16
 Anesthesilg, V 119 • N 3 525 September 2013  ABSTRACT Background: External validation o published risk stratica- tion models is essential to determine their generalizability. Tis study evaluates the perormance o the Risk Stratica- tion Indices (RSIs) and 30-day mortality Risk Quantica- tion Index (RQI). Methods: 108,423 adult hospital admissions with anesthet- ics were identied (2006–2011). RSIs or mortality and length-o-stay endpoints were calculated using published methodology. 91,128 adult, noncardiac inpatient surger- ies were identied with administrative data required or RQI calculation. Results: RSI in-hospital mortality and RQI 30-day mortal- ity Brier scores were 0.308 and 0.017, respectively. RSI dis- crimination, by area under the receiver operating curves, was excellent at 0.966 (95% CI, 0.963–0.970) or in-hospital mortality , 0.903 (0.896–0.909) or 30-day mortality , 0.866 (0.861–0.870) or 1-yr mortality, and 0.884 (0.882–0.886) or length-o-stay. RSI calibration, however , was po or overall (17% predicted in-hospital mortality vs. 1.5% observed ater inclusion o the regression constant) as demonstrated by cali- bration plots. Removal o sel-ullling diagnosis and proce- dure codes (20,001 o 108,423; 20%) yielded similar results. RQIs were calculated or only 62,640 o 91,128 patients (68.7%) due to unmatched procedure codes. Patients with unmatched codes were younger, had higher American Soci- ety o Anesthesiologists physical status and 30-day mortal- ity. Te area under the receiver operating curve or 30-day mortality RQI was 0.888 (0.879–0.897). Te model also demonstrated good calibration. Perormance o a restricted index, Procedure Severity Score + American Society o Anes- thesiologists physical status, perormed as well as the original RQI model (age + American Society o Anesthesiologists + Procedure Severity Score). Conclusion: Although the RSIs demonstrated excellent dis- crimination, poor calibration limits their generalizability. Te 30-day mortality RQI perormed well with age provid- ing a limited contribution.  A DMINISRAIVE patient data are increasingly used to evaluate patterns and outcomes o disease. Several indices have been developed to predict mortality and other endpoints, including the Charlson Comorbidity Index, 1  variations on the Charlson Comorbidity Index, 2,3 the Elix- hauser method, 4 and the Procedural Index or Mortality Risk. 5 Te Risk Stratication Indices 6 (RSIs) were devel- oped using International Classication o Disease, Ninth What We Already Know about This Topic RiskStraticationIndicesand RiskQuanticationIndiceswer e develo ped to pred ict clinical endpo ints using administrative patientdata Externalvalidation ofriskstraticatio nmodelsdeterminetheir generalizability Va lidati on should characteri ze overall per formance and as - sess dis crimination (the pr obabil ity mea sur ed risk is high er foracasethanitisforanoncase) andcalibrat ion(howwell- predictedprobabilitiesalignwithobservedoutcomes) What This Article Tells Us That Is New Patient datafromthe Massa chuset tsGeneralHospitalwere usedtoshowthattheRiskStraticationIndiceshadexcellent discri minatio n andpoor calibrationbut the30-day mortality RiskQuanticationIndicesperformedwell  ◇  Thi s article is feat ur ed in “This Mont h in Anes the siology.” Pleaseseethisissueof  A nesthesiology ,page3A. Copyright © 2013, the American Society of Anesthesiologists, Inc. Lippincott Williams & Wilkins. Anesthesilg 2013; 119:525-40 * Chie Resident, † Program Director, Critical Care Fellowship,  Assistant Proessor , Department o Anesthesia, Critical Care, and Pain Medicine, Massachusetts General Hospital, Harvard Medical School, Boston, Massachusetts. ‡ Instructor, Department o Anesthe- sia, Vanderbilt University, Nashville, Tennessee. Received rom the Department o Anesthesia, Critical Care, and Pain Medicine, Massachusetts General Hospital, Boston, Massachusetts, and Department o Anesthesia, Vanderbilt University, Nashville, Ten- nessee. Submitted or publication July 13, 2012. Accepted or publica- tion April 17, 2013. Support was provided solely rom institutional and/ or departmental sources. This work in part has been presented at the  Annu al Meeti ng o the Amer ican Soci ety o Anes thes iolo gists , Washi ng- ton, DC, October 13, 2012. The authors declare no competing interests.  Address c orresponden ce to Dr. Sigakis: Depa rtment o Anesthe - sia, Critical Care, and Pain Medicine, Massachusetts General Hospi- tal, Gray-Bigelow 444, 55 Fruit Street, Boston, Massachusetts 02114. [email protected] . This article may be accessed or personal use at no charge through the Journal Web site,  www .anesthesiol ogy.o rg.  V alidation o a Risk Str atifcation Index and Risk Quantifcation Index or Predicting Patient Outcomes In-hospital Mortality, 30-day Mortality, 1-year Mortality, and Length-of-stay MatthewJ.G.Sigakis,M.D.,*EdwardA.Bittner,M.D.,Ph.D.,†JonathanP.Wanderer,M.D.,M.Phil.‡

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Page 1: Validation of a Risk Stratification Index and Risk.12

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 Anesthesilg, V 119 • N 3 525 September 2013

 ABSTRACT

Background: External validation o published risk stratica-tion models is essential to determine their generalizability.Tis study evaluates the perormance o the Risk Stratica-

tion Indices (RSIs) and 30-day mortality Risk Quantica-tion Index (RQI).Methods: 108,423 adult hospital admissions with anesthet-ics were identied (2006–2011). RSIs or mortality andlength-o-stay endpoints were calculated using publishedmethodology. 91,128 adult, noncardiac inpatient surger-ies were identied with administrative data required orRQI calculation.Results: RSI in-hospital mortality and RQI 30-day mortal-ity Brier scores were 0.308 and 0.017, respectively. RSI dis-crimination, by area under the receiver operating curves, wasexcellent at 0.966 (95% CI, 0.963–0.970) or in-hospitalmortality, 0.903 (0.896–0.909) or 30-day mortality, 0.866(0.861–0.870) or 1-yr mortality, and 0.884 (0.882–0.886)or length-o-stay. RSI calibration, however, was poor overall(17% predicted in-hospital mortality vs. 1.5% observed aterinclusion o the regression constant) as demonstrated by cali-bration plots. Removal o sel-ullling diagnosis and proce-dure codes (20,001 o 108,423; 20%) yielded similar results.RQIs were calculated or only 62,640 o 91,128 patients(68.7%) due to unmatched procedure codes. Patients with

unmatched codes were younger, had higher American Soci-

ety o Anesthesiologists physical status and 30-day mortal-ity. Te area under the receiver operating curve or 30-day mortality RQI was 0.888 (0.879–0.897). Te model alsodemonstrated good calibration. Perormance o a restrictedindex, Procedure Severity Score + American Society o Anes-thesiologists physical status, perormed as well as the originalRQI model (age + American Society o Anesthesiologists +Procedure Severity Score).Conclusion: Although the RSIs demonstrated excellent dis-crimination, poor calibration limits their generalizability.Te 30-day mortality RQI perormed well with age provid-ing a limited contribution.

 A DMINISRAIVE patient data are increasingly usedto evaluate patterns and outcomes o disease. Several

indices have been developed to predict mortality and otherendpoints, including the Charlson Comorbidity Index,1 variations on the Charlson Comorbidity Index,2,3 the Elix-hauser method,4 and the Procedural Index or Mortality Risk.5 Te Risk Stratication Indices6 (RSIs) were devel-oped using International Classication o Disease, Ninth

What We Already Know about This Topic

• RiskStraticationIndicesandRiskQuanticationIndicesweredeveloped to predict clinical endpointsusingadministrativepatientdata

• Externalvalidationofriskstraticationmodelsdeterminetheirgeneralizability

• Validation should characterize overall performance and as-

sess discrimination (the probabilitymeasured risk is higherforacasethanitisforanoncase)andcalibration(howwell-predictedprobabilitiesalignwithobservedoutcomes)

What This Article Tells Us That Is New

• PatientdatafromtheMassachusettsGeneralHospitalwereusedtoshowthattheRiskStraticationIndiceshadexcellentdiscrimination andpoor calibrationbut the30-daymortalityRiskQuanticationIndicesperformedwell

 ◇  This article is featured in “This Month in Anesthesiology.”

