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Seminars in Fetal & Neonatal Medicine (2005) 10, 45e61

www.elsevierhealth.com/journals/siny

Clinical risk management in newborn


and neonatal resuscitation
John Madar*

Consultant Neonatologist & Clinical Director, SW Peninsula Neonatal Network,


Derriford Hospital, Level 5, Plymouth, Devon, England PL6 8DH, United Kingdom

KEYWORDS Summary This chapter aims to provide an overview of aspects of risk


Cord blood gases; management as they might be applied to the practice of resuscitation of the
Neonatal newborn using general principles of risk management and specific standards where
resuscitation; they apply.
Risk management Section 1 considers the matter of hazard and risk and how they may be classified.
Figures are presented to provide a clinical perspective on resuscitation with
a discussion on the hierarchy of clinical risks operating upon the baby.
Section 2 centres on a discussion of those aspects that operate to modify the
risks to the baby during a resuscitation, including environmental considerations
(location, clinical setting and equipment); staffing issues (establishment, compe-
tency, induction and training) and logistics (process, communication and
documentation).
Section 3 debates the place of cord gases in the context of the diagnosis of
perinatal hypoxaemia.
ª 2004 Elsevier Ltd. All rights reserved.

Introduction Individuals may be the cause of problems, but


the root often lies in failure of the systems under
The aim of this chapter is to provide a perspective which they operate. A systems analysis ideally
on differing aspects of newborn resuscitation identifies problem areas prospectively. Strategies
practice focussing on the potential risks and can be defined to deal with these. Unidentified
strategies to deal with these. problem areas are likely to cause difficulties, as
immediate strategies may be lacking.
‘Prevention is better than cure’ Risk management is a logical process insepara-
ble from the best principles of clinical practice.
Success lies in the accurate modelling of potential
situations and the planning of clear strategies to
* Tel.: C44 1752 763642; fax: C44 1752 763635. deal with these. Fortunately many situations are
E-mail address: john.madar@phnt.swest.nhs.uk dealt with by a common approach with relatively

1744-165X/$ - see front matter ª 2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.siny.2004.09.014
46 J. Madar

few special circumstances dictating a unique re- competence and appropriate training of all
sponse. professional staff.
6. Health records: A comprehensive system for
Hierarchy of organisational awareness the completion, use, storage and retrieval of
health records is in place. Record keeping
Organisational vulnerability standards are monitored through the clinical
audit process.
Unconscious Liability
7. Implementation of clinical risk management: A
Unaware of shortfalls, problems
clinical risk management system is in place.
Conscious Liability
8. Staffing: Maternity services must provide safe
Aware of shortfalls, problems
Conscious Contingency
care for mothers at all times.
Specific plans for specific identified liabilities
Unconscious Contingency
Comprehensive systems operating cover even unexpected liabilities Steps in the process

Organisational integrity 1. Risk assessment


 Identify and stratify hazards
The aim of any risk management strategy is to probability
move the organisation from the state of ignorance, significance
to that where systems are in place and robust 2. Risk management
enough to cover all eventualities e including those  Define operational strategies to minimise
rare, unexpected and hitherto unplanned events. hazards
 Identify resource (finance/manpower) avail-
able to support strategies
Prerequisites to effective risk management  Execute strategies
 Evaluate results of strategies
A sound risk management strategy
Robust methodology for any risk assessment
Appropriate resource for the initiative Standards
Risk management strategies External mandated or recommended standards
It is vital to ensure all aspects are covered. The inform the process e these are the synthesis of
management standards for maternity services1 prior risk management processes. Many agencies
developed by NHS litigation authority (NHSLA) publish recommendations relevant to the care of
within the Clinical Negligence Scheme for Trusts babies at birth.2e7
(CNST) identify domains to cover in dealing with
risk, be it resuscitation or any other area.

CNST Standards of clinical risk management1: Hazards and risks

1. Organisation: Local arrangements and account- Is resuscitation hazardous? In any resuscitation,


ability for implementing clinical risk manage- there are a number of people involved: the baby
ment are clearly defined. (or babies) being resuscitated, those undertaking
2. Learning from experience: The maternity ser- the resuscitation and those around who include
vice proactively uses internal and external the parents and other professionals. All of these
information to improve clinical care. groups may be exposed to hazards with variable
3. Communication: Women are informed by com- risks of these occurrings (Table 1).
petent professionals of all aspects and options
concerning their treatment and care, and there Hazards to the baby
are clearly documented systems for manage-
ment and communication between professional The newborn baby is the focus of efforts to restore
staff. function. This may fail and the baby might die.
4. Clinical care: There are clear procedures for Interventions may save life but at the cost of
the management of general clinical care. a damaged survivor. Physical injury may occur as
5. Induction, training and competence: There are a result of resuscitation attempts e some poten-
management systems in place to ensure the tially avoidable. Significant organ damage may
Clinical risk management in newborn and neonatal resuscitation 47

Table 1 Some generic hazards in resuscitation at birth and to whom they might apply
Hazard Baby Resuscitator Other Prof Parents Organisation

