Automating the Assignment of Diagnosis Codes to Patient Encounters Using Example-based and Machine Learning Techniques

Article (PDF Available)inJournal of the American Medical Informatics Association 13(5):516-25 · September 2006with78 Reads
DOI: 10.1197/jamia.M2077 · Source: PubMed
Abstract
Human classification of diagnoses is a labor intensive process that consumes significant resources. Most medical practices use specially trained medical coders to categorize diagnoses for billing and research purposes. We have developed an automated coding system designed to assign codes to clinical diagnoses. The system uses the notion of certainty to recommend subsequent processing. Codes with the highest certainty are generated by matching the diagnostic text to frequent examples in a database of 22 million manually coded entries. These code assignments are not subject to subsequent manual review. Codes at a lower certainty level are assigned by matching to previously infrequently coded examples. The least certain codes are generated by a naïve Bayes classifier. The latter two types of codes are subsequently manually reviewed. Standard information retrieval accuracy measurements of precision, recall and f-measure were used. Micro- and macro-averaged results were computed. RESULTS At least 48% of all EMR problem list entries at the Mayo Clinic can be automatically classified with macro-averaged 98.0% precision, 98.3% recall and an f-score of 98.2%. An additional 34% of the entries are classified with macro-averaged 90.1% precision, 95.6% recall and 93.1% f-score. The remaining 18% of the entries are classified with macro-averaged 58.5%. Over two thirds of all diagnoses are coded automatically with high accuracy. The system has been successfully implemented at the Mayo Clinic, which resulted in a reduction of staff engaged in manual coding from thirty-four coders to seven verifiers.
Research Paper
Automating the Assignment of Diagnosis Codes to Patient
Encounters Using Example-based and Machine Learning
Techniques
SERGUEI V.S. PAKHOMOV,PHD, JAMES D. BUNTROCK, MS, CHRISTOPHER G. CHUTE, MD, DRPH
Abstract
Objective: Human classification of diagnoses is a labor intensive process that consumes
significant resources. Most medical practices use specially trained medical coders to categorize diagnoses for
billing and research purposes.
Methods: We have developed an automated coding system designed to assign codes to clinical diagnoses. The
system uses the notion of certainty to recommend subsequent processing. Codes with the highest certainty are
generated by matching the diagnostic text to frequent examples in a database of 22 million manually coded
entries. These code assignments are not subject to subsequent manual review. Codes at a lower certainty level are
assigned by matching to previously infrequently coded examples. The least certain codes are generated by a naïve
Bayes classifier. The latter two types of codes are subsequently manually reviewed.
Measurements: Standard information retrieval accuracy measurements of precision, recall and f-measure were
used. Micro- and macro-averaged results were computed.
Results: At least 48% of all EMR problem list entries at the Mayo Clinic can be automatically classified with
macro-averaged 98.0% precision, 98.3% recall and an f-score of 98.2%. An additional 34% of the entries are
classified with macro-averaged 90.1% precision, 95.6% recall and 93.1% f-score. The remaining 18% of the entries
are classified with macro-averaged 58.5%.
Conclusion: Over two thirds of all diagnoses are coded automatically with high accuracy. The system has been
successfully implemented at the Mayo Clinic, which resulted in a reduction of staff engaged in manual coding
from thirty-four coders to seven verifiers.
J Am Med Inform Assoc. 2006;13:516–525. DOI 10.1197/jamia.M2077.
Introduction
The system described in this article is designed to assign
classification codes from a pre-defined classification scheme
to the diagnoses generated at the Mayo Clinic and entered
into the patients’ problem list in the form of natural lan-
guage statements. These classification codes are subse-
quently used in clinical research and are a part of the
records-linkage system created under the auspices of the
Rochester Epidemiology Project.
1, 2
Currently, the task of
assigning classification categories to the diagnoses is carried
out manually by the Medical Index staff. The volume of
medical records generated at the Mayo Clinic is overwhelm-
ing the manual classification capacity resulting in a signifi-
cant backlog. The purpose of the Automatic Categorization
System (Autocoder) presented in this article is to improve
the coding staff’s efficiency by partially automating the
coding process with a computer system trained on the rich
history of coding experience generated by the Medical Index
over the last ten years.
Background
Medical Index and Electronic Medical Record
The Medical Index continually updates a set of databases
that serve as an index to the patient’s electronic medical
record (EMR) at the Mayo Clinic. The EMR is generated for
each patient and consists of a set of clinical notes, lab test
results, prescription orders, demographic information, and
problem list statements. The Medical Index database is an
institutional resource used to identify patient records for
epidemiological research, statistical analysis, administrative
reporting, and quality control. The index is created by
coding and classification of diagnoses from a patient’s EMR
using a physician generated patient problem list as the
primary source of information.
The problem list consists of diagnostic statements dictated
by physicians and transcribed into clinical notes as part of
regular documentation for each patient visit. Mayo Clinic
clinical notes are structured using the HL7 Clinical Docu-
Affiliation of the authors: Division of Biomedical Informatics, De-
partment of Health Sciences Research, Mayo Clinic, Rochester, MN.
The authors thank Dr. Robyn McClelland for her assistance with
designing the test sets and providing us with excellent statistician’s
expertise and perspective. The authors also thank Barbara Abbot
and Deborah Albrecht for helping us with developing the reference
standard test set and for sharing their expertise and experience in
medical coding.