Pleaseseethisissueof A nesthesiology ,page3A.Copyright © 2013, the American Society of Anesthesiologists, Inc. Lippincott Williams & Wilkins. Anesthesilg 2013; 119:525-40

* Chie Resident, † Program Director, Critical Care Fellowship, Assistant Proessor, Department o Anesthesia, Critical Care, andPain Medicine, Massachusetts General Hospital, Harvard Medical

School, Boston, Massachusetts. ‡ Instructor, Department o Anesthe-sia, Vanderbilt University, Nashville, Tennessee.

Received rom the Department o Anesthesia, Critical Care, andPain Medicine, Massachusetts General Hospital, Boston, Massachusetts,and Department o Anesthesia, Vanderbilt University, Nashville, Ten-nessee. Submitted or publication July 13, 2012. Accepted or publica-tion April 17, 2013. Support was provided solely rom institutional and/or departmental sources. This work in part has been presented at the

 Annual Meeting o the American Society o Anesthesiologists, Washing-ton, DC, October 13, 2012. The authors declare no competing interests.

 Address correspondence to Dr. Sigakis: Department o Anesthe-sia, Critical Care, and Pain Medicine, Massachusetts General Hospi-tal, Gray-Bigelow 444, 55 Fruit Street, Boston, Massachusetts [email protected]. This article may be accessed or personal useat no charge through the Journal Web site, www.anesthesiology.org.

 Validation o a Risk Stratifcation Index and RiskQuantifcation Index or Predicting Patient Outcomes

In-hospital Mortality, 30-day Mortality, 1-year Mortality, and Length-of-stay 

MatthewJ.G.Sigakis,M.D.,*EdwardA.Bittner,M.D.,Ph.D.,†JonathanP.Wanderer,M.D.,M.Phil.‡

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 Validation o RSI and RQI

Revision, Clinical Modication (ICD-9-CM) diagnosisand procedure codes or hospital inpatients who were morethan 65 yr o age, which were obtained rom the MedicareProvider Analysis and Review (MEDPAR) database or theperiod o 2001–2006. Te RSIs have received much atten-

tion or their potential application as a tool or risk-adjusting important healthcare outcomes.7 However, they have not yetbeen externally validated.

In the RSI models, a level o risk was derived or diagnosisand procedure codes associated with a hospital stay, using logistic regression modeling or in-hospital mortality andCox proportional hazards modeling or postdischarge deathand length-o-stay (LOS). Summation o the covariate coe-cients associated with a patient’s procedure and diagnosticcodes generates an RSI. Te RSIs demonstrated excellentdiscrimination (c statistic) as predictive indices or mortal-ity and LOS endpoints when applied to a large MEDPAR validation set and the authors’ institutional data. Additionalstatistical analysis to determine overall model perormanceand calibration was recommended.8 Calibration o a modelreers to the degree to which predicted and actual outcomesagree.9 A ollow-up analysis assessed calibration by compar-ing actual mortality rates with RSI value groups.10 A com-parison against predicted mortality was not made.

Te Risk Quantication Indices11 (RQIs) are another risk index system developed to predict 30-day mortality and mor-bidity using a small number o administrative data points.Te indices were developed using adult noncardiac surgicalpatient data rom the National Surgical Quality Improve-ment Project database12 or the period o 2005–2008. Using 

Current Procedural erminology (CP) codes, the authorsderived a procedural severity score (PSS) that measured pro-cedural risk. Tese scores were combined with patient ageand American Society o Anesthesiologists (ASA) physicalstatus to create a predictive index o 30-day mortality andmajor morbidity. Te goal o this study was to externally evaluate the perormance o the RSIs and 30-day mortality RQI using patient data at our institution.

Materials and Methods

Patient Population 

Tis study was approved by the Partners Institutional Review Board, Boston, Massachusetts (2011P000253). For valida-tion o the RSIs, the authors identied adult (18 yr o age orolder) inpatient admissions that included anesthetics or theperiod 2006–2011 using the Massachusetts General Hospital(MGH) anesthesia inormation management system. For the30-day mortality RQI validation, we identied all adult non-cardiac inpatient surgical cases by excluding cardiac cases andnonsurgical procedures that required anesthetics, specically cardiology, electroconvulsive therapy, and labor epidurals.

Data Collection 

 Ater identiying the patient population using MGH anes-thesia inormation management system data, we obtained the ASA physical status and primary surgical CP code rom ouranesthesia billing system (2007–2011). Diagnostic and pro-cedure ICD-9-CM codes and LOS data were obtained romthe MGH billing system. Mortality endpoints were derivedrom the Partners HealthCare System Research Patient Data Repository (RPDR). Te RPDR is a secure centralized admin-istrative data warehouse that contains patient encounter data rom multiple hospital inormation systems in the Partners

Health System.13,14

Te RPDR links patients to the NationalDeath Index, a central computerized index o death recordinormation maintained by the National Center or HealthStatistics division o the Centers or Disease Control.15

RSI Validation Methodology 

For validation o the RSIs, a level o risk was assigned oreach patient in our sample population by summation o thecovariate coecients associated with each diagnosis and pro-cedure ICD-9-CM code. Te methodology or RSI calcula-tion is available at the authors’ Web site.§ Briey, patientdata are organized into an “input le,” with each row repre-senting a single patient stay that contains all associated ICD-9-CM diagnosis and procedure codes. Using SPSS (version17.0; IBM, Armonk, NY), the published SPSS macro wasexecuted with the MGH input le to assign β coecientsto each diagnosis and procedure code. β Coecients weresummed to calculate an RSI value.

Overall model perormance was determined using theBrier score. o assess discrimination, the aggregate peror-mance o each RSI on outcomes o interest was quantied by calculating the area under the receiver operating characteris-tic curve (AUROC). Consistent with the original RSI study,LOS was assessed by determining whether the index risk wasabove or below the median LOS or the primary ICD-9-CM

procedure code. Calibration was assessed by comparing 

Table 1. RSI Dataset Characterization

RSI Data Set

Total cases in data set 108,423 Age, yr 54.5 ± 19.9

Female, % 53.5White/black/other, % 82.3/4.3/13.4

Dx count 6.9 ± 2.9

Px count 3.0 ± 2.4

LOS, d 6.6 ± 9.6

In-hospital mortality, % 1.1

30-d mortality, % 2.0

1-yr mortality, % 6.5

Data are presented as mean ± SD unless noted otherwise.

Dx = ICD-9-CM Diagnosis code; ICD-9-CM = InternationalClassication o Disease, Ninth Revision, Clinical Modication;LOS = length o stay; Px = ICD-9-CM Procedure code; RSI = RiskStratication Index.

§ Cleveland Clinic: Outcomes Research, Risk Stratifcation Index. Available at: http://my.clevelandclinic.org/anesthesia/outcomes/risk-stratifcation-index.aspx. Accessed November 23, 2012.

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PERIOPERATIVE MEDICINE

actual with predicted endpoints16 or in-hospital mortal-

ity, 30-day mortality, and 1-yr mortality in the RPDR data set. Predicted outcomes were calculated by the inverse logitunction or mortality endpoints and LOS (1/[1+e−RSI]). Fortime-dependent endpoints (30-day mortality, 1-yr mortal-ity, and LOS), calibration curves were generated using cases where endpoints were known, eliminating the concern orcensored data. Te authors dened “sel-ullling” ICD-9-CM codes as “conditions that required immediate medicalintervention” and “procedures that are typically perormedduring emergency resuscitation,” and then applied this de-nition to the RSI in-hospital mortality model (appendix 1).ICD-9-CM codes that are sel-ullling (i.e., cardiac arrest)

 with respect to outcome were removed rom the MGH data set and RSI model perormance reanalyzed.