Death X

Short term
Physical morbidity X X
Mental morbidity X X X X
Metabolic morbidity X

Long term
Physical morbidity X X
Mental morbidity X X X X
Neurodev morbidity X

Professional damage X X X X
Fiscal damage X X X

result with major metabolic upset necessitating Hazards to the parents


a period of intensive care with its own problems.
Ultimately, the net effect of the resuscitation may Parents are less likely to be active participants in
be permanent damage to organs including the resuscitation, although this may not be the case in
brain, which results in intellectual or physical certain out of hospital situations. Parents are
handicap and long-term problems for baby, carers however, very likely to be observers of any
and professionals. The acceptability of these out- resuscitation event and thus exposed and aware
comes and efforts made to reduce their occurrence of what is happening to their baby. These events
form the basis of a risk management strategy. can be a significant emotional stress and their
interpretation of events may have a significant
part to play subsequently. Depending on the out-
Hazards to the resuscitator and other come, they may be exposed to financial pressures,
professionals and the effect of, for example, a damaged survi-
vor might have an impact on professional and
It is unlikely that the resuscitator or other involved family life, altering career aims and family dy-
professionals will die e unless the stress of the namics e although not always necessarily for the
situation results in some major catastrophe such as poorer.
a myocardial infarction, or the efforts required to
attend the event place those attending at risk e as
for example where attendance involved a poten- A perspective on risk
tially hazardous drive when distracted. The risk of
these events might be considered low. It is con- Whilst those involved in resuscitation may be
ceivable however, that those involved might be exposed to risks, the major concerns relate to
subject to significant mental stress e especially in the health of the baby and the necessary inter-
a fraught clinical situation where events have not ventions. Having some idea of the likelihood of
gone as planned, or other untoward events have a need for intervention provides some perspective.
complicated matters. It is possible that personnel
could, in the course of efforts have physical injury Attendance at resuscitations and the
e such as a needle stick, or exposure to bodily resuscitation required
fluids. These might be short-term, or long-term Help is called for when it is felt it might be needed
issues e such as if infection became a problem. and part of the risk management process is de-
Depending on the course of events, there might be fining those circumstances when problems are
potential professional or fiscal issues; either med- anticipated and putting in place systems to deal
ico-legal, or health related. Untoward adverse with this. However, not all babies who require
experiences could have a significant influence on resuscitation have a doctor (or equivalent) at
a person’s view of their professional life and delivery, as it is not always possible to predict
might, for example influence a choice of career. the event (effectively a false negative summons).
48 J. Madar

Table 2 The proportion of deliveries attended by Table 3 Numbers of babies requiring resuscitation
a doctor summoned at or after delivery, and including cardiac compressions or drugs in two
the numbers requiring airway intervention in a typi- different types of centres in the USA and UK
cal large UK DGH using guidelines such as those Location Texas Plymouth UK
discussed 1991e19929 1993e1999
All risks, all gestations, Low risk, Total births 30,839 30,400
n Z 17,890 R 32 weeks, Total ECC 39 (0.12%) 81 (0.27%)
n Z 11,461 C/ÿ drugsa
Doctor at Doctor after Doctor after ECC only 21 65
delivery delivery delivery ECC C drugs 14 7
Total 5133 948 477 Drugs only 4 (adrenaline) 9 (unspecified)
attended a
Not including naloxone as a drug of resuscitation.
Minimal 3867 (75%) 529 (56%) 193 (40%)
intervention
Mask inflation 852 (17%) 286 (30%) 275 (58%) to differentiate those with a very poor outlook,
Intubation 175 (3.4%) 133 (14%) 9 (2%) who tend to be acidotic and/or preterm (Figs. 1
Derriford Hospital Plymouth (UK) hospital resuscitation and 2).9
data.8 Retrospective analysis of resuscitations where
cardiac compression or drugs were required sug-
Similarly, when called, resuscitators are not gested that in a significant number of cases
always needed (effectively a false positive sum- problems related to a failure to adequately ad-
mons). The more mature the baby, the less likely dress the airway and breathing.9
they are to require resuscitation (Table 2). It is important to be aware of trends within
The specific indicators for attendance in any departments. The ability to review local data may
unit may vary. However, typical indications to identify changes in practice or outcome that
summon help before delivery might include: highlight areas of good practice, or those where
matters need reviewing (Fig. 3).
 preterm deliveries, Observational data in this series appear to
 emergency caesarian sections, demonstrate a decreasing tendency in the use of
 breech deliveries, drugs, which may reflect educational initiatives on
 thick meconium staining of the liquor, newborn life support introduced around this time.
 multiple pregnancy,
 maternal conditions potentially affecting the A hierarchy of risk
baby,
 prior identified fetal problems, There is hierarchy of risk in delivery to consider.
 other occasions if requested by obstetric staff. For example, which poses the greater risk? 1: A
delivery where there are definite problems identi-
The need for intervention at birth does not in fied in utero, but where as a result, everyone is
itself predict a poor outcome. In the above series, prepared, or 2: A delivery perceived to be un-
the overall incidence of moderate or severe early complicated but where some unexpected catas-
neonatal encephalopathy was 0.10%, and that of trophe results in a severely compromised baby in
meconium aspiration syndrome 0.15%.
The response to resuscitation e or lack of it e ECC +/- Drugs
may indicate a disease severity that heralds prob- 39

lems. The greater the level of intervention, the


>= 37weeks
more likely outcome will be compromised in the 15
short, medium or long term. The numbers re-
quiring cardiac compressions or drugs are much Acidaemia No Acidaemia
5 10
lower than those requiring airway or breathing
support. Differences in the numbers requiring Brain injury Normal Neurology
intervention occur between departments, which 5 10
may reflect variance in the size of unit, population
of babies, training of staff or the model of care Died Neurodev Delay Normal No FU
2 3 9 1
delivery (Table 3).
Outcomes tend to be poorer where cardiac Figure 1 Outcome in term babies who received
compressions are required, although it is possible external cardiac compression and drugs.9
Clinical risk management in newborn and neonatal resuscitation 49

