. 63.0+/-15.2, respectively, p<0.001), all other demographic characteristics did not differ between these groups (Table 1). Although there were some imbalances in the distribution of individual chronic comorbid conditions, the mean Charlson scores were similar in the two groups (3.92+/-2.84 in RaP vs. 3.88+/-2.72 in RaO, p = 0.898) (Table 2 in S1 Appendix, Table 1).

Table 1. Baseline characteristics at index hospitalization among patient readmitted within 30 days of discharge.

Pneumonia Non-pneumonia
N % row % column N % row % column P value
N 106 2045
Mean age, years (SD) 67.41(13.92) 62.96(15.18) <0.001
Gender: male 66 5.12% 62.26% 1223 94.88% 59.80% 0.614
Race
    White 81 5.13% 76.42% 1499 94.87% 73.30% 0.248
    Black 12 3.26% 11.32% 356 96.74% 17.41%
    Hispanic 2 3.17% 1.89% 61 96.83% 2.98%
    Other 12 6.38% 11.32% 176 93.62% 8.61%
    Unknown 1 6.67% 0.94% 14 93.33% 0.68%
Admission Source
    Non-healthcare facility (including from home) 89 4.99% 83.96% 1694 95.01% 82.84% 0.665
    Clinic 12 6.22% 11.32% 181 93.78% 8.85%
    Transfer from ECF 2 4.00% 1.89% 48 96.00% 2.35%
    Transfer from another non-acute care facility 3 4.17% 2.83% 69 95.83% 3.37%
    Other 0 0.00% 0.00% 53 100.00% 2.59%
Admission type
    Medical 47 5.89% 44.34% 751 94.11% 36.72% 0.126
    Surgical 59 4.40% 55.66% 1281 95.60% 62.64%
    Neurologic 9 4.84% 8.49% 177 95.16% 8.66% 0.953
    Trauma 21 4.71% 19.81% 425 95.29% 20.78% 0.810
Charlson Comoribidity Score
0 6 3.57% 5.66% 162 96.43% 7.92% 0.812
1 17 6.59% 16.04% 241 93.41% 11.78%
2 15 4.73% 14.15% 302 95.27% 14.77%
3 16 4.86% 15.09% 313 95.14% 15.31%
4 15 4.98% 14.15% 286 95.02% 13.99%
5+ 37 4.76% 34.91% 741 95.24% 36.23%
    Mean (SD) 3.92(2.84) 3.88(2.72) 0.898
    Median [IQR] 3[2–5] 4[2–5] 0.902
Hospital Characteristics
    Census region
        Midwest 36 5.78% 33.96% 587 94.22% 28.70% 0.701
        Northeast 20 4.38% 18.87% 437 95.62% 21.37%
        South 43 4.69% 40.57% 874 95.31% 42.74%
        West 7 4.55% 6.60% 147 95.45% 7.19%
    Number of Beds
        <100 2 8.70% 1.89% 21 91.30% 1.03% 0.059
        100 to 199 11 6.79% 10.38% 151 93.21% 7.38%
        200 to 299 18 6.84% 16.98% 245 93.16% 11.98%
        300 to 399 14 7.00% 13.21% 186 93.00% 9.10%
        400 to 499 23 5.45% 21.70% 399 94.55% 19.51%
        500+ 38 3.52% 35.85% 1043 96.48% 51.00%
Teaching 62 4.41% 58.49% 1345 95.59% 65.77% 0.124
Urban 93 4.77% 87.74% 1856 95.23% 90.76% 0.298
Index pneumonia type
        vHABP 24 4.90% 22.64% 466 95.10% 22.79% 0.123
        nvHABP 50 6.02% 47.17% 780 93.98% 38.14%
        VABP 32 3.85% 30.19% 799 96.15% 39.07%

nvHABP = non-ventilated HABP; vHABP = ventilated HABP; VABP = ventilator-associated bacterial pneumonia; SD = standard deviation; ECF = extended care facility; AIDS = acquired immune deficiency syndrome; IQR = interquartile range.

Characteristics of the index hospitalization involving NP are listed in Table 2. Though not statistically significant, nvHABP was far more and VABP far less prevalent among the group with RaP, while the frequency of vHABP was nearly identical between the two groups. Although the frequencies of some individual pathogens were low, there were several that tended to differ between the groups. Most notably, E. coli was >2x as prevalent in RaO (11.7%) as in RaP (5.7%, p = 0.059). Conversely, P. aeruginosa was directionally more common in the RaP group (24.5%) than the RaO (20.1%, p = 0.267). MRSA, on the other hand, was quite common in both, and >50% relatively more likely in the RaP (22.6%) than RaO (14.9%, p = 0.037) group. The situation was similar for antimicrobial treatment prior to the index admissions, where 23.6% of the RaP and 17.0% of the RaO group had undergone antibiotic treatment within 90 days prior to that hospitalization (p = 0.079). Finally, though numerically patients with RaP were less likely to have the pathogen isolated from blood and more likely from sputum, the differences failed to reach statistical significance The acute illness severity measures during index hospitalization, on the other hand, were uniformly higher in the RaO group (Fig 1). However, all but ICU admission and septic shock failed to reach statistical significance. Specifically, there was no difference between the group in their likelihood of receiving IET.

Table 2. Index infection characteristics, treatment, and hospital events.

