Professional Documents
Culture Documents
Abstract: Methods of analyzing errors and proactively patient’s care to determine if the standard
preventing errors are discussed. A framework for of care had been met. Mortality and mor-
using these concepts is presented.
Key words: patient safety, quality improvement tools bidity (M and M) committees would dis-
cuss what individual would be blamed for
performing a task wrong or omitting a
task or decision of care. The M and M
committee usually consists of physicians
Introduction only and the reviews resulted in decisions
Every hospital and physician’s group by this group. The traditional decisions of
needs a quality program that incorporates these reviews included humiliation of the
all the methods of improving patient involved healthcare professional, requir-
safety, analyzing errors, and improving ing the health professional to become
quality together in 1 program rather than more educated on a topic (at times when
isolated programs. The goal of the pro- this was not needed), encourage them to
gram should be to improve the outcome become more careful, pay closer attention
of quality and the safety of the healthcare to detail, or as a final resort, terminate
the patient receives. Quality of care and their position on the medical staff. This
patient safety is for outpatient programs process has resulted in minimal change to
and inpatient care. Most patients receive the frequency of healthcare errors. Most
the majority of their healthcare as an errors occur as a result of failure of the
outpatient not an inpatient. system of healthcare and not just one
The traditional approach to healthcare individual’s failure. A change is required
errors has been an error occurred when a to restructure the process of how errors
patient was harmed. The harm may be are reviewed and analyzed within the
death or a lesser injury. The recognition of practice of healthcare if improvement in
harm initiated a process of reviewing the the whole system is the goal.
Quality was historically driven by the
Correspondence: Maureen A. Mulligan, RN, JD, BSN, Joint Commission or for physician offices
School of Pharmacy, Utah Poison Control Center,
University of Utah, Salt Lake City, UT. E-mail: requirements by the state or insurance
mo.mulligan@gmail.com company that paid for the services. Many
656
Errors and Analysis of Errors 657
organizations are only practicing compli- and gives a good comparison between
ance of these standards when it comes to different points in time. An example of
decreasing errors and improving quality. this is when there is a decrease in the
Today, if an organization’s goal is to meet number of deaths that may be owing to
quality standards, their quality practice a decrease in the number of patients being
is in the early 1990s. Improving quality treated. This is frequently seen when
and decreasing errors for the patients comparing the number of errors being
requires more than meeting regulatory reported for specific areas and concern
requirements. A quality program that grows owing to an increase in errors
proactively analyzes possible errors incor- occurring, but there is an increase in
porating multiple methods is the ap- patients. If a rate is used, this increase or
proach that will be discussed in this decrease in the denominator is taken
chapter. into consideration and allows for an actual
comparison between time periods.
Quality Program
The quality program needs to define what
it includes and the goals it wants to reach. Quality Indicators
This can be reviewed yearly or more Quality is the actual healthcare a patient
often as needed. The frequent changes in receives, not the methods used to improve
quality requirements by the federal gov- the care. Quality indicators when routi-
ernment, state governments, and other nely trended and monitored allow for
entities require a frequent review. The reviewing if patient care is improving.
overall structure of the program should Quality indicators need to trend patient
be the integration of quality and patient errors. The traditional method of report-
safety. These should not be completed as ing when an error occurs is for the physi-
separate programs, as this leads to dupli- cian to inform the M and M committee or
cation of effort, time, and money. in an organization through an error re-
The overall monitoring of the outcome porting system. An error reporting system
of care should be the cornerstone for the is an important part of the overall pro-
program. The key determinant is out- gram. Once errors are reported, they
comes of care and not outcomes of health- should be grouped and trended together.
care processes. The final determination of If the program only performs individua-
how well care is provided for quality and lized reviews of errors and then chastises
safety is the final outcome to the patient. the professional, hiding errors will be-
Examples of outcomes that should be come the goal. If the physician is encour-
routinely monitored are mortality of the aged to only report when harm occurs,
mother, infection rates for mothers post- limited improvement in the quality of
delivery, infection rates for low-risk sur- patient care occurs. It has become appar-
gical patients, and an outcome for babies ent that a different way of measuring
would be the incidence of group B strep. errors is required to turn the focus to the
The Joint Commmission’s monitoring of quality of care being delivered to the
third and fourth degree laceration rates patient and improving the safety. Error
trends process measurements, not out- reporting needs to become data that are
come measurements. Outcome measure- used to improve a flawed system. When the
ments need to be reviewed as rates. When focus is turned to the failings of the system
comparing data from one point in time to and the solutions target system improve-
another point in time, a rate allows for an ment, professionals are more willing to
increase or decrease of the denominator report what has happened.