ECC +/- Drugs a unit’s ability to cope. Factors such as distance


39 and the presence/absence of effective transport
services modify the decision.
<37 weeks
24
Antenatal e elective delivery
Acidaemia No acidaemia It may be felt necessary to deliver the baby early
5 19
in recognition of factors that are felt to potentially
compromise mother or baby such as eclampsia or
Brain injury Normal Brain injury No IVH
4 1 6 13 severe growth restriction. Elective delivery may
also take place to ensure optimal conditions for
Died Died Died Normal No data resuscitation where the baby is well, but will need
1 1 3 8 2
complex intervention, such as with cardiac/surgi-
Figure 2 Outcome in preterm babies who received cal problems. Where there is a choice, delivery
external cardiac compression and drugs.9 after 39 weeks significantly reduces the risk of
respiratory morbidity in the baby.19
the absence of anyone other than the usual mid-
wifery support. The first example reflects a pre- Perinatal e preterm delivery
emptive approach to risk, where prior planning When a baby is being delivered early it is essential
and appropriate placement of resource minimises that the parent(s) are aware of the implications. An
the risk even where significant problems are understanding of their perspective may inform any
expected. The latter reflects an incident upon resuscitation strategy. Making them aware of the
which outcome is dependent on the ability of the potential issues relating to outcome is essential in
systems in place to respond appropriately in the immediate and subsequent management of such
a timely manner. babies. For extremely preterm babies, the presence
The first reflects a ‘preventive’ strategy, the of a senior member of the neonatal team might be
second a ‘responsive’ strategy. It is necessary for considered appropriate. For these deliveries, initial
the organisation to act in both ways. Arguably the resuscitation strategies are somewhat different and
more is the effort directed towards preventive senior experienced involvement at this stage might
measures the less is the need for responses. significantly improve the baby’s immediate and
long-term outcome. Occasionally decisions need
Preventive strategies to be made regarding the appropriateness of any
Antenatal e in utero transfer resuscitation efforts, senior input is desirable.
The appropriate elective transfer of a baby with, These situations are more manageable if there
for example a surgical problem or evidence of fetal has been opportunity to discuss matters prior to
compromise to a unit better able to deal with the delivery.
problem may reduce the likelihood of a resuscita-
tion or improve the management of a potential Responsive strategies
resuscitation. The risks of transfer have to be Perinatal e fetal compromise
balanced against the risk of staying put, as may Whilst on occasions it is possible to identify babies in
occur with a mother in threatened preterm labour, trouble before birth this is not always the case and
or where workload/staffing issues compromise babies are delivered unexpectedly in poor condi-
tion. The equipment required to resuscitate the
18 baby should be immediately available and systems
Total ECC/Drugs Drugs
16 have to be in place to communicate effectively to
14 the relevant staff. The neonatal resuscitation team
12 has to be clearly identified and available at short
10 notice and the means by which this occurs and the
8 systems used to call them have to be robust. There
6 should be clear guidelines on the circumstances
4 when such help should be summoned as well as
2 unambiguous guidance on how to call, and who
0 should attend. On occasions events happen too fast
1993 1994 1995 1996 1997 1998 1999 for the neonatal team to respond in time, so it is
Figure 3 Details of resuscitations requiring external important that the staff immediately available have
cardiac compressions (ECC) or drugs, by year (Plymouth training in the first steps in dealing with potentially
resuscitation data). compromised baby. Key staff should be identified
50 J. Madar

and provided with training e such as a Newborn Life original birth plan. There need to be clear guide-
Support Course, plus ongoing support. lines/protocols defining the thresholds upon which
discussions/decisions take place. If the mother is
Summary delivering in an out of hospital setting, then there
need to be appropriate contingencies for obstetric
Attention to the ongoing process of labour and an or neonatal emergencies.
awareness of the possible outcomes and resources Geography may be a confounding issue with
available are essential in modifying events to unplanned deliveries such as a preterm precipitate
minimise the possibility of an adverse outcome. delivery at home, or in an accident and emergency
department. Planning for these should consider
the environment and equipment available, trans-
The domains of risk port issues, the ability of local staff to cope, and
how specialist staff would be summoned and their
There are different areas that need to be consid- ability to deal with the problem(s).
ered when considering risk.
Clinical setting
 Environment The ideal environment should facilitate, not hinder
B Location the resuscitation of a baby in difficulties. Rooms
B Clinical setting should be of appropriate size that crowding does
B Equipment not compromise the delivery of the baby, should be
 Staffing draught free and of an appropriate temperature.
B Establishment There should be an accessible area where the baby
B Induction, training, competency can be assessed and support required provided.
 Logistic There should be unhindered access to relevant
B Process and timing equipment; it should be free of unwanted interfer-
B Workload intensity ence such as excessive noise, be provided with
B Communication appropriate communications and be private.
Priorities vary. Good thermal control is essential
as this may affect outcome. However, the pres-
Environment ence of excessive noise might not materially affect
resuscitation, unless it was sufficient to impair
Location rational thought or communications. Privacy is
A delivery can take place in hospital, a planned desirable, but not essential in practical terms.
birthing centre (midwifery led unit), at home or The commissioning of a delivery unit affords an
occasionally elsewhere. The ability to deal with opportunity to specify room dimensions, layout and
problems is significantly affected. support services such as piped air/oxygen. Other-
Deliveries are ideally planned between the pa- wise it is a matter of reviewing existing arrange-
rent(s) and the midwifery/obstetric care team as ments. Whilst not yet mandatory, the ability to
part of the risk management process. Delivery is blend gas should arguably be available10,11 and
a potential hazard and factors operating during the consideration of the means by which this (and
pregnancy might mandate a recommendation for compatible equipment) is provided. If no piped
delivery in a different place, or with different staff. air is available bottled air may be considered an
Mothers may choose to deliver in a hospital setting effective alternative, issues arise with respect to
where it is perceived that should problems occur, supply and storage. Birthing pools are an example
the systems to deal with these are in place. Others of a potentially challenging environment, which
choose to deliver at home or in a midwifery led unit demand clear guidelines. Achieving adequate ther-
not linked to major hospital services. In these cases, mal control may be difficult in the cooler and often
the ability to deal with certain problems is reduced. draughty setting of theatre where the (often
Any risk management process needs to consider the compromised) baby is exposed prior to transfer to
potential scenarios where problems might occur the resuscitation area. Home deliveries have chal-
and respond. In preventative terms, perceived risks lenges. It is possible to keep the place of birth
might be managed by recommending a change of warm, but space, lighting and support infrastruc-
venue from home to hospital as with antenatal ture e among other factors e can be problems.
issues such as pre-eclampsia or multiple pregnancy, Those undertaking delivery and resuscitation/sta-
or with perinatal problems such as a preterm labour bilisation need to understand their environment
where it is inappropriate to continue with the and have strategies to deal with restrictions.
Clinical risk management in newborn and neonatal resuscitation 51