Correspondence and reprints: Serguei V.S. Pakhomov, PhD, 200
First Street SW, Rochester, MN 55905; e-mail: pakhomov.
serguei@mayo.edu.
Received for review: 02/06/06; accepted for publication: 05/30/06.
516 PAKHOMOV et al., Automating the Assignment of Diagnosis Codes to Patient Encounters
ment Architecture (CDA) specification consisting of sections
including chief complaint, history of present illness, impres-
sion/report/plan, and final diagnosis. An illustration of a
typical clinical note for a non-existent patient is provided in
Figure 1. The numbered items under the history of present
illness section illustrate the kinds of diagnostic statements
that are subsequently coded and entered into the Medical
Index database.
HICDA Classification
Hospital International Classification of Disease Adaptation
3
(HICDA) is an adaptation of ICD-8
1
(International Classifi-
cation of Diseases) for hospital morbidity (a.k.a. HICDA-2).
While ICD-8 is outdated, its Mayo Clinic adaptation contin-
ues to be used internally to maintain the continuity of the
Medical Index and the Rochester Epidemiology Project for
on-going longitudinal studies. The system described in this
article has been trained on examples coded in HICDA;
however, our experience and insights into the system archi-
tecture and process are generalizable to other hierarchical
classification schemes.
HICDA is a hierarchical classification with 19 root nodes and
4,334 leaf nodes. Since 1975, it has been expanded at the Mayo
Clinic to comprise 35,676 rubrics or leaf nodes. Each leaf node
is assigned an eight digit code with the following internal
structure: 12345 67 8. The first five digits constitute the first
level below the roots and derive from the original HICDA-2.
The seven and eight digit codes constitute Mayo extensions
and form the present leaf level. The numeric value of the first
five digits determines which root the category reflected by the
five digits belongs to. For example, the concept of ANEMIA
has the code 02859 21 0 where the first five digits comprise a
general category consisting of the following concepts: ANE-
MIA, NORMOCHROMIC ANEMIA, SECONDARY ANE-
MIA, IDIOPATHIC ANEMIA, HYDREMIA, OLIGOCYTHE-
MIA and RUNNER’S ANEMIA. Consistent with the historical
chaptering structure of the ICDs, the fact that the numeric
1
ICD-8 is the 8
th
edition of the International Classification of
Diseases. ICD-10 is the most current edition and is used for
mortality coding world-wide; ICD-9CM (Clinically Modified) is
usually used for billing in the United States. The Mayo research
coding system is based upon a morbidity oriented adaptation of
ICD-8, HICDA-2 which has been augmented with concepts whose
granularity and relevance are more appropriate for health science
research.
Figure 1. An illustration of a clinical note for a non-existent patient.
Journal of the American Medical Informatics Association Volume 13 Number 5 Sep / Oct 2006 517
value of the first five digits lies in the range between 2800 and
2899 indicates that this set of concepts belongs to an even
broader category of “Diseases of Blood and Blood-forming
Organs.” The top 19 nodes include such categories as “Infective
and Parasitic Diseases,” “Diseases of Blood and Blood-forming
Organs” or “Neoplasms.”
Previous Work on Automatic Categorization of
Medical Text
As with most automatic text classification problems, the goal is
to map between unstructured or semi-structured text and a set
of predefined classification categories. The mapping can be
either manually constructed, by using expert knowledge trans-
formed into a set of rule-based classifiers, or it can be learned
automatically from a set of previously manually categorized
training samples. For the latter approach machine learning
techniques usually excel with larger training sets.
The classification problems that have been investigated in the
past are just as varied as the machine learning algorithms that
have been used to solve these problems. Linear Least Squares
Fit,
4
support vector machines,
5
decision trees,
6
Bayesian learn
-
ing,
7
symbolic rule induction,
8
and maximum entropy
9
are just
a few algorithms that have been applied to classifying e-mail,
Web pages, newswire articles, and medical reports. Much of
the previous work in biomedicine has focused on classifying
narrative clinical reports to identify patients with a specific
condition or a set of conditions.
6, 10-15
The work reported in this article focuses on classifying only the
physicians’ diagnoses made during out-patient visits. This
problem has also been previously investigated in other set-
tings.
16
Gundersen et al.
17
present a system designed to assign
diagnostic ICD-9 codes to the free text of admission diagnoses.
This system encodes the diagnoses using categories from a
standard classification scheme based on a text parsing tech-
nique informed with semantic information derived from a
Bayesian network. Another system similar to ours has been
developed by Yang et al.
18
This system (ExpNet) comprises a
machine learning method for automatic coding of medical
diagnoses at the Mayo Clinic. The ExpNet technique offered
improvement in scalability and computational training effi-
ciency over previous techniques (Linear Least Squares Fit and
Latent Semantic Indexing) with an average precision of 83%
and recall of 81% on diagnostic text.
19
This automatic coding
method worked well on smaller phrases with less than five or
six words and a single diagnostic rubric, but performed poorly
on larger phrases with multiple diagnostic rubrics. We are
building on the groundwork laid by Yang and Chute
20
by
scaling it up with a hybrid approach consisting of example-
based classification and a simple but robust classification
algorithm (naïve Bayes) in order to improve the efficiency of
diagnostic coding.