  Pneumonia Non-pneumonia  
  N % row % column N % row % column P value
N 106 2045  
Organism
    Gram negative
        Enterobacteriaceae
            Klebsiella pneumoniae 9 3.78% 8.49% 229 96.22% 11.20% 0.524
            Proteus mirabilis 2 3.77% 1.89% 51 96.23% 2.49% 1.000
            Escherichia coli 6 2.44% 5.66% 240 97.56% 11.74% 0.059
            Enterobacter cloacae 6 5.36% 5.66% 106 94.64% 5.18% 0.821
            Providencia spp 0 0.00% 0.00% 8 100.00% 0.39% 1.000
            Serratia marcescens 7 5.65% 6.60% 117 94.35% 5.72% 0.668
            Morganella morganii 1 9.09% 0.94% 10 90.91% 0.49% 0.427
            Enterobacter aerogenes 3 5.08% 2.83% 56 94.92% 2.74% 0.766
            Proteus other 0 0.00% 0.00% 4 100.00% 0.20% 1.000
            Citrobacter freundii 1 6.67% 0.94% 14 93.33% 0.68% 0.533
            Klebsiella oxytoca 1 2.13% 0.94% 46 97.87% 2.25% 0.727
            Enterobacter other 0 0.00% 0.00% 11 100.00% 0.54% 1.000
            Citrobacter other 1 5.26% 0.94% 18 94.74% 0.88% 0.619
            Serratia other 0 0.00% 0.00% 4 100.00% 0.20% 1.000
            Klebsiella other 0 0.00% 0.00% 2 100.00% 0.10% 1.000
        Other gram negative
            Pseudomonas aeruginosa 26 5.94% 24.53% 412 94.06% 20.15% 0.267
            Acinetobacter baumannii 3 5.66% 2.83% 50 94.34% 2.44% 0.744
            Stenotrophomonas maltophilia 1 5.26% 0.94% 18 94.74% 0.88% 0.619
            Moraxella catarrhalis 1 50.00% 0.94% 1 50.00% 0.05% 0.096
            Haemophilus influenzae 4 7.84% 3.77% 47 92.16% 2.30% 0.315
    Gram positive
        Staphylococcus aureus 47 5.65% 44.34% 785 94.35% 38.39% 0.221
             MRSA 24 7.32% 22.64% 304 92.68% 14.87% 0.037
             MSSA 23 4.56% 21.70% 481 95.44% 23.52% 0.725
            Streptococcus pneumoniae 4 5.13% 3.77% 74 94.87% 3.62% 0.792
    Streptococcus other 0 0.00% 0.00% 37 100.00% 1.81% 0.258
Polymicrobial
    1 88 4.78% 83.02% 1752 95.22% 85.67%
    2 18 6.52% 16.98% 258 93.48% 12.62% 0.225
    3+ 0 0.00% 0.00% 35 100.00% 1.71%
Gram stain
    Gram negative only 55 4.52% 51.89% 1163 95.48% 56.87% 0.448
    Gram positive only 41 5.23% 38.68% 743 94.77% 36.33%
    Both Gram positive and Gram negative 10 6.71% 9.43% 139 93.29% 6.80%
Culture source
    Blood 9 2.81% 8.49% 311 97.19% 15.21% 0.059
    Sputum 64 5.52% 60.38% 1096 94.48% 53.59% 0.281
    Respiratory 34 4.72% 32.08% 687 95.28% 33.59% 0.820
Antibiotics within 90 days prior to admission 25   23.58% 347   16.97% 0.079
Empiric treatment appropriateness
    Non-IET 87 4.93% 82.08% 1677 95.07% 82.00% 0.605
    IET 7 3.76% 6.60% 179 96.24% 8.75%
    Indeterminate 12 5.97% 11.32% 187 93.03% 9.14%

MRSA = methicillin-resistant S. aureus; MSSA = methicillin-susceptible S. aureus; SD = standard deviation; IQR = interquartile range; ICU = intensive care unit; MV = mechanical ventilation; IET = inappropriate empiric therapy.

Fig 1. Index hospitalization illness severity measures.

Fig 1

RaP = readmission for pneumonia; RaO = readmission for another condition. *P = 0.005. **P = 0.053.

During the index admission, clinical complications did not differ substantively between those readmitted for pneumonia as opposed to some other reason (Fig 2). Namely, the rates of incident CDI (4.7% RaP vs. 3.2% RaO, p = 0.403), extubation failure (11.3% RaP vs. 10.9% RaO, p = 0.906), and reintubation (4.7% RaP vs. 5.6% RaO, p = 0.692), were similar. Some utilization outcomes, on the other hand, were worse in the RaO than the RaP group. While the ICU LOS, did not differ between the two groups, median hospital LOS and both mean and median hospital costs were higher in the RaO than RaP (Fig 3A and 3B). In contrast, MV duration was longer in the RaP than in the RaO group during the index hospitalization (Fig 3A & 3B).

Fig 2. Index hospitalization complications.

Fig 2

RaP = readmission for pneumonia; RaO = readmission for another condition; ICU = intensive care unit; MV = mechanical ventilation. *P = 0.005. **P = 0.059.

Fig 3.

Fig 3

Resource use (A) and costs (B) associated with the index hospitalization among patients re-hospitalized due to pneumonia (RaP) or other reasons (RaO). RaP = readmission for pneumonia; RaO = readmission for another condition; LOS = length of stay; ICU = intensive care unit; MV = mechanical ventilation.

Discussion

We demonstrate that among patients with nosocomial pneumonia who survive to be discharged, 15% require a readmission within 30 days of the index discharge. Of those 15%, only approximately one in 20 is rehospitalized specifically for the treatment of pneumonia. While a small percentage (<10%) of those readmitted were for other causes that may be secondary to pneumonia, such as sepsis or respiratory failure, most of the 30-day readmissions are for other conditions. Interestingly, the type of NP did not seem correlated with the reason for readmission. Additionally, there were small differences in the index pathogen distributions. Specifically, MRSA proved to be significantly more common in the RaP than RaO group. Measures of illness severity were lower in those eventually readmitted with RaP than with RaO. Most notably, exposure to IET for the NP did not differ between the two groups.

Since fiscal year 2013, the Centers for Medicare and Medicaid Services have been charged with statutory enforcement of quality standards for of the care delivered. As a part of value-based purchasing, the Hospital Readmissions Reduction Program (HRRP) is designed to punish hospitals with excess 30-day readmissions by reducing their reimbursements in certain conditions [2]. As a result, institutions have focused on improving their discharge planning so as to limit patients’ exposure to this undesirable outcome. However, since it is virtually impossible to eliminate these readmissions altogether, it is important to understand their prevalence and what modifiable factors influence them. While the epidemiology of 30-day readmissions has been described in community-acquired and healthcare-associated pneumonia, it has been less addressed in the setting of NP [20, 21]. In our study we found that this phenomenon occurs in 15% of all survivors of NP, and that the differences between those who get admitted for treatment of a new or a recurrent or an undertreated pneumonia are small but present during the index hospitalization. One striking implication of our results is that since RaP patients are less likely to have had an ICU admission or require vasopressors, and were no more apt to receive IET than RaO, there is little reason to conclude that the processes of care these patients received in the hospital resulted in this additional pneumonia admission. That is, undertreatment or erroneous treatment of their index NP cannot be blamed for their rehospitalization for a pneumonia. Efforts to address these readmissions, therefore, may need to focus elsewhere and on other points of intervention.

The current analysis sheds some light on who among those needing a repeat hospitalization may be at a higher risk for a pneumonia readmission. For example, there was a significantly higher prevalence of nvHABP among those with RaP than those with RaO, and, conversely, a lower prevalence of VABP as their index NP. Additionally, those with RaP had shorter and less costly index hospitalizations. While this difference could be the consequence of nvHABP’s generally lower severity than vHABP’s and VABP’s, it could also imply a truncated acute care stay where a longer one might have benefitted the patients vis-à-vis reducing their risk for a repeat pneumonia admission. Unfortunately, the structure of the database does not allow us to disentangle these causes and effects. On the other hand, among those whose index NP required MV, the MV duration was longer in the setting of RaP than in the group with RaO. As for the NP pathogen differences, only E. coli (~1/2 the prevalence in RaP of the RaO) and MRSA (~1/3 more likely in RaP than RaO) appeared to have any substantive differences. It is, however, notable too that receiving antibiotics within 90 days of the index hospitalization was also far more common in the RaP than the RaO group.