658 Mulligan and Nechodom
At a minimum, each physician group whether or not they are meeting these
should be aware if a ‘‘never event’’ occurs standards.
to any of their patients while they are On May 15, 2008, the NQF endorsed
providing healthcare. The National Qual- 48 consensus standards including mea-
ity Forum (NQF) has created standards sures addressing hospital readmission,
that are called never events. These never prevention, and care of venous throm-
events are defined as errors in medical boembolism. Some specific OB GYN
care that are serious, largely preventable, measures in this group are average LOS
and of concern to the public. These for deliveries and death in low mortality
started as voluntary consensus stan- Diagnostic Related Groups (DRGs)
dards.1 Currently, there are states that (pregnancy and delivery is considered a
require reporting if these events occur, low mortality DRG).5 The NQF stan-
with Utah being among the reporting dards are voluntary standards but as more
states.2 Other states will not pay for the organizations benchmark and improve
care these patients received if a never care in these areas, they become the norm.
event occurred, as in the case of New These are measures that all OB GYN
York.3 The never events that may possi- physician groups should include in their
bly occur to an Obstetrics and Gynecol- quality program for analysis and bench-
ogy (OB GYN) physician or group are as marking to determine variances in care.
follows: Every physician should know how his
practice is impacting these measures.
Artificial insemination with the wrong
A death in a low mortality DRG is one
donor specimen or egg.
Unintended retention of a foreign object. of the standards that need to be reviewed
Intraoperative or immediately postopera- first for the appropriateness of this deter-
tive death in an ASA class 1 patient.
mination. Labor and delivery is unique as
Infant discharged to wrong person. even if a patient is transferred to another
Maternal death or serious disability asso- hospital because of a cardiac arrest, the
ciated with labor or delivery in a low-risk principal diagnosis remains delivery. This
pregnancy while the patient is being cared results in patients ending up as a death in a
for in a healthcare facility. low mortality DRG when they had a
Death or serious disability (Kericterus) as- catastrophic event at another hospital.
sociated with failure to identify and treat So you may have patients in this group
hyperbilirubinemia in neonates. that are not reflective of the care pro-
vided. It is important for physicians to
If any of these events occur, the physi- understand what is included in these
cian must review each case to determine groupings of administrative date.
what steps need to be taken to improve the The Agency for Healthcare Research
patient’s care, what processes may have and Quality (AHRQ) has created a series
caused the event, and what solutions may of reports derived from administrative
be implemented to avoid recurrence of (financial) data that are used by many
this error. How to perform this review is organizations, including states, to deter-
discussed later in this chapter. mine which healthcare institutions pro-
The NQF is also working on consensus vide safe care.6 Many hospitals are
standards for perinatal care. These are required to report their financial data
measures of care received during the last with DRGs that are based on a collection
trimester of pregnancy through hospital of International Classification of Diseases
discharge of mother and child.4 When and related health problems Ninth Revi-
these measures are finally determined, sion (ICD-9) to the individual state health
it is important for physicians to review departments. Many of the state health
Errors and Analysis of Errors 659
departments then sell this data to Centers this information to make comparisons
for Medicare Services (CMS) and other between physician groups and not just
companies. Administrative or financial hospitals. Other organizations are using
data are compiled by coders who review these data to determine what the appro-
patients’ medical records and enter speci- priateness of care is. These data need to be
fic codes depending on what has been routinely reviewed by physicians and
documented by the physician in the med- other team members so that improve-
ical record. By law, coders may only ments may be made to the healthcare
document codes on the basis of the phy- systems.