Methods
The general architecture of the Autocoder and the workflow
are illustrated in Figure 2. The diagnostic problem list state-
ments (numbered items in Figure 1) are assigned HICDA
diagnostic codes. A portion of these are then stored directly in
the Medical Index database and the remaining are post-
processed by human coders. Whether a classification is entered
into the database without manual review depends on the
Autocoder’s level of confidence described in detail in the
subsequent sections.
Design Objectives
The main objective of this system is to make the manual coding
process more efficient and thus increase its throughput without
any significant loss in accuracy. The system is designed to
increase the throughput in two ways: by generating classifica-
tion suggestions for further review and by generating final
classification decisions that will not be manually reviewed. In
order to make an automatic classification decision without
subsequent manual review, a high level of accuracy is required.
Our objective was to maximize the accuracy at a level exceed-
ing 95% for both precision and recall. The requirements for
making classification suggestions were less stringent because
of the subsequent manual verification. Lower accuracy would
create a negative effect on the manual verification efficiency
but would not affect the overall quality of the resulting index.
Nevertheless, our objective was to maximize the accuracy of
this part of the system as well. Another important design
objective was to modify the coding application to accommo-
date the new requirements and to maximize the speed at which
the Medical Index staff would be able to verify automatically
assigned codes.
Autocoder Architecture
The current implementation of the Autocoder is based on two
main techniques: example-based classification and machine
learning classification (Figure 2). A diagnostic statement de-
rived from the problem list of a clinical note (e.g., “#1 Conges-
tive heart failure”) is presented to the example-based classifi-
cation component. If this component is successful in finding
the correct classification code, then the diagnostic statement is
entered directly into the Medical Index database without
manual review. If the example-based classification fails to
identify the code(s) for the diagnostic statement, then the
statement is routed to the machine learning component, which
produces a set of suggestions ranked by the confidence of the
machine learning component. These suggestions are then ver-
ified by the Medical Index staff and are subsequently entered
into the Medical Index database.
Figure 2. Automatic Medical Index Classification Archi-
tecture.
518 PAKHOMOV et al., Automating the Assignment of Diagnosis Codes to Patient Encounters
Example-Based Classification Component
Example-based classification leverages the repository of
diagnostic statements that have already been manually
classified by the Medical Index staff at the Mayo Clinic. The
main assumption behind example-based classification is that
diagnostic statements are highly repetitive and that, in the
absence of major changes in the classification scheme, new
diagnoses can be accurately coded automatically by simply
looking them up in the database of previously classified
entries. For example, if “hypertension” has been coded with
code A 1,000 times and code B ten times, we can assume that
code A is correct and code B is incorrect. However, this
technique raises a number of technical challenges. One such
challenge is the noise in the data that results from occasional
misclassification or disagreement between Medical Index
staff. The disagreement may be precipitated by various
levels of experience or by the vagueness of the classification
distinctions in HICDA. Part of the example-based classifica-
tion is to filter out unlikely classifications for a given
diagnostic statement coupled with the gender of the patient
based on the frequency of their co-occurrence.
Diagnostic entries Gender: Gender is an important predic-
tive feature that is to be taken into account during classifi-
cation into HICDA because some of the HICDA categories
are sensitive to gender distinctions. For example, “pelvic
abscess” is coded as 06821140 if the patient is male and
06169111 if the patient is female. Thus, for convenience of
exposition, we introduce the notion of a “diagnostic entry”
which consists of three components: the diagnostic state-
ment, patient’s gender, and the HICDA classification code
that was manually assigned.
Multiple codes: Example-based classification relies on the
relative frequency of diagnostic entries. All diagnostic en-
tries are considered likely candidates and are arranged in a
simple database table. Multiple HICDA codes for a diagnos-
tic entry are combined into a single compound code. For
example, “Acute bronchitis, hypertension” is a diagnostic
statement that has been assigned two classification codes:
04890112 (BRONCHITIS, ACUTE) and 04010210 (HYPER-
TENSION, NOS—HPT). In order to maximize the precision
of the example-based classification technique we treat such
multiple coding as a single multi-code category:
04890112_04010210. The motivation for this approach and its
validation have been reported elsewhere.
21
Frequency filtering The following example illustrates the
methodology for filtering likely candidate classifications.
One of the most common diagnoses at the Mayo Clinic is
“Hypertension.” In our data, the diagnostic statement that
consists only of the string “Hypertension” appears 168,999
times. This string happens to be coded in 176 different ways
forming many different diagnostic entries; however, only
two of these entries appear with high frequency:
1. Hypertension—female— 04010210 (hypertension) occurs
89,507 times
2. Hypertension—male— 04010210 (hypertension) occurs
79,269 times
Notably, the two next most frequent entries occur only five
times:
3. Hypertension—female— 02500110 (diabetes mellitus) oc-
curs five times
4. Hypertension—male— 02500110 (diabetes mellitus) oc-
curs five times
These low frequency entries constitute errors and need to be
filtered out as noise. In order to classify a newly encountered
diagnosis of “Hypertension” for a male patient, we query
the database to find all diagnostic entries where the diag-
nostic statement matches “Hypertension” exactly and gen-
der component is “male” (Example 2 and 4) and then sort
the result set based on the frequency of the diagnostic
entries. We then apply two threshold parameters:
A. MIN_EVENT_FREQ—minimum event frequency
B. MAX_NUM_CAT—maximum number of top categories
The first parameter, MIN_EVENT_FREQ, is the minimum
threshold related to the diagnostic event frequency. If the
frequency falls below this threshold, the HICDA categories
associated with the diagnostic event are considered correct.