RQI Validation Methodology 

o validate the RQI or 30-day mortality, CP codes cor-responding to patients’ primary procedure were assigned weights (i.e., PSS) and combined with ASA physical statusand age to calculate the RQI. echnical issues precluded the

use o the published R module, available at the RQI Web site.║ 

Published PSS covariates together with model parametersprovided by the original authors (appendix 2) were used tocompute the 30-day mortality RQI using SPSS (appendix 3). Results were compared against actual patient endpointsin the RPDR data set. Overall model perormance wasassessed with the Brier score. Discrimination was quanti-ed by AUROC calculation. Calibration was assessed by comparing actual with predicted endpoints16 or 30-day 

mortality in the RPDR data set. RQI model perormance(age, ASA physical status, and PSS) was compared with lim-ited versions (age + ASA, age + PSS, ASA + PSS) to assessthe degree to which each variable contributed to the RQI

perormance.

Statistical Analysis 

In addition to the validation methodology above, statisticalcomparisons were made to characterize the patient popula-tion that did not generate RQI values due to unmatchedCP codes. Te chi-square test was used or categoricalvariables (mortality, ASA physical status >2) and a two-tailed independent t  test was used to compare continuous

variables (age). All statistical comparisons were perormedusing SPSS. Calibration plots and Brier scores were gener-ated using R (version 2.15.1, rms package; R Core eam,

R Foundation or Statistical Computing, Vienna, Austria).#

║ Cleveland Clinic: Outcomes Research, Risk Quantifcation Index. Available at: http://my.clevelandclinic.org/anesthesia/outcomes/risk-quantifcation-index.aspx. Accessed November 23, 2012.# Vanderbilt University, Department o Biostatistics: Statistical Com-puting. Available at: http://biostat.mc.vanderbilt.edu/wiki/Main/StatComp. Accessed November 23, 2012.

Table 2. Most Common ICD-9-CM Procedure and Diagnosis Codes

Count % Denition

Procedure codeP741 3,528 3.3 Low cervical cesarean section

P8154 3,324 3.1 Total knee replacementP7569 3,193 2.9 Repair o other current obstetric laceration

P8151 3,039 2.8 Total hip replacement

P605 2,136 2.0 Radical prostatectomy

P0309 1,521 1.4 Other exploration and decompression o spinal canal

P3521 1,517 1.4 Replacement o aortic valve with tissue grat

P7936 1,509 1.4 Open reduction o racture with internal xation, tibia, and bula

P3812 1,465 1.4 Endarterectomy, other vessels o head and neck

P064 1,423 1.3 Complete thyroidectomy

Diagnosis code

D71536 2,952 2.7 Osteoarthrosis, localized, not specied whether primary or secondary, lower leg

D71535 2,340 2.2 Osteoarthrosis, localized, not specied whether primary or secondary, pelvicregion, and thigh

D185 2,214 2.0 Other lung diseasesD66411 1,677 1.5 Second-degree perineal laceration, delivered, with or without mention oantepartum condition

D41401 1,604 1.5 Coronary atherosclerosis o native coronary artery

D42731 1,365 1.3 Atrial brillation

D43310 1,286 1.2 Occlusion and stenosis o carotid artery without mention o cerebral inarction

D27801 1,277 1.2 Morbid obesity

D65421 1,188 1.1 Previous cesarean delivery, delivered, with or without mention o antepartumcondition

D4241 1,104 1.0 Other endocardial disease

ICD-9-CM = International Classication o Disease, Ninth Revision, Clinical Modication.

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 Anesthesilg 2013; 119:525-40 528 Sigakis et al.

 Validation o RSI and RQI

Te specic code used to generate RSI and RQI calibrationplots can be ound in appendix 4.

Results

RSI 

 A total o 108,423 adult anesthetic records, each correspond-ing to an individual inpatient admission, were identied

or validating the RSIs. Overall, there were 3,811 unique

principal diagnosis codes and 1,873 unique principal pro-

cedure codes. Characteristics o the data set are illustrated intables 1 and 2. Overall, the RSIs demonstrated excellent dis-

crimination, but poor calibration. Te results or each end-

point’s Brier score and AUROC are summarized in table 3

and gure 1. Te AUROC or in-hospital mortality, 30-day 

Table 3. RSI and RQI Brier Scores and AUROCs

Outcome MGH Brier Score MGH AUROC Sessler et al. AUROC

RSI In-hospital mortality 0.308 0.966 (0.963–0.970) 0.977 (0.977–0.980) Adjusted in-hospital mortality 0.073 0.966 (0.963–0.970)

30-d mortality 0.199 0.903 (0.896–0.909) 0.854 (0.834–0.875)1-yr mortality 0.195 0.866 (0.861–0.870) 0.832 (0.825–0.839)

LOS 0.147 0.884 (0.882–0.886) 0.886 (0.883–0.888)

In-hospital mortality w/o SFC 0.253 0.973 (0.968–0.982)

 Adjusted in-hospital mortality w/o SFC 0.036 0.973 (0.968–0.982)

Dalton et al. AUROC

RQI 30-d mortality 0.017 0.888 (0.879–0.897) 0.915 (0.906–0.924)

 AUROC = area under the receiver operating characteristic; ICD-9-CM = International Classication o Disease, Ninth Revision, ClinicalModication; LOS = length-o-stay; MGH = Massachusetts General Hospital; RQI = Risk Quantication Index; RSI = Risk StraticationIndex; SFC = sel-ullling ICD-9-CM codes; w/o = without.

Fig. 1. External validation o Risk Stratication Index discrimination: area under the receiver operating characteristic curvesor Risk Stratication Index endpoints using Massachusetts General Hospital patient data. In-Hospital = in-hospital mortality;LOS = length-o-stay; One-Year = 1-year mortality; 30-Day = 30-day mortality.

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PERIOPERATIVE MEDICINE

mortality, 1-yr mortality, and LOS at our institution were0.966 (95% CI, 0.963–0.970), 0.903 (0.896–0.909), 0.866(0.861–0.870), and 0.884 (0.882–0.886), respectively, com-pared with the original ndings o 0.977 (0.977–0.980),0.854 (0.834–0.875), 0.832 (0.825–0.839), and 0.886(0.883–0.888), respectively.6

Calibration “in-the-large” or RSI in-hospital mortality illustrated a discrepancy between actual (1.5%) and pre-dicted (51.7%) in-hospital mortality. Te authors identieda regression constant (−2.198) in the published RSI “all-covariates.xls” le§ that was not used in the published SPSSimplementation macro, “RSI Calculation or Web Use Rev 

Fig. 2. External validation o Risk Stratication Index calibration: calibration curves or Risk Stratication Index endpoints us-ing Massachusetts General Hospital patient data. In-Hospital = in-hospital mortality; LOS = length-o-stay; One-Year = 1-year

mortality; 30-Day = 30-day mortality.

Fig. 3. Risk Stratication Index in-hospital mortality discrimination and calibration ater removal o “sel-ullling” InternationalClassication o Diseases, Ninth Revision, Clinical Modication codes rom Massachusetts General Hospital patient data: re-ceiver operating characteristic curve and calibration plot.

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 Validation o RSI and RQI

2.sps,”§ and used this to calculate an adjusted RSI in-hospitalmortality. Incorporation o this constant improved the cali-bration (predicted in-hospital mortality o 17.5%) and Brier

score (table 3), although calibration remained poor. Cali-bration plots also demonstrated poor calibration or 30-day mortality, 1-yr mortality, and LOS (g. 2). Assessment o a sample results data le published on the RSI Web site, “sam-ple data rev2.sav,”§ was similar (49% predicted in-hospitalmortality, 18% predicted in-hospital mortality ater includ-ing the regression constant).

Records with any ICD-9-CM codes that were identi-ed as sel-ullling with respect to outcome (appen-dix 1) were removed rom the MGH data set (20,001 o 108,423, 20%) and RSI model perormance reanalyzed;

discrimination slightly improved whereas calibrationremained poor (g. 3).

