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ORIGINAL ARTICLE

Pursuing Professional Accountability


An Evidence-Based Approach to Addressing Residents With Behavioral Problems
Hilary Sanfey, MB, BCh, MHPE; Debra A. DaRosa, PhD; Gerald B. Hickson, MD; Betsy Williams, PhD, MPH;
Ranjan Sudan, MD; Margaret L. Boehler, RN, MS; Mary E. Klingensmith, MD; Debra Klamen, MD, MHPE;
John D. Mellinger, MD; James C. Hebert, MD; Kerry M. Richard, Esq; Nicole K. Roberts, PhD;
Cathy J. Schwind, RN, MS; Reed G. Williams, PhD; Ajit K. Sachdeva, MD; Gary L. Dunnington, MD

Objective: To develop an evidence-based approach to Main Outcome Measures: Evidence-based strate-


the identification, prevention, and management of sur- gies for the identification, prevention, and management
gical residents with behavioral problems. of problem residents.

Design: The American College of Surgeons and South- Results: Recommendations based on the literature and
ern Illinois University Department of Surgery hosted a expert opinions have been made for the identification,
1-day think tank to develop strategies for early identifi- remediation, and reassessment of problem residents.
cation of problem residents and appropriate interven-
tions. Participants read a selection of relevant literature Conclusions: It is essential to set clear expectations for
before the meeting and reviewed case reports. professional behavior with faculty and residents. A notice
of deficiency should define the expected acceptable behav-
ior, timeline for improvement, and consequences for non-
Setting: American College of Surgeons headquarters,
compliance. Faculty should note and address systems prob-
Chicago, Illinois. lems that unintentionally reinforce and thus enable
unprofessional behavior. Complaints, particularly by new
Participants: Medical and nursing leaders in the field residents, should be investigated and addressed promptly
of resident education; individuals with expertise in through a process that is transparent, fair, and reasonable.
dealing with academic law, mental health issues, learn- The importance of early intervention is emphasized.
ing deficiencies, and disruptive physicians; and surgical
residents. Arch Surg. 2012;147(7):642-647

A
PROBLEM RESIDENT (PR) IS bal outbursts, physical threats, refusing to
“one who fails to meet the perform tasks, or exhibiting an uncoop-
standard of performance in erative attitude. Institutional leaders are
one or more Accredita- required to have policies that address such
tion Council for Gradu-
ate Medical Education (ACGME) compe- CME available online at
tency.” 1(p201) Such residents consume www.jamaarchivescme.com
substantial program director (PD) and staff
time, adversely affect patient care, and dis- behaviors whether caused by impair-
rupt team function.2,3 Deficits may exist in ment due to substance abuse or other psy-
chiatric disorder, external life stressors,
See Invited Critique personality characteristics, lack of train-
at end of article ing, or system factors.
Although disruptive physicians con-
all core competencies; this article focuses sume considerable attention, 50% of the
on the resident with behavioral prob- concerns are associated with only 9% to
lems. This is defined by the American 14% of physicians.5 This minority is re-
Medical Association3 as “personal con- sponsible for 50% of malpractice claims
duct, whether verbal or physical, that nega- costs.6 Preliminary results on a 360° instru-
tively affects or potentially affects patient ment assessing the core competencies sug-
care including conduct that interferes with gest that disruptive physicians may not dif-
one’s ability to work with members of a fer significantly from other physicians in
health care team” and by The Joint Com- mean performance but have an increased
Author Affiliations are listed at mission as behavior that undermines a cul- frequency of low ratings (the tail of the
the end of this article. ture of safety.4 This behavior includes ver- distribution is skewed). 7 In a single-

