Fig. 19.1
Designing perioperative services for safety. Designing the infrastructure for safety requires integration of safety into all aspects of the organization
The mission of the perioperative care should be developed or revised to emphasize the importance of safety and quality . It is essential that this message be in alignment with the healthcare organization’s mission. Engaging practitioners to participate in the development or refinement of the perioperative mission encourages a shared mental model of the importance of safety and buy-in into subsequent changes. Displaying the mission on the wall or as a screen saver provides ongoing reinforcement of the importance of safety and quality and sustainability of this as a shared responsibility [14]. Having these signs visible to the public engages patients and may also provide a competitive differentiation, inspiring patients to select the facility with the stronger commitment to safety and quality [15]. Incorporating patient safety and quality into the strategic plan reinforces that this is a priority supported by executive leadership , and facilitates allocation of needed resources.
Hiring for Safety
A study conducted by the Health Research and Educational Trust found that utilization of high performance work practices can improve patient outcomes in both safety and quality parameters [16, 17]. Building these high performance work teams requires having the right people in the right jobs. This begins with having expectations about safety incorporated into job descriptions, which are then used for advertising vacant positions and communicating during the hiring process. Candidate interviews should utilize behavioral-based questions that elicit the applicant’s understanding and experience with patient safety scenarios and working within a team environment. During the hiring process, the expectations of working within the organization’s safety culture need to be clearly articulated. While a candidate’s functional skill set is important, the ability to assimilate successfully into a safety culture is crucial. It is usually easier to learn a functional skill than to learn teamwork and change attitudes. Integration of patient safety and quality expectations into employee or partner contracts prior to hiring or renewal is valuable. Once hired, team members need to thoroughly understand that safety and quality are a priority. Integrating these expectations into the onboarding processes for hospital employees and contracted partners is essential. Video clips from senior executive leadership provide as strong message about the importance of safety and quality.
Promoting Safety Norms
While executive leaders are responsible for establishing safety as an organizational priority, unit-based leaders are pivotal in assuring that patient safety processes are sustained as an integral part of perioperative care . Frontline leaders are strategically positioned to set performance standards and implement team-centered systems that support an overall safety culture and meet safety goals. Providing ongoing reminders during daily huddles, and communicating progress toward goals on a Managing Daily Improvement board integrate safety into daily activities and establish it as a norm. Staff meetings provide a valuable opportunity to discuss challenges and obtain staff input about strategies to overcome these challenges. These meetings should contain a standing agenda item to discuss progress toward safety goals.
Performance appraisals should include key expectations of safety. However, addressing noncompliance in a constructive, timely manner is critical. Principles of a just culture should be used to address inconsistencies between desired behavior and observed behavior. This also provides input into systems changes that promote desired behaviors.
The perioperative team’s progress toward goals should be shared with executive leadership . This integrates perioperative safety into the overall quality and safety program and instills a sense of accountability. This communication is often in the form of a scorecard, aligning perioperative safety goals with the overall strategic plan for the organization.
Lastly, developing a safety culture at the surgical microsystem is a journey requiring continuous reinforcement and support [18]. Progress toward goals should be recognized and celebrated. Having healthy competition between perioperative teams can serve as an additional incentive, and may make the journey toward a safety culture more enjoyable.
