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Decision 15HDC00268
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Names have been removed (except
Southern DHB and the expert who advised on this case) to protect
privacy. Identifying letters are assigned in alphabetical order and
bear no relationship to the person's actual name.
Southern District Health Board
A Report by the
Health and Disability Commissioner
(Case 15HDC00268)
Table of Contents
Executive summary 1
Complaint and investigation 3
Information gathered during investigation
3
Response to provisional opinion 12
Opinion: Dr C - Adverse comment 12
Opinion: Southern District Health Board - Breach
13
Recommendations 16
Follow-up actions 17
Appendix A: Emergency medicine advice to the Commissioner
18
Executive summary
1. In 2013 Mrs A went to a public hospital's
emergency department (ED) because she had been experiencing a cough
and chest tightness for about four days. ED medical officer Dr C
examined Mrs A and gave her nebulisers, after which she was noted
as being much improved.
2. Dr C ordered an X-ray of Mrs A's chest and
did not note anything of concern. She diagnosed chronic obstructive
pulmonary disease (COPD) with acute asthma. Mrs A was discharged
home with her care discharged to her GP. Her discharge report did
not mention a pending X-ray report.
3. Five days later, the formal radiologist's
report regarding Mrs A's X-ray identified a 15 x 10mm mass. The
report documented that "a significant lung nodule cannot entirely
be excluded", and recommended a chest X-ray or a CT scan in six
weeks' time. The report was sent electronically to Dr C's
inbox.
4. Two days later, Dr C reviewed Mrs A's X-ray
report. The following day, Dr C was going away on leave for 10
days, and she did not acknowledge the results as she wanted to
review the X-ray and discuss it with the radiology consultants. She
said that the results were not immediately urgent, and she
considered it appropriate to action them on her return. She assumed
that the result would still be visible in the memo tab on her
return, and was not aware that the memo would drop off from her
view after 24 hours.
5. When Dr C returned from leave, Mrs A's chest
X-ray results were no longer visible in the memo tab of Dr C's
inbox, and Dr C did not recall the report.
6. Mrs A did not receive the recommended
follow-up X-ray or CT scan, and the X-ray results were not sent to
her.
7. About 20 months after Mrs A's X-ray, Mrs A
returned to the ED having felt unwell for the last few days with a
constant headache, right-sided weakness, poor coordination, and
having recently experienced eight to ten falls. A review of her
electronic clinical history resulted in the discovery of the
non-actioned X-ray report, which showed a mass on Mrs A's lung.
Sadly, Mrs A died a short time later.
8. Southern District Health Board's (SDHB's)
investigation into these events found that its IT system allowed
results to disappear from the view of the memo tab, once results
were opened/viewed in the memo tab, after 24 hours (regardless of
whether they were acknowledged) by dropping to the bottom of the
queue. All unattended and unacknowledged reports remained in the
"unacknowledged work list". However, "the ED were unaware of this
distinction in the functionality", and ED staff were using only the
memo tab.
9. SDHB acknowledged that while staff were
introduced to, and instructions provided in the use of, the
"unacknowledged work list" when the feature was first introduced in
2005, it is not clear how much emphasis had been given in the IT
training to ensure that no such confusion existed between the use
of the memo tab versus the unacknowledged work list.
10. Furthermore, there was no process at the
public hospital to ensure that reports or results were acknowledged
within a certain length of time, and there was no warning system to
alert clinicians to the existence of unacknowledged
reports.
Findings
11. It was found that SDHB failed to have in
place an appropriate system for the management and acknowledgement
of test results. While a system was in place, SDHB's clinicians
were not trained adequately to use the system. There was clearly
widespread misunderstanding within SDHB's ED regarding the
functionality of the IT system, which clinicians should have been
able to rely on and use adequately. There was inadequate initial
and on-going training in relation to the system. This failure
resulted in Dr C not following up on Mrs A's report. In addition,
SDHB did not have in place an appropriate system to ensure that Mrs
A's GP received the X-ray report, and did not have a process to
ensure that reports or results did not go unacknowledged by SDHB
clinicians. Accordingly, it was found that SDHB failed to provide
Mrs A with an appropriate standard of care and breached Right 4(1)
of the Code of Health and Disability Services Consumers'
Rights.