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institution study,8 25% of residents, who graduated on time institutional and legal approaches to PRs. This was followed by
and passed the American Board of Surgery examinations a brainstorming session using the nominal group technique to
on the first attempt, received marginal performance evalu- identify potential strategies for remediating PRs. The nominal
ations. Nationally, the cumulative risks of termination are group technique is a structured process for generating numer-
ous ideas.18 Two of us (N.K.R. and R.G.W.) prepared 2 cases
3.0% and 19.5%, respectively, for all surgical residents.9
of PRs based on structured interviews conducted with surgery
Although many “voluntary” resignations may not be en- PDs during their research.19 Both cases had characteristics found
tirely voluntary, there is still some discrepancy between in many PRs and were discussed in detail to elucidate com-
the 3% who are terminated and the reported prevalence mon themes as a platform to making recommendations for
of PRs. Some of these residents might be successfully re- remediation.
mediated; however, it is likely that many graduate with-
out correction.
RESULTS
Identifying PRs is challenged by poorly defined stan-
dards for achievement of the ACGME competencies.10 Fur-
thermore, residents are employees who provide an es- Common findings were that both residents had ad-
sential service; therefore, faculty are reluctant to increase vanced degrees on admission to residency training and
the workload on colleagues by removing a resident from red flags in their application, that is, poor grades in 1 or
clinical duties. In addition, deficits in one domain may more clerkships, a US Medical Licensing Examination
be overlooked because of excellence in another. For ex- score of 200 or less, and few glowing comments in let-
ample, lapses in professionalism might be tolerated in the ters of recommendation. Both had concerns noted in the
surgical resident who is well liked and has excellent tech- first year of training. Paradoxically, each had a signifi-
nical skills. Barriers to reporting a PR include lack of cant percentage of end-of-rotation evaluations that were
knowledge as to what should be documented, concern better than the middle anchor “good.” In their programs,
about an appeal process, lack of remediation options, and only 5% of all resident ratings are at “good” or below. Both
a sense that nothing will change after reporting the be- PRs completed training on schedule. Hauer et al12 noted
havior. Additional impediments include time restric- that remediation begins with identification of the prob-
tions, infrequent contact with the resident, and unfamil- lem; is followed by remedial education, including the op-
iarity with program expectations.11 Finally, faculty have portunity for feedback and reflection; and concludes with
concerns about losing their role as resident advocate, how a postintervention assessment. We used this framework
these negative evaluations will be used, and retaliation to propose remediation strategies based on what is known
from the resident.2 Therefore, the evaluation informa- from the literature and on the expert opinions.
tion available to the PD is often scanty or contradictory.
Although these behaviors are prevalent nationally, in- RECOMMENDATIONS FOR EARLY
dividual PDs will encounter PRs less frequently and can IDENTIFICATION AND PREVENTION
experience conflict between their roles as resident advo- OF BEHAVIORAL PROBLEMS
cate and disciplinarian. In a 2009 literature review,12 only
2 studies13,14 addressing resident remedial interventions The literature on early warning signs focuses predomi-
were identified. Both addressed knowledge deficits. Sub- nantly on identifying knowledge deficits.8,12,13 Risk fac-
sequently, 2 remediation programs have been described: tors include applicant age older than 29 years, a need to
1 for radiology residents incorporating an educational repeat medical school courses, and average grades on tran-
agreement with the resident, PD, and a faculty educa- scripts.8,20 Medical schools wish to present their gradu-
tional liaison15 and another, more detailed approach for ates in the best possible light; therefore, negative or neu-
emergency medicine residents.16 Torbeck and Canal17 found tral comments in deans’ letters should be taken seriously.20,21
that surgery PDs experience greater difficulty with reme- Transfer from another institution is also a risk factor for
diating professionalism, interpersonal communication, and subsequent behavioral problems. Recommendations to im-
practice-based learning and improvement (PBLI) com- prove the selection process include ensuring that each in-
pared with other ACGME competencies. To address this stitution has a clear understanding of its culture and value
need, the Southern Illinois University School of Medi- system so that candidates who match are a good fit. It is
cine Department of Surgery, in collaboration with the also worth exploring social support, strategies for man-
American College of Surgeons, sponsored a 1-day think aging time and for managing failure, and collaborative skills
tank to develop an evidence-based approach to the iden- during the applicant interview.22 The use of multiple mini-
tification, prevention, and management of PRs. The in- interviews, provocative Objective Standardized Clinical Ex-
vited participants included residents, medical and nurs- aminations,23 or personality testing was also suggested but
ing leaders in the field of resident education, and individuals noted to be time-consuming. The meeting participants rec-
with expertise in dealing with academic law, mental health ommended getting input from residents and coordina-
issues, learning deficiencies, and disruptive physicians. tors to detect behaviors suppressed during faculty inter-
actions. Furthermore, providing the selection committee
with clear interview and ranking criteria will ensure con-
METHODS sistency and avoid capricious decisions. Clearly defined
processes are important, but equally important is their con-
The 2011 meeting took place at the American College of Sur- sistent implementation. Finally, it is essential to be aware
geons offices in Chicago, Illinois. Attendees read relevant litera- of the effect of the hidden curriculum of attending role mod-
ture before the meeting and participated in short didactics on eling on resident behavior and to appreciate that it is un-