The second parameter, MAX_NUM_CAT, controls how many
of the top most frequent events the system has to consider as
potential candidates for category assignment. We found the
optimal set of parameters to be 25 for MIN_EVENT_FREQ and
2 for MAX_NUM_CAT as detailed in the Status Report section.
In the example with a male patient whose record contains a
diagnostic statement of “Hypertension,” the MAX_NUM_
CAT parameter of two allows the incorrect diabetes code
02500110 as a candidate category; however, we avoid mis-
classifying “Hypertension” as “diabetes mellitus” because
the MIN_EVENT_FREQ parameter set to 25 eliminates this
code since the diagnostic entry frequency is five. Our
experimental evidence suggests that such two-dimensional
parameter tuning proves to be very effective, as discussed
further.
Machine Learning Classification Component
If a given diagnostic statement is not successfully classified by
example-based classification, the statement is submitted to the
machine learning classification component. Classification with
machine learning described in this article also relies on the data
generated by the Medical Index staff over the past ten years,
but does so in a different way from the example-based classi-
fication component. The machine learning component is
trained on single words that comprise previously manually
coded diagnostic statements. We use a sparse matrix imple-
mentation of the naïve Bayes algorithm, which happens to be a
very robust and scalable approach for large amounts of textual
data.
Naïve Bayes The Bayes decision rule chooses the class that
maximizes its conditional probability given the context in
which it occurs:
C
argmaxP
C
j1
n
P
V
j
C
(1)
Here, C‘ is the chosen category, C is the set of all categories,
and V
j
is the context. The naïve Bayes algorithm chooses the
most likely category given a set of predictive features found
in the context. The algorithm makes a simplifying assump-
tion that the words in the context are independent of each
other. In other words, the assumption is that if we see the
word “heart” in some context then the word “edema” has as
Journal of the American Medical Informatics Association Volume 13 Number 5 Sep / Oct 2006 519
much of a chance to be in the same context as the word
“airplane.” Clearly, this assumption is not true for human
languages. Theoretically, such assumption makes naïve
Bayes classifiers unappealing for text categorization prob-
lems, but in practice it turns out that the violation of the
independence assumption has little effect on the accuracy of
text categorization.
7, 22
It turns out that for binary classifica
-
tion problems, while the independence assumption is tech-
nically correct, a situation where two or more dependent
features happen to predict different classes has a relatively
low probability. A complete proof can be found in Domin-
gos and Pazzani.
22
One of the major advantages of naïve
Bayes as compared to other more sophisticated techniques is
that it is robust, fast to train and does not require large
amounts of computing resources.
“Bag-of-words” Data Representation In order to train the
naïve Bayes classifier we represent each diagnostic state-
ment as an unordered vector of features where the features
are the words comprising the statement. This is known in
machine learning literature as a “bag-of-words” technique.
One of the challenging issues in processing clinical narra-
tives as any other free text is the orthographic and lexical
variability. The need for normalizing clinical text has been
widely recognized and several approaches have been used
to deal with issues such as stop word removal, word and
sentence segmentation, spelling correction, stemming and
abbreviation expansion.
23-25
None of these approaches are
error-free. Due to stringent accuracy requirements on the
data that will not be subsequently manually reviewed, we
implemented a very conservative set of rules for text nor-
malization. We exclude stop words such as “the,” “a,” “is,”
“was” (a total of 124 words). The input is also tokenized to
treat certain multiword units as a single unit (e.g., words
grade, stage, level, phase, class, gravida, para, type, alpha, onset
followed by a Roman or an Arabic numeral) in addition to
lowercasing all words that start with a capital letter followed
by a lowercase letter. Words in all caps remain unchanged.
We also remove some of the syntactic formatting such as the
word “DIAGNOSIS:” in all caps at the start of the line.
Classifier Output and the Multiple Classification Problem-
Once a naïve Bayes classifier is trained to associate words
with categories, each new instance that is presented to the
classifier needs to be translated into a “bag-of-words” fea-
ture vector in the same manner as was done with the
training data. The classifier then computes a posterior prob-
ability for each category in the classification it was trained
on. For example, if the classification has 20,000 categories
used for training, then the classifier will compute a score for
each category for the new input. The classifier then ranks
scores in descending order so that the categories with the
strongest association to the “bag-of-words” vector for a
given diagnosis are found at the top of the list. This is not a
problem if the data for each diagnostic statement have only
one category; however, many of the diagnoses are assigned
more than one HICDA code. This presents a considerable
problem of determining how many of the top N categories
produced by the classifier are the correct ones. This multiple
category problem has been confronted in other domains
such as biosurveillance from chief complaints
26
and auto
-
matic coding of responses to surveys,
27
as well as within the
general framework of machine learning.
28
We have explored two possible ways to address the multiple
classification problem afforded by the SNoW implementa-
tion of the naïve Bayes classifier. The first is to train two
classifiers: one to rank the active categories and the other to
suggest how many of the top ranked categories to retain.
The second is to represent the multiple categories assigned
to a particular diagnostic statement as a single compound
category. Both approaches have potential drawbacks. The
former has two potential sources of inaccuracies instead of
one, and the latter introduces a large number of new
categories. We tested and evaluated both approaches and
found the latter to be more beneficial on our specific task of
classifying Mayo EMR diagnoses into HICDA despite its
limited scalability problem. We have conducted a series of
experiments with this method at the top level of the HICDA
hierarchy, which has only 19 categories, and found that
representing multiple classifier entries with composite cate-
gories is a promising approach.