sicians’ documentation. Physicians can-
not depend on coders noting nursing or
pharmacy documentation; the coders are Quality Improvement Tools
not allowed to use this information in
their coding determinations. These ad- HUMAN FACTORS
ministrative data or claims data are used Rather than just measuring the data for
to rank institutions by calculating error the care a patient received, a patient’s care
rates and creating risk adjustments. These needs to be reviewed and analyzed against
risk adjustments use algorithms devised the scientific-based evidence to determine
by the organization creating the report.6 if appropriate care was delivered. If it is
Some states put these data on internet web determined that the care was not appro-
sites, others retain privacy, sending the priate, then a review using human factors
information to the physicians and orga- and cognitive psychology should be per-
nizations involved in their patient’s care.7 formed. This will determine what changes
Some insurance companies, such as Blue need to be made to the system to provide
Cross and Blue Shield, post these data on for sustained change so that the errors do
an intranet restricted to members. not occur again and the system is made
The AHRQ patient safety indicators safer for all patients.
include the following obstetric indicators: Errors are the inevitable by-product of
staff performing the best they can in a
Birth Trauma OB trauma—vaginal with system structure that allows error occur-
instrument, rence.8 In the year 1999, the IOM recom-
OB trauma—vaginal without instrument, mended that healthcare use the same
and theory and approach as other industries.
OB trauma—cesarean section. These industries have applied human fac-
tors analysis to reduce errors.9 Human
The AHRQ indicators definitions can factors is an applied science that uses
be found on CMS’s website with the list of knowledge of human abilities and limita-
the specific ICD-9 codes that are used for tions to design systems, organizations,
each indicator. These indicators were cre- jobs, machine tools, and products for
ated by a panel of physicians and nurses safe, efficient, and comfortable human
after a review of patient ICD-9 codes. A use.10 This interaction between healthcare
review of the literature reveals that evi- staff and healthcare systems creates or
dence discussing these complications as prevents errors in healthcare. The study
measures of quality care are very scant.4 of this interaction requires knowledge of
These measures are currently being used human limitations and abilities.
by several states to assess minimum levels Patient care providers in healthcare are
of quality care and whether a hospital and highly educated and trained in patient
its physicians are meeting the expected treatments. Analyzing decision making
rates for quality.5 Some groups are using errors requires knowledge of how the
660 Mulligan and Nechodom
human brain works. There are limits to easily visualized when they are at eye level.
our brain functions and how it uses Monitors should have the capability of
healthcare knowledge. This knowledge is being raised and lowered so that they are
retained in the working memory and the at eye level. Color blindness needs to be
knowledge base (long-term memory) of taken into consideration when planning
the brain.11 Working memory is the part work places that will provide safer patient
of memory that an individual uses when- care.12
ever routine tasks are performed. A lim- Working memory is susceptible to loss
ited number of ideas, sounds, or images of items by interruptions from coworker.
can be mentally maintained at one time in All physicians are frequently interrupted.
the working memory. Items in working This part of a process is never documen-
memory are rapidly lost if no effort is ted and is very difficult to determine if it is
made to maintain them.11 If an individual the cause of an error unless someone is
works to maintain these items, the infor- watching. Working memory is also sus-
mation goes to knowledge base or long- ceptible to loss of items owing to noisy
term memory. The capacity of working environments. Writing orders for a pa-
memory is limited to 5 to 9 independent tient in the middle of a care unit is one of
items. If there are delays longer than a few the noisiest areas in the healthcare setting,
seconds between receiving information yet it is our expectation that no errors will
and then using it, the information may be made during this activity.
be lost. If new information is received too While using working memory, humans
rapidly, the new information may inter- are aware of the product and not necessa-
fere with ‘‘old’’ information. If the infor- rily the process required to complete the
mation is similar in meaning or sound, product. Healthcare professionals use
confusion may be created between the working memory during the routine pro-
different types of information. There cess and procedures of providing patient
may be confusion when there is similarity care. These are the basic skills and tasks
in the material to be remembered and performed by healthcare professionals on
competing tasks that are being carried a daily basis. The limitations of working
out at the same time.11 memory need to be taken into consi-
Working memory receives continuous deration when planning new processes,
input from our senses and also from the improving current processes, and improv-
knowledge base. Information is trans- ing current procedures that are part of
mitted to the brain through input from these basic skills and tasks performed.