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timely manner. Narratives are often more useful than nu-
Table 1. Adaptations From ACGME Common Program meric ratings in identifying PRs.29 All evaluations should
Requirements for Resident Documentation be based on direct observation, but it should be acknowl-
and Summative Evaluation28
edged that these will be subjective.30,31 While investigat-
Requirement
ing clinical supervision practices, Kennedy et al32 iden-
tified 4 factors that affect supervisor perception of trainee
Resident documentation trustworthiness: knowledge/skill, discernment of limi-
V.A.1.a. Faculty evaluate resident performance in a
timely manner and document this
tations, truthfulness, and conscientiousness. Two tech-
evaluation upon completion of the niques used to assess trustworthiness included double-
assignment checking trainees’ clinical findings and identifying cues
V.A.1.b. 1. Provide objective assessments of from the trainees’ use of language. Language cues in-
competence in all competencies cluded the structure of delivery during case presenta-
2. Use multiple evaluators
3. Document progressive resident
tions and the ability to anticipate needed information be-
performance improvement and provide fore it was solicited by the supervisor.32
feedback with documented semiannual Faculty development efforts aim to teach faculty the di-
evaluation of performance mensions and elements of each competency and provide
V.A.1.c. Ensure that evaluations are accessible for instruction on frame of reference, rating errors, and the
review by the resident
Summative evaluation a
importance of feedback.32 Because PBLI is essential for self-
V.A.2.a. Document the resident’s performance improvement, evaluations should note the extent to which
during the final period of education residents take responsibility for their learning.33-35 Resi-
V.A.2.b. Verify that the resident has demonstrated dents with a “growth” mind-set believe their success is based
sufficient competence to enter practice on hard work and learning,33 while those deficient in PBLI
without direct supervision
(“fixed” mind-set) attribute their success to innate ability
Abbreviations: ACGME, Accreditation Council for Graduate Medical
and their failures to the actions of others. The latter PRs
Education; V.A., section 5A. are a challenge to remediate. Problematic behavior can be
a This evaluation becomes part of the resident’s permanent record goal directed, for example, shouting, hanging up the phone
maintained by the institution and must be accessible for review by the resident before a conversation has ended, or not responding to pages
in accordance with institutional policy.
so the nurses do not call again. Such behavior can cause
staff to misunderstand their role and provide services out-
reasonable to hold residents to a higher standard of pro- of-scope, ultimately having a negative effect on the qual-
fessional behavior than their faculty mentors. ity of health care.2,36 Recognizing and addressing such be-
Because behavioral problems are frequently identi- havior through a system-level response will increase the
fied early in training,19,24 the first 6-month review is a time likelihood of successful remediation.
for critical evaluation of new residents; indeed, there is a
case for conducting quarterly reviews of new residents. RECOMMENDATIONS FOR REMEDIATION
Any problem arising at any time should be brought to OF BEHAVIORAL PROBLEMS
the attention of the PD for full investigation and a docu-
mented action plan with an end point for further evalu- Once a problem is suspected, the resident should be pro-
ation. In an internal medicine study,25 60% of PDs iden- vided with a notice of deficiency that defines the ex-
tified PRs through critical incident reports. In 75% of those pected acceptable behavior, the timeline for improve-
cases, PDs first became aware of PRs through verbal com- ment, and the consequences for noncompliance. He or
plaints from faculty, and only 31% identified a PR from she needs to understand through self-reflection that such
a written evaluation.25 Thus, all notifications, regardless behavior is unacceptable and detrimental to the resi-
of formality, are valuable in assessing the need for reme- dent, the program, and patients.27 The responsibility for
diation.26,27 Another consideration is that faculty mem- behavioral change rests with the resident, but the pro-
bers with only occasional contact with residents tend to gram has an obligation to set clear expectations and sup-
be more generous with their ratings; thus, these ratings ply appropriate surveillance, mentorship, and timely feed-
need to be interpreted with caution. The differences be- back. The Vanderbilt Promoting Professionalism Pyramid
tween the detailed documentation required by the for managing disruptive behavior is a useful approach.27
ACGME28 (Table 1) compared with the minimum le- This model focuses on 4 graduated interventions: infor-
gal requirement are discussed in the “Additional Legal mal conversations for single incidents, nonpunitive aware-
Considerations” subsection. ness interventions when data suggest patterns, leader-
An effective, user-friendly evaluation system is essen- developed action plans if patterns persist, and disciplinary
tial to identify resident deficiencies. Evaluation should processes if the plans fail.27 This involves commitment
include a review of all letters, e-mails, patient com- from the leadership to support the processes for review-
plaints,24 and incident reports, as well as input from mul- ing allegations and provide the leader training in con-
tiple team members.26,27 Setting up a confidential hotline ducting the important conversations.5 Exempted from this
is another means of collecting data, but these are open graduated process are egregious events consistent with
to abuse through retaliatory reporting. Effective evalu- The Joint Commission’s Sentinel Event Alert.4
ation also includes setting standards to measure resi- The Professional Renewal Center in Lawrence, Kan-
dent performance, providing rater training, and enforc- sas,2,7,36 provides assessment, treatment, and professional
ing consequences for not completing evaluations in a development opportunities to trainees and practitioners