RQI Te authors identied 91,128 anesthetic records or non-cardiac surgical cases with the data required or calculationo the 30-day mortality RQI. Tere were 1,694 unique pri-mary surgical CP codes. Characteristics o the data set areshown in table 4. O these, RQI calculations could not beperormed or 28,488 cases (31.3%) due to unmatched CPcodes. O the 197 unique unmatched CP codes, the 10most common are illustrated in table 5. Compared with thematched CP data set, patients with unmatched CP codes were younger (50.8 ± 21.6 vs. 56.2 ± 19.1 yr old; P < 0.001),

Table 4. RQI Data Set Characterization

RQI Data Set(Input set) RQI Data Set (Calculated) RQI Data Set(Missing)

Total cases in data set 91,128 62,640 28,488 Age, yr 54.5 ± 20.0 56.2 ± 19.1 50.8 ± 21.6*

 ASA I/II/III/IV/V, % 8.0/50.9/34.8/6.1/0.2 8.2/55.5/31.8/4.3/0.3 7.4/40.8/41.4/10.3/0.230-d mortality, % 2.8 1.9 4.7*

High ASA, % 43.1 38.0 54.3*

*P < 0.001 compared with RQI data set (calculated) using two-tailed independent t test or continuous variable (age) and chi-square testor categorical variables (mortality, high ASA). Data are presented as mean ± SD unless noted otherwise.

 ASA = American Society o Anesthesiologists physical status; Calculated = cases with CPT codes where a PSS could be calculated basedon published RQI methodology; CPT = current procedural terminology; High ASA = ASA > II; Input set = cases with the data requiredor calculation o the 30-d mortality RQI; Missing = cases with unmatched CPT codes preventing calculation o 30-day mortality RQI;PSS = Procedure Severity Score; RQI = Risk Quantication Index.

Table 5. Most Common Unmatched CPT Codes

Primary Surgical CPT Count % CPT Description

59514AA 1,903 6.7 Cesarean delivery only59514AC 851 3.0 Cesarean delivery only

61624AA 703 2.5 Transcatheter permanent occlusion or embolization (  e.g., or tumordestruction, to achieve hemostasis, to occlude a vascular mal-ormation), percutaneous, any method; central nervous system(intracranial, spinal cord)

43235AA 616 2.2 Upper gastrointestinal endoscopy including esophagus, stomach,and either the duodenum and/or jejunum as appropriate; diagnos-tic, with or without collection o specimen(s) by brushing or wash-ing (separate procedure)

43246AA 599 2.1 Upper gastrointestinal endoscopy including esophagus, stomach,and either the duodenum and/or jejunum as appropriate; withdirected placement o percutaneous gastrostomy tube

31600AA 525 1.8 Tracheostomy, planned (separate procedure)

52332AA 513 1.8 Cystourethroscopy, with insertion o indwelling ureteral stent (  e.g.,Gibbons or double-J type)

45380AA 497 1.7 Colonoscopy, fexible, proximal to splenic fexure; with biopsy, singleor multiple

45378AA 476 1.7 Colonoscopy, fexible, proximal to splenic fexure; diagnostic, with orwithout collection o specimen(s) by brushing or washing, with orwithout colon decompression (separate procedure)

31622AA 469 1.7 Bronchoscopy, rigid or fexible, including fuoroscopic guidance,when perormed; diagnostic, with cell washing, when perormed(separate procedure)

CPT = Current Procedural Terminology.

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PERIOPERATIVE MEDICINE

 were more likely to have an ASA physical status greater than2 (54.3 vs. 38.0%; P < 0.001) and had greater 30-day mor-tality (4.7 vs. 1.9%; P < 0.001).

For the 62,640 cases with matched CP codes, Brier scoreand AUROC are shown in table 3 and gure 4. AUROC

or 30-day mortality at our institution was 0.888 (0.879–0.897). Tis perormance was similar to the originally reported AUROC o 0.915 (0.906–0.924).11 Te 30-day mortality RQI demonstrated good calibration (g. 4).

Te discrimination o the age + ASA, age + PSS, and ASA + PSS models are shown in table 6. Calibration o thesecomponent models was not assessed. O the three model ele-ments, age provided the smallest contribution to the result-ing discrimination.

Discussion

Our results indicate important limitations to the generaliz-ability o RSIs and 30-day mortality RQI. o the authors’knowledge, this is the rst comprehensive external evalua-tion o these indices to be published.

Te RSIs use ICD-9-CM codes or diseases and proce-dures associated with hospitalization. Using up to 10 diag-nostic and 10 procedure codes to assign a level o risk to a patient stay, the RSIs capture the underlying clinical con-dition in a manner that is intended or retrospective risk-adjusted quality-o-care comparisons. By contrast, the RQIsuse inormation available beore a hospitalization to predictexpected outcomes. Compared with other indices or out-come adjustment, the RQI uses ewer data points: a primary 

surgical CP code, ASA physical status, and age.Both RSI and RQI indices use an aggregation scheme

to account or low-requency codes and annual revisions incode denitions. In the RSI models, hierarchical selectionprocesses were used on the MEDPAR data set to select a seto codes based on average annual incidence to ensure consis-tency o codes across years. Less requent ICD-9-CM codes were truncated and reassessed to ensure an average annualoccurrence o more than 5,000 or our- and ve-characterICD-9-CM codes and more than 1,000 or three-characterICD-9-CM codes. ICD-10, which consists o over 100,000α-numeric diagnostic and procedure codes, is scheduled or

roll out in October 2014.17 A similar derivation scheme couldbe applied to generate RSI models compatible with ICD-10.Te RQI aggregation scheme was developed on a reservedsubset o the National Surgical Quality Improvement Proj-ect database.12 Frequently used CP codes were representedas separate cohorts. Less common procedures were aggre-gated according to one o 244 categories as described by the

Clinical Classications Sotware or Services and Procedures(U.S. Department o Health and Human Services Agency or Healthcare Research and Quality, Rockville, MD).18 I the number o cases within a Clinical Classications Sot- ware group was low, these groups were urther aggregated

into an “all-purpose other” group. Te resulting schemedenes PSS scores or a subset o CP codes.Evaluation o a predictive model should character-

ize overall perormance, and assess discrimination and  calibration.8,16,19 Te Brier score is a statistical measureused to assess overall predictive perormance by comput-ing the squared diference between predicted and actualoutcomes.16,20 Smaller diferences between predicted andactual data points reect a better overall “goodness-o-t”o a model. Te Brier score ranges rom 0 to 1. A model with perect prediction has a score o 0, whereas a nonin-ormative model that provides predictions no better than

chance with an outcome incidence o 50% has a score o 0.25. Unlike the AUROC, interpretation o the Brier scoredepends on the incidence o the outcome. Te Adjusted RSIIn-Hospital Mortality model without sel-ullling codeshad the best overall Brier score relative to other RSIs, but was still considerably higher than the RQI 30-day Mortality Brier score.

Calibration reers to how well a model’s predicted prob-abilities align with the observed outcomes. Discrimination,however, represents the probability that the measured risk is higher or a case versus noncase or how well a model canrank order cases.9 It is not surprising, or instance, that dis-crimination or RSI In-Hospital Mortality remained strong ater removal o sel-ullling ICD-9-CM codes. A well-ordered list will remain in order regardless o how cases may be removed. But discrimination does not characterize actualpredicted probabilities, which are undamental to clinicalrisk-prediction models. Calibration is especially importantor prognostic models in which the clinical question is thechance o a uture outcome, given current risk actors.16,19 RSI In-Hospital Mortality calibration remained poor aterremoval o sel-ullling ICD-9-CM codes. Te improve-ment in Brier score likely reects the modest improvementin discrimination.

 Although the RSIs demonstrate excellent discrimination,the current models’ poor calibration limits their use as a toolto compare risk-adjusted outcomes among entities. O note,there is a signicant mean age diference between the MED-PAR data set (mean age 74) and MGH data set (mean age55). Tis age diference may inuence calibration, as greaterrisk is associated with increasing age. Although the originalRSI study includes an internal validation o Cleveland Clinicdata with mean age o 56.6 yr,6 there are no calibration data published or comparison. Te physiologic changes o aging result in increased incidence o comorbidities such as highblood pressure** and diabetes.†† For example, the impacto diabetes on recovery ater hip racture is moderated by 

age.21 Tus, the risk associated with a diagnosis or procedure

** American Heart Association: Statistical Fact Sheet (2012). Avail-able at: http://www.heart.org/HEARTORG/General/Populations_UCM_319119_Article.jsp. Accessed June 10, 2013.