Equipment Keep it simple. Equipment should be easy to use


In newborn resuscitation the focus is on priorities of and maintain. Response should be consistent (i.e.
temperature control, airway, breathing and circu- predictable) and reliable. For example e resusci-
latory support, however, common principles apply. taires for use on delivery suites offer similar
facilities e a flat surface on which to resuscitate,
Risk management considerations are: a source of heat, means of delivering positive
pressure breathing support, means of clearing
 can the equipment do the job required? i.e. the obstructed airway (i.e. suction), somewhere
effective ergonomics/design (functionality) to store equipment and a means of timing the
and robust maintenance procedures. resuscitation. However, rather like cars, whilst the
 can staff use the equipment effectively? i.e. basic function is similar, layouts can be very
appropriate environment and staff training. different and other adjuncts may be offered in-
 is the equipment in the right place? i.e. cluding, for example, the ability to raise/lower the
effective organisation. platform, the presence of servo control on heat-
ing, differing means of blending the air/oxygen
It is important to know who does what in order supply, the incorporation of a ventilator for re-
that equipment is properly looked after. spiratory support etc. Increasing complexity comes
with increased costs in terms of staff training and
Typical areas of responsibility/interest maintenance. The potential to complicate and
possibly impede resuscitation efforts needs to be
 Specification Midwifery/Neonatology taken into account. Matters may be compounded if
 Purchase Midwifery/Obstetrics different systems are used in the same place.
 Use Midwifery/Neonatology Local context. Local needs are important. For
 Upkeep Midwifery example, babies need transfer from the delivery
 Maintenance Unit specific maintenance serv- suite to the NNU. Whether this is on the resusci-
ices. taire or in a transport incubator depends upon
geography and other factors. Size/manoeuvrability
All departments involved should be consulted of equipment, provision of continued thermal and
when commissioning equipment. Any national guid- ventilatory support and monitoring become impor-
ance and unit strategy should be taken into tant. In a resource-limited environment, it may be
account. A pre-determined clear user specification, felt acceptable to have a few resuscitaires moved
accommodating specific unit based factors and from room to room depending on need. Others
identifying the key priorities against which equip- might specify one for each room. Some units might
ment may be judged helps objectivity in assess- choose to specify wall-mounted units, which are
ment. For example, the equipment available to less obtrusive, their lack of presence being per-
a community midwife undertaking home deliveries ceived as being subliminally reassuring to any
will be different to that provided in a delivery suite. putative parents. Whichever case, contingencies
It may be less sophisticated/comprehensive but to deal with unexpected deliveries and multiple
arguably more critical as there is less back up for pregnancies would be required.
failed/absent items. Evaluation determines the Standardise within departments. Variation in
effectiveness of the equipment but must consider equipment may cause confusion in the potentially
reliability, replacement, servicing and ultimately, fraught situation of a resuscitation and potentially
cost. The assessment process is equally valid for adversely affect outcome. Standardisation allows
small, disposable items such as suction catheters, those involved to concentrate on the clinical
as for larger items such as resuscitaires. issues, not on the tools. It helps those responsible
for maintenance. For example, differing T piece
Basic principles circuits are used for breathing support, some with
Make it accessible. Ensure everyone knows a facility for PEEP, others without. Some circuits
where equipment, drugs etc. are stored e before are currently provided with an occlusive bung in
they are needed and in such a way as to be easily the manifold for mechanical ventilation, which
found. unless removed prevents operator cycled ventila-
Make it functional. Ensure the equipment can do tion and results in an excessive inflation times. The
the job intended. For example, poor fitting face- devices may look superficially similar, function on
masks might hinder lung inflation, suction cathe- the same principles, but unless aware, any oper-
ters of inadequate bore might render the clearance ator may not use these devices to their best effect
of physically obstructed airways difficult. and potentially cause harm. Staff, especially those
52 J. Madar

who move between units must be made aware of system of review and maintenance. Clear retriev-
details. Where possible intra-unit variables should able documentation of the process should be kept.
be minimised/removed. It is essential to be aware of any issues pertain-
Stock-keeping is more complex with multiple ing to the equipment which may adversely affect
types. For example e laryngoscopes vary in size its ability to perform appropriately. Systems
and shape of blade. Fibre optic illumination alters should be in place to allow items of concern to
blade profile, makes it impossible to lose bulbs into be identified to those responsible for upkeep.
the pharynx, and allows for disposable plastic Documentation must be robust. Any process needs
blades. Departmental or trust wide policies on to include reference to relevant external agencies
provision may be relevant. If many different types such as the MHRA (Medicines and Healthcare
are in use, then the multiplicity of spares can be Regulatory Agency (UK)).
a problem and users will need to be familiar with Strategies should be in place to plan for re-
the differing characteristics. placement of those items likely to wear out, or
Ensure a fail-safe approach. Alternative means deemed unserviceable on other grounds.
of undertaking interventions should exist. Contin- User has responsibility. Ultimately the user of
gencies should be made for any system failure at the equipment has a responsibility to ensure it
any level, in any environment. Ideally, duplicate functions as expected or is identified as failing in
equipment should enable resuscitation to be un- time to seek a replacement. In all clinical situa-
dertaken or continue even the primary systems fail tions it is essential to check all functions before
completely. resuscitation. Of course this is not always possible
Eg: Should wall gas supply fail, then the cylinder but as a rule, assumptions should not be made
supply provided on a resuscitaire should allow about the integrity of any equipment. Failure to
continued support. However, cylinders leak if left identify a lack of provision in advance may com-
on circuit, and such systems are used rarely, and promise the ability to resuscitate effectively.
thus it is important that these are checked regu-
larly and that staff are aware of how to use them. Summary
Other examples are the provision of two sets of
laryngoscopes to allow for failure of the first set, or The equipment used in a resuscitation, whether in
the availability somewhere in the department of delivery suite, home delivery or elsewhere must be
a self inflating bag should T-piece or gas circuits subject to a rigorous policy of upkeep with those
fail. Staff should be aware of such contingencies. using the equipment subject to an equally rigorous
Ensure training in use. It is essential that staff policy of training. These processes must be regu-
are trained. It is dangerous to make assumptions larly reviewed and any information retrievable in
and it is necessary to be able to demonstrate that order to demonstrate, should it be necessary, that
staff are trained. Therefore, any programme of appropriate systems operated to minimise the
induction, or ongoing education must not only likelihood of failure of either kit or operator.
provide the facility to train, but also to document
competence in the use of the equipment. This Staffing
needs to be ongoing with regular review as policies,
equipment e and staff e change with time. How Establishment
such a programme is implemented is a departmental Guidelines exist on the numbers and competency
matter, but requires identified trainers with time of staff that should be available to deal with
apportioned for the task. For example e those using delivery situations (summarised for the UK in the
a resuscitaire should know how to set it up, how any CNST maternity standard No. 81) within hospital or
pressure regulated system works, how the suction is domestic settings. Ensuring adequate numbers are
provided, what is stored in the drawers, what to do available to work can be a challenge. Service
if primary systems such as gas supply fail etc. planners need to ensure adequate numbers of
Ensure robust and accountable schedules for staff are employed.
checking and servicing. The failure of equipment, Workload varies, and the baseline establishment
or a lack of serviceable equipment adversely of staff may be inadequate at times. Contingencies
affecting a resuscitation attempt is difficult to to enable the service to cope should exist. These
defend. There should be clear delineation of might involve extra staff or, where it is felt matters
duties and responsibilities with respect to mainte- approach dangerous levels, temporary closure of
nance. There must be a clear structure for the the unit. Accurate information, clear guidance and
checking and restocking of any resuscitation equip- access to relevant senior staff able to make in-
ment after any use in addition to any ‘routine’ formed, balanced decisions on these matters are
Clinical risk management in newborn and neonatal resuscitation 53

