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Preventing Adverse Events in Cataract Surgery: Recommendations from a Massachusetts Expert Panel

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Preventing Adverse Events in Cataract Surgery: Recommendations from a Massachusetts Expert Panel Patient Safety Section Editor: Richard C. Prielipp E NARRATIVE REVIEW ARTICLE Preventing Adverse Events in Cataract Surgery: Recommendations From a Massachusetts Expert Panel Karen C. Nanji, MD, MPH, Sarah A. Roberto, MPP, Michael G. Morley, MD, ScM, and Joseph Bayes, MD * † ‡ Massachusetts§ health care facilities reported a series of cataract surgery–related adverse events (AEs) to the state in recent years, including 5 globe perforations during eye blocks performed by 1 anesthesiologist in a single day. The Betsy Lehman Center for Patient Safety, a nonregula- tory Massachusetts state agency, responded by convening an expert panel of frontline providers, patient safety experts, and patients to recommend strategies for mitigating patient harm during cataract surgery. The purpose of this article is to identify contributing factors to the cataract surgery AEs reported in Massachusetts and present the panel’s recommended strategies to pre- vent them. Data from state-mandated serious reportable event reports were supplemented by online surveys of Massachusetts cataract surgery providers and semistructured interviews with key stakeholders and frontline staff. The panel identified 2 principal categories of contributing factors to the state’s cataract surgery–related AEs: systems failures and choice of anesthesia technique. Systems failures included inadequate safety protocols (48.7% of contributing factors), communication challenges (18.4%), insufficient provider training (17.1%), and lack of standardiza- tion (15.8%). Choice of anesthesia technique involved the increased relative risk of needle-based eye blocks. The panel’s surveys of Massachusetts cataract surgery providers show wide variation in anesthesia practices. While 45.5% of surgeons and 69.6% of facilities reported increased use of topical anesthesia compared to 10 years earlier, needle-based blocks were still used in 47.0% of cataract surgeries performed by surgeon respondents and 40.9% of those performed at respondent facilities. Using a modified Delphi approach, the panel recommended several strate- gies to prevent AEs during cataract surgery, including performing a distinct time-out with at least 2 care-team members before block administration; implementing standardized, facility-wide safety protocols, including a uniform site-marking policy; strengthening the credentialing and orientation of new, contracted and locum tenens anesthesia staff; ensuring adequate and documented train- ing in block administration for any provider who is new to a facility, including at least 10 supervised blocks before practicing independently; using the least invasive form of anesthesia appropriate to the patient; and finally, adjusting anesthesia practices, including preferred techniques, as evi- dence-based best practices evolve. Future research should focus on evaluating the impact of these recommendations on patient outcomes. (Anesth Analg 2018;126:1537–47) o procedure in medicine is free from error—includ- including 5 globe perforations during eye blocks performed ing procedures as common as cataract surgery. by 1 anesthesiologist in a single day. Fortunately, better adverse event (AE) reporting The literature on AEs in eye surgery describes several N 2–4 in recent years provides an opportunity to learn from mis- contributing factors, including insufficient team briefings, takes when they happen. From 2011 to 2015, Massachusetts transcription errors,3,5–7 and inadequate site markings.6,8 A received 37 reports of serious cataract surgery–related AEs,1 2012 survey of cataract surgeons in the United Kingdom found that only 54% used a checklist to confirm intraocular 4 From the Department of Anesthesia, Critical Care and Pain Medicine, lens selection. Even with standardized protocols in place, Massachusetts General Hospital, Harvard University, Boston, Massachusetts; AEs often result from inconsistent adherence to them, includ- Betsy Lehman* Center for Patient Safety, Boston, Massachusetts; Department ing skipped or poorly executed time-outs.3,5,9,10 A retrospec- of Ophthalmology, Harvard Medical School, Boston, Massachusetts; and †Department of Anesthesia, Massachusetts Eye & Ear, Harvard‡ Medical tive analysis of 106 AEs during eye surgery found that 86% School, Boston, Massachusetts. could have been prevented by conscientious application of § Accepted for publication August 21, 2017. standardized preoperative verifications, site markings, and Funding: This work was supported, in part, by the Agency for Health care time-outs.10 Lapses in protocols may stem from factors such Research and Quality Grant 1K08HS024764-01. as alterations to the surgical