What should be made of our findings? One possible use is to help identify NP patients who may be at an increased risk for a RaP, such as those with nvHABP or those with MRSA. The importance of MRSA is unclear in that most of these patients received initial appropriate antibiotic therapy. It may be that MRSA serves as a surrogate marker for other unmeasured patient characteristics that may be associated with risk for readmission. Though nothing about our data suggests what interventions could prevent such readmissions, it is possible that more streamlined discharge planning and a more coordinated approach to care beyond acute hospitalization would result in better outcomes. While examining these interventions was outside the scope or capacity of our study, a review of previous literature suggests that integrated healthcare delivery across the continuum of care can reduce the need for rehospitalization among certain groups of patients [22]. At the very least, our results may point to a locus of care other than the acute care hospital as the potential place to intervene to save patients additional morbidity.

Our study has a number of limitations and strengths. We were unable to differentiate planned admissions from unplanned ones, thus possibly overestimating the frequency of the patter event. However, these hospital-acquired infections are unlikely to be a major source of planned admissions. As an observational study it is subject to multiple threats to validity, particularly a selection bias. Defining the enrollment criteria prospectively mitigates this bias. Misclassification is of particular concern when using administrative data. To deal with this, we used a previously published, though not clinically validated, algorithm for NP, excluded other potential sources of infection, and included microbiology specimens from specific sources, pharmacy data, and dates of cultures and treatments to minimize its magnitude. If present, however, this type of misclassification would drive the differences between groups toward null. Although confounding is present in all observational studies, we did not attempt to adjust it away, as the aim of the current study was to provide a comparative description of these two groups of patients. As a large multicenter geographically representative database, it is only minimally prone to lack of generalizability. At the same time, our results capture only the events that occur in the hospital, and lack data on post-discharge care. Despite this being the largest and most contemporary multicenter cohort study to examine the epidemiology and outcomes of culture-positive nosocomial pneumonia in the US, a larger sample size would lessen the risk of type II errors in the statistical inferences.

In summary, we have demonstrated that while the risk of rehospitalization among survivors of NP is comparable to that for other types of pneumonia, the rate of repeat admission specifically for pneumonia is low. Indeed, the overwhelming likelihood is that other conditions precipitate the readmission. Furthermore, there is paucity of evidence to support the idea that events surrounding treatment of the index NP have any bearing on the likelihood of having a repeat admission for pneumonia. If confirmed in other studies, this finding may imply that more resources should be allocated to other settings, such as discharge planning, for example, in order to minimize patients’ risk for requiring a repeat pneumonia hospitalization.

Supporting information

S1 Appendix

(XLSX)

Data Availability

Premier is a proprietary database available for purchase to any investigator. Due to the legal constraints of licensing, the authors are unable to upload the data used. However, the authors have provided a link that includes an infographic and a lwhitepaper which contains very specific information related to the data in the PHD. https://www.premierinc.com/newsroom/education/what-fuels-pinc-ai-healthcare-data The authors had no special privileges in accessing these datasets which other interested researchers would not have. Data access queries may be directed to Jim Sianis, Senior Director at Premier Inc. (james_sianis@premierinc.com).

Funding Statement

Study supported by a grant from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA. • MDZ’s employer, EviMed Research Group, LLC, has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA. • BHN’s employer, OptiStatim, LLC, has received support from EviMed Research Group, LLC, Goshen, MA. • At the time of the study conduct, LAP was an employee of Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. Kenilworth, NJ, USA and a stockholder in Merck & Co., Inc., Kenilworth, NJ, USA. • NWDZ has no conflicts to report. • AFS is a consultant to and has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA. • Other than LAP’s participation in the study, 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

Jamie Royle

12 Jul 2022

PONE-D-22-01197

Descriptive epidemiology of hospitalized patients with bacterial nosocomial pneumonia who experience 30-day readmission in the US, 2014-2019

PLOS ONE

Dear Dr. Zilberberg,

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.

The manuscript has been evaluated by a reviewer, and their comments are available below.

The reviewer raised a number of concerns that need attention. They request revisions to the methodological and statistical aspects of the study, in particular with regards to the statistical tests used. They also request more discussion of the potential limitations of the study.

Could you please revise the manuscript to carefully address the concerns raised?

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3. Thank you for stating the following financial disclosure:

“Study supported by a grant from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

•            MDZ’s employer, EviMed Research Group, LLC, has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

•            BHN’s employer, OptiStatim, LLC, has received support from EviMed Research Group, LLC, Goshen, MA.

•            At the time of the study conduct, LAP was an employee of Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. Kenilworth, NJ, USA and a stockholder in Merck & Co., Inc., Kenilworth, NJ, USA.

•            NWDZ has no conflicts to report.

•            AFS is a consultant to and has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.”

Please state what role the funders took in the study.  If the funders had no role, please state: ""The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.""

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Please include this amended Role of Funder statement in your cover letter; we will change the online submission form on your behalf.

4. Thank you for stating the following in the Acknowledgments Section of your manuscript:

“This study was supported by a grant from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

Potential conflicts of interest

•            MDZ’s employer, EviMed Research Group, LLC, has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

•            BHN’s employer, OptiStatim, LLC, has received support from EviMed Research Group, LLC, Goshen, MA.

•            At the time of the study conduct, LAP was an employee of Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. Kenilworth, NJ, USA and a stockholder in Merck & Co., Inc., Kenilworth, NJ, USA.

•            NWDZ has no conflicts to report.

•            AFS is a consultant to and has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.”

We note that you have provided funding information that is not currently declared in your Funding Statement. However, funding information should not appear in the Acknowledgments section or other areas of your manuscript. We will only publish funding information present in the Funding Statement section of the online submission form.

Please remove any funding-related text from the manuscript and let us know how you would like to update your Funding Statement. Currently, your Funding Statement reads as follows:

“This study was supported by a grant from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

Potential conflicts of interest

•            MDZ’s employer, EviMed Research Group, LLC, has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

•            BHN’s employer, OptiStatim, LLC, has received support from EviMed Research Group, LLC, Goshen, MA.

•            At the time of the study conduct, LAP was an employee of Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. Kenilworth, NJ, USA and a stockholder in Merck & Co., Inc., Kenilworth, NJ, USA.

•            NWDZ has no conflicts to report.

•            AFS is a consultant to and has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.”

Please include your amended statements within your cover letter; we will change the online submission form on your behalf.