The Role of the Operating Room Management Committee
In perioperative settings , all levels of providers should be involved in the journey to a safety culture. Due to the complexity of the departments and the episodic nature of interactions, it can be difficult to design a mechanism for meaningful collaborative engagement. Most surgical settings have a multidisciplinary committee charged with overseeing the functioning of the operating room and facilitating communication between perioperative disciplines. Key responsibilities of the OR Management Committee include:
Ensuring patient safety and high quality of care to optimize patient outcomes
Ensuring appropriate and timely access to perioperative services
Maximizing the efficiency of perioperative services
Utilizing personnel and materials in a safe, cost-effective manner
Providing a safe work environment that promotes collegiality, mutual respect, and effective teamwork
This committee’s meetings provide a venue for tracking the progress of safety initiatives and other key metrics and dedicated time for sharing safety concerns. Balanced scorecards are often used for this purpose. The content of this report is tied to the organization’s strategic plan. Although these reports vary between facilities, some elements of a perioperative score care may include:
The associated strategic objective(s)
Key process measures (e.g., first case on-time starts, beta blocker at discharge)
Incidence of adverse events by type or hospital-acquired conditions (e.g., retained surgical item, surgical site infection, readmission)
Adherence to a safety process goal (e.g., specimens correctly labeled, surgical procedures scheduled correctly)
Patients perceptions of care (e.g., Hospital Consumer Assessment of Healthcare Providers and Systems (HCAHPS) )
Employee metrics (e.g., RN turnover rate, employee satisfaction, use of agency personnel)
Safety culture (staff perceptions of safety culture)
Financial metrics (e.g., number of procedures, cost of supplies, productivity)
Although membership of the OR Management Committee varies somewhat between types of facilities and networks, the structure usually includes the triad of perioperative nursing director, anesthesia director, and surgeon director. This oversight requires effective collaboration between members of the committee, sharing data to and from their respective departments, discussing initiatives, and addressing issues with their departments. Incorporating the committee members into the ongoing surveillance of safety initiatives helps to underscore the importance of building and maintaining safety initiatives.
Collaborating for Safety
Executive Leadership
The OR Management Committee should not only manage down, but also manage up, partnering with the senior executive leadership. This partnership should include monthly safety rounds by the senior leadership, talking to staff members in each perioperative area. This provides an opportunity for two-way communication. The frontline staff members see the commitment of leadership to safety initiatives, and the executive hears from the frontline what issues staff members face and recommendations for overcoming hurdles. This information is valuable because senior executives have access to resources that can be deployed to address these issues.
Effective perioperative leadership also requires a strong network of collaboration with other departments, including the Information Technology, Quality, Safety, and Risk Management departments.
The Information Technology Department
Provision of data-driven reporting is integral to tracking and trending the actual incidence of adverse events as well as near miss occurrences and progress on other patient safety goals [19]. The Information Technology department plays a vital role in designing data abstraction processes to capture multiple data elements that can be aggregated for a clearer picture of the processes toward a safety culture [20]. By examining harmful and potentially harmful patient safety events and trending these over time can help pinpoint areas that need improvement in safety protocol adherence . Information technology can also be utilized to “improve safety by providing decision support to clinicians during the cares process, assisting providers with missed diagnoses, and improving compliance with evidence-based medicine” [21].
Robust process improvement is essential to a culture of safety and information technology is essential to extract and synthesize data in meaningful ways to provide a basis for examining current practices and identifying areas for further development. Sustainability of a safety culture requires a continuous focus on the process of safety and the resulting outcomes. Keeping relevant safety data highly visible maintains an awareness of where the organization is progressing and where opportunities for further progress toward safety goals exist toward a safe environment of care. It is best to have dedicated IT support assigned to perioperative services to facilitate timely reports and accurate trending.
Quality, Safety, and Risk Management Departments
The role of Quality, Safety, and Risk Management departments is essential in the investigation of adverse events and the trending of these occurrences to determine process failures and opportunities for performance improvement. Engaging these departments in the overall oversight of a safety culture is beneficial in aligning the organization’s focus on the outcome of patient care and the resulting cost to the patient and the organization of substandard care [22]. Perioperative leaders should utilize the expertise of these practitioners to enhance the education and communication to their team regarding the efficacy of safe patient care practices.
Other Departments
Building a wide network of collaboration with other organizational departments promotes a better understanding of the unique characteristics of perioperative patient care and maximizes the resources available to perioperative leaders in the execution and continuation of a safety program. This facilitates improving access to and timeliness of perioperative services, and perioperative efficiencies. For example, collaborating with the Emergency Department is essential to promote timely surgery for trauma and other emergency patients. Collaboration with the Intensive Care Unit minimizes issues with bed access. Collaborating with Material Services supports the availability of needed supplies and implants.
External Partners
Collaboration may also extend to external partners . This can be done through the National Healthcare Safety Network (NHSN) , state reporting, Patient Safety Organizations , or collaborative learning networks. Collaboration with other facilities allows the use of aggregate data collected from many facilities to enhance learning and drive changes in safety and quality. By mid-2012, 27 states and the District of Columbia had enacted legislation to establish collective reporting systems for adverse events or errors [23]. The CUSP Learning Network is an example of network-based collaborative learning in action. This network facilitates peer-to-peer learning and coaching [9].
