Identifying violation-provoking conditions in a healthcare setting

Human error and violation of rules in industrial safety: A systematic literature review

BACKGROUND

Human error and violation of rules are perceived as deviations from some desired behavior, appearing variably in literature as either similar or opposing concepts. Behavioral deviations may be linked to accidents or considered a protective factor against them.

OBJECTIVE

This article aims to explore definitions, characteristics, classifications, and management approaches for behavioral deviations, specifically human error and violation of rules.

METHODS

A systematic literature review was conducted.

RESULTS

The authors differ in defining and classifying error and violation, associating them with generation of accidents or their prevention. The management proposals for deviations highlighted by the authors were emphasized.

CONCLUSION

The findings of this article reinforce the prominence of authors Jens Rasmussen and James Reason in the field. They assert that deviations are a natural aspect of the work process and even serve as a preventive factor against accidents, although their frequent association with accidents remains common in organizations. This study contributes to theoretical understanding by systematizing prevalent perspectives on deviation, human error, and violation of rules. It proposes a taxonomy and emphasizing the need for managing deviations, rather than combating them, especially in an organizational context.

Mind the gap: Examining work-as-imagined and work-as-done when dispensing medication in the community pharmacy setting

Reducing errors within a healthcare setting remains high on the patient safety research agenda. More consistent performance has been sought by increased development of standardised operating procedures, but they are not always adhered to in practice. Previous studies have identified that a difference exists between the way a task is imagined to be completed, based on standardised protocols and procedures, and how the task is actually completed in reality. This study explores one area of healthcare, community pharmacy, and more specifically the task of dispensing medicines from prescriptions, to identify the gap between how dispensing is imagined to be completed through standardised operating procedures, and how it is actually completed in practice, by using Hierarchical Task Analysis as a framework. Document analysis of standardised operating procedures in 3 community pharmacies was used to produce 3 task analyses, which were compared with 3 task analyses produced from data collected through non-participant observations of the same 3 community pharmacies. Deviations between the two forms of task analyses were presented to community pharmacists in focus group discussions and it was found staff may deviate from standardised protocols because of various reasons, including: efficiency; availability of resources; thoroughness; and delegating safeguards. Potential implications for the work system include the benefit of greater collaboration between procedure writers and frontline workers, and the introduction of more flexible procedures, that allow the risks of any adaptions to be clearly realised. Further work must establish whether pharmacists recognise the safety implications of these gaps between work as imagined, and work as done, and initiatives should be established to ensure patient safety is not compromised due to these differences.

Prescribing errors by junior doctors- A comparison of errors with high risk medicines and non-high risk medicines

INTRODUCTION

Prescribing errors in hospital are common. However, errors with high-risk-medicines (HRMs) have a greater propensity to cause harm compared to non-HRMs. We do not know if there are differences between the causes of errors with HRMs and non-HRMs but such knowledge might be useful in developing interventions to reduce errors and avoidable harm. Therefore, this study aims to compare and contrast junior doctors' prescribing errors with HRMs to non-HRMs to establish any differences.

METHODS

A secondary analysis of fifty-nine interviews with foundation year doctors, obtained from three studies, was conducted. Using a Framework Analysis approach, through NVivo software, a detailed comparison was conducted between the unsafe acts, error-causing-conditions (ECCs), latent conditions, and types of errors related to prescribing errors with HRMs and non-HRMs.

RESULTS

In relation to unsafe acts, violations were described in the data with non-HRMs only. Differences in ECCs of HRMs and non-HRMs were identified and related to the complexity of prescribing HRMs, especially dosage calculations. There were also differences in the circumstances of communication failures: with HRMs ineffective communication arose with exchanges with individuals outside the immediate medical team while with non-HRMs these failures occurred with exchanges within that team. Differences were identified with the latent conditions: with non-HRMs there was a reluctance to seek seniors help and with HRMs latent conditions related to the organisational system such as the inclusion of trade names in hospital formularies. Moreover, prescribing during the on-call period was particularly challenging especially with HRMs.

CONCLUSION

From this secondary analysis, differences in the nature and type of prescribing errors with HRMs and non-HRMs were identified, although further research is needed to investigate their prevalence. As errors with HRMs have the potential to cause great harm it may be appropriate to target limited resources towards interventions that tackle the underlying causes of such errors. Equally concerning, however, was the sense that doctors regard the prescribing of non-HRMs as 'safe'.