essential. Up-to-date registers of whom to contact Published standards


in such situations should be available. There is relatively little published on the spe-
Staffing issues may compromise standards of cific competencies expected of staff, although
care. The degree to which this is tolerated is guidance exists on mechanisms of induction, train-
clinically driven, taking into account relevant ing and subsequent support,(1 (standard 5), 3)
standards and operational factors. In risk manage- including attendance4 on courses such as the
ment terms, whilst occasional lapses in staffing Newborn Life Support (NLS) Course (RC(UK))12
standards might be tolerated, regular failures and Neonatal Resuscitation Program (NRP) (AAP
suggest matters need review. (US))13 whose syllabuses act as templates for core
The availability of midwifery, obstetric or pae- competencies, and whose testing structures serve
diatric staff is an issue, their ability to function as a means of assessing staff. As course regulators
effectively, another. emphasise however, whilst the courses provide
knowledge and develop skills they are not a sub-
stitute for supervised experience in the clinical
Induction, training and competency
arena and certification on such courses does not
Issues relate to who should be trained, the delivery
provides a license to practice. Nevertheless, if
of the training and means of assessment and
recommended by standard stetting organisations,
quality control.
risk management strategies should accommodate
such courses.
Resuscitation training
Staff who might be involved in resuscitation at Core knowledge and competencies
birth should have the knowledge base and skills to The basic skills required by a practitioner e those
undertake this and be provided with the appropri- comprising the ‘core competencies’ will vary, not
ate tools, the use of which in they have also been just by profession, but also by model of health care
trained. (Table 4). Even when not undertaking procedures
The risk management agenda includes the pro- such as intubation or obtaining venous access,
cesses by which staff should understand when these might be
required, and be able to help. When considering
1. Levels of knowledge and skills required are those less involved with birth (e.g. A&E personnel,
defined, set against any published standards. paramedics, GPs), the level of clinical exposure
2. Individual staff needs are identified. makes maintenance of skills difficult so there is
3. Opportunities for induction and on going merit in concentrating on those most likely to be
training are provided. used. It is often those exposed infrequently to the
4. Mechanisms for the assessment of competency problems, that are most challenged. It is then
with remedial processes where staff fail to
achieve the defined standard are provided.
5. A process for the recording of and review of Table 4 Core knowledge/competencies that might
resuscitation situations with appropriate in- be considered when establishing a baseline for
dividual and departmental feedback is in place personnel
to identify any learning/problem areas. Domain Knowledge/competency
6. Information on the above are retrievable to
General Physiology, equipment, thermal
inform future strategy and any clinical review.
care, initial assessment, team
working
Airway Position, jaw thrust, two person
Knowledge and skills support, use of Guedel airway,
All staff require core skills in the initial assessment inspection/suction, possibly
and resuscitation of any newborn baby. More intubation
complex situations require augmented skills and Breathing Use of T-piece and bagevalvee
other personnel. Units should clearly specify the mask systems, inflation breaths
levels of knowledge and skill expected of each Circulation Cardiac compressions, possibly
professional group. They may draw upon published insertion of umbilical catheter,
standards such as those of the Royal College of possibly use of drugs
Special Meconium aspiration, preterm
Paediatrics and Child Health and Royal College of
considerations babies, congenital abnormalities
Obstetricians and Gynaecologists3 or British Asso-
Based on the algorithm for newborn life support used in the
ciation of Perinatal Medicine4 when delineating
NLS (RC(UK)).12
these.
54 J. Madar