12. Adverse comment was made about Dr C not
putting in place any safety-netting strategies. However, overall it
was considered reasonable for her to rely on the system in these
circumstances.
Recommendations
13. It is recommend that SDHB:
a) Provide a report regarding the outcome of
the Electronic Acknowledgement Project to HDC and DHB Shared
Services.
b) Provide an audit of four months' data
regarding the time taken to acknowledge reports.
c) Consider having a warning system added to
its IT system to alert clinicians to the existence of
unacknowledged results.
d) Arrange for an impartial IT expert with a
medical background to examine its electronic management system to
determine whether user warnings and updates need to be built in to
the software and training sessions.
e) Provide a report to HDC regarding the
actions taken in respect of the recommendations as outlined in the
SDHB Serious Adverse Event Review.
f) Provide a written apology to Mrs A's
family.
Complaint and investigation
14. The Commissioner received a complaint from
Mr B about the services provided by Southern District Health Board
to Mrs A. The following issue was identified for
investigation:
• Whether Southern District Health Board
provided Mrs A with an appropriate standard of care between 2013
and 2015.
15. An investigation was commenced on 28 July
2015.
16. The parties directly involved in the
investigation were:
Mr B Complainant
Southern District Health Board Provider
Dr C Provider
17. Information from ACC, Dr D, and a medical
centre was also reviewed. Also mentioned in this report:
Dr E Emergency medicine doctor
Dr F Emergency medicine consultant
Dr G General medicine physician
consultant
18. Independent expert advice was obtained from
Dr William Jaffurs, an emergency physician (Appendix
A).
Information gathered during investigation
Background
19. Mrs A (aged 66 years at the time of these
events) lived at home with her husband. She was a patient of the
medical centre. Prior to these events, her last consultation at the
practice was in 2010. Her general practitioner (GP) was Dr D. Mrs A
was a smoker.
Emergency Department
20. In 2013, Mrs A began feeling unwell with a
cough and chest tightness. Three days later she began coughing and
could not stop. At 1.16pm she went to the ED. At 1.25pm she was
seen in triage by a registered nurse (RN). The RN documented that
Mrs A had been feeling lethargic and generally unwell, with a
worsening cough over the past four days. Her vital signs were taken
and noted to be normal (temperature 37°C, pulse 95 beats per
minute, and respiratory rate 22 breaths per minute). Mrs A was
given a priority code of "4" (to be seen within 60 minutes).
21. At 2.32pm Mrs A was seen by ED Medical
Officer Dr C. Dr C noted that Mrs A was reporting symptoms of chest
tightness and shortness of breath on exertion, and that she
complained of having been unwell with a cough and chest tightness
over the past few days, which had become worse that day. Mrs A's
pain was documented as being "++", and she denied any
"fevers/sweats/chills/rigors" and was otherwise well.
22. Dr C examined Mrs A and documented her
observations as stable and her abdomen soft and non tender, but
that she "look[ed] short of breath", and her chest had "decreased
air entry with wheeze throughout".
23. Dr C ordered a chest X-ray. In a statement
provided as part of SDHB's Serious Adverse Event Review, Dr C
advised that this was "to look for signs of pneumonia".
24. Mrs A's nursing progress notes document
that at 2.50pm she was given two nebulised bronchodilators and oral
prednisone (a steroid).
25. The X-ray was taken at 3pm and subsequently
received by Dr C, who reviewed it and noted that there was "no
focal consolidation". The X-ray was not reported formally by
a radiologist at that time.