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for issues of professionalism, interpersonal and commu-
nication skills, disruptive behavior, and psychiatric prob- Table 2. Brainstorming Ideas for Remediation a
lems. This is accomplished through a multidisciplinary as-
sessment using standardized assessment instruments, Idea Strategy
interviews, and collateral data collection. In the course of Reflection Encourage the problem resident to gain
the think tank, the center director (B.W.) emphasized that insight into his or her behavior by
writing a reflective paper or
understanding the behavior as well as its contributory fac- maintaining a journal to track thoughts
tors and consequences is critical to providing the appro- and emotions throughout the day
priate remediation. The director reported that practicing Increase self-awareness a. Interpersonal skill coaches used in
physicians were more likely to be referred for substance through external and the business world for problem
use or disruptive behavior; residents were more likely to internal feedback: solicit executives or leaders might be in a
perspectives on how the position to objectively identify the
be referred for lack of timeliness, such as delinquency in resident is viewed behaviors that lead others to view the
completing administrative duties that are disruptive to resident as arrogant, uncooperative,
health care team function. Residents had significantly more or otherwise deficient
deficiencies in PBLI than practitioners. In most circum- b. Additional feedback from nurses or
stances, residents with behavioral problems did not have others with whom the resident works
might offer helpful insights into the
personality disorders or impairment problems. Most pro- problem behaviors
fessionals, both in training and in practice, responded to c. Self-assessments over time could be
a tiered intervention approach. The meeting participants solicited during the intervention to
identified additional remedial interventions; these are sum- promote self-awareness
marized in Table 2.37 Systems analysis: a. Root cause analysis and discussion
identifying features among others in the residency
of residents’ work program can identify triggers in the
RECOMMENDATIONS FOR REASSESSMENT environment that may environment that may cause or
OF BEHAVIORAL PROBLEMS trigger unprofessional contribute to potential problem
behaviors behaviors
b. Ensure that the program director is
If self-reflection or remediation fails to achieve the de-
positioned in the hospital leadership
sired result, PDs must follow through on the previously to affect practice change in the work
discussed consequences of probation, failure to promote, environment
or dismissal. Failure to enforce consequences has a nega- Punitive consequences a. High concern or probation status
tive effect on the behavior and morale of all residents and b. Required attendance at an outside
boot camp designed to help
the care delivery system. The best way to ensure that de-
remediate residents needing
cisions are not arbitrary or capricious is to use a clinical professional interventions
competency committee. Problems are often identified in Simulation activities a. Mock pages37
committee discussions that are not raised by individu- b. Residents role-play as patients to
als,15,29,38 permitting the identification of patterns of be- heighten sensitivity and awareness;
debriefing would follow.
havior when an individual saw only a single instance. Such
c. Videotaped role plays of problem
committees serve as checks and balances, particularly in resident dealing with simulated
identifying the marginal resident. Roberts and Williams39 scenarios; debriefing would follow.
suggest that committees consider whether the resident’s Structured mentoring a. Assign a senior resident as a mentor
performance can be improved sufficiently to perform ef- with a clear “job description”
fectively as a member of the health care team and whether b. Assign a faculty mentor who meets
regularly with the resident
this improvement is likely to be sustained in practice as
well as during training. Other considerations are the cost a Participants engaged in an open brainstorming session using the
of remediation in time, effort, and resources, as well as the nominal group technique to identify potential strategies for remediating
hidden cost of retaining a resident in terms of the in- problem residents. Although several pages of ideas were identified, the 6
listed herein were the best, as voted by the attendees.
creased workload on colleagues necessitated by “work-
arounds,” double-checking, and low morale. Finally, it is
essential to consider the effect on patient care and on a tent with what has been communicated to the resident,
patient’s perception of the health care team and institu- to future employers on request. Finally, since an impor-
tion.39 The meeting participants noted that the amount of tant impediment to terminating a resident is the diffi-
time spent discussing a resident is frequently a measure culty of finding a qualified replacement, the meeting par-
of the severity of the problem. ticipants suggested creating an agency for preliminaries
Academic faculty are the gatekeepers of the profes- and a national ranking system for their evaluation.
sion, with a responsibility to assess resident competency
for independent practice.40 If standards are not met after ADDITIONAL LEGAL CONSIDERATIONS
remediation, the faculty have a responsibility to dismiss
the resident. The ACGME requires that PDs complete a The courts have unfailingly confirmed that as long as the
final summative assessment of each resident.41 This should minimal process of Horowitz28 has been met, that is, the
be balanced and include any significant weaknesses or un- individual was provided with “notice and an opportunity
remedied deficiencies in the core competencies, as well as to cure and the faculty decision is conscientious and de-
deficiencies that were successfully remediated. The pro- liberate,”28(p17) courts will not second-guess the academic
gram must provide copies of a final assessment, consis- decision.42 Richard and Padmore43 emphasized that mis-