important to have clear mechanisms on obtaining Ensuring all new staff undergo formal NLS or
appropriately skilled help. equivalent training at least gives those with no
prior background in newborn resuscitation some
Evolving standards of care training and works towards a common approach
Staff should be up-to-date with current practice during resuscitation situations.
and recommendations.14e16 Staff and departments
need to actively review local standards of care to Delivery of training
reflect these.17 Recent issues include the appro- Institutions must resource properly structured
priate timing for elective caesarean section de- training; a major issue is time. Staff must be
liveries,18,19 the use of room air or blended oxygen released to attend relevant educational activities.
rather than 100% oxygen,10,11,20 the use of poly- Members of the clinical establishment should be
ethylene wrap/plastic bags to optimise thermal credible trainers and be supported in developing
care in the extreme preterm baby,21 optimal their educational and mentorship skills.
neuroprotective thermal care for the hypoxic in- Training initiatives have evolved over years. The
fant;22 the optimal way to assess the heart rate involvement of interested clinicians, educational-
(using a stethoscope);23 the use of laryngeal mask ists and the application of learning theory have
airways;24 the potential use of pulse oximetry25,26 had a significant effect on recent efforts in the
and capnography27 in the delivery room situation. field.29
The prerequisites of a good training programme
Individual staff requirements are:
Individual staff needs should be identified through
a defined process of performance review or ap- 1. provision of the relevant knowledge and skills
praisal. Ascertainment of the skills/knowledge of in appropriate form,
the individual can then be translated into a strat- 2. opportunity to practice until competent,
egy for updating/refresher training. This review 3. appropriate support in the clinical environ-
takes place against a defined set of departmental ment,
standards, which conform to any relevant internal 4. robust mechanisms for review.
(organisational) or external standards.
Assessment needs to be pre-emptive and ongo- Courses provide knowledge and develop skills,
ing, commencing before or soon after appointment consolidated whilst ‘learning on the job’. Practice
and subject to review. Clear documentation of the is informed by clinical exposure. Undertaking re-
assessment process and progress/development of suscitation within an appropriate supervisory
competencies at an individual level is essential. structure underpins clinical practice. Whatever
This may inform future review, reflective learning methods are used prior to working in the field,
and may be important should any issues (internal consolidation takes place in the field.
review, complaints, legal action, etc.) arise re-
lating to specific resuscitation events. Increasingly Formal courses
such aspects are incorporated into regulatory A current vogue involves short, intensive training
structures such as those of the NHS litigation courses e often over 1 or 2 days. Written material
authority.1 and lectures provide knowledge. Skill stations and
It is essential that staffing levels and skill mix clinically based simulated scenarios develop psy-
acknowledge individual competency and do not chomotor, evaluation and team leadership skills
result in those inexperienced being expected to such that all members collaborate effectively.
carry out tasks without support. They aspire to set a baseline standard, deemed
to have been achieved by virtue of formal sum-
Induction/training mative assessment.
It is perilous to make assumptions about the basic Within the United Kingdom, the Resuscitation
level of competence of new staff, in particular Council (UK) supports the Newborn Life Support
medical staff who rotate through departments (NLS) course,12 a course developed in the UK,
frequently. Someone who is properly trained in based around UK clinical practice, which operates
a given task is more likely to perform that task under their regulations and quality control sys-
better. This premise drives many initiatives in- tems. This course is supported/endorsed by all
cluding training in the knowledge and skills per- the professional bodies involved with staff re-
taining to resuscitation e with some evidence to sponsible for babies in the newborn period and, in
support such efforts.28 The precise manner and this country is seen as the current standard in
frequency of such training and the mechanisms by training in the initial assessment and support of
which its effectiveness can be assessed is less clear. a newborn baby. Similar courses exist in other
Clinical risk management in newborn and neonatal resuscitation 55

parts of the world, such as the Newborn Re- and confidence. The confident but incompetent
suscitation Program (NRP), supported in North staff member is a liability who needs to be
America.13 It might be expected that staff in- identified.
volved with babies at birth hold a current certif- Asset
icate in one of these.
These courses do not claim to make staff Competent, Confident
competent in newborn resuscitation, but provide Able to perform, happy to do so – relatively low risk

tools to enhance the ability to deal with a re- Competent, Unconfident


Able to perform, less happy to do so – safe, but needs support
suscitation situation. It is acknowledged that
Incompetent, Unconfident
training is essentially experiential and based
Not able to perform, but reluctant to try –potential liability, in need of
around appropriately supervised exposure in the training & support
clinical setting. Incompetent, Confident
Unable to perform, thinks can do so – high risk of problems, needs
What is the evidence formal training is of use? intervention
Limited evidence suggests these training interven-
tions are of benefit in influencing clinical practice Liability
and improving outcomes.31,28 The uplift in ability
Team working
does depend on the prior knowledge and skill base
Poor team work compromises outcome, those
of those trained. Someone with no experience may
supervising resuscitations (not specifically neona-
benefit greatly from such a course, those with
tal) not only need good core clinical competencies
years of experience may also benefit from a review
but also skills in leadership and an awareness of
of practice but on a differing level. However, even
the performance not just of themselves but other
when an educational programme is in place, the
members of the team.30
defined standards of care may not be achieved.32
Departments need to ensure staff attain the set
Monitoring performance and education
standards. However, without reinforcement once
in the future
in the clinical arena the knowledge and skills
Video recording has been shown to be useful in
taught on courses will atrophy.33,34 The education-
ascertaining whether resuscitation followed rec-
al framework must include relevant supervised
ognised guidelines. Usual practice after resuscita-
experience and update training. Presently, UK
tion is to record in the patient record the sequence
based midwives have a statutory requirement for
of events and outcome. By their very nature, such
annual refresher training. Medical staff have no
records are retrospective and somewhat subjec-
such regulation. The recommended NLS course
tive, based around the recollection of the individ-
mandates a recertification in the fourth year. This
ual, aided by any contemporaneous notes made
is an arbitrary interval, chosen on a pragmatic
during the process. An investigation into the
basis.
accuracy of documentation compared to voice
Individual departments must choose their in-
activated contemporaneous commentary sug-
ternal standards based around statutory and ex-
gested the written record underreported interven-
ternally recommended requirements and set in
tions during resuscitation attempts.36
place an auditable structure to ensure all relevant
In addition to an accurate record of events such
staff are trained e using a combination of struc-
records may play a vital part in any future analysis;
tured courses, supervised clinical exposure and
as part of a quality assurance programme to assess
training updates.
compliance with guidelines and on an individual
Competence versus confidence basis to assess competence and aid learning.37 The
It is important to be aware of the relationship effectiveness of any training intervention can be
between competence and confidence. Life support reviewed.38 Videos have been valuable in review-
training has been shown to increase confidence e ing the operational effectiveness of a resuscitation
something evident from questions to the candi- team, and in developing an approach to the
dates.35 True competence can be hard to quantify. leadership skills essential when undertaking re-
The assessment of competence is often subjective suscitation.29,30,33
and based around structured observational assess- Within the medico-legal sphere, the contempo-
ment of practice either within the construct of raneous nature of an audio or video recording has
a course (in which case it is more controlled, but strength. Such initiatives are generally within the
effectively out of context), or in clinical practice. research domain rather than accepted practice
Different staff requires differing support despite their evident strengths. There is limited
mechanisms depending on their competence work investigating why such initiatives are not more
56 J. Madar