Understanding procedural violations using Safety-I and Safety-II: The case of community pharmacies

OBJECTIVE

Procedural violations are known to occur in a range of work settings, and are an important topic of interest with regard to safety management. A Safety-I perspective sees violations as undesirable digressions from standardised procedures, while a Safety-II perspective sees violations as adaptations to a complex work system. This study aimed to apply both perspectives to the examination of violations in community pharmacies.

DESIGN

Twenty-four participants (13 pharmacists and 11 pharmacy support staff) were purposively sampled to participate in semi-structured interviews using the critical incident technique. Participants described violations they made during the course of their work. Interviews were digitally recorded, transcribed verbatim and analysed using template analysis.

SETTING

Community pharmacies located in England and Wales.

RESULTS

31 procedural violations were described during the interviews revealing multiple reasons for violations in this setting. Our findings suggest that from a Safety-II perspective, staff violated to adapt to situations and to manage safety. However, participants also violated procedures in order to maintain productivity which was found to increase risk in some, but not all situations. Procedural violations often relied on the context in which staff were working, resulting in the violation being deemed rational to the individual making the violation, yet the behaviour may be difficult to justify from an outside perspective.

CONCLUSIONS

Combining Safety-I and Safety-II perspectives provided a detailed understanding of the underlying reasons for procedural violations. Our findings identify aspects of practice that could benefit from targeted interventions to help support staff in providing safe patient care.

Qualitative ergonomics/human factors research in health care: Current state and future directions

The objective of this systematic review was to understand the current state of Ergonomics/Human Factors (E/HF) qualitative research in health care and to draw implications for future efforts. This systematic review identified 98 qualitative research papers published between January 2005 and August 2015 in the seven journals endorsed by the International Ergonomics Association with an impact factor over 1.0. The majority of the studies were conducted in hospitals and outpatient clinics, were focused on the work of formal health care professionals, and were classified as cognitive or organizational ergonomics. Interviews, focus groups, and observations were the most prevalent forms of data collection. Triangulation and data archiving were the dominant approaches to ensuring rigor. Few studies employed a formal approach to qualitative inquiry. Significant opportunities remain to enhance the use of qualitative research to advance systems thinking within health care.

Integrating Data From the UK National Reporting and Learning System With Work Domain Analysis to Understand Patient Safety Incidents in Community Pharmacy

OBJECTIVES

To explore the combined use of a critical incident database and work domain analysis to understand patient safety issues in a health-care setting.

METHOD

A retrospective review was conducted of incidents reported to the UK National Reporting and Learning System (NRLS) that involved community pharmacy between April 2005 and August 2010. A work domain analysis of community pharmacy was constructed using observational data from 5 community pharmacies, technical documentation, and a focus group with 6 pharmacists. Reports from the NRLS were mapped onto the model generated by the work domain analysis.

RESULTS

Approximately 14,709 incident reports meeting the selection criteria were retrieved from the NRLS. Descriptive statistical analysis of these reports found that almost all of the incidents involved medication and that the most frequently occurring error types were dose/strength errors, incorrect medication, and incorrect formulation. The work domain analysis identified 4 overall purposes for community pharmacy: business viability, health promotion and clinical services, provision of medication, and use of medication. These purposes were served by lower-order characteristics of the work system (such as the functions, processes and objects). The tasks most frequently implicated in the incident reports were those involving medication storage, assembly, or patient medication records.

CONCLUSIONS

Combining the insights from different analytical methods improves understanding of patient safety problems. Incident reporting data can be used to identify general patterns, whereas the work domain analysis can generate information about the contextual factors that surround a critical task.

Rule-violations sensitise towards negative and authority-related stimuli

Rule violations have usually been studied from a third-person perspective, identifying situational factors that render violations more or less likely. A first-person perspective of the agent that actively violates the rules, on the other hand, is only just beginning to emerge. Here we show that committing a rule violation sensitises towards subsequent negative stimuli as well as subsequent authority-related stimuli. In a Prime-Probe design, we used an instructed rule-violation task as the Prime and a word categorisation task as the Probe. Also, we employed a control condition that used a rule inversion task as the Prime (instead of rule violations). Probe targets were categorised faster after a violation relative to after a rule-based response if they related to either, negative valence or authority. Inversions, however, primed only negative stimuli and did not accelerate the categorisation of authority-related stimuli. A heightened sensitivity towards authority-related targets thus seems to be specific to rule violations. A control experiment showed that these effects cannot be explained in terms of semantic priming. Therefore, we propose that rule violations necessarily activate authority-related representations that make rule violations qualitatively different from simple rule inversions.

When procedures meet practice in community pharmacies: qualitative insights from pharmacists and pharmacy support staff

OBJECTIVES

Our aim was to explore how members of community pharmacy staff perceive and experience the role of procedures within the workplace in community pharmacies.