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conduct must be distinguished from academic defi- essential to set clear expectations for professional behav-
ciency. By definition, misconduct is behavior that is wrong ior with both faculty and residents and to describe prob-
and that one knows (or should know) is wrong and there- lem behaviors as a deficiency in one or more competen-
fore will not be cured by remediation. Treating miscon- cies. Program directors should incorporate an assessment
duct as academic deficiency could be legally precarious by of trustworthiness and ability to take responsibility for per-
holding residents to different legal and performance stan- sonal behavior into resident evaluations and note system
dards than other institutional employees.43 Misconduct in- problems that enable unprofessional behavior by provid-
cludes such fatal flaws as dishonesty, inappropriate touch- ing secondary gain for such activities. Any complaint or
ing, patient abandonment, criminal activity, and covering critical incident, particularly in a new resident, should be
up mistakes, thereby putting patients at risk. All incidents investigated and addressed promptly. Once a problem has
should be investigated and a report generated that consid- been identified, the resident must be provided with a no-
ers extenuating circumstances, if present. In assessing the tice of deficiency and an opportunity to improve, with con-
culpability of an individual accused of such misconduct, sequences for failing to address the deficiency. In addi-
Hickson et al5,27 recommended using the Reason44 criteria tion to participation in a remedial program, the opportunity
and asking whether the team member intended to cause for feedback and reflection and postintervention assess-
harm, came to work impaired, and knowingly and unrea- ment are necessary to determine next steps. While the re-
sonably increased risk and whether another team member sponsibility for improvement rests with the resident, the
in the same situation would act in a similar manner. In cer- resident will need guidance in locating appropriate re-
tain situations, recommending a multidisciplinary evalu- sources. Whatever final decision is made about the resi-
ation can be helpful in elucidating contributing factors and dent, as long as the process is fair and reasonable, that is,
remediation potential. Final decisions about the resident the decision was not arbitrary or capricious, it will be up-
are made by the PD, regardless of the majority opinion or held in court. Legally, verbal concerns are as useful as writ-
the unpopularity of the decision. The resident may re- ten concerns, and these can be documented by the PD if
quest a review and only one level of review is necessary. the complainant is unwilling to do so. Finally, legal pro-
The Americans With Disabilities Act45 mandates that ceedings and grievance hearings are costly and time-
educators must make reasonable accommodation to en- consuming, so prevention is better than a cure. There-
sure that a resident with a disability can complete the cur- fore, the importance of intervening early is emphasized.
riculum; however, the resident must ask for accommoda- In conclusion, we have made a number of recommen-
tion before a performance deficiency occurs. Performance dations for ensuring professional accountability in sur-
problems should be addressed as a performance or a be- gical trainees. The next step will be to conduct a series
havior problem and not as a health issue. For example, of workshops with PDs to promote a uniform evidence-
stress must be discussed as it relates to poor performance— based approach at a national level to the PRs.
not mental health. In addition, the Americans With Dis-
abilities Act limits when a psychiatric evaluation can be re- Accepted for Publication: March 13, 2012.