5. Thank you for stating the following in the Competing Interests section:

“I have read the journal's policy.

In addition to funding statement above, the following potential competing interest exist:

•MDZ and AFS have received grant support and/or have served as consultants to Lungpacer, Melinta, Tetraphase, Pfizer, Astellas, Shionogi, The Medicines Company, Spero, and Theravance.”

Please confirm that this does not alter your adherence to all PLOS ONE policies on sharing data and materials, by including the following statement: ""This does not alter our adherence to  PLOS ONE policies on sharing data and materials.” (as detailed online in our guide for authors http://journals.plos.org/plosone/s/competing-interests).  If there are restrictions on sharing of data and/or materials, please state these. Please note that we cannot proceed with consideration of your article until this information has been declared.

Please include your updated Competing Interests statement in your cover letter; we will change the online submission form on your behalf.

6. We noted in your submission details that a portion of your manuscript may have been presented or published elsewhere. [Portions of these data have been presented at IDWeek 2021 and ECCMID 2021 annual conference. Other subanalyses of the same cohort have been published or accepted for publication in Critical Care Medicine (citation #11) and Infection Control and Hospital Epidemiology (citation #12).] Please clarify whether this [conference proceeding or publication] was peer-reviewed and formally published. If this work was previously peer-reviewed and published, in the cover letter please provide the reason that this work does not constitute dual publication and should be included in the current manuscript.”

7. In your Data Availability statement, you have not specified where the minimal data set underlying the results described in your manuscript can be found. PLOS defines a study's minimal data set as the underlying data used to reach the conclusions drawn in the manuscript and any additional data required to replicate the reported study findings in their entirety. All PLOS journals require that the minimal data set be made fully available. For more information about our data policy, please see http://journals.plos.org/plosone/s/data-availability.

Upon re-submitting your revised manuscript, please upload your study’s minimal underlying data set as either Supporting Information files or to a stable, public repository and include the relevant URLs, DOIs, or accession numbers within your revised cover letter. For a list of acceptable repositories, please see http://journals.plos.org/plosone/s/data-availability#loc-recommended-repositories. Any potentially identifying patient information must be fully anonymized.

Important: If there are ethical or legal restrictions to sharing your data publicly, please explain these restrictions in detail. Please see our guidelines for more information on what we consider unacceptable restrictions to publicly sharing data: http://journals.plos.org/plosone/s/data-availability#loc-unacceptable-data-access-restrictions. Note that it is not acceptable for the authors to be the sole named individuals responsible for ensuring data access.

We will update your Data Availability statement to reflect the information you provide in your cover letter.

8. 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 more 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 sensitive information, data are owned by a third-party organization, etc.) 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.

b) If there are no restrictions, please upload the minimal anonymized data set necessary to replicate your study findings as either Supporting Information files or to a stable, public repository and provide us with the relevant URLs, DOIs, or accession numbers. For a list of acceptable repositories, please see http://journals.plos.org/plosone/s/data-availability#loc-recommended-repositories.

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

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

Reviewers' comments:

Reviewer's Responses to Questions

Comments to the Author

1. Is the manuscript technically sound, and do the data support the conclusions?

The manuscript must describe a technically sound piece of scientific research with data that supports the conclusions. Experiments must have been conducted rigorously, with appropriate controls, replication, and sample sizes. The conclusions must be drawn appropriately based on the data presented.

Reviewer #1: Yes

**********

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

Reviewer #1: No

**********

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

The PLOS Data policy requires authors to make all data underlying the findings described in their manuscript fully available without restriction, with rare exception (please refer to the Data Availability Statement in the manuscript PDF file). The data should be provided as part of the manuscript or its supporting information, or deposited to a public repository. For example, in addition to summary statistics, the data points behind means, medians and variance measures should be available. If there are restrictions on publicly sharing data—e.g. participant privacy or use of data from a third party—those must be specified.

Reviewer #1: No

**********

4. Is the manuscript presented in an intelligible fashion and written in standard English?

PLOS ONE does not copyedit accepted manuscripts, so the language in submitted articles must be clear, correct, and unambiguous. Any typographical or grammatical errors should be corrected at revision, so please note any specific errors here.

Reviewer #1: Yes

**********

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: This study uses the Premier database to identify a cohort of patients with pneumonia and examine 30-day readmission rates, with stratification for patients who were readmitted specifically for pneumonia versus other reasons, and identify differences in these readmitted groups. Overall, the authors found that 15.2% of patients admitted for pneumonia required readmission within 30 days. Of these, 4.9% were readmitted specifically for pneumonia while the remainder were readmitted for other reasons. Several differences were found between these two subgroups that might inform decisions about how to prevent readmission in patients admitted for pneumonia. Overall, the study design is sound, the data source is reliable and well respected, and the results are intuitive even if minimally informative, and the paper is well written.

Major Issues

Many patients have planned readmissions within 30 days of discharge. The authors should comment on planned versus unplanned readmission. If the data do not allow such a distinction, this should be noted as a limitation.

Many patients who are readmitted do not return to the original hospital. How was this handled? If the authors cannot tell when a patient was readmitted to the originating hospital, this should be noted in the definition of readmission, and also noted as a limitation.

Page 4, Line 6. The authors state that the study was exempt from ethics review. Who made this determination? An IRB needs to make this determination. If an IRB deemed this study exempt, the authors need to state the IRB that made this determination. If the authors themselves declared this study exempt, then I do not believe the study has been properly vetted for human subjects protection.

Methods. Statistical comparisons were made using ANOVA and Kruskall-Wallace tests. However, these are two-group comparisons not 3+ group comparisons. I think t tests and chi-square tests should be used for parametric comparisons of continuous and binary/categorical variables, respectively, and Mann-Whitney and chi-square tests should be used for non-parametric tests of continuous and binary/categorical variables, respectively.

Methods. Statistical tests have been applied to each category for categorical variables for some variable in Table 2. Culture source and IET contains categories that are exhaustive and mutually exclusive. I think there should be a single omnibus test for these variables, not individual tests applied to each category within the variable.

Minor Issues

Page 3, Line 2. Most sources use the HAC abbreviation for hospital acquired conditions rather than hospital acquired complication. Consider using the standard abbreviation used in the infectious disease literature.

Page 11, first paragraph states that “While the ICU LOS, did not differ between the two groups…”. This is incorrect. The difference in ICU LOS was not significant, but that is not the same thing as saying that they did not differ. To say they did not differ implies that the mean and all values are exactly identical, which is not true. Consider saying that mean ICU LOS did not differ significantly.