in the mainstream. The concept of such retrievable refrain from documenting opinions unless fully
records might be intimidating to those involved. supported by sound evidence.
There are critical time frames with respect to
Documentation resuscitation at birth.
It is essential that clear records of any training are
kept and are retrievable. This is important at the
individual level and forms part of any portfolio. For Antenatal
the institution a record of staff competencies is Neonatal staff needs to be aware of any prior
essential when considering the clinical standards obstetric discussions and vice versa. Appropriate
around which a unit operates as well as for any staff should be involved. Senior staff aware of all
specific clinical situation where it is necessary to the potential issues and able to inform parents of
review the skill base of the staff involved. true expectation and likely outcome should coun-
sel those expecting a baby in circumstances which
Summary may be complicated e e.g. extreme prematurity,
congenital abnormality, from which an agreed
The provision and monitoring of appropriate train- strategy for the birth should evolve.
ing within a department is essential to place staff Any discussion with parents including those re-
in the best position to be able to provide appro- quiring consent or assent need to be underwritten
priate care and reduce the potential for adverse by robust evidence based clinical guidelines and
events. Adequate resources need to be in place to information where possible. This should include not
achieve this. just national data,40e42 but local outcome data.43
Information should be available for parents in
Logistics various formats to acknowledge differences in their
ability to absorb information. Language and cultural
Process differences can be a major pitfall unless contingen-
The resuscitation of a baby is part of a process cies are made, including multilingual leaflets, and
which begins in utero and ends after birth. In- accessible interpreters. Where critical life deter-
tervention at various points may significantly mining decisions are to be made qualitative studies
affect outcome. A situation where a resuscitation suggest parents may not wish to be the final arbiter
in less than optimal circumstances was required of outcome, but they need to be well informed and
might have been avoided had other decisions been their views acknowledged during the process.44
made earlier. Therefore it is essential that the
whole process is critically reviewed.
Data on cases dealt with by the NHSLA suggest Perinatal
a significant number of adverse events relate to For any maternity department the guidelines on
failures in process, where earlier definitive action who to call for resuscitation and when need should
before delivery might have resulted in an altered be clear. The mechanisms by which the teams are
outcome (personal communication). called (typically via switchboard/bleep systems)
need to be clearly specified and staff need to
Communication understand what to do if initial attempts to call for
Good communication at all levels is a vital part of help are unsuccessful.
the risk management process whatever the subject During a resuscitation communication is equally
matter. This is acknowledged through the CNST vital, not just between those involved with the
standards1 of which 2 out of 8 deal with matters of resuscitation efforts, the delegation of someone to
communication and documentation. Systems or record accurately the key events and if necessary,
root cause analysis39 often reveal that problems drugs given, may be useful when retrospectively
arise because of breakdowns in communication at reconstructing the sequence of events.
various levels. The parent(s) are likely to be witnesses to the
In any given clinical situation, the matters event. In childbirth it is impossible/unreasonable
discussed between staff and between staff and to exclude them. Their subsequent recollection
parents need to be unambiguous, clearly docu- and interpretation of events are likely to be very
mented and accessible to others where appropri- subjective, but may be critical in any ensuing
ate. Any discussions should be clearly recorded in review. The ability to identify a member of staff
a manner that facilitates later review. Clear to deal with the parents and to acknowledge their
guidance should be provided to staff to ensure presence may be vital, if sometime difficult in
they are able to record all relevant facts and to fraught circumstances.
Clinical risk management in newborn and neonatal resuscitation 57

Post-natal an opportunity to meet with senior professionals at


The documentation of the events surrounding a later date as it is often the case that questions
any resuscitation forms a vital part of the risk arise, or information is forthcoming (such as that
management process. Records need to be as of a postmortem) which can inform a later consul-
objective as possible. Staff need to be trained in tation.
how to comprehensively and accurately record the
proceedings of any resuscitation. They must un- Summary
derstand the important components of any such
record and also the significance of comments and Failures in communication are often found to be at
judgements made. It is important to recognise the the root of many problems experienced not just in
potential significance of comments, which may not resuscitation. Attention to establishing good com-
have any factual basis, and to refrain from re- munications at all levels is essential in minimising
cording these. Opinion may be interpreted as fact. the likelihood of future problems.
The development of a clear structure for any
subsequent record with supporting documentation Cord blood gases
might help in retaining objectivity. Such a structure
was developed to aid in the recording of adult The pros and the cons
resuscitation events.45 No such formally structured
equivalent currently exists for newborn resuscita-
Introduction
tion although guidelines are provided through the
The value of cord blood analysis is based on the
training and documentation supporting the struc-
premise that it is a proxy for the status of the baby,
tured courses.
and that significant derangement of the acide
Staff need to be mindful of the fact that the
base status of the cord blood represents a similar
hospital record may be made accessible to others
state in the baby. Thus a baby, who by virtue of
when reviewing any resuscitation events and that
a significant hypoxaemic stress has generated,
they may be called upon to justify any comments
by anaerobic metabolism, a lactic acidosis, poten-
in a medico-legal setting. The potential usefulness
tially compounded by CO2 retention and a respira-
of audio/video recording as an objective record of
tory component will have acidotic cord blood
events at this stage has been previously discussed.
gases. Acidotic cord blood gases therefore may
It is vital that parents are allowed the opportu-
imply intrapartum fetal hypoxia.
nity to meet with those responsible for any re-
suscitation e whether successful or not e as soon The cons.
as practically possible after the event, in order It could be argued that taking blood from the cord
that they can be provided with a clear account of after delivery is an information gathering exercise
event and potential outcome and have any ques- and does not change management of the infant,
tions dealt with. Clear records of these discussions which is mandated by the clinical condition at
should be maintained. birth. As such it is of no direct relevance to the
An important part of the risk management resuscitation.
process is that of review. Any significant resusci- The motive for their collection is explained by
tation events should be reviewed, those involved an increasing need to provide evidence within
allowed a timely debrief in order that points of a medico-legal framework of the presence or
good practice and potential problem areas can be absence of a pre-existing problem before birth in
identified. Critical incidents should be reported the context of attributing cause to any hypoxice
through whatever mechanisms exist. Multidisci- ischaemic problems faced by a baby.
plinary meeting of all interested parties, with Some units collect cord blood gas data of all
documented review processes and effective deliveries46e51 others are more selective.52 Varia-
executive action are the hallmark of a conscien- tion in practice between obstetric units in the
tious responsive organisation. UK presumably reflects a lack of consensus on
There should be appropriate evaluation of out- whether analysis is useful and what should be
come to inform future efforts. The outcome of measured.53 The 26th RCOG study group on intra-
survivors of critical resuscitation efforts should be partum surveillance54 recommended universal
followed up. Unless an expected and predicted sampling of both artery and vein as an assessment
outcome, postmortem examinations should be of the fetus after labour although NICE recom-
carried out on those where efforts have failed as mends at least selective sampling in a more recent
there may be factors which were not immediately review of practice.55 Data from all deliveries
evident prior to the event. Parents should be given demonstrate that a significant number of abnormal
58 J. Madar