26. At 3.36pm Dr C noted that Mrs A was "much
improved post nebs [after receiving nebulisers]". Dr C's impression
was that of chronic obstructive pulmonary disease (COPD),
with acute asthma. Dr C prescribed prednisone (40mg to be
taken over five days) and Augmentin (625mg to be taken over
seven days). At 3.37pm Dr C discharged Mrs A.
27. Dr C told HDC:
"Unfortunately, due to the time which has elapsed since [Mrs A] was
seen by myself … I cannot remember exactly what I discussed with
her on her discharge … However, it is my standard practice, to
discuss with any patients I see, that I have xrayed, that I am not
a radiologist, and that their xray will be read by a radiologist (a
specialist in radiology) within a few days. I then discuss with the
patient that if there are any abnormalities on the xray, which I
have not picked up, that I will get in contact with them to discuss
the abnormality, and further management of this abnormality."
28. SDHB told HDC that it had no written
guidelines around what doctors should discuss with patients prior
to discharge. It said that "the expectation" was that relevant
information would be discussed with the patient, including that if
"formal reporting of imaging differed from the initial reading and
that a change in management or additional management was required,
the medical team who cared for the patient must make contact with
the patient and make the necessary arrangements for their ongoing
care".
29. SDHB told HDC that at the time of
discharge, Mrs A would have been provided with a copy of her
discharge report, as this was common practice. A copy was also sent
to her GP electronically. Mrs A's discharge report documented
"discharge to gp", and did not mention a pending X-ray
report.
SDHB process for receiving radiology results
30. SDHB told HDC that at the time of these
events, all plain film images (X-rays) were read off site by an
externally contracted company (external radiology service). Once a
patient's X-ray report had been generated by a radiologist it was
then sent to the public hospital's Radiology Service, and matched
with the patient's medical record. The report then became available
for the requesting clinician to review in his or her inbox on
SDHB's IT system. External radiology service radiologists are
registered with the Medical Council of New Zealand.
31. When there were new results to review,
SDHB's system was to send the clinician a memo including the
results. The memo appeared in the "memo tab" of the clinician's
inbox and, at the same time, results were also sent to an
"unacknowledged worklist" tab. The process was that the results
would be reviewed, acted upon if necessary, and then acknowledged
(electronically).
32. SDHB told HDC that at this time clinicians
in ED were unaware that once memos were opened/viewed in the memo
tab, after 24 hours they would drop to the bottom of the queue,
where they were no longer visible, regardless of whether or not
they had been acknowledged. Results in the unacknowledged worklist
remain visible until acknowledged, and do not drop to the bottom of
the queue after 24 hours. ED staff were unaware of the distinction
between the memo tab and the unacknowledged worklist, and were
working only within the memo tab.
The X-ray report
33. Five days later Mrs A's X-ray was reported
formally by an external radiologist and sent to SDHB for
processing. Also on that day the report was sent electronically to
Dr C's inbox as the ordering clinician. The radiologist's report
documented that a "15 x 10 mm somewhat lentiform opacity
in the right mid zone" had been identified. It also
documented that "a significant lung nodule cannot entirely be
excluded", and that, as a minimum, a follow-up chest X-ray in six
weeks' time or a low radiation dose CT was recommended. The
X-ray results were not sent to Mrs A or her GP.
34. SDHB's Serious Adverse Event Report
(following an investigation after these events) stated that at the
time of Mrs A's triage her GP details were documented on the triage
nurse's initial assessment sheet, but were not documented on the
stickers generated to be used for forms during Mrs A's time in ED
(including X-ray request forms). SDHB's Serious Adverse Event
Report states: "[I]t is assumed that when the ED adhesive label
stickers were generated, one was not able to automatically include
the GP details and a 'default' sticker without the GP details was
created."
35. SDHB's Serious Adverse Event Report
documented:
"There has been no agreed process to allow radiologists to alert a
clinician if there is a significant abnormality on a patient's
chest x-ray."