SETTING

Community pharmacies in England and Wales.

PARTICIPANTS

24 community pharmacy staff including pharmacists and pharmacy support staff were interviewed regarding their view of procedures in community pharmacy. Transcripts were analysed using thematic analysis.

RESULTS

3 main themes were identified. According to the 'dissemination and creation of standard operating procedures' theme, community pharmacy staff were required to follow a large amount of procedures as part of their work. At times, complying with all procedures was not possible. According to the 'complying with procedures' theme, there are several factors that influenced compliance with procedures, including work demands, the high workload and the social norm within the pharmacy. Lack of staff, pressure to hit targets and poor communication also affected how able staff felt to follow procedures. The third theme 'procedural compliance versus using professional judgement' highlighted tensions between the standardisation of practice and the professional autonomy of pharmacists. Pharmacists feared being unsupported by their employer for working outside of procedures, even when acting for patient benefit. Some support staff believed that strictly following procedures would keep patients and themselves safe. Dispensers described following the guidance of the pharmacist which sometimes meant working outside of procedures, but occasionally felt unable to voice concerns about not working to rule.

CONCLUSIONS

Organisational resilience in community pharmacy was apparent and findings from this study should help to inform policymakers and practitioners regarding factors likely to influence the implementation of procedures in community pharmacy settings. Future research should focus on exploring community pharmacy employees' intentions and attitudes towards rule-breaking behaviour and the impact this may have on patient safety.

Macroergonomics in Healthcare Quality and Patient Safety

The US Institute of Medicine and healthcare experts have called for new approaches to manage healthcare quality problems. In this chapter, we focus on macroergonomics, a branch of human factors and ergonomics that is based on the systems approach and considers the organizational and sociotechnical context of work activities and processes. Selected macroergonomic approaches to healthcare quality and patient safety are described such as the SEIPS model of work system and patient safety and the model of healthcare professional performance. Focused reviews on job stress and burnout, workload, interruptions, patient-centered care, health IT and medical devices, violations, and care coordination provide examples of macroergonomics contributions to healthcare quality and patient safety. Healthcare systems and processes clearly need to be systematically redesigned; examples of macroergonomic approaches, principles and methods for healthcare system redesign are described. Further research linking macroergonomics and care processes/patient outcomes is needed. Other needs for macroergonomics research are highlighted, including understanding the link between worker outcomes (e.g., safety and well-being) and patient outcomes (e.g., patient safety), and macroergonomics of patient-centered care and care coordination.

Anaesthesia monitor alarms: a theory-driven approach

The development of physiologic monitors has contributed to the decline in morbidity and mortality in patients undergoing anaesthesia. Diverse factors (physiologic, technical, historical and medico-legal) create challenges for monitor alarm designers. Indeed, a growing body of literature suggests that alarms function sub-optimally in supporting the human operator. Despite existing technology that could allow more appropriate design, most anaesthesia alarms still operate on simple, pre-set thresholds. Arguing that more alarms do not necessarily make for safer alarms is difficult in a litigious medico-legal environment and a competitive marketplace. The resultant commitment to the status quo exposes the risks that a lack of an evidence-based theoretical framework for anaesthesia alarm design presents. In this review, two specific theoretical foundations with relevance to anaesthesia alarms are summarised. The potential significance that signal detection theory and cognitive systems engineering could have in improving anaesthesia alarm design is outlined and future research directions are suggested.

PRACTITIONER SUMMARY

The development of physiologic monitors has increased safety for patients undergoing anaesthesia. Evidence suggests that the full potential of the alarms embedded within those monitors is not being realised. In this review article, the authors propose a theoretical framework that could lead to the development of more ergonomic anaesthesia alarms.

Self-reported violations during medication administration in two paediatric hospitals

CONTENT

Violations of safety protocols are paths to adverse outcomes that have been poorly addressed by existing safety efforts. This study reports on nurses' self-reported violations in the medication administration process.

OBJECTIVE

To assess the extent of violations in the medication administration process among nurses.

DESIGN, SETTING AND PARTICIPANTS

Participants were 199 nurses from two US urban, academic, tertiary care, free-standing paediatric hospitals who worked in a paediatric intensive care unit (PICU), a haematology-oncology-transplant (HOT) unit or a medical-surgical (Med/Surg) unit. In a cross-sectional survey, nurses were asked about violations in routine or emergency situations in three steps of the medication administration process.

MAIN OUTCOME MEASURE

Self-reported violations of three medication administration protocols were made using a seven-point 0-6 scale from 'not at all' to 'a great deal'.