21
We tested this approach
on the leaf level of the hierarchy and report the results of the
experiments further in this article.
Phrase Chunker Component The purpose of the phrase
chunker is to split the incoming diagnostic statements into
meaningful components and then attempt both example-
based and machine learning classification on the individual
constituents of the diagnostic statement. For example,
“Myocardial infarction with subsequent emergency coro-
nary artery bypass graft” would be chunked at the “with
subsequent” divider. Just like in the overall architectural
flow, the precedence is given to the codes identified with the
example-based component. Thus, if a diagnostic entry con-
sists of two codable elements such as “A and B” and the
example-based component fails, then the phrase chunker
will split this statement into constituents (A,B) and attempt
the classification with the example-based component on
each constituent individually and independently. So it is
possible that A will be classified with the example-based
component and B with the machine learning component and
vice versa.
Results
The validity of both components of the Autocoder was
evaluated using standard techniques of computing precision
and recall. Precision and recall are measures widely used in
the domains of machine learning and text categorization
29
and are defined in the “Evaluation Measures” subsection.
The development of several reference standards is discussed
in the “Reference Standard Development” section. Finally,
the experiment results are reported in the “System Evalua-
tion” section.
Evaluation Measures
We used the standard evaluation metrics of precision, recall
and f-score. Precision is defined as the ratio of correctly
assigned categories (true positives) to the total number of
categories produced by the classifier (true positives and false
positives).
Precision
tp
tp fp
(2)
Recall is the ratio of correctly assigned categories (true
positives) to the number of target categories in the test set
(true positives and false negatives).
520 PAKHOMOV et al., Automating the Assignment of Diagnosis Codes to Patient Encounters
Recall
tp
tp fn
(3)
F-score represents the harmonic mean of precision and recall
according to the formula in (4):
F score
1
1
P
1
1
R
(4)
where P is the precision, R is the recall and
is a weight that
is used to favor either precision or recall. In our computa-
tions
was set to 0.5 indicating equal weight given to
precision and recall.
Two sets of precision/recall results are reported: micro-
averaged and macro-averaged as described in Manning and
Shutze.
29
The micro-averaging method represents the re
-
sults where true positives, false positives and false negatives
are added up across all test instances first and then these
counts are used to compute the statistics. The macro-aver-
aging method computes precision/recall for each test in-
stance first, and then averages these statistics over all
instances in the reference standard. These two methods
yield different results when the instances have more than
one correct category and when categories are represented by
unequal numbers of instances. The micro-averaging method
favors large categories with many instances, while the
macro-averaging method shows how the classifier performs
across all categories.
29
Training and Testing Data
Three reference standards were developed to evaluate the
Autocoder. Given the architecture of the Autocoder and the
data flow logic built into it, each diagnostic statement that
enters the system can fall into three broad categories. We
will refer to them as A, B and C. The first type (A) consists
of statements that have passed the example-based compo-
nent’s filter controlled by the MIN_EVENT_FREQ parame-
ter set at 25. We can classify these data solely with the
example-based component and with high confidence—the
categories assigned to this type will not be subsequently
reviewed.
The second type of data (B) is made up of diagnostic
statements that have been found in the Medical Index
database of previously coded examples, but whose diagno-
sis-gender-code event frequency is lower than the value of
the MIN_EVENT_FREQ parameter set at 25. We are less
confident in classifying a case like this and therefore submit
this case for manual review.
The third type (C) consists of diagnostic statements of which
we do not have any prior record. These types of data need to
be classified with the machine learning component. The
codes assigned to these diagnostic statements are of low
confidence and can only be used as suggestions for subse-
quent manual review.
All available data samples collected between 1994 and 2004
are split into training and testing according to the flow
diagram in Figure 3. The training data consisted of over 22
million non-unique examples entered into the database
between 1994 and June 1, 2003. The testing data consisted of
898,584 examples collected between June 1, 2003 and Janu-
ary 1, 2004. In order to determine the distribution of the
three types of data we looked up each testing data sample in
the database created from the training data samples and
determined if it belonged to one of the following three types:
A, B, or C. There were 527,673 samples (58.7%) of type A
data, 213,440 samples (23.7%) of type B data, and 157,471
samples (17.5%) of type C data. We drew several random
samples from each of the three datasets to create reference
standards as discussed in the following subsections.
Pilot Studies
In order to create a reference standard with acceptable
statistical power we conducted a pilot study to determine
the expected level of precision and recall and to optimize the
parameters of the example-based component. We created a
random sample of 75,000 entries from the type A data set. A
regression test for precision/recall of the example-based
component was performed by varying two parameters:
MIN_EVENT_FREQ and MAX_NUM_CAT. MIN_EVENT_
FREQ was varied in the range between 1 and 200 (Figure 4)
and the MAX_NUM_CAT parameter between 1 and 10
(Figure 5).