the senses. There are limitations within Knowledge base memory (long-term
our senses. What and how we see things memory) has an unlimited storage capa-
impact how this information is trans- city and an unlimited length of time
mitted. Vision is the dominant sense in information is stored. Information in
terms of input. A procedure performed the knowledge base is processed slowly.
when vision is partially impaired as with Everyone has areas where their knowl-
low lighting may lead to errors occurring. edge is more complete. One aspect that
What and how we see things impact how can lead to error is if the healthcare in-
information is transmitted within the hu- dividual does not recognize that their
man brain. The amount of illumination knowledge base is not complete. Another
can distort our visual perception. These issue is that the individual may have the
visual misperceptions may result in pa- knowledge; however, it is not activated
tient errors.12 As healthcare workers age, at the time it is needed as the situation
increased lighting is needed owing to does not match a previous encounter or
myopia. Computer displays are more practiced experience.13 It is very difficult
Errors and Analysis of Errors 661
to learn and apply the large amount of ends. Reason summarizes the following
new information that is available in errors types:
healthcare each year. When determining Violations: This is a deliberate decision to
how to prevent errors, we need to remem- act in a nonstandard way. The violation is
ber that information may be processed intended but the results are not intended. A
simultaneously by working memory and violation may be an appropriate action
knowledge base.14 when policies and procedures are not cur-
Jens Rasmussen developed 3 levels of rent. Noncompliance of a standard may be
performance for decision making. This seen as essential to accomplishing the re-
is also called levels of problem solving. quired work. A violation does not assume
These levels are used by physicians as they patient harm has occurred.
are making decisions regarding patient Slips and lapses: The person correctly as-
care. sesses what needs to be carried out and acts
accordingly, but there is an unintended
failure of execution. An omission of a step
Skill-based level: Routine, highly practical in carrying out a planned action is the most
tasks in a largely automatic fashion with common slip or lapse. This is the most
occasional conscious checks on progress. common error when a step is missed during
Rule-based: Apply memorized or written a procedure or task. Individuals frequently
rules. It is likely to be a situation one is do not even realize that a step was omitted.
educated or trained to deal with, or there is Mistake: An error in which the person fails
a procedure to follow. Automatically to form the correct intention as to what act
match the signs and symptoms of the pro- to perform. This is a decision-making error.
blem to some stored knowledge structure. There are several types of mistakes.
Knowledge-based level: It is usually a Rule-based mistake: There is a misapplica-
novel situation where actions must be
tion of a good rule. This may be owing to
planned on-line using a conscious analytic
rule rigidity. At the time the decision was
process and stored knowledge. This is a
made to apply the rule, there may not have
slow process and used only when rule-
been sufficient data or information about
based fails.14
the given situation. There is an application
of a bad rule or failure to apply a good rule.
The skill-based level and the rule-based Knowledge-based mistakes: These occur
level are most often used during routine when individuals have run out of prepack-
situations that are encountered frequently aged solutions and have to respond by trial
during a physician’s daily practice. All 3 and error. This may be the result of insuffi-
performance levels may be used during an cient knowledge of the healthcare worker.
activity. The more experience a healthcare
worker has in a specific area influences The only time that additional educa-
what level of performance is used in mak- tion is needed by an individual making an
ing a decision. If a resident physician is error is when a knowledge-based mistake
relatively new at performing a procedure, was made and maybe when a rule-based
the resident will use rule-based or even mistake is made. Traditionally this is the
knowledge-based information for pro- most common improvement suggested
blem solving. An OB GYN physician for preventing future errors when in fact
who has performed the procedure hun- it is rarely one of the causes of an error.
dreds of times will use skill-based infor- The science of human factors and cog-
mation. The level of performance of nitive psychology needs to be used by
decision making is important in determin- healthcare professionals when they are
ing how to prevent the error. determining how an error was made dur-
Reason14 defines an error as the failure ing the care of a patient. This is a signifi-
of a planned action to achieve the desired cant change in reviewing these errors and
662 Mulligan and Nechodom
basis of this investigation is a series of Human factor analysis will provide infor-
questions for analyzing actions by indivi- mation on current system weaknesses and
duals who are involved with the error. aid in the development of an improve-
Gary Klein developed these questions to ment plan designed to prevent identified
be asked at the review of the event: failures. If using FOCUS PDCA, a
human factor analysis is performed as
What were you seeing?
part of the FOCUS. A human factor
What were you focusing on?
analysis can also be used as part of a
What were you expecting to happen?