RESULTS

Analysis of variance identified that violation reports were highest for emergency situations, rather than for routine operations, highest by HOT unit nurses, followed by PICU nurses and then Med/Surg unit nurses, and highest during patient identification checking, followed by matching a medication to a medication administration record, and then documenting an administration. There was also a significant three-way interaction among violation situation, step in the process, and unit.

CONCLUSIONS

Protocol violations occur throughout the medication administration process and their prevalence varies as a function of hospital unit, step in the process, and violation situation. Further research is required to determine whether these violations improve or worsen safety, and for those that worsen safety, how to redesign the system of administration to reduce the need to violate protocol to accomplish job tasks.

Motivational mechanisms at the origin of control task violations: An analytical case study in the pharmaceutical industry

The introduction of rules and procedures to guide front-line operators' behaviour and to decrease the frequency of errors is a growing safety strategy in complex risk systems. It is thought to be a useful way of controlling and standardising human practices and of increasing safety and quality. However, merely developing procedures does not ensure that they are followed. In this study, observation was used to collect information on procedural violations in a pharmaceutical company. Interviews were conducted with the operators and the prescriptors to better understand how and why these violations were occurring. Results showed that a small number of procedures were breached by the majority of operators and that the rules that were violated were the ones associated with a perception of minimum risk. Results suggest the rationality of operators is a response to cognitive and social influences, which must be taken into account when designing procedures. STATEMENT OF RELEVANCE: This paper is about violation and risk perception. This focus is relevant for ergonomic research and practice, taking into account the accumulation of rules and procedures that are found in work in order to improve safety. The results help to better understand the cognitive and social mechanisms underlying violations and give some insights for designing procedures.

Determinants of intention to deviate from clinical practice guidelines

The volitional nature of procedural violations in work systems creates a challenge for human factors research and practice. In order to understand how violations are caused and what can be done to mitigate them, there is a need to determine the influence of workers' beliefs about rules and guidelines. This study demonstrates the use of a social psychological approach to investigate the beliefs of anaesthetists about clinical practice guidelines. A survey was completed by 629 consultant anaesthetists, who rated their beliefs about deviation from three guidelines (performing pre-operative visits; checking anaesthetic equipment; handling intravenous fluid bags). Regression analysis indicated that the belief ratings predicted self-rated intention to deviate from the guidelines. Implications for understanding anaesthetists' adherence to guidelines are discussed. STATEMENT OF RELEVANCE: This study builds upon previous work by the authors, presenting a more detailed insight into potential causes of procedural violations in healthcare. The study also demonstrates the use of a social psychological method to the investigation of violations. Hence, it is of interest to researchers and practitioners interested in human reliability, especially in healthcare.

Relationships between observed and perceived deviations from normative work procedures

Deviations from anticipated courses of events are often associated with accidents, while the effects of deviations that decrease productivity but do not obviously lead to human injury are less clear. A systemic approach to production and safety is introduced, and it is proposed that production deviations have effects that may lead to safety violations and personal injury. In addition, the relationship between observed and perceived production deviations from 12 senior (60-79 years old) males' routine work using three firewood processing machines is analysed. For simple machine work, perceived deviations were positively related to observed deviations per work cycle and inversely correlated to the perception of work efficiency. For more complex machine work it was more difficult to match observers' and operators' perceptions of deviations. Despite challenges in the production deviation concept, this approach offers a holistic understanding of the performance of human-machine-environment systems and complements assessments of deviations from safe working practice.

Medication safety in community pharmacy: a qualitative study of the sociotechnical context

Background

While much research has been conducted on medication safety, few of these studies have addressed primary care, despite the high volume of prescribing and dispensing of medicines that occurs in this setting. Those studies that have examined primary care dispensing emphasised the need to understand the role of sociotechnical factors (that is, the interactions between people, tasks, equipment and organisational structures) in promoting or preventing medication incidents. The aim of this study was to identify sociotechnical factors that community pharmacy staff encounter in practice, and suggest how these factors might impact on medication safety.

Methods

Sixty-seven practitioners, working in the North West of England, took part in ten focus groups on risk management in community pharmacy. The data obtained from these groups was subjected to a qualitative analysis to identify recurrent themes pertaining to sociotechnical aspects of medication safety.

Results

The findings indicated several characteristics of participants' work settings that were potentially related to medication safety. These were broadly classified as relationships involving the pharmacist, demands on the pharmacist and management and governance of pharmacists.

Conclusion

It is recommended that the issues raised in this study be considered in future work examining medication safety in primary care.