Initially, we varied the MAX_NUM_CAT parameter while
holding the MIN_EVENT_FREQ parameter steady at its
lowest value of 1. This was the logical starting point as we
knew that the majority of diagnostic statements are assigned
either one, two, or three codes. Figure 6 shows the actual
frequency distribution of diagnoses with various code as-
signments. The distribution drops off sharply after three
categories per diagnostic statement; however, we did extend
the variation of the parameter to 10. The results in Chart 2
show that there actually is a point at which the precision and
recall curves cross. When the parameter is changed from 1 to
2, the recall goes up from 96.1% to 97.6% while the precision
drops from 97.4% to 96.2%. When the MAX_NUM_CAT
parameter is set to 3 or higher, the recall stays about the
same; however, the precision drops dramatically, as is
expected. This result allows us to optimally set MAX_NUM-
_CAT parameter to 2.
Once the optimal value for MAX_NUM_CAT parameter
was determined, we optimized the MIN_EVENT_FREQ
parameter by holding MAX_NUM_CAT steady at its lowest
value. The results in Chart 1 show that the most optimal
MIN_EVENT_FREQ value is 25. Despite the fact that the
precision and recall curves do not cross, it is clear that the
growth in precision asymptotes at MIN_EVENT_FREQ set
to 25. Not much is gained in recall in going lower than 25,
but there is a substantial drop in precision; therefore 25 is set
as the most optimal value for MAX_EVENT_FREQ.
Figure 3. Training and testing data collection schedule.
Journal of the American Medical Informatics Association Volume 13 Number 5 Sep / Oct 2006 521
Using both MAX_NUM_CAT set to 2 and MAX_EVENT_
FREQ set to 25, we arrive at 97% precision and 94% recall on
the test set of 75,000 instances. According to our statistical
power calculations, at this level of precision and recall we
would need to examine over 2,600 random samples manu-
ally in order to estimate the results within a 1% margin of
error using a 95% confidence interval.
Type A Reference Standard
We compiled a set of 3,000 entries from a sample that had been
coded manually by the Medical Index staff as shown in Figure 3.
These entries were manually re-verified for accuracy and com-
pleteness by two senior Medical Index staff with more than ten
years of medical classification experience. Nineteen instances
were excluded due to technical problems such as missing text of
the entry or patient gender information. The resulting set of 2,981
instances was used as the reference standard for further evalua-
tions of the example-based component.
Type B Reference Standard
A random sample of 3,000 entries with frequency below 25 was
extracted from the same test set of 75,000 instances used to
Figure 4. Precision/Recall results where MIN_EVENT_FREQ parameter is varied between 1 and 200 and MAX_CAT_NUM
is held at 1.
Figure 5. Precision/Recall results where MAX_CAT_NUM parameter is varied between 1 and 10 and MIN_EVENT_FREQ
is fixed at 1.
522 PAKHOMOV et al., Automating the Assignment of Diagnosis Codes to Patient Encounters
develop the type A reference standard. This population is
complementary to the population used to sample type A
reference instances due to the single frequency threshold.
Type C Reference Standard
We compiled a random sample of 3,000 entries that were not
found via lexical string match in the database used to train the
example-based and the machine learning components. We
wanted to make sure that the entries in this set were truly never
seen before and used a more aggressive normalization as well
as random manual checking. This resulted in a set of 2,281
entries in the final reference standard.
Neither type B nor type C entries were manually re-verified by
classification experts; however, both of these types of entries
had been manually classified before and thus can serve as a
reference standard. We are confident that these data are of high
quality because the standard manual coding process involves
initial coding with subsequent verification by a more experi-
enced coder. Thus we can think of type A data as being doubly
verified. The agreement between the first and second verifica-
tion on type A data set is 94%. This provides an empirical
foundation for our confidence in the quality of coding on type
B and type C data and obviates the need for additional
verification.
System Evaluation
The Autocoder was evaluated on the three reference
standards, with each component of the Autocoder having
been evaluated on the appropriate standard. The evalua-
tion results for all three types are presented in Table 1 and
Table 2.
Evaluation on Type A Data
Type A data consist of diagnostic entries found in the
database of previously coded entries with frequency greater
than or equal to an empirically established threshold of 25.
Since the example-based classifier component is intended to
operate without subsequent review, it was necessary to
optimize the parameters to maximize precision and recall as
well as its capture rate (the number of entries processed).
Since MAX_NUM_CAT parameter does not affect the cap-
ture rate, we plotted the capture rate with respect to the
variation in the MIN_EVENT_FREQ only in Chart 1. With
MIN_EVENT_FREQ set at 25, we are able to capture 47.5%
of the unique test entries.
With MAX_NUM_CAT parameter set to 2 and MIN_
EVENT_FREQ set to 25, the Autocoder achieved a precision
of 96.7% and recall of 96.8% resulting in an f-score of 96.7
using the micro-averaging method and a precision of 98.0%
and recall of 98.3% (with an f-score 98.2) using the macro-
averaging method.
Evaluation on Type B Data
Type B data consist of diagnostic entries found in the
database of previously coded entries with frequency lower
than an empirically established threshold of 25. Diagnostic
statements classified as type B were categorized using the
example-based component and were sent for subsequent
manual review. The micro-averaging method yielded a
precision of 86.6%, recall of 93.7%, and an f-score of 90.4,
while the macro-averaging method yielded a precision of
90.1%, recall of 95.6% recall, and an f-score of 93.1.
Figure 6. Distribution of the number of codes assigned to diagnoses in the test data.