schedule3,7,9,10 and time-pres- The authors declare no conflicts of interest. # sured environments experienced by many care providers.3,11 Supplemental digital content is available for this article. Direct URL citations appear in the printed text and are provided in the HTML and PDF versions of The goals of anesthetic care for cataract surgery include this article on the journal’s website (www.anesthesia-analgesia.org). analgesia of the eye, rapid recovery from anesthesia, and Listen to this Article of the Month podcast and more from OpenAnesthesia.org® minimizing risk of complication from both surgery and anes- by visiting http://journals.lww.com/anesthesia-analgesia/pages/default.aspx. thesia. There are several anesthesia techniques described in Reprints will not be available from the authors. Supplemental Digital Content 1, Appendix A, http://links. Address correspondence to Karen C. Nanji, MD, MPH, Department of Anes- lww.com/AA/C43 that can accomplish these goals, includ- thesia, Critical Care and Pain Medicine, Massachusetts General Hospital, 55 Fruit St, Boston, MA 02114. Address e-mail to [email protected]. ing topical anesthesia, needle-based blocks (peribulbar Copyright © 2017 International Anesthesia Research Society and retrobulbar), sub-Tenon’s block, and general anesthe- DOI: 10.1213/ANE.0000000000002529 sia. While the overall risk of patient harm during cataract May 2018 • Volume 126 • Number 5 www.anesthesia-analgesia.org 1537 Copyright © 2017 International Anesthesia Research Society. Unauthorized reproduction of this article is prohibited. E NARRATIVE REVIEW ARTICLE surgery is low,12,13 there is evidence that the risk differs by The panel met in-person 5 times, and by conference anesthesia technique.12,14–18 call 7 times over an 8-month period ending in May 2016. The safety challenges in cataract surgery are similar to Using a Delphi approach modified to allow communication those in other types of surgery. As perioperative physicians, between experts,19,20 the panel arrived at a series of recom- anesthesiologists play a critical role in preventing patient mendations to prevent AEs in cataract surgery based on harm, not only by maintaining knowledge and skills as data obtained from Massachusetts SREs and major incident evidence evolves but also by acting as observant, thought- reports, malpractice claims, clinical registries, and other ful, and vocal members of care teams. Moreover, anesthe- incident reporting systems, as described in our accompany- siologists have the opportunity to advance patient safety ing brief report.1 The panel supplemented these data with more broadly, through cross-disciplinary initiatives that a literature review of AEs in cataract surgery and compli- reflect the multidisciplinary nature of the care we provide. cations associated with anesthesia techniques used for the Coordinated safety efforts across specialties, and includ- procedure. Separately, we obtained data on clinical pref- ing patients, may have the greatest potential for improving erences and safety concerns through interviews with key patient safety. stakeholders and frontline staff, as well as online surveys of A multi-stakeholder effort in Massachusetts illustrates Massachusetts cataract surgeons. how providers and patients can work together to improve The key stakeholder interviews were qualitative, semis- patient safety. The work was initiated by the Betsy Lehman tructured, and designed to last 1 hour (Supplemental Digital Center for Patient Safety (the Center), a nonregulatory Content 2–5, Appendices B-1, B-2, B-3, and B-4, http:// Massachusetts state agency with a mandate that includes links.lww.com/AA/C44, http://links.lww.com/AA/ using data reported to the state to catalyze safer health care. C45, http://links.lww.com/AA/C46, and http://links. While the Center receives reports of serious reportable events lww.com/AA/C47). Contracted researchers (Mathematica (SREs) from the Massachusetts Department of Public Health, Policy Research, Cambridge, MA) conducted the inter- it does not conduct investigations into AEs. The Center’s views and recorded field notes in real time. They iteratively enabling statute contains a confidentiality provision (M.G.L reviewed the field notes and analyzed them for common c. 12, 51c) under which information it receives from pro- themes around contributing factors and prevention strat- viders and others is not public record and is not subject to egies using a grounded theory approach,21,22 until they disclosure§ through discovery or subpoena, or admissible as reached information saturation, the point at which they felt evidence in judicial or administrative proceedings. that no new information or insights were gained from suc- A recent series of cataract surgery–related AEs reported cessive interviews. In addition, the Center conducted vol- to the state1 provided an opportunity for the Center
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