†† American Diabetes Association: Diabetes Statistics (2011). Avail-able at: http://www.diabetes.org/diabetes-basics/diabetes-statis-tics/. Accessed February 2, 2013.

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 Validation o RSI and RQI

code may be diferent when comparing patients based onage alone.

It is interesting to note the impact o age in another well-established predictive index, the Revised Cardiac Risk Index. Inthe Revised Cardiac Risk Index, discrimination was evaluatedusing the AUROC whereas calibration was assessed by compar-ing the predicted and actual major cardiac complication rates by risk class.22 Te mean age o patients within the Revised CardiacRisk Index study was 66 yr, with age more than 70 yr correlating  with a relative risk o 1.9 (1.1–3.2) or cardiac complications.22  Although increased age was associated with higher morbidity in the original Cardiac Risk Index,23 the six independent risk 

actors identied by logistic regression analysis or the RevisedCardiac Risk Index did not include age.22,24

For the RQI calculation, we observed a relatively high rateo unmatched CP codes in our data set o inpatient anes-thetics, which is likely a product o the aggregation schemeand the relatively broad set o anesthetic cases included inour data set. Alternative CP aggregation schemes havebeen proposed.25 Te data set used to derive the RQI model was obtained rom the National Surgical Quality Improve-ment Project and may not be representative o proceduresor CP coding practices at our institution. Our data set was derived rom anesthesia billing records. Cardiac and

nonprocedural anesthetic records were removed rom ourdata set to conorm more closely to the sample populationused or derivation o the RQI with the goal o evaluating the generalizability o the RQI as a novel severity scoring methodology using primary CP codes. Te most commonunmatched CP codes listed in table 5 represent proceduresor which an RQI score would be useul. A robust capture o CP codes or 30-day mortality RQI calculation is impor-tant because the current analysis indicates these procedures

 were associated with a signicantly higher ASA physical sta-tus and 30-day mortality.

Tere are a number o limitations that must be appreci-ated when using administrative data. Code denitions change with time. Te RQI was derived using data rom 2005 to2008, whereas the current data timerame was 2006–2011.Tus, only 3 yr overlap when comparing data sets. Review o the total number o CP changes or the years 2005–2011has been shown to total more than 2,500 changes.26–32 Fur-

thermore, the RQI incorporates the ASA physical status,33,34  which has notable provider variability.35,36 Regional or insti-tutional diferences in coding practices may also contribute

to coding variability. Sources o coding error occur along theentire patient trajectory.37–39 Error rates in coding have beenshown to range rom approximately 10–20%.40,41

Risk indices that use administrative data may not ade-quately assess how well hospitals and providers identiy and

respond to adverse events that developed during their care;described as “ailure to rescue.”‡‡ Te degree to which in-hospital complications are documented difers among insti-tutions. Rewarding hospitals solely or lower-documentedin-hospital complications rates, such as using the RSIs orrisk-adjusted comparison o outcomes among institutions,may not reect important quality standards such as “moni-

toring” and “action taken.” Additionally, the current study has several limitations. Te

authors were unable to identiy present-on-admission diag-noses and index procedures in order to exclude conditionsor procedures that occurred during the hospitalization. As a result, including non–present-on-admission data may lead tooverly optimistic predictive capability o the RSI in the cur-rent validation. As these data becomes more widely available,

models may be used to assess risk o hospital-acquired condi-tions based on admission diagnoses or planned procedures.19

Te authors’ institution does not routinely collect the end-points required or validating 30-day morbidity outside o par-

ticipation in National Surgical Quality Improvement Project.

Fig. 4. External validation o Risk Quantication Index 30-day mortality discrimination and calibration: Area under the receiveroperating characteristic curve and calibration curve or Risk Quantication Index 30-day mortality endpoint using Massachu-setts General Hospital patient data.

‡‡ Agency or Healthcare Research and Quality: Patient Saety Net- work Glossary, Failure to Rescue. Available at: http://psnet.ahrq.gov/popup_glossary.aspx?name=ailuretorescue. Accessed Febru-ary 2, 2013.

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PERIOPERATIVE MEDICINE

 As a result, the authors were unable to assess the perormanceo the RQI or 30-day morbidity. In addition, the model orRQI 30-day mortality was derived using inpatient and out-patient surgical data. Te current data set included inpatientsurgeries only; thus, the authors were unable to validate RQI

30-day mortality model perormance or outpatient surgery.

Conclusions

 Although the RSI models or risk-adjusted healthcare outcomesdemonstrated excellent discrimination, the poor calibration o the current models raises concerns about their generalizabil-ity. Assessment o calibration o the MEDPAR data set usedto generate the original RSIs would be inormative, with thepotential to rederive the risk associated with covariates o inter-est to improve its perormance on external data sets.

Te RQI or 30-day mortality perormed well on thecurrent data set or matched CP data. However, the cur-

rent data reveal a large number o unmatched CP codesor cases associated with signicantly higher morbidity andmortality. A robust capture o CP codes or 30-day mortal-ity RQI calculation may identiy patients at increased risk.Inclusion o age in the RQI was o limited additional predic-tive inormation in the analysis o the current data set.

The authors thank Frank E. Harrell, Jr., Ph.D., Chair and Proessor

o Biostatistics, Vanderbilt University, Nashville, Tennessee, or his

invaluable assistance with statistical analysis.

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method o classiying prognostic comorbidity in longitudi-nal studies: Develpment and validatin. J Chrnic Dis 1987;40:373–83

2. De RA, Cherkin DC, Cil MA: Adapting a clinical cmr- bidit index fr use with ICD-9-CM administrative databases. J Clin Epidemil 1992; 45:613–9

3. Rman PS, Rs LL, Jllis JG: Adapting a clinical cmr- bidit index fr use with ICD-9-CM administrative data:Differing perspectives. J Clin Epidemil 1993; 46:1075–9;discussin 1081–90

4. van Walraven C, Austin PC, Jennings A, Quan H, Frster AJ: A modifcation o the Elixhauser comorbidity measures intoa pint sstem fr hspital death using administrative data.Med Care 2009; 47:626–33

5. van Walraven C, Wng J, Bennett C, Frster AJ: The PrceduralIndex fr Mrtalit Risk (PIMR): An index calculated usingadministrative data t quantif the independent inuence f 

prcedures n risk f hspital death. BMC Health Serv Res2011; 11:258

6. Sessler DI, Sigl JC, Manberg PJ, Kelle SD, Schubert A,Chamun NG: Bradl applicable risk straticatin sstemor predicting duration o hospitalization and mortality.

 A NESTHESIoLoGy 2010; 113:1026–37

7. Chen NA, Hannenberg AA: Risk straticatin index: An

imprtant advance in cmparing health care apples toranges. A NESTHESIoLoGy 2010; 113:1004–6

8. Pace NL: Incmplete validatin f risk straticatin indices. A NESTHESIoLoGy 2011; 115:214–5; authr repl 215–6

9. Harrell FE: Regressin Mdeling Strategies: With Applicatinst Linear Mdels, Lgistic Regressin, and Survival Analsis.New yrk, Springer-Verlag, 2001, pp 493–4

 10. Sigl JC, Sessler DI, Kelle SD, Chamun NG: Incmplete Validation o Risk Stratifcation Indices. A NESTHESIoLoGy 2011;115:215–6

 11. Daltn JE, Kurz A, Turan A, Mascha EJ, Sessler DI, Saager L:Develpment and validatin f a risk quanticatin index fr 30-da pstperative mrtalit and mrbidit in nncardiacsurgical patients. A NESTHESIoLoGy 2011; 114:1336–44

 12. American Cllege f Surgens Natinal Surgical Qualit 

Imprvement Prgram: User Guide fr the 2010 ParticipantUse Data File. Chicag, American Cllege f Surgens, 2010

 13. Murph SN, Chueh HC: A securit architecture fr quer tools used to access large biomedical databases. Proc AMIA Smp 2002; 552–6