quired and is usually restricted to decisions about fitness Author Affiliations: Departments of Surgery (Drs San-
to practice. A physician-patient relationship does not, and fey, Mellinger, R. G. Williams, and Dunnington, and Mss
should not, exist between a resident and PD; therefore, if Boehler and Schwind) and Medical Education (Drs Kla-
there is a fitness to practice concern necessitating a refer- men and Roberts), Southern Illinois University School
ral to employee health, this must remain confidential and of Medicine, Springfield; Department of Surgery, North-
separate from the academic file. After such evaluations, the western University Feinberg School of Medicine, Chi-
PD should receive notification that appropriate follow-up cago, Illinois (Dr DaRosa); Center for Patient and Pro-
is occurring but should not receive medical details. Fu- fessional Advocacy, Vanderbilt University Medical Center,
ture employers should not be told about impairment ex- Nashville, Tennessee (Dr Hickson); Department of Be-
cept to the extent that it involved misconduct (or lack of havioral Sciences, Rush University Medical Center, Chi-
fitness for practice) that resulted in employment action. cago, Illinois (Dr B. Williams); Department of Surgery,
There is a distinction between the ACGME require- Duke University School of Medicine, Durham, North
ments for documentation and what could be considered Carolina (Dr Sudan); Department of Surgery, Washing-
acceptable in a court of law (Table 1). Verbal feedback ton University School of Medicine, St Louis, Missouri (Dr
to the resident is legally acceptable but, although “no Klingensmith); Department of Surgery, University of Ver-
documentation may be enough, more is always bet- mont, Burlington (Dr Hebert); MedStar Health, Inc, Ar-
ter.”46(p642) If faculty members are unwilling to put a con- lington, Virginia (Ms Richard); and Division of Educa-
cern in writing, it can be noted by the recipient of the tion, American College of Surgeons, Chicago, Illinois (Dr
complaint or through the competency committee meet- Sachdeva).
ing minutes. Legally, evaluations of performance will be Correspondence: Hilary Sanfey, MB, BCh, MHPE, De-
protected if they are good faith exercises of professional partment of Surgery, Southern Illinois University School
judgment without malicious intent. of Medicine, Room D308, PO Box 19638, Springfield, IL
62794 (hsanfey@siumed.edu).
Author Contributions: Dr Sanfey had full access to all
CONCLUSIONS
the data in the study and takes responsibility for the in-
tegrity of the data and the accuracy of the data analysis.
Factors known to put individuals at risk for behavioral prob- Study concept and design: Sanfey, DaRosa, Klingensmith,
lems should be considered when ranking applicants. It is Hebert, Richard, Roberts, Schwind, R. G. Williams,

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Financial Disclosure: None reported. mini-interview. Med Educ. 2004;38(3):314-326.
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als who attended the meeting in Chicago and contrib- professionalism. In: Cruess RL, Cruess SR, Steinert Y, eds. Teaching Medical Pro-
uted to our discussion. The following were from the fessionalism. Cambridge, England: Cambridge University Press; 2009:124-149.
25. Yao DC, Wright SM. National survey of internal medicine residency program di-
American College of Surgeons: Patrice Gabler Blair, MPH, rectors regarding problem residents. JAMA. 2000;284(9):1099-1104.
Associate Director, Division of Education, and Kim Echert, 26. Resnick AS, Mullen JL, Kaiser LR, Morris JB. Patterns and predictions of resident
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cation Fellow, Northwestern University Feinberg School 948 (1978).
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