Page 13, second paragraph. The use of language around RaP and RaO is confusing. For example, the authors state that “there was a significantly higher prevalence of nvHABP among those with RaP than those with RaO”. This sounds like RaP and RaO are diseases or conditions. Later in the paragraph the authors say “the MV duration was longer in the setting of RaP than in the group with RaO”. RaP and RaO are not settings. Consider using language that clearly indicates you are talking about patients with specific types of readmissions.

Page 15, first paragraph. The authors argue that lack of generalizability is of minimal concern. I disagree. The only setting to which the results can be reasonably generalized is populations that reflect the Premier database. Thus, it cannot be generalized to an individual hospital, a single state, or the US more broadly. I think generalizability is a limitation and should be acknowledged and not minimized.

**********

6. PLOS authors have the option to publish the peer review history of their article (what does this mean?). If published, this will include your full peer review and any attached files.

If you choose “no”, your identity will remain anonymous but your review may still be made public.

Do you want your identity to be public for this peer review? For information about this choice, including consent withdrawal, please see our Privacy Policy.

Reviewer #1: No

**********

[NOTE: If reviewer comments were submitted as an attachment file, they will be attached to this email and accessible via the submission site. Please log into your account, locate the manuscript record, and check for the action link "View Attachments". If this link does not appear, there are no attachment files.]

While revising your submission, please upload your figure files to the Preflight Analysis and Conversion Engine (PACE) digital diagnostic tool, https://pacev2.apexcovantage.com/. PACE helps ensure that figures meet PLOS requirements. To use PACE, you must first register as a user. Registration is free. Then, login and navigate to the UPLOAD tab, where you will find detailed instructions on how to use the tool. If you encounter any issues or have any questions when using PACE, please email PLOS at figures@plos.org. Please note that Supporting Information files do not need this step.

PLoS One. 2022 Dec 9;17(12):e0276192. doi: 10.1371/journal.pone.0276192.r002

Author response to Decision Letter 0


5 Aug 2022

July 20, 2022

Dear Dr. Chenette,

We are submitting a revised version of our manuscript “Descriptive epidemiology of hospitalized patients with bacterial nosocomial pneumonia who experience 30-day readmission in the US, 2014-2019” along with our point-by-point responses to the reviewer’s comments below. We hope we have responded adequately to all of the concerns, and have corrected all the points to comply with the editorial style.

We are grateful to the reviewer for their careful attention to our work, and believe addressing their concerns has strengthened our manuscript.

We are looking forward to your further thoughts.

Respectfully,

Marya Zilberberg, MD, MPH, on behalf of my co-authors

Responses

Data availability

Premier is a proprietary database available for purchase to any investigator. Because of the legal constraints of inlicensing, we are unable to upload the data we used.

Funding

This study was supported by a grant from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

• MDZ’s employer, EviMed Research Group, LLC, has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

• BHN’s employer, OptiStatim, LLC, has received support from EviMed Research Group, LLC, Goshen, MA.

• At the time of the study conduct, LAP was an employee of Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. Kenilworth, NJ, USA and a stockholder in Merck & Co., Inc., Kenilworth, NJ, USA.

• NWDZ has no conflicts to report.

• AFS is a consultant to and has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

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

https://journals.plos.org/plosone/s/file?id=wjVg/PLOSOne_formatting_sample_main_body.pdf and

https://journals.plos.org/plosone/s/file?id=ba62/PLOSOne_formatting_sample_title_authors_affiliations.pdf".

AU: Thank you.

2. We note that the grant information you provided in the ‘Funding Information’ and ‘Financial Disclosure’ sections do not match. When you resubmit, please ensure that you provide the correct grant numbers for the awards you received for your study in the ‘Funding Information’ section.

AU: This is because the submission website menu does not include the option for our specific funding source as articulated in the Disclosure sections of our manuscript. We would be grateful if the Editorial office could correct this on the website to match our paper.

3. Thank you for stating the following financial disclosure:

“Study supported by a grant from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

• MDZ’s employer, EviMed Research Group, LLC, has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

• BHN’s employer, OptiStatim, LLC, has received support from EviMed Research Group, LLC, Goshen, MA.

• At the time of the study conduct, LAP was an employee of Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. Kenilworth, NJ, USA and a stockholder in Merck & Co., Inc., Kenilworth, NJ, USA.

• NWDZ has no conflicts to report.

• AFS is a consultant to and has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.”

Please state what role the funders took in the study. If the funders had no role, please state: ""The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.""

If this statement is not correct you must amend it as needed.

Please include this amended Role of Funder statement in your cover letter; we will change the online submission form on your behalf.

AU: Although LAP participated in the design and reporting of the study, the company had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.

4. Thank you for stating the following in the Acknowledgments Section of your manuscript:

“This study was supported by a grant from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

Potential conflicts of interest

• MDZ’s employer, EviMed Research Group, LLC, has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

• BHN’s employer, OptiStatim, LLC, has received support from EviMed Research Group, LLC, Goshen, MA.

• At the time of the study conduct, LAP was an employee of Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. Kenilworth, NJ, USA and a stockholder in Merck & Co., Inc., Kenilworth, NJ, USA.

• NWDZ has no conflicts to report.

• AFS is a consultant to and has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.”

We note that you have provided funding information that is not currently declared in your Funding Statement. However, funding information should not appear in the Acknowledgments section or other areas of your manuscript. We will only publish funding information present in the Funding Statement section of the online submission form.

Please remove any funding-related text from the manuscript and let us know how you would like to update your Funding Statement. Currently, your Funding Statement reads as follows:

“This study was supported by a grant from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

Potential conflicts of interest

• MDZ’s employer, EviMed Research Group, LLC, has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.

• BHN’s employer, OptiStatim, LLC, has received support from EviMed Research Group, LLC, Goshen, MA.

• At the time of the study conduct, LAP was an employee of Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc. Kenilworth, NJ, USA and a stockholder in Merck & Co., Inc., Kenilworth, NJ, USA.

• NWDZ has no conflicts to report.

• AFS is a consultant to and has received research grant support from Merck Sharp & Dohme Corp., a subsidiary of Merck & Co., Inc., Kenilworth, NJ, USA.”

Please include your amended statements within your cover letter; we will change the online submission form on your behalf.

AU: We have removed all funding related language from the manuscript.

5. Thank you for stating the following in the Competing Interests section:

“I have read the journal's policy.

In addition to funding statement above, the following potential competing interest exist:

•MDZ and AFS have received grant support and/or have served as consultants to Lungpacer, Melinta, Tetraphase, Pfizer, Astellas, Shionogi, The Medicines Company, Spero, and Theravance.”

Please confirm that this does not alter your adherence to all PLOS ONE policies on sharing data and materials, by including the following statement: ""This does not alter our adherence to PLOS ONE policies on sharing data and materials.” (as detailed online in our guide for authors http://journals.plos.org/plosone/s/competing-interests). If there are restrictions on sharing of data and/or materials, please state these. Please note that we cannot proceed with consideration of your article until this information has been declared.