 14. Murph SN, Gainer V, Chueh HC: A visual interface designedfr nvice users t nd research patient chrts in a large

 bimedical database. AMIA Annu Smp Prc 2003;489–93

 15. Centers fr Disease Cntrl and Preventin Natinal Center fr Health Statistics: Natinal Death Index, Matching Criteria.Hattsville, U.S. Department f Health and Human Services,2011

 16. Steerberg EW, Vickers AJ, Ck NR, Gerds T, Gnen M,obuchwski N, Pencina MJ, Kattan MW: Assessing the per-frmance f predictin mdels: A framewrk fr traditinal

and nvel measures. Epidemilg 2010; 21:128–38 17. Department f Health and Human Services: 45 CFR Part 162,

Prpsed Rules. Federal Register, Vl. 77, N. 74, 2012

 18. Agenc fr Healthcare Research and Qualit HealthcareCst and Utilizatin Prject (HCUP): Clinical ClassicatinsSftware 2012. Healthcare Cst and Utilizatin Prject—HCUP a Federal-State-Industr Partnership in Health Data,2011

 19. Ck NR: Use and misuse f the receiver perating charac-teristic curve in risk predictin. Circulatin 2007; 115:928–35

 20. Brier GW: Vericatin f frecasts expressed in terms f prbabilit. Mnthl Weather Review 1950; 78:1–3

 21. Reistetter TA, Graham JE, Deutsch A, Markell SJ, Granger CV, ottenbacher KJ: Diabetes cmrbidit and age inuencerehabilitatin utcmes after hip fracture. Diabetes Care

2011; 34:1375–7 22. Lee TH, Marcantni ER, Mangine CM, Thmas EJ,

Planczk CA, Ck EF, Sugarbaker DJ, Dnaldsn MC, PssR, H KK, Ludwig LE, Pedan A, Gldman L: Derivatin andprspective validatin f a simple index fr predictin f cardiac risk f majr nncardiac surger. Circulatin 1999;100:1043–9

 23. Gldman L, Caldera DL, Nussbaum SR, Suthwick FS,Krgstad D, Murra B, Burke DS, o’Malle TA, Grll AH,Caplan CH, Nlan J, Carabell B, Slater EE: Multifactrialindex f cardiac risk in nncardiac surgical prcedures. NEngl J Med 1977; 297:845–50

 24. Gldman L: The revised cardiac risk index delivers what itprmised. Ann Intern Med 2010; 152:57–8

 25. Raval MV, Chen ME, Ingraham AM, Dimick JB, osbrne NH,Hamiltn BH, K Cy, Hall BL: Imprving American Cllegef Surgens Natinal Surgical Qualit Imprvement Prgram

Table 6. AUROCs–RQI vs. Age + ASA, Age + PSS, ASA + PSS

 AUROC

RQI 0.888 (0.879–0.897) ASA + PSS 0.880 (0.870–0.890)

 Age + ASA 0.857 (0.847–0.868)

 Age + PSS 0.842 (0.832–0.852)

 ASA = American Society o Anesthesiologists physical status; AUROC = area under the receiver operating characteristic; PSS =Procedure Severity Score; RQI = Risk Quantication Index.

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 Validation o RSI and RQI

risk adjustment: Incrpratin f a nvel prcedure riskscre. J Am Cll Surg 2010; 211:715–23

 26. American Medical Assciatin: Current Prcedural Terminlg, Standard Editin. Chicag, American Medical Association Press, 2005

 27. American Medical Assciatin: Current Prcedural Terminlg, Standard Editin. Chicag, American Medical Association Press, 2006

 28. American Medical Assciatin: Current Prcedural Terminlg, Standard Editin. Chicag, American Medical Association Press, 2007

 29. American Medical Assciatin: Current Prcedural Terminlg, Standard Editin. Chicag, American Medical Association Press, 2008

 30. American Medical Assciatin: Current Prcedural Terminlg, Standard Editin. Chicag, American Medical Association Press, 2009

 31. American Medical Assciatin: Current Prcedural Terminlg, Standard Editin. Chicag, American Medical Association Press, 2010

 32. American Medical Assciatin: Current Prcedural

 Terminlg, Standard Editin. Chicag, American Medical Association Press, 2011

 33. Saklad M: Grading f patients fr surgical prcedures. A NESTHESIoLoGy 1941; 2:281–4

 34. American Sciet f Anesthesilgists: New classicatin f physical status. A NESTHESIoLoGy 1963; 24:111

 35. Hanes SR, Lawler PG: An assessment f the cnsistenc o ASA physical status classifcation allocation. Anaesthesia1995; 50:195–9

 36. Arnsn WL, McAuliffe MS, Miller K: Variabilit in the American Society o Anesthesiologists Physical StatusClassicatin Scale. AANA J 2003; 71:265–74

 37. o’Malle KJ, Ck KF, Price MD, Wildes KR, Hurdle JF, Ashtn CM: Measuring diagnses: ICD cde accurac. HealthServ Res 2005; 40(5 Pt 2):1620–39

 38. Green J, Wintfeld N: Hw accurate are hspital discharge datafr evaluating effectiveness f care? Med Care 1993; 31:719–31

 39. Lld SS, Rissing JP: Phsician and cding errrs in patientrecrds. JAMA 1985; 254:1330–6

 40. Hsia DC, Krushat WM, Fagan AB, Tebbutt JA, Kusserw RP: Accurac f diagnstic cding fr Medicare patientsunder the prspective-pament sstem. N Engl J Med 1988;318:352–5

 41. Gldstein LB: Accurac f ICD-9-CM cding fr the identi-

catin f patients with acute ischemic strke: Effect f mdi-er cdes. Strke 1998; 29:1602–4

 Appendix 1. RSI In-hospital Mortality Predictors and Coecients with Notation o “Sel-ullling” Codes

Sel-FulllingCode Predictors Description

ICD-9-CMCodes

Included inCovariate

Coecient( β )

0 D038 Septicemia All subcodesexcept0380,

03810,03811, and03819

0.438

0 D0380 Streptococcal septicemia All subcodes 0.544

0 D03810 Staphylococcal septicemia, unspecied None 0.883

0 D03811 Methicillin-susceptible Staphylococcus aureus septicemia None 1.066

0 D03819 Other staphylococcal septicemia None 0.629

0 D0388 Other specied septicemias All subcodes 1.091

0 D0389 Unspecied septicemia All subcodes 1.16

0 D157 Malignant neoplasm o pancreas All subcodes 0.871

0 D1622 Malignant neoplasm o main bronchus All subcodes 0.872

0 D1623 Malignant neoplasm o upper lobe, bronchus, or lung All subcodes 0.405

0 D1628 Malignant neoplasm o other parts o bronchus or lung All subcodes 1.036

0 D1629 Malignant neoplasm o bronchus and lung, unspecied All subcodes 0.9650 D1970 Secondary malignant neoplasm o lung All subcodes 0.626

0 D1972 Secondary malignant neoplasm o pleura All subcodes 0.865

0 D1976 Secondary malignant neoplasm o retroperitoneum andperitoneum

 All subcodes 0.764

0 D1977 Malignant neoplasm o liver, secondary All subcodes 0.911

0 D1978 Secondary malignant neoplasm o other digestive organs andspleen

 All subcodes 0.608

0 D198 Secondary malignant neoplasm o other specied sites All subcodesexcept

1983 and1985

0.44

0 D1983 Secondary malignant neoplasm o brain and spinal cord All subcodes 0.604

( Continued  )

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 Appendix 1. ( Continued  )

Sel-FulllingCode Predictors Description

ICD-9-CMCodes

Included inCovariate

Coecient( β )

