From the October 2006 issue

Error-reporting systems represent one of the primary means by which healthcare providers learn about:

• Potential risks: hazardous conditions hidden in processes
• Actual errors: errors that occur during the delivery of patient care
• Causes of errors: underlying weaknesses in systems and processes that explain why an error happened
• Error prevention: ways to prevent recurrent events and, ultimately, patient harm.

Error reporting is a fundamental component of a safety culture, but persuading healthcare workers to submit reports is no easy task given the potential disincentives to reporting. First, people’s reactions to making errors are variable, but candid confessions of mistakes are not particularly popular. In fact, people have a natural desire to correct the error and then forget that the incident ever happened. Even if workers are willing to speak up about errors, they may believe that the extra work to report errors is not possible or worth their time, especially if they feel that no changes will be enacted from reporting. The workforce also may be reluctant to report errors if they are worried that the information will get them or their colleagues in trouble, legally or socially, or impact their license and job.

Regardless of potential disincentives to report, some highly-functional internal and external error-reporting systems exist, including the ISMP Medication Errors Reporting Program. From these systems, best practices that promote error reporting can be identified. These best practices fall into six categories that impact the quantity and quality of reports.

Trustworthy. Those who receive and act on error reports must earn the trust of reporters and prove that the program is sensitive to reporters’ concerns, particularly the fear of punishment for making and reporting errors. Feelings of trust are fostered by leaders who demonstrate an unequivocal passion for safety, acknowledge the high-risk nature of healthcare and human fallibility, and use errors to assess system performance, not staff performance. What is needed is a just culture in which workers are encouraged to provide essential safety information without fear of being judged or treated unfairly in the aftermath of an error.

Confidential. Those who receive reports must keep the identity of the reporter, workers involved in the errors, and the location of the event confidential to prevent undue embarrassment or undesirable attention. Anonymity when reporting is not recommended, as those who receive the information would not be able to talk to the reporter or others involved in an error to learn about the causative factors. Anonymity also signals to reporters that it may not be safe to provide their identity or location, which trumps the idea of trustworthiness. However, removing identities after the error has been fully investigated is an option.

Clear and easy. Those who receive reports must pay attention to the format and length of the required report. If the expected report is too long, it will stifle reporting; if the report is too short, you may not get enough information to make it useful. Instead of broad, general questions, the report should prompt for a narrative description of the event and ask questions that are specific to the type of event (e.g., medication error, fall, error when using a medical device) to prompt for the most pertinent information about the reporter’s perceptions, decisions, and actions. For example, a reporting format for medication hazards or errors should ask whether the event involved missing information about the patient or drug, communication problems, labeling and packaging problems, drug storage problems, environmental problems, and so on. This way, the probing questions shift much of the analytical work away from the reporter and make it easier for him or her to uncover some of the causative factors that led to the error. Event reporting mechanisms should be easily accessible and flexible enough to include both formal and informal ways of accepting information, including oral, written, and electronic submissions.

Rewarding. Recognition for playing a positive role in patient safety through reporting should be acknowledged by those who receive reports and organizational leaders and managers. Of course, the largest reward is to know that the report resulted in effective system-level action.

Credible and useful. Few things impede reporting more than perceived inaction and failure to use the information contained in a report to improve safety. Thus, those who receive reports must provide rapid, useful, and understandable feedback to employees, keeping them informed about how their reports are being used to improve systems and processes.

Reinforced imperative. Those who receive reports must establish mechanisms for mentoring new staff about the error-reporting process. Additionally, the importance of reporting hazards and errors should be stressed with all staff by including clear expectations for reporting activities on all job descriptions and performance evaluations.

It wasn’t too long ago that healthcare professionals felt too embarrassed or ashamed to divulge a medication error. Some were so fearful of legal and personal reprisal that they followed an unwritten, unspoken, but clearly understood rule: silence is golden. But times are changing. Many now realize that the disclosure and open discussion of errors allows us to better analyze a situation, more appropriately predict behavior, and more safely and reliably design systems and processes that are resistant to errors. In fact, many are beginning to see greater liability in not reporting errors. By following the steps provided above and in table 1 below, organizations can continue to optimize reporting systems and their capacity for learning about the factors that determine the safety of the system as a whole.

Table 1. Elements that encourage error reporting

Trustworthy

• Patient safety is clearly reflected and communicated in the organization’s mission, vision, values, and strategic goals.
• Leaders’ (e.g., administrators, managers, supervisors, practice managers) decisions demonstrate a visible and unequivocal passion for safety and the prevention of patient harm.
• Leaders visit work areas to learn firsthand about the barriers to safe care and to make themselves available for discussions about patient safety.
• Leaders demonstrate positive attitudes about the organization’s capabilities and clearly demonstrate their belief that the workforce is doing their very best.
• Leaders utilize errors to assess system performance, not staff performance.
• Leaders acknowledge the high-risk nature of healthcare and human fallibility.
• Leaders are preoccupied with the risk of system failure, not individual failure.
• Leaders demonstrate a thirst for knowledge about risk, errors, and patient harm.
• Leaders share responsibility for errors when they occur.
• Leaders do not discipline individuals who report or are involved in errors (only exceptions include criminal actions, mistakes while under the influence of drugs or alcohol, and willful recklessness not rooted in system failures).
• Leaders have developed guidelines to identify and prioritize events that are appropriate and useful for conducting a root cause analysis.
• Leaders use reports of errors and hazards outside the organization to make proactive system changes to reduce the risk of similar errors within the organization.

Confidential

• Confidentiality is guaranteed for reporters, individuals involved in errors, location of events, and patient identity.
• The information collected during investigation of an error, for the purposes of safety and quality, is protected from legal discovery (when allowed by state or federal statutes).

Clear and easy

• Staff is provided with clear definitions and multiple examples of the types of errors, near misses, and hazards that should be reported.
• The format used to collect information about events has been tested for clarity and ease of use, and edited as needed before implementation.
• The error reporting process (with examples) is covered during orientation for all staff.
• Staff has an easy method(s), including informal pathways, for reporting hazards, near misses, and errors.

Rewarding

• Pathways have been established for thanking and rewarding staff that report errors or hazards.
• Pathways have been established for thanking and rewarding care settings for demonstrating measurable improvements in patient safety.
• Staff is able to see demonstrable results and actions taken by the organization based upon the information received in reports.

Credible and useful

• Leaders act upon error and hazard reports by fixing system-level vulnerabilities, rather than punishing individuals.
• Leaders support system enhancements suggested by staff to reduce the risk of harmful errors.
• Leaders empower staff to correct safety hazards (in conjunction with appropriate communication with leadership).
• Leaders consistently provide feedback to staff regarding the actions planned and taken to prevent errors.
• Pathways have been established for sharing the lessons learned from error analysis and root cause analysis (e.g., newsletters, staff meetings, educational presentations).
• Pathways have been established for meaningful sharing of memorable error stories, contributing factors, and error-reduction strategies throughout the practice site.
• Pathways have been established to share meaningful data to demonstrate safety problems and ensure that actions taken have been successful in reducing risk, error, and/or patient harm.
• External reporting is encouraged so that patient safety organizations can disseminate useful information to others and work to address problems at the regulatory, standards, and industry level.

Reinforced imperative

• New staff is assigned a mentor to assist with the error-reporting process.
• Error and hazard reporting are included as core elements in all staff members’ job descriptions and performance evaluations.