Please include your updated Competing Interests statement in your cover letter; we will change the online submission form on your behalf.

AU: Done.

6. We noted in your submission details that a portion of your manuscript may have been presented or published elsewhere. [Portions of these data have been presented at IDWeek 2021 and ECCMID 2021 annual conference. Other subanalyses of the same cohort have been published or accepted for publication in Critical Care Medicine (citation #11) and Infection Control and Hospital Epidemiology (citation #12).] Please clarify whether this [conference proceeding or publication] was peer-reviewed and formally published. If this work was previously peer-reviewed and published, in the cover letter please provide the reason that this work does not constitute dual publication and should be included in the current manuscript.”

AU: We have added the following to this section: “Analyses presented in the current manuscript have not undergone previous peer review or publication.”

7. In your Data Availability statement, you have not specified where the minimal data set underlying the results described in your manuscript can be found. PLOS defines a study's minimal data set as the underlying data used to reach the conclusions drawn in the manuscript and any additional data required to replicate the reported study findings in their entirety. All PLOS journals require that the minimal data set be made fully available. For more information about our data policy, please see http://journals.plos.org/plosone/s/data-availability.

Upon re-submitting your revised manuscript, please upload your study’s minimal underlying data set as either Supporting Information files or to a stable, public repository and include the relevant URLs, DOIs, or accession numbers within your revised cover letter. For a list of acceptable repositories, please see http://journals.plos.org/plosone/s/data-availability#loc-recommended-repositories. Any potentially identifying patient information must be fully anonymized.

Important: If there are ethical or legal restrictions to sharing your data publicly, please explain these restrictions in detail. Please see our guidelines for more information on what we consider unacceptable restrictions to publicly sharing data: http://journals.plos.org/plosone/s/data-availability#loc-unacceptable-data-access-restrictions. Note that it is not acceptable for the authors to be the sole named individuals responsible for ensuring data access.

We will update your Data Availability statement to reflect the information you provide in your cover letter.

AU: As we stated in our manuscript, “The data used in this study derive from Premier Research database, a proprietary third-party database available to researchers through a specific agreement with Premier.” This does not seem to be one of your “unacceptable data restrictions” as found on your website here: https://journals.plos.org/plosone/s/data-availability#loc-unacceptable-data-access-restrictions

In fact, anyone can obtain the data in the same manner that we did. However, since this is a proprietary database, albeit available for purchase to any investigators, because of the legalities of inlicensing, we are unable to upload the data we used.

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

AU: See above

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Reviewers' comments:

Reviewer's Responses to Questions

Comments to the Author

1. Is the manuscript technically sound, and do the data support the conclusions?

The manuscript must describe a technically sound piece of scientific research with data that supports the conclusions. Experiments must have been conducted rigorously, with appropriate controls, replication, and sample sizes. The conclusions must be drawn appropriately based on the data presented.

Reviewer #1: Yes

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

Reviewer #1: No

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

The PLOS Data policy requires authors to make all data underlying the findings described in their manuscript fully available without restriction, with rare exception (please refer to the Data Availability Statement in the manuscript PDF file). The data should be provided as part of the manuscript or its supporting information, or deposited to a public repository. For example, in addition to summary statistics, the data points behind means, medians and variance measures should be available. If there are restrictions on publicly sharing data—e.g. participant privacy or use of data from a third party—those must be specified.

Reviewer #1: No

4. Is the manuscript presented in an intelligible fashion and written in standard English?

PLOS ONE does not copyedit accepted manuscripts, so the language in submitted articles must be clear, correct, and unambiguous. Any typographical or grammatical errors should be corrected at revision, so please note any specific errors here.

Reviewer #1: Yes

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: This study uses the Premier database to identify a cohort of patients with pneumonia and examine 30-day readmission rates, with stratification for patients who were readmitted specifically for pneumonia versus other reasons, and identify differences in these readmitted groups. Overall, the authors found that 15.2% of patients admitted for pneumonia required readmission within 30 days. Of these, 4.9% were readmitted specifically for pneumonia while the remainder were readmitted for other reasons. Several differences were found between these two subgroups that might inform decisions about how to prevent readmission in patients admitted for pneumonia. Overall, the study design is sound, the data source is reliable and well respected, and the results are intuitive even if minimally informative, and the paper is well written.

Major Issues

Many patients have planned readmissions within 30 days of discharge. The authors should comment on planned versus unplanned readmission. If the data do not allow such a distinction, this should be noted as a limitation.

AU: We appreciate the reviewer’s attention to this point. However, we are not aware of any evidence that “many patients have planned readmissions” among survivors of a hospitalization involving HAP or VAP. We would be grateful to the reviewer if they could share citations on the incidence of this event in this population of patients, so that we know how to assess its potential impact on our findings.

Many patients who are readmitted do not return to the original hospital. How was this handled? If the authors cannot tell when a patient was readmitted to the originating hospital, this should be noted in the definition of readmission, and also noted as a limitation.

AU: The reviewer is quite correct on this point, and we are grateful for the opportunity to add this to the manuscript.

Methods section, page 4: “All readmissions could be identified only if the patient presented to the same hospital where their index infection had occurred.”

Limitations paragraph in the Discussion section, page 15: “Another potential source of misclassification pertains to the definition of readmission. As indicated in the Methods, the structure of the database does not allow to identify readmissions to a hospital distinct from the one where the index hospitalization occurred. For this reason, we may have underestimated the magnitude of 30-day hospitalizations. However, this misclassification is also likely non-differential, thus potentially reducing the observed differences between the two groups we examined.”

Page 4, Line 6. The authors state that the study was exempt from ethics review. Who made this determination? An IRB needs to make this determination. If an IRB deemed this study exempt, the authors need to state the IRB that made this determination. If the authors themselves declared this study exempt, then I do not believe the study has been properly vetted for human subjects protection.

AU: It has been our understanding that deidentified information provided for secondary research in Premier database meets the criteria for exemption. We invite the reviewer to examine the HHS website page from which our understanding derives (https://www.hhs.gov/ohrp/regulations-and-policy/decision-charts-2018/index.html#c1). We should also mention that in our past efforts this database has been deemed exempt.

Methods. Statistical comparisons were made using ANOVA and Kruskall-Wallace tests. However, these are two-group comparisons not 3+ group comparisons. I think t tests and chi-square tests should be used for parametric comparisons of continuous and binary/categorical variables, respectively, and Mann-Whitney and chi-square tests should be used for non-parametric tests of continuous and binary/categorical variables, respectively.