FMEA. It identifies the areas that may
Were you reminded of any previous experi-
fail. A human factor analysis is always
ence?
part of a human factors investigation.
Did this situation fit a standard scenario?
Were you trained to deal with this situa-
tion?
Were there any rules that applied clearly
Quality Committee
here? Rather than M and M committees, phy-
What goals governed your actions at the sicians should develop a quality commit-
time? tee that includes learning about what
Were there conflicts or trade-offs to make caused errors and complications. In 1
between goals? survey, less then half of the physicians
Was there time pressure? received any data regarding process, out-
Did you discuss or mentally imagine a comes, or patient satisfaction. The vari-
number of options or did you know straight ables for the results included practice size
away what to do? and were they salaried physicians or
Did the outcome fit your expectation? independent of the organization.19 Less
than 10% of the physicians stated that
Dekker, Sydney. The Field Guide to clinical quality was a factor in determin-
Human Error Investigations ing compensation.19 If physicians are not
These questions provide the informa- receiving these data and information, how
tion needed to determine how the error can they improve their own practice?
occurred from a systems perspective The quality committee needs to im-
rather than a blame perspective. When prove the data that are being used for
you are performing an investigation after benchmarking. This may need to include
an error has occurred, remember that a team of physicians and coders working
hindsight is 20/20. To obtain an under- together to understand the pitfalls in
standing of other people’s assessments using administrative data for clinical
and action, it is necessary to understand quality determinations. Even with these
the perspective of the individuals involved pitfalls, the administrative data need to be
before, during, and at the time the error reviewed as it is becoming a national
occurred to obtain an understanding standard.
of the assessments and actions that take This committee needs to use national
place.8 If the science of human factors is standards for setting priorities of what
not used when analyzing deficiencies in needs to be improved, what should be
patient care, then we are continuing to use analyzed, and become proactive for the
the same approach of problem solving future of healthcare. One reference is
and just calling it a new name. Priority Areas for National Action Trans-
Human factor analysis should be per- forming Health Care Quality that lists 20
formed as a proactive approach to create areas of priorities for healthcare quality
a safer environment for the patient and and 1 is pregnancy and childbirth.20
staff as part of an improvement project. The aim for pregnancy and childbirth is
Errors and Analysis of Errors 665
‘‘to improve the quality of care provided June 2008 [Cited: June 23, 2008]. Avail-
during pregnancy and childbirth by ap- able at: http://health.utah.gov/myhealth-
propriately using proven healthcare inter- care/.
ventions at key time during pregnancy 8. Dekker S. The Field Guide to Human Error
and delivery, and successfully applying Investigations. Burlington, VT: Ashgate;
these interventions to populations known 2002.
9. Institute of Medicine. To Err is Human
to be at risk.’’19 The committee needs to Building a Safer Health System. Washing-
actually improve the outcomes that the ton DC: National Academy; 1999.
patients achieve by setting priorities for 10. Helander M. The Human Factors Profes-
accomplishing improvements, determin- sion: Handbook of Human Factors and
ing what data will be routinely reviewed, Ergonomics. New York: Wiley; 1997.
reviewing the data and determining what 11. Wickens CD, Carswell CM. Information
needs to be improved on, perform human processing. In: Salvendy G, ed. Handbook
factor analysis for never events, and of Human Factors and Ergonomics.
FMEAs for analyzing whole system pro- New York: Wiley; 1997:128–155.
cesses. Then, sustaining and measuring 12. Proctor RW, Proctor JD. Sensation and
the improvements is the next responsibil- Perception. Handbook of Human Factors
and Ergonomics. New York: Wiley; 1997.
ity of the committee. When these methods 13. Cook RI, Woods DD. Operating at the
are routinely performed, the committee sharp end: the complexity of human
will reach the goal of improving patient error. In: Bogner MS, ed. Human Error
care and making it safer. in Medicine. New York: Lawrence Erl-
baum; 1994.
14. Reason J. Managing the Risks of Organi-
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