0 D1985 Secondary malignant neoplasm o bone and bone marrow All subcodes 0.774

0 D199 Malignant neoplasm without specication o site All subcodesexcept1991

1.486

0 D1991 Other malignant neoplasm without specication o site All subcodes 0.896

0 D200 Lymphosarcoma and reticulosarcoma and other speciedmalignant tumors o lymphatic tissue

 All subcodes 0.905

0 D2028 Other lymphomas All subcodesexcept

20280 and20283

0.878

0 D20280 Other malignant lymphomas, unspecied site, extranodal andsolid organ sites

None 0.629

0 D20283 Other malignant lymphomas, intraabdominallymph nodes None 0.849

0 D20300 Multiple myeloma, without mention o having achievedremission

None 0.655

0 D20410 Chronic lymphoid leukemia, without mention o havingachieved remission

None 0.525

0 D20500 Acute myeloid leukemia, without mention o having achievedremission

None 1.759

0 D208 Leukemia o unspecied cell type All subcodes 1.26

0 D2113 Benign neoplasm o colon All subcodes −0.882

0 D2387 Other lymphatic and hematopoietic tissues All subcodes 0.473

0 D261 Nutritional marasmus All subcodes 0.96

0 D262 Other severe protein-calorie malnutrition All subcodes 0.978

0 D2639 Unspecied protein-calorie malnutrition All subcodes 0.56

0 D2720 Pure hypercholesterolemia All subcodes −0.578

0 D2724 Other and unspecied hyperlipidemia All subcodes −0.569

0 D27542 Hypercalcemia None 0.554

0 D2760 Hyperosmolality and/or hypernatremia All subcodes 0.5

0 D2761 Hyposmolality and/or hyponatremia All subcodes 0.207

0 D2762 Acidosis All subcodes 0.648

0 D2765 Volume depletion All subcodes 0.464

0 D2767 Hyperpotassemia All subcodes 0.346

0 D2768 Hypopotassemia All subcodes −0.172

0 D2780 Overweight and obesity All subcodes −0.498

0 D2809 Iron deciency anemia, unspecied All subcodes −0.377

0 D2866 Debrination syndrome All subcodes 1.527

0 D2869 Other and unspecied coagulation deects All subcodes 0.5590 D2875 Thrombocytopenia, unspecied All subcodes 0.331

0 D2900 Senile dementia, uncomplicated All subcodes 0.513

0 D2948 Other persistent mental disorders due to conditionsclassied elsewhere

 All subcodes 0.369

0 D3051 Tobacco use disorder All subcodes −0.367

0 D348 Cerebral cysts All subcodesexcept 3481

and 3483

1.142

1 D3481 Anoxic brain damage All subcodes 1.919

1 D3483 Encephalopathy, not elsewhere classied All subcodes 0.653

0 D4019 Unspecied essential hypertension All subcodes −0.261

( Continued  )

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 Appendix 1. ( Continued  )

Sel-FulllingCode Predictors Description

ICD-9-CMCodes

Included inCovariate

Coecient( β )

0 D40391 Hypertensive chronic kidney disease, unspecied, withchronic kidney disease stage V or end-stage renal disease

None 0.135

1 D41001 Acute myocardial inarction o anterolateral wall, initial episodeo care

None 1.47

1 D41011 Acute myocardial inarction o other anterior wall, initialepisode o care

None 1.355

1 D41021 Acute myocardial inarction o inerolateral wall, initial episodeo care

None 1.377

1 D41041 Acute myocardial inarction o other inerior wall, initial episodeo care

None 1.172

1 D41071 Subendocardial inarction, initial episode o care None 0.564

1 D41081 Acute myocardial inarction o other specied sites, initialepisode o care

None 1.227

1 D41091 Acute myocardial inarction o unspecied site, initial episodeo care

None 1.56

0 D4139 Other and unspecied angina pectoris All subcodes −0.209

1 D41511 Iatrogenic pulmonary embolism and inarction None 1.426

1 D41519 Other pulmonary embolism and inarction None 0.868

0 D4241 Aortic valve disorders All subcodes 0.205

1 D427 Cardiac dysrhythmias All subcodesexcept 42731

and 42741

0.647

0 D42731 Atrial brillation None 0.321

1 D42741 Ventricular brillation None 1.974

1 D428 Heart ailure All subcodes 0.519

1 D430 Subarachnoid hemorrhage All subcodes 2.3341 D431 Intracerebral hemorrhage All subcodes 2.639

1 D432 Other and unspecied intracranial hemorrhage All subcodesexcept4321

2.226

1 D4321 Subdural hemorrhage All subcodes 1.211

1 D4340 Cerebral thrombosis All subcodes 1.419

1 D43411 Cerebral embolism with cerebral inarction None 1.059

1 D43491 Cerebral artery occlusion, unspecied with cerebral inarction None 1.189

0 D4359 Unspecied transient cerebral ischemia All subcodes −0.555

1 D436 Acute, but ill-dened, cerebrovascular disease All subcodes 1.072

1 D43820 Late eects o cerebrovascular disease, hemiplegia aectingunspecied side

None 0.262

0 D44021 Atherosclerosis o native arteries o the extremities withintermittent claudication

None −0.589

1 D44024 Atherosclerosis o native arteries o the extremities withgangrene

None 0.656

1 D441 Aortic aneurysm and dissection All subcodesexcept

4410 and4413

0.283

1 D4410 Dissection o aorta All subcodes 1.996

1 D4413 Abdominal aneurysm, ruptured All subcodes 2.982

1 D44422 Arterial embolism and thrombosis o lower extremity None 0.844

0 D4550 Internal hemorrhoids without mention o complication All subcodes −0.926

1 D4582 Iatrogenic hypotension All subcodes 0.476

( Continued  )

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 Appendix 1. ( Continued  )

Sel-FulllingCode Predictors Description

ICD-9-CMCodes

Included inCovariate

Coecient( β )

1 D4589 Hypotension, unspecied All subcodes 0.795

0 D4824 Pneumonia due to Staphylococcus  All subcodes 0.471

0 D485 Bronchopneumonia, organism unspecied All subcodes 1.122

0 D486 Pneumonia, organism unspecied All subcodes 0.705

0 D493 Asthma All subcodes −0.331

0 D496 Chronic airway obstruction, not elsewhereclassied

 All subcodes 0.18

0 D5070 Pneumonitis due to inhalation o ood or vomitus All subcodes 1.149

0 D5119 Unspecied pleural eusion All subcodes 0.411

1 D5128 Other spontaneous pneumothorax All subcodes 0.62

0 D515 Postinfammatory pulmonary brosis All subcodes 0.519

0 D5163 Idiopathic brosing alveolitis All subcodes 0.97

1 D5180 Pulmonary collapse All subcodes −0.212

1 D5185 Pulmonary insuciency ollowing traumaand surgery

 All subcodes 1.121

0 D5188 Other diseases o lung All subcodes 1.095

0 D5533 Diaphragmatic hernia without mention o obstruction organgrene

 All subcodes −0.358

1 D5570 Acute vascular insuciency o intestine All subcodes 1.554

1 D5579 Unspecied vascular insuciency o intestine All subcodes 0.72

1 D5609 Unspecied intestinal obstruction All subcodes 0.487

1 D567 Peritonitis and retroperitoneal inections All subcodes 0.816

1 D570 Acute and subacute necrosis o liver All subcodes 1.342

0 D5722 Hepatic encephalopathy All subcodes 1.254

0 D5728 Other sequelae o chronic liver disease All subcodes 1.596

1 D5780 Hematemesis All subcodes 0.764

1 D5789 Hemorrhage o gastrointestinal tract, unspecied All subcodes 0.575

0 D5845 Acute kidney ailure with lesion o tubularnecrosis

 All subcodes 0.809

0 D5849 Acute renal ailure, unspecied All subcodes 0.771

0 D585 Chronic kidney disease All subcodes 0.302

0 D586 Renal ailure, unspecied All subcodes 1.099

0 D5939 Unspecied disorder o kidney and ureter All subcodes 0.205

0 D7070 Chronic ulcer o skin All subcodes 0.609

0 D71595 Osteoarthrosis, unspecied whether generalized or localized,pelvic region and thigh

None −1.044

0 D7169 Arthropathy, unspecied All subcodes −0.358

1 D78001 Coma None 2.174

0 D7812 Abnormality o gait All subcodes −0.870 D783 Symptoms concerning nutrition, metabolism, and

development All subcodes 0.429

0 D7840 Headache All subcodes −0.777

0 D7854 Gangrene All subcodes 0.661

1 D7855 Shock without mention o trauma All subcodes 1.299

0 D7860 Enlargement o lymph nodes All subcodes 0.252

0 D78820 Retention o urine, unspecied None −0.27

0 D789 Other symptoms involving abdomen and pelvis All subcodes 0.293

1 D799 Other ill-dened and unknown causes o morbidityand mortality

 All subcodes 0.672

( Continued  )

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 Anesthesilg 2013; 119:525-40 538 Sigakis et al.