AU: We thank the reviewer for this correction. The reviewer is correct in that t-tests, Mann-Whitney tests, and Chi-Square tests are appropriate, and indeed were the tests used in the analysis. We apologize for incorrectly describing the Methods based on a prior analysis of the data where we compared the 3 pneumonia groups. We have now corrected the Methods description to reflect what was done and to align with the reviewer’s comments.

Methods. Statistical tests have been applied to each category for categorical variables for some variable in Table 2. Culture source and IET contains categories that are exhaustive and mutually exclusive. I think there should be a single omnibus test for these variables, not individual tests applied to each category within the variable.

AU: The reviewer brings up an interesting point. In Table 2, we do provide a single p-value for IET status. Culture source in our data was a little tricky. We had a small number of patients who had multiple positive cultures taken on the same “index day” (e.g., a positive sputum and respiratory culture). Consequently, we are presenting them as individual variables and we note that the differences between groups were modest regardless of the p-values. This comment did, however, incited us to revise the way we are presenting the results of polymicrobial infections. We are now using one omnibus p-value for this variable. Thank you for this suggestion.

Minor Issues

Page 3, Line 2. Most sources use the HAC abbreviation for hospital acquired conditions rather than hospital acquired complication. Consider using the standard abbreviation used in the infectious disease literature.

AU: Changed to “condition.”

Page 11, first paragraph states that “While the ICU LOS, did not differ between the two groups…”. This is incorrect. The difference in ICU LOS was not significant, but that is not the same thing as saying that they did not differ. To say they did not differ implies that the mean and all values are exactly identical, which is not true. Consider saying that mean ICU LOS did not differ significantly.

AU: We have added the word “significantly,” thank you.

Page 13, second paragraph. The use of language around RaP and RaO is confusing. For example, the authors state that “there was a significantly higher prevalence of nvHABP among those with RaP than those with RaO”. This sounds like RaP and RaO are diseases or conditions. Later in the paragraph the authors say “the MV duration was longer in the setting of RaP than in the group with RaO”. RaP and RaO are not settings. Consider using language that clearly indicates you are talking about patients with specific types of readmissions.

AU: We have taken the reviewer’s advice and clarified this point in multiple places in the paragraph in question.

Page 15, first paragraph. The authors argue that lack of generalizability is of minimal concern. I disagree. The only setting to which the results can be reasonably generalized is populations that reflect the Premier database. Thus, it cannot be generalized to an individual hospital, a single state, or the US more broadly. I think generalizability is a limitation and should be acknowledged and not minimized.

AU: We are not sure we understand the reviewer’s statement. In our understanding of the terminology, “generalizability” or “external validity” pertains to a general theory of the case, rather than specific subpopulations. In this way, Premier is fairly representative of the US landscape of the population we have defined. Therefore, we state that the study is generalizable. We do, however, agree that, as in all studies like this, it is difficult to apply findings to individual hospitals or other subgroupings.

6. PLOS authors have the option to publish the peer review history of their article (what does this mean?). If published, this will include your full peer review and any attached files.

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Do you want your identity to be public for this peer review? For information about this choice, including consent withdrawal, please see our Privacy Policy.

Reviewer #1: No

Decision Letter 1

Dafna Yahav

8 Sep 2022

PONE-D-22-01197R1Descriptive epidemiology of hospitalized patients with bacterial nosocomial pneumonia who experience 30-day readmission in the US, 2014-2019PLOS ONE

Dear Dr. Zilberbeg,

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. Please address the two final comments by the reviewer. Mainly, regarding ethical approval:As the requirements of journals and institutions are becoming stricter, approval from an independent ethics committee is becoming the norm for all research studies involving human participants and/or medical information independently of how low the risks are.

Could you please provide further details on why your study is exempt from the need for approval and provide confirmation from your institutional review board or research ethics committee (e.g., in the form of a letter or email correspondence) that ethics review was not necessary for this study? Please include a copy of the correspondence as an "Other" file.

Please submit your revised manuscript by 7/10/22. If you will need more time than this to complete your revisions, please reply to this message or contact the journal office at plosone@plos.org. When you're ready to submit your revision, log on to https://www.editorialmanager.com/pone/ and select the 'Submissions Needing Revision' folder to locate your manuscript file.

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We look forward to receiving your revised manuscript.

Kind regards,

Dafna Yahav

Academic Editor

PLOS ONE

Journal Requirements:

Please review your reference list to ensure that it is complete and correct. If you have cited papers that have been retracted, please include the rationale for doing so in the manuscript text, or remove these references and replace them with relevant current references. Any changes to the reference list should be mentioned in the rebuttal letter that accompanies your revised manuscript. If you need to cite a retracted article, indicate the article’s retracted status in the References list and also include a citation and full reference for the retraction notice.

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Reviewers' comments:

Reviewer's Responses to Questions

Comments to the Author

1. If the authors have adequately addressed your comments raised in a previous round of review and you feel that this manuscript is now acceptable for publication, you may indicate that here to bypass the “Comments to the Author” section, enter your conflict of interest statement in the “Confidential to Editor” section, and submit your "Accept" recommendation.

Reviewer #1: (No Response)

**********

2. Is the manuscript technically sound, and do the data support the conclusions?

The manuscript must describe a technically sound piece of scientific research with data that supports the conclusions. Experiments must have been conducted rigorously, with appropriate controls, replication, and sample sizes. The conclusions must be drawn appropriately based on the data presented.

Reviewer #1: Yes

**********

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

Reviewer #1: Yes

**********

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

The PLOS Data policy requires authors to make all data underlying the findings described in their manuscript fully available without restriction, with rare exception (please refer to the Data Availability Statement in the manuscript PDF file). The data should be provided as part of the manuscript or its supporting information, or deposited to a public repository. For example, in addition to summary statistics, the data points behind means, medians and variance measures should be available. If there are restrictions on publicly sharing data—e.g. participant privacy or use of data from a third party—those must be specified.

Reviewer #1: No

**********

5. Is the manuscript presented in an intelligible fashion and written in standard English?

PLOS ONE does not copyedit accepted manuscripts, so the language in submitted articles must be clear, correct, and unambiguous. Any typographical or grammatical errors should be corrected at revision, so please note any specific errors here.

Reviewer #1: Yes

**********

6. 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: The authors have been responsive to much of the prior round of peer review. The following issues remain.

1. The authors have resisted adding some language acknowledging that some readmissions are planned, and therefore their readmission rates may exaggerate the problem. Even CMS’s Hospital Readmission Reduction Program, which includes Pneumonia as a target, attempts to account for planned versus unplanned readmission (https://qualitynet.cms.gov/inpatient/hrrp/measures). This seems ample evidence that it is at least a potential limitation worth mentioning. I will leave it to the editor to decide whether this is a reasonable addition to the limitations section.