36. The report noted that the current system
"[had] potential weaknesses", including that if details were
missing, such as the patient's GP details (as in this case), "the
report [would] be issued regardless".
37. At 1.39pm two days later, Dr C viewed the
formal X-ray report using the memo tab, but she did not acknowledge
it electronically, as she was about to go on leave for 10
days. Dr C explained to the Serious Adverse Event Review Group why
she did not acknowledge the report on the day she viewed it
initially:
"[I]t was not immediately urgent, and could have been done on my
return from leave. … I may have not been able to find a radiology
consultant at the time I was viewing the report, to discuss the
[X-ray] and the findings with them. This is not unreasonable, as
they are very busy, and to leave the report to discuss with them on
my return from leave is also not unreasonable, as a follow up
[X-ray] was suggested in 6 weeks, and my leave of 10 days finished
well within this time … It is standard to view results and leave
those that may need to be acted on in the [memo tab] until they are
acted on, and then acknowledge them, so that the results are then
deleted."
38. SDHB also told HDC that commonly clinicians
viewed but did not acknowledge a result when they wanted to
investigate the result further, and hence wanted to leave the
result "live" on the system. It told HDC that this practice
is still in place today.
39. SDHB's Serious Adverse Event Report
documented:
"[Mrs A's radiology report did] not suggest specifically that there
was concern about a cancerous growth. The recommendation … would
have meant the need for a case review. Such a case review includes
a 'second' look at the [X-ray], a review of the patient's record,
consultation with one of the [public hospital's] 'in-house'
radiologists. All of this is time consuming and therefore only
feasible after completion of the more immediate daily duties."
40. Dr C told HDC that, in preparation for
going on leave, she changed the settings in her results inbox, so
that any new results that came into her inbox while she was on
leave would be forwarded to an ED consultant.
41. SDHB told HDC that it has no specific
guidelines or policies for the acknowledgement of radiology or
laboratory test results in ED. It said that the Medical Council of
New Zealand (MCNZ) guidelines for the follow-up of results are the
de facto guidelines, which outline that the ordering clinician is
responsible for the result of any test he or she
orders.
42. SDHB told HDC that at the time of these
events the usual process regarding follow-up of radiology reports
ordered by ED clinicians was the following:
"All members of the senior medical staff were individually
responsible for checking and acknowledging all radiology and
laboratory tests that were ordered under their name. They undertook
this using the 'memo' functionality of the [IT] (clinical intranet)
system - when there were new results to review the system sends the
clinician a 'memo' to indicate the presence of new results. The
process was that the results would be reviewed, acted upon if
necessary and acknowledged using the electronic system."
43. SDHB's Serious Adverse Event Report
acknowledged: "At [the public hospital] there had been no process
to ensure that unacknowledged reports (or any other results) do not
go unacknowledged for any length of time." It noted that there was
no process to "escalate" automatically or pass on unacknowledged
reports to another clinician or the Clinical Director, and no
warning system to alert clinicians to the existence of
unacknowledged reports.
Return from leave
44. Dr C told HDC that upon returning from 10
days' leave she did not recall Mrs A's X-ray report. The result was
no longer visible in the memo tab, even though the report had not
been acknowledged.
45. Dr C told the Serious Adverse Event Review
Group:
"I regret that I did not remember this report to follow up, even
when it had disappeared from my inbox, but with the number of
reports which come through our inboxes, it is impossible to
remember every single report, especially after 10 days. This is the
reason that I did not acknowledge the report immediately, as I
needed to follow it up. As it had not been acknowledged, the report
should have still been in my inbox on my return, for me to
action."
46. Mrs A did not hear from the public hospital
in relation to the report, and did not receive the recommended
follow-up X-ray or CT scan.