Table 1 y Micro-average Precision/Recall Results for Type A, B and C Data. The Cells for Precision Recall
Contain the Number of True Positives (tp) Followed by the Sum of True Positives (tp) and False Positives (fp)
or False Negatives (fn), Followed by the Percentage Value, Followed by the Width of a 95% Confidence
Interval
Precision tp/tp fp (%) 95% CI Recall tp/tp fn (%) 95% CI F-score
Type A data 3,514/3,630 (96.7) 0.5 3,514/3,628 (96.8) 0.5 96.7
Type B data 3,777/4,361 (86.6) 1.0 3,777/4,028 (93.7) 0.7 90.4
Type C data 1,663/2,834 (58.6) 1.7 1,663/3,733 (44.5) 1.6 50.7
Journal of the American Medical Informatics Association Volume 13 Number 5 Sep / Oct 2006 523
Evaluation on Type C Data
Type C data consist of diagnostic entries not found in the
database of previously coded entries. The best results for
this data type are displayed in Table 1 and 2. The micro-
averaged technique yielded a precision of 58.6%, recall of
44.5%, and an f-score of 50.7. The macro-averaged technique
yielded a precision of 58.5%, recall of 50.7%, and an f-score
of 54.4.
Discussion
The authors have shown that the example-based component
achieved precision/recall results that exceeded our objec-
tives and were deemed appropriate to be left unsupervised
by manual verification. With the current parameter settings,
this component is able to process 48% of all unique physi-
cian generated diagnostic statements at the Mayo Clinic
without a need for subsequent review. In practical terms,
this capture rate of 48%, computed for unique diagnostic
strings, is likely to be an underestimate as some of the
“easier” to code diagnoses such as “hypertension” also
happen to be highly recurrent. The type A test set of 3,000
diagnoses does not reflect the individual frequencies of the
diagnoses and thus produces a lower bound estimate of the
capture rate. The rate on non-unique entries of type A is
59%.
Furthermore, the performance on type B data, which com-
prised an additional 24% of the non-unique entries, could be
classified with only a slightly lower recall and precision than
the performance on type A data. While the accuracy is not
high enough to justify eliminating subsequent manual re-
view, it will aid the coding process. Although the perfor-
mance on type C data is much lower than type A or type B,
this type of data comprised only 18% of the non-unique
diagnoses entered into the system. This is consistent with
Gundersen et al.
17
where they found that their system could
not produce encodings on 15% of the diagnoses. It is unclear
at this point whether providing codes with the naïve Bayes
classifier at 60% precision and 50% recall is at all beneficial
in practical terms to expedite the manual review. Further
usability studies are necessary to determine this. So far, our
validation study shows that we can reliably achieve our
design objective, which is to increase the throughput of the
Medical Index staff without any significant loss of coding
accuracy at least on 82% of the incoming diagnoses.
Several areas for future improvement were identified. One
such area is data representation for the prediction of the
number of codes. The “bag-of-words” approach we used to
represent data for the classifier that predicts the number of
codes is probably suboptimal. We believe that in order to
improve on this classification task, we need to take into
account such features as the number of clauses, phrases, and
individual words in each sample as well as presence or
absence of some of the clear orthographic clues such as
commas, periods, and semicolons along with the lexical
content of the samples. The latter should be helpful in
predicting the correct number of codes for neoplasms, which
are almost always assigned to at least two categories (ma-
lignancy and location), while the former should help with
the samples that contain multiple coded entities.
From the standpoint of wide applicability of this research,
one has to address the issue of HICDA representing an
outdated version of ICD. Our methodology and software
can be extended to work with other categorization schemes,
provided that these schemes have been used in medical
coding practices and collected substantial amounts of man-
ually coded textual data. Of course, the amount of effort
required to extend this methodology will depend on the
complexity and the specifics of the classification to which it
is extended. Currently, a mapping table exists that can be
used to convert HICDA codes into ICD-9 codes and subse-
quently into SNOMED-CT codes, albeit with a large loss in
granularity.
Limitations
There are several known limitations in the design of the
Autocoder. The first limitation is the fact that diagnostic
statements represent only a part of a patient’s electronic
medical record, which introduces a limitation on the accu-
racy of any classifier trained solely on the information
present in the diagnostic string. For example, a diagnostic
statement of “dementia” taken in isolation from the rest of
the note is ambiguous. It can be coded as “Alzheimer’s
disease” or “Dementia, NOS” depending on the age of the
patient as well as other factors not reflected in the diagnostic
statement itself. To overcome this limitation, a more com-
plete approach to clinical note classification would have to
involve representations of other segments of the record.
Another limitation is the reference standards. In the process
of creating and re-verifying the reference standard of type A,
we were able to identify a number of inherently ambiguous
categories whose correct choice depends on the age of the
patient. Since age is a continuous value, we would need a
systematic way of assigning a discrete value to this variable
in order to be able to use it as a feature in classification. So
far, we were unable to determine a systematic and reliable
way of assigning patient’s age to a discrete value; therefore,
we set the age dependent categories aside into a special table
so that if the example-based component produces a code
that happens to be in that table, we would mark that entry
as requiring a subsequent review. This limitation may affect
the number of diagnostic entries that can be autocoded
without subsequent review; however, we do not believe this
Table 2 y Macro-average Precision/Recall Results for Type A, B and C Data. The Cells for Precision Recall
Contain the Macro-averaged Value for Precision/Recall, Followed by the Total Number of Test Instances,
Followed by the Width of a 95% Confidence Interval
Precision avg. precision
(N samples) 95% CI
Recall avg. precision
(N samples) 95% CI F-score
Type A data 98.0 (2,981) 0.5 98.3 (2,981) 0.4 98.2
Type B data 90.1 (3,000) 0.7 95.6 (3,000) 0.6 93.1
Type C data 58.5 (2,218) 1.9 50.7 (2,218) 1.8 54.4
524 PAKHOMOV et al., Automating the Assignment of Diagnosis Codes to Patient Encounters
effect would be significant. We found only 43 codes out of
nearly 30,000 that were age-dependent. Only 38 entries out
of the 3,000 in type A data set contained one or more of these
codes.