Staffing for Safety
The availability of the perioperative team to manage the daily schedule and acute emergencies is essential for patient safety. Having too few staff for a patient surgery or having personnel who are not competent in the particular aspects of the procedure and patient care requirements increases the risk of harm to the patient.
Planning staffing for an operating room (OR) is considerably different than for an inpatient care unit. While staff working in an inpatient unit care for multiple concurrent patients within a specific medical specialty, OR staff care for patients sequentially for multiple surgical specialties.
Staffing Plan
Providing an appropriate number and mix of staff starts with a staffing plan . The staffing plan should be based on the complexity of patient care, competency of staff, and surgical volume. The plan should set a standard for a minimum safe level of staffing and have enough flexibility to adjust for unforeseen circumstances. This plan should identify number of staff members, staffing mix, and scheduling of personnel to be present in the unit or on call. This staffing plan should be addressed in the perioperative budget [24]. Personnel should not be required to work more than 12 h in a 24 h period or more than 60 h in a work week [24]. The use of 12 h shifts, compared to 8 h shifts, has been found to be associated with an increase in fatigue, patient care errors, and worker injuries [24, 25]. Using these extended shifts should be avoided. The on-call staffing plan should include strategies to minimize extended work hours and provide relief for personnel working beyond 12 h.
OR in-room staffing is calculated based on the number of concurrent rooms at various times of the work day, with additional support staff available. Minimum staffing for one operating room generally consists of one registered nurse circulator and one surgical scrub person per operating room. However, increasing case complexity and patient acuity indicate that this minimum number may not be sufficient for an ever increasing number and types of procedures. In some settings, it’s not unusual to have two or three persons in the scrub role due to equipment and technology requirements. It is also common to have two circulators for high patient acuity cases or procedures that require enhanced patient monitoring (e.g., laser or hybrid procedures). The AORN has published guidelines for safe staffing that include a formula for calculating the number of staff needed for an OR suite [24].
Some states have imposed mandatory staffing requirements based on either nurse–patient ratio or a facility committee-led approach, with direct care providers comprising more than half of the members. An alternate approach used by some states is a requirement to disclose staffing levels to an agency or the public. Perioperative leaders must be knowledgeable and compliant with the laws in their states.
Perioperative services should also be staffed in a manner to adequately respond to emergent patient needs. The responsiveness depends on the type of care provided. Hospitals designated as Level I trauma centers must have immediate availability to provide a range of services. Hospitals designated as Level II or III have lower requirements (see Table 19.1).
Level I | Level II | Level III | |
---|---|---|---|
Nursing | OR team must be available within 15 min (e.g., in-house 24 h per day). If the trauma OR is in use, another team must be available | OR team must be available within 15 min (e.g., in-house 24 h per day). If the trauma OR is in use, another team must be available | OR team must be available within 30 min |
Anesthesia provider | Available in-house 24 h per day. When anesthesiology senior residents or CRNAs fulfill this requirement, the attending anesthesiologist on call must be available within 30 min at all times, and present for all operations | Available in-house 24 h per day. When anesthesiology senior residents or CRNAs fulfill this requirement, the attending anesthesiologist on call must be available within 30 min at all times, and present for all operations | Anesthesiologist or CRNA must be available within 30 min |
General surgeon | General surgeon or appropriate substitute (year 4 or 5 resident) must be in house 24 h a day | Must be available within 15 min, 24 h per day with back-up call | Must be available within 30 min |
Neurosurgeon | Immediately available 24 h per day with back-up call | Must be available within 15 min, 24 h per day with back-up call | Not required |
Orthopedic surgeon | Must be available within 30 min | Must be available within 30 min | Must be available within 30 min |
Other surgical service coverage | Must have a full spectrum of other surgical specialists available (cardiac surgery, thoracic surgery, hand surgery, microvascular surgery, plastic surgery, obstetric and gynecologic surgery, ophthalmology, otolaryngology, and urology) | Must have a full spectrum of other surgical specialists available (thoracic surgery, hand surgery, microvascular surgery, plastic surgery, obstetric and gynecologic surgery, ophthalmology, otolaryngology, and urology). Should provide cardiac surgery | Not required |
Educating and Training in Patient Safety
Designing perioperative services for safety requires an understanding of the science underpinning safety. Education about safety should be provided for all personnel and contracted partners working in perioperative services . Content from perioperative leadership and executive leadership should be included. This can be done by inserting a video clip into presentations . The content of this education should include:
Safety is owned by the system
Basic principles of safe design (standardization of work, independent checks (checklists) for key processes, and learning from mistakes)
The importance of teamwork in safety [26]
A culture of safety also requires assurance that healthcare personnel have the knowledge and technical skills to make sound clinical decisions, perform tasks needed for their roles, routinely function as a team, effectively work together to manage emergency situations, and maintain these skills over time. Simulation and spaced education are two strategies to accomplish this [27].