gases would be missed by this practice e 31/42 There is some debate as to where to measure
values in O4000 spontaneous cephalic deliveries the values from. Conventionally cord arterial blood
(Derriford Hospital Perinatal Research Group e analysis is quoted as it is felt to better reflect the
personal communication). A few feel that the baby. Paired samples are often recommended as
process of obtaining cord gases may be potentially they allow discrimination of the artery with a com-
harmful by preventing physiological placental parison of paired values from both artery and
transfusion of blood after delivery.56 vein;52,61,62 others find no difference between
The relationship between cord blood acidosis arterial and venous values48 although this might
and outcome is not a secure one. Even when the reflect inadvertent sampling from the same vessel
cord gases have been significantly acidotic (commonly the vein). The site of sampling along
(pH % 7.00), babies have subsequently had no the cord may have a significant effect on values.63
detectable problems in the short or the long Cord gas values are used with other markers of
term.46,51 Conversely, significantly unwell babies fetal stress to improve sensitivity and specificity.
may have cord gases above pH 7.00 in the normal However, opinion differs as to the best markers.
range (Fig. 4) and may well have a poorer The Apgar score is advocated as a structured
outlook.57 Acidaemia may not reflect cellular indicator of fetal well-being. Some use the 5-min
acidosis in some situations. score (48.49) with a value !7 taken as the
There is variance in the parameters measured threshold indicator of compromise. However, de-
and the interpretation placed upon these. The pH spite the preference for the 5-min score by many,
in isolation has been used as the measured vari- others argue that the 1-min score is a better
able.46,50 Measurement of the base deficit in discriminator.6 Or that there is but a weak corre-
conjunction with this is advocated48,58,59 because lation with the measured blood variables.51,52
it reflects the metabolic component of the pH. Some present no data on Apgar but use alternative
Interpretation of the pCO2 may have value52 in markers of neonatal ill health and encephalopa-
determining any respiratory component to the thy.58
acidosis. There is some interest in lactate as a more Overall there would appear to be considerable
direct measure of hypoxaemic stress.60 variance on the best way of using cord blood gas
analysis, which has limitations as an independent
marker of severe perinatal hypoxia. It is thus
Cord artery pH in babies with 1 minute Apgar < 4 at perilous to extrapolate values into a diagnosis of
birth perinatal hypoxaemia or make any judgement on
25
long-term outcome without other supportive evi-
dence.
Number of babies

20

15
The pros.
10 Despite the restrictions on the method, cord blood
5
gas analysis does have merits. Measuring cord
gases soon after birth provides some indication of
0 the metabolic state of the baby. The presence
< 7.00 7.00-7.20 > 7.20 No value
Arterial pH
of significant acidosis may support a diagnosis
of severe intrapartum hypoxia and may aid in
1 Minute Apgar score for babies with arterial cord ascribing a cause to any subsequent neurological
pH <= 7.00 sequelae. A normal gas may facilitate a defence of
25
obstetric practice.
Number of babies

20 The method appears to have validity in both


15 preterm and term infants.49 It is vital however,
that any measurement is taken in context. It is
10
important to use an appropriate definition of
5 acidosis and using pH values at or below 7.00 with
0 identification of the metabolic component appears
0-3 4-6 >7 No data to have some correlation with outcome.
1 min Apgar score Where the measured blood variables have been
Figure 4 Graphs illustrating relationship between pH shown to have some predictive value is when they
and Apgar score for babies with Apgar ! 4 and arterial are correlated with other observed clinical
cord pH % 7.00. Derriford Hospital, Plymouth (UK) data markers of fetal stress, such as the condition at
2003 e total births 4268. birth (typically recorded as the Apgar score),
Clinical risk management in newborn and neonatal resuscitation 59

degree of resuscitation required49 and markers of of severe hypoxia may have cord blood values in
neonatal encephalopathy.58 the non-pathological range e which might indicate
There is evidence that the clinical progress of a genesis for the problem not related to intra-
the infant following resuscitation better informs partum events.
predictions of outcome.51 The cord pH neverthe- Used appropriately the technique has a place in
less sets a baseline against which subsequent the risk management of resuscitation and may be
measurements of blood gas parameters can be useful in any analysis of events for audit, or other
compared. When these correct rapidly, the impli- more adversarial purposes.
cation might be of a relatively minor stress and
a good outcome, as opposed to those where there Overall summary
is considerable delay in correction of any acidosis
e implying a more sustained insult.50 The processes involved in managing the risks in
respect to resuscitation are no different to those
Conclusion of any other domain. However, they highlight the
multifaceted nature of the activity, which requires
On their own, cord gases cannot be used reliably to a structured approach encompassing many differ-
predict any subsequent adverse event, particularly ent areas, and input from professionals in many
in an infant who appears otherwise well where the fields. The cost in human and fiscal terms of
available evidence suggests poor values do not a poorly carried out resuscitation is potentially
necessarily correlate with any compromised long- very high and thus it is an area that deserves close
term outcome. attention.
To be of value, whatever cord variables are
collected must be recorded along with all relevant
antenatal information pertaining to the labour and References
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