Finally, it is important to note that due to resource limita-
tions the sample size of the reference standard is fairly small
compared to the universe of all diagnostic statements. The
results obtained with this reference standard should be
interpreted with caution—they are generalizable to the more
frequent diagnoses and diagnostic categories but probably
not the ones that are relatively rare.
Conclusion
We have presented a system for automatic classification of
clinical diagnoses that appear as part of clinical notes at the
Mayo Clinic. Our system has the advantage of relying on the
knowledge base obtained by having over ten years of
manual coding experience. The system is designed to make
manual classification of clinical diagnostic entries more
efficient in terms of both throughput and accuracy by using
previously manually coded examples to train the various
classification components of the system. Over two-thirds of
all diagnoses are coded automatically with high accuracy. Of
these, approximately half of the diagnoses are automatically
coded with precision and recall over 95% and will not be
reviewed manually. The Autocoder has been successfully
implemented, which resulted in a reduction of staff engaged
in manual coding from thirty-four coders to seven verifiers.
Further development and validation of this technology will
be necessary in order to maximize its effectiveness.
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    • "Based on the fact that encoding a diagnosis essentially refers to the selection of an ICD-10 code that can best describe the diagnosis, we proposed an example-based model that performs encoding by searching for the ICD-10 code with corresponding instances most similar to the given diagnosis. The efficacy of the example-based model in the automated encoding of diagnoses has been demonstrated by Pakhomov et al. [14], who based their study on the historical coding records of the Mayo Clinic. Unlike that, the present study is based on the standard diagnostic library (SDL). "
    [Show abstract] [Hide abstract] ABSTRACT: Background The accumulation of medical documents in China has rapidly increased in the past years. We focus on developing a method that automatically performs ICD-10 code assignment to Chinese diagnoses from the electronic medical records to support the medical coding process in Chinese hospitals. Methods We propose two encoding methods: one that directly determines the desired code (flat method), and one that hierarchically determines the most suitable code until the desired code is obtained (hierarchical method). Both methods are based on instances from the standard diagnostic library, a gold standard dataset in China. For the first time, semantic similarity estimation between Chinese words are applied in the biomedical domain with the successful implementation of knowledge-based and distributional approaches. Characteristics of the Chinese language are considered in implementing distributional semantics. We test our methods against 16,330 coding instances from our partner hospital. Results The hierarchical method outperforms the flat method in terms of accuracy and time complexity. Representing distributional semantics using Chinese characters can achieve comparable performance to the use of Chinese words. The diagnoses in the test set can be encoded automatically with micro-averaged precision of 92.57 %, recall of 89.63 %, and F-score of 91.08 %. A sharp decrease in encoding performance is observed without semantic similarity estimation. Conclusion The hierarchical nature of ICD-10 codes can enhance the performance of the automated code assignment. Semantic similarity estimation is demonstrated indispensable in dealing with Chinese medical text. The proposed method can greatly reduce the workload and improve the efficiency of the code assignment process in Chinese hospitals. Electronic supplementary material The online version of this article (doi:10.1186/s12911-016-0269-4) contains supplementary material, which is available to authorized users.
    Full-text · Article · Dec 2016
    • "Researchers and developers of clinical information systems have used a range of technologies to try to achieve complete and accurate coded clinical data using post-hoc text processing. Some have used natural language processing (Long 2005)(Meystre and Haug 2006)(Long 2005), others have used data mining and machine learning techniques (Pakhomov et al. 2006)(Wright et al. 2010). Rosenbloom et al (Rosenbloom et al. 2011) suggest that we need to develop hybrid systems that combine structured entry with later text-processing. "
    [Show abstract] [Hide abstract] ABSTRACT: Clinical auditing requires codified data for aggregation and analysis of patterns. However in the medical domain obtaining structured data can be difficult as the most natural, expressive and comprehensive way to record a clinical encounter is through natural language. The task of creating structured data from naturally expressed information is known as information extraction. Specialised areas of medicine use their own language and data structures; the translation process has unique challenges, and often requires a fresh approach. This research is devoted to creating a novel semi-automated method for generating codified auditing data from clinical notes recorded in a neurosurgical department in an Australian teaching hospital. The method encapsulates specialist knowledge in rules that instantaneously make precise decisions for the majority of the matches, followed up by dictionary-based matching of the remaining text.
    Full-text · Article · Jun 2016 · BMC Medical Informatics and Decision Making
    • "(Pustejovsky et al., 2001). On a similar view there are a number of works on automated clinical coding (Friedman et al., 2004; Pakhomov et al., 2006; Patrick et al., 2006; Suominen et al., 2008; Stanfill et al., 2010; Perotte et al., 2014). This work explores traditional soft string matching methods along with n-gram character and word features in a machine learning approach using MaxEnt and XGBoost classifiers. "
    Full-text · Conference Paper · Jan 2016 · BMC Medical Informatics and Decision Making
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