2. The authors have made their own determination that this study is exempt from IRB review. The reason we have IRBs and offices of human subjects protection is so that these decisions can be made independently. Obviously, the authors can read a flowchart for human subjects exemption. But, in my opinion they do not have the authority to make their own declaration. They should submit their study design to an independent IRB, who will certify that their research is exempt from full review. I will leave it to the editor to decide whether this is a reasonable request.

Otherwise, I am satisfied with the authors' other responses to issues raised in the first round of peer review.

**********

7. PLOS authors have the option to publish the peer review history of their article (what does this mean?). If published, this will include your full peer review and any attached files.

If you choose “no”, your identity will remain anonymous but your review may still be made public.

Do you want your identity to be public for this peer review? For information about this choice, including consent withdrawal, please see our Privacy Policy.

Reviewer #1: No

**********

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While revising your submission, please upload your figure files to the Preflight Analysis and Conversion Engine (PACE) digital diagnostic tool, https://pacev2.apexcovantage.com/. PACE helps ensure that figures meet PLOS requirements. To use PACE, you must first register as a user. Registration is free. Then, login and navigate to the UPLOAD tab, where you will find detailed instructions on how to use the tool. If you encounter any issues or have any questions when using PACE, please email PLOS at figures@plos.org. Please note that Supporting Information files do not need this step.

PLoS One. 2022 Dec 9;17(12):e0276192. doi: 10.1371/journal.pone.0276192.r004

Author response to Decision Letter 1


14 Sep 2022

Reviewer #1: The authors have been responsive to much of the prior round of peer review. The following issues remain.

1. The authors have resisted adding some language acknowledging that some readmissions are planned, and therefore their readmission rates may exaggerate the problem. Even CMS’s Hospital Readmission Reduction Program, which includes Pneumonia as a target, attempts to account for planned versus unplanned readmission (https://qualitynet.cms.gov/inpatient/hrrp/measures). This seems ample evidence that it is at least a potential limitation worth mentioning. I will leave it to the editor to decide whether this is a reasonable addition to the limitations section.

AU: We have now added the following to the Limitations paragraph on page 14:

“We were unable to differentiate planned admissions from unplanned ones, thus possibly overestimating the frequency of the patter event. However, these hospital-acquired infections are unlikely to be a major source of planned admissions.”

2. The authors have made their own determination that this study is exempt from IRB review. The reason we have IRBs and offices of human subjects protection is so that these decisions can be made independently. Obviously, the authors can read a flowchart for human subjects exemption. But, in my opinion they do not have the authority to make their own declaration. They should submit their study design to an independent IRB, who will certify that their research is exempt from full review. I will leave it to the editor to decide whether this is a reasonable request.

AU: We appreciate the reviewer’s strong attention to the ethics of study contact consideration. Below we present the rationale for why our study does not require such. We also attach as Supporting Information a letter from a qualified statistician who reviewed Premier methodologies for de-identifying patient data.

Since our study is secondary research using de-identified database, it is not considered as human subjects research. Our group has published dozens of manuscripts using the Premier healthcare database in various peer-reviewed journals. IRB review was never required. As we refence in the citation #9, our study falls squarely into “research not involving human subjects” under 45 CFR Part 46, which can be found here: https://www.hhs.gov/ohrp/regulations-and-policy/decision-charts-2018/index.html#c1

Decision Letter 2

Steven Eric Wolf

2 Oct 2022

Descriptive epidemiology of hospitalized patients with bacterial nosocomial pneumonia who experience 30-day readmission in the US, 2014-2019

PONE-D-22-01197R2

Dear Dr. Zilberberg,

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,

Steven Eric Wolf, MD

Academic Editor

PLOS ONE

Additional Editor Comments (optional):

Reviewers' comments:

Reviewer's Responses to Questions

Comments to the Author

1. If the authors have adequately addressed your comments raised in a previous round of review and you feel that this manuscript is now acceptable for publication, you may indicate that here to bypass the “Comments to the Author” section, enter your conflict of interest statement in the “Confidential to Editor” section, and submit your "Accept" recommendation.

Reviewer #1: All comments have been addressed

**********

2. Is the manuscript technically sound, and do the data support the conclusions?

The manuscript must describe a technically sound piece of scientific research with data that supports the conclusions. Experiments must have been conducted rigorously, with appropriate controls, replication, and sample sizes. The conclusions must be drawn appropriately based on the data presented.

Reviewer #1: Yes

**********

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

Reviewer #1: Yes

**********

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

The PLOS Data policy requires authors to make all data underlying the findings described in their manuscript fully available without restriction, with rare exception (please refer to the Data Availability Statement in the manuscript PDF file). The data should be provided as part of the manuscript or its supporting information, or deposited to a public repository. For example, in addition to summary statistics, the data points behind means, medians and variance measures should be available. If there are restrictions on publicly sharing data—e.g. participant privacy or use of data from a third party—those must be specified.

Reviewer #1: Yes

**********

5. Is the manuscript presented in an intelligible fashion and written in standard English?

PLOS ONE does not copyedit accepted manuscripts, so the language in submitted articles must be clear, correct, and unambiguous. Any typographical or grammatical errors should be corrected at revision, so please note any specific errors here.

Reviewer #1: Yes

**********

6. 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: I am satisfied with the responses to the last round of peer review.

**********

7. PLOS authors have the option to publish the peer review history of their article (what does this mean?). If published, this will include your full peer review and any attached files.

If you choose “no”, your identity will remain anonymous but your review may still be made public.

Do you want your identity to be public for this peer review? For information about this choice, including consent withdrawal, please see our Privacy Policy.

Reviewer #1: No

**********

Acceptance letter

Steven Eric Wolf

9 Nov 2022

PONE-D-22-01197R2

Descriptive epidemiology of hospitalized patients with bacterial nosocomial pneumonia who experience 30-day readmission in the US, 2014-2019

Dear Dr. Zilberberg:

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.

If we can help with anything else, please email us at plosone@plos.org.

Thank you for submitting your work to PLOS ONE and supporting open access.

Kind regards,

PLOS ONE Editorial Office Staff

on behalf of

Dr. Steven Eric Wolf

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

    (XLSX)

    Data Availability Statement

    Premier is a proprietary database available for purchase to any investigator. Due to the legal constraints of licensing, the authors are unable to upload the data used. However, the authors have provided a link that includes an infographic and a lwhitepaper which contains very specific information related to the data in the PHD. https://www.premierinc.com/newsroom/education/what-fuels-pinc-ai-healthcare-data The authors had no special privileges in accessing these datasets which other interested researchers would not have. Data access queries may be directed to Jim Sianis, Senior Director at Premier Inc. (james_sianis@premierinc.com).


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