Simulation
Academic and healthcare facilities are rapidly adopting simulation as a way to prepare healthcare professionals for their direct patient care responsibilities, including care of the surgical patient. This educational strategy provides a risk-free environment for individuals to learn how to make clinical decisions and develop technical skills for specific tasks. Systematic reviews of surgical simulation have found that the knowledge gained transferred to performance during surgery [28, 29]. A recent meta-analysis found that simulation also has a positive impact on surgical time [30].
Multidisciplinary simulation has been effectively used to teach teamwork and crew resource management in perioperative patient care [31]. In addition to providing practice for their skills, the multidisciplinary experience teaches personnel what they can expect from other team members [32]. Multidisciplinary simulation has been found to improve communication and teamwork in the operating room [33]. It is also effective for teaching the knowledge and skills required for a variety of emergency situations, such as managing anaphylaxis [34]. It has been used to enhance preparation for cardiac emergencies and response in the operating room to care of a patient with a ruptured aortic aneurysm [35]. A study of a multidisciplinary simulation of an exsanguination emergency and team performance found that the simulation resulted in better understanding of team member roles, activation of the massive transfusion protocol, and an improvement in time spent performing clinically significant tasks [36]. Simulation has enormous potential to improve the safety of perioperative care [37].
Spaced Education
It is also important to assure that perioperative personnel maintain knowledge gained about how to handle unusual events (e.g., surgical fire). This is usually done through annual competency assessment. Traditionally, personnel have been required to attend annual educational programs about a set of expected competencies. This is time consuming, and often dissatisfying to personnel that have attended the training multiple times and believe that they have already mastered the content. For these situations, spaced education (SE) is a valuable alternative. SE is an innovative, evidence-based educational method that is very popular with busy perioperative personnel. SE involves delivering periodic e-mails or text messages containing clinical scenarios and test questions. Immediately after answering the question, the learner receives the correct answer with an explanation of the topic. The question is then placed into a cycle, and repeated in 8–42 days, to reinforce the content. When the learner answers a question correctly twice, the question is retired.
SE is based upon educational psychology theories in which spacing of education and testing enhance learning and retention. In randomized trials, SE has been found to improve knowledge acquisition and boost learning, and improve retention of knowledge for up to 2 years [38–40]. This methodology is especially appealing because it can be done in a few minutes at a convenient time, rather than requiring attendance at a traditional lecture. Qstream (https://app.qstream.com/) has some applications of interest to perioperative leaders. Educators may also create their own courses in Qstream (e.g., fire safety, deep vein thrombosis prophylaxis, perioperative hypothermia, sleep apnea). Although the use of SE in perioperative safety is in its infancy, it has enormous potential, particularly for annual competency assessment for nurses, surgeons, and anesthesia providers.
Designing Processes for Safety
When implementing new programs or processes or redesigning those in place in the perioperative setting, it is important to identify potential failures and, when possible, proactively prevent these from occurring. This strategy is a proactive risk analysis. Unlike a root cause analysis that retrospectively examines a single failure, a proactive risk analysis involves a “deep dive” examining a process and identifying and correcting potential failures [41]. In this way, the learning is from what could go wrong, rather than what went wrong in single event [27]. Two tools to conduct a proactive risk analysis are: Failure Modes and Effects Analysis and the VA Center for Patient Safety’s modification of this tool, a Healthcare Failure Mode and Effect Analysis (see Table 19.2) [42, 43].
Table 19.2
Steps of a healthcare failure mode and effect analysis (HFMEA) a