 Validation o RSI and RQI

 Appendix 1. ( Continued  )

Sel-FulllingCode Predictors Description

ICD-9-CMCodes

Included inCovariate

Coecient( β )

1 D801 Fracture o base o skull All subcodes 1.618

0 D8050 Cervical closed racture o vertebral column without mentiono spinal cord injury

 All subcodes 1.064

1 D851 Cerebral laceration and contusion All subcodes 1.359

1 D852 Subarachnoid, subdural, and extraduralhemorrhage, ater injury

 All subcodes 1.577

1 D853 Other and unspecied intracranial hemorrhageater injury

 All subcodes 1.711

1 D99702 Iatrogenic cerebrovascular inarction or hemorrhage None 1.506

1 D99811 Hemorrhage complicating a procedure None 0.569

0 DV46 Encounter or dialysis and dialysiscatheter care

 All subcodes 0.395

0 DV5789 Care involving other specied rehabilitationprocedure

None −0.846

0 DV58 Encounter or other and unspecied proceduresand atercare

 All subcodes −0.323

1 DV66 Convalescence and palliative care All subcodes 2.614

1 P0051 Implantation o cardiac resynchronization debrillator,total system

None −1.666

1 P0066 Percutaneous transluminal coronary angioplasty or coronaryatherectomy

None −0.792

0 P0309 Other exploration and decompression ospinal canal

None −1.085

0 P0331 Spinal tap None 0.365

0 P3404 Insertion o intercostal catheter or drainage None 0.515

1 P3601 Single vessel percutaneous transluminal coronary angioplastyor coronary atherectomy without mention o thrombolyticagent

None −0.528

1 P370 Pericardiocentesis All subcodes 1.141

0 P3726 Catheter based invasive electrophysiologic testing None −1.224

1 P3761 Implant o pulsation balloon None 1.674

1 P3778 Insertion o temporary transvenouspacemaker system

None 0.572

1 P3794 Implantation or replacement o automatic cardioverter/  debrillator, total system

None −1.826

0 P3812 Endarterectomy, other vessels o head and neck None −0.981

0 P3893 Venous catheterization, not elsewhere classied None 0.651

0 P3895 Venous catheterization or renal dialysis None 0.401

0 P3898 Other puncture o artery None 0.6180 P4516 Esophagogastroduodenoscopy withclosed biopsy

None −0.362

0 P4523 Colonoscopy None −0.538

0 P5123 Laparoscopic cholecystectomy None −0.779

0 P5411 Exploratory laparotomy None 1.19

0 P5491 Percutaneous abdominal drainage None 0.479

0 P5794 Insertion o indwelling urinary catheter None 0.454

0 P6029 Other transurethral prostatectomy None −1.204

0 P8154 Total knee replacement None −2.033

0 P8192 Injection o therapeutic substance intooint or ligament

None −1.033

0 P8411 Amputation o toe None −0.622

( Continued  )

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 Anesthesilg 2013; 119:525-40 539 Sigakis et al.

PERIOPERATIVE MEDICINE

 Appendix 1. ( Continued  )

Sel-FulllingCode Predictors Description

ICD-9-CMCodes

Included inCovariate

Coecient( β )

0 P8853 Angiocardiography o let heart structures None −0.624

0 P8872 Diagnostic ultrasound o heart None −0.305

0 P8891 Magnetic resonance imaging o brain and brain stem None −0.486

0 P8964 Pulmonary artery wedge monitoring None 0.606

0 P8965 Measurement o systemic arterial blood gases None 0.646

0 P9205 Cardiovascular and hematopoietic scan and radioisotopeunction study

None −1.024

0 P9390 Noninvasive mechanical ventilation None 0.932

0 P9394 Respiratory medication administered by nebulizer None 0.529

0 P9604 Insertion o endotracheal tube None 1.244

0 P9605 Other intubation o respiratory tract None 0.928

0 P9607 Insertion o other (naso-)gastric tube None 0.573

1 P9671 Continuous invasive mechanical ventilation or <96consecutive hours

None 0.698

0 P9905 Transusion o platelets None 0.701

0 P9907 Transusion o other serum None 0.526

0 P9915 Parenteral inusion o concentrated nutritional substances None 0.648

1 P9960 Cardiopulmonary resuscitation, not otherwise specied None 4.057

Constant Constant −2.198

ICD-9-CM = International Classication o Disease, Ninth Revision, Clinical Modication; RSI = Risk Stratication Index.

 Appendix 2. Revised Code or Calculating RQI 30-day Mortality

RQI.mortality.logOdds = −16.272363+0.10429722 * pss.mortality

+0.026466389 * age−5.6279714e-06 * max(age - 25, 0)^3+3.8473642e-05 * max(age - 48, 0)^3−5.1963656e-05 * max(age - 63, 0)^3+1.9117985e-05 * max(age - 82, 0)^3+0.76745424 * (asaclass = "II")+2.1582119 * (asaclass = "III")+3.5228968 * (asaclass = "IV")

+4.9336867 * (asaclass = "V")

Revised code or calculating RQI 30-day mortality. Jarrod Dalton, M.A., Senior Biostatistician, Departments o Quantitative Health Sci-ences and Outcomes Research, Cleveland Clinic, Cleveland, Ohio. Electronic communication, June 11th, 2012.

asaclass = American Society o Anesthesiologists Physical Status; max = maximum; pss = Procedure Severity Score; RQI = Risk Quan-tication Index.

 Appendix 3. SPSS Code Used to Calculate RQI 30-day Mortality

COMPUTE ASAFactor=0.I (ASAClass = 2) ASAFactor=7.I (ASAClass = 3) ASAFactor=20.I (ASAClass = 4) ASAFactor=35.I (ASAClass = 5) ASAFactor=48.COMPUTE AgeFactor=(Age-10)/90*24.COMPUTE SumFactor=ASAFactor+AgeFactor+(PSSMortality).

EXECUTE.

SPSS code used to calculate RQI 30-d mortality. Jonathan P. Wanderer, M.D., M.Phil., Instructor, Department o Anesthesia, VanderbiltUniversity, Nashville, Tennessee. Last modied December 25, 2012.

 ASA = American Society o Anesthesiologists Physical Status; PSS = Procedure Severity Score; RQI = Risk Quantication Index.

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 Validation o RSI and RQI

 Appendix 4. R Code or RSI and RQI Calibration Curves

# Generate calibration curves or RSI/RQI data### This code was run using R version 2.15.1 and package rms version 3.5-0### Jon Wanderer. Last modied 12/25/2012.## First we load the necessary librarieslibrary(rms)library(oreign)# Then we load our data rom our SPSS data lersi = read.spss('C:\\Run Hard\\Calibration\  \RSI_reverse_Logit_calibration.ALLVARIABLES_2.sav')# Next we generate the calibration curves or RSIval.prob(, rsi$DeadAtDischarge, rsi$RSI_INHOSP_ADJUST, m=500, legendloc=FALSE)val.prob(, rsi$DeadAt1MO, rsi$RSI_30Day, m=500, legendloc=FALSE)val.prob(, rsi$DeadAt1YR, rsi$RSI_1YR, m=500, legendloc=FALSE)val.prob(, rsi$MedianLOSOrBelow, rsi$RSI_LOS, m=500)

# Then we load our data or the RQIrqi = read.spss('C:\\Run Hard\\Calibration\\rqi redo deidentied.sav')# Finally we generate the calibration curve or the RQIrqi_logit = rqi$RQIMortalityrqi_prob = rqi$PredMortalityrqi_outcome = rqi$DeadAt1MO

val.prob(rqi_prob, rqi_outcome, pl=TRUE, smooth=FALSE)

R code or RSI and RQI calibration curves. Jonathan P. Wanderer, M.D., M.Phil., Instructor, Department o Anesthesia, Vanderbilt Univer-sity, Nashville, Tennessee. Last modied December 25, 2012.

RQI = Risk Quantication Index; RSI = Risk Stratication Index.