2015 - return to ED
47. About 20 months after her X-ray, Mrs A went
to a second medical centre, as she had been feeling unwell
for a few days. An RN documented that Mrs A complained of having
had "a constant headache" for the past four days, right-sided
weakness, and poor coordination, and that recently she had
experienced eight to ten falls. It is noted that she was anxious
and vague and had decreased strength in her right hand. Mrs A was
referred to the ED.
48. At 12.48pm, Mrs A presented to the ED and
was seen by a triage nurse who documented that Mrs A was
complaining of right-sided altered sensation, decreased grip in her
right hand, altered gait, headache easing with analgesia, but no
visual disturbances, and that her symptoms came on after a
mechanical fall five days previously. She was given a priority code
of "3" (to be seen within 30 minutes).
49. At 2.09pm Mrs A was seen by Dr E. Mrs A
told Dr E that about five days previously she had tripped when
walking up steps to a door, and had fallen on to her right side and
hip. She denied any preceding symptoms, and denied hitting her head
or experiencing a loss of consciousness. She advised Dr E that the
next day she had developed a constant headache at the back of her
head, and now felt some weakness in her right side. She also said
that she had lost confidence with stairs. Dr E noted that Mrs A
reported feelings of a loss of coordination and of feeling muddled,
that she had no facial droop or slurring of speech and no visual
symptoms, and that she was a lifelong smoker, smoking five
cigarettes a day.
50. Dr E's impression was that Mrs A had
experienced an intracerebral event (bleeding within the brain) or a
subdural event (bleeding outside the brain). Dr E discussed Mrs A
with an emergency medicine consultant, Dr F, and the decision was
made to order a CT scan of her head.
51. A CT scan was carried out at 2.57pm. The CT report
documents:
"There are three ring enhancing lesions in the left parietal lobe
with the largest measuring 17 mm in diameter. There is surrounding
vasogenic oedema with some compression of the adjacent left
lateral ventricle. There is no midline shift. Appearances are
consistent with metastases. "
52. At 4.28pm Dr E documented in Mrs A's clinical notes that Mrs
A's CT scan showed "multiple cerebral [metastases]". Due to the
intracranial findings showing appearances consistent with
metastases, a set of CT scans of her chest and abdomen were
arranged.
53. The overall results stated:
"Findings consistent with right lung lower lobe bronchus carcinoma
with metastasis in the right lung upper, middle and lower lobe as
well as mediastinal lymph node metastases and possible left adrenal
metastasis."
Review of notes
54. Following receipt of the CT reports, Dr F carried out a full
review of Mrs A's clinical history and discovered the non-actioned
X-ray report from 2013.
55. Mrs A's care was then transferred to the general medicine
department. A medical registrar and a general medicine physician
consultant, Dr G, took over the care of Mrs A. Dr F informed the
medical registrar and Dr G about the 2013 X-ray result that showed
a 10mm x 15mm mass in Mrs A's lung. It is documented that Dr G
informed Mrs A and her family that Mrs A had cancer originating
from the lung, and that it had spread to her brain. Mrs A was
admitted to the acute ward at 6.40pm.
56. Dr G ordered a chest X-ray, which was carried out. The
radiology report documented: "The lungs are well expanded. On
the right side, a right peripheral abnormality is associated with
more bulky central lesions." It was also noted: "The left side is
stable compared with [the X-ray of 2013]." The report concluded:
"Progressive right-sided changes consistent with pulmonary
neoplasm. "
Disclosure
57. Dr G documented in Mrs A's clinical notes that she had advised
Mrs A that the X-ray taken in 2013 had shown a mass in her lung,
and that this had not been acted upon in error. It is further
documented that Mrs A and her family were advised that Mrs A's
cancer was terminal, and that any treatment would be
palliative.
58. Mrs A was discharged home for on-going palliative management.
Follow-up was arranged with Radiation Oncology, and she was
referred for hospice care.
59. Dr G and the Service Manager Medical Directorate met Mrs A's
family to apologise on behalf of the DHB for the fact that the
original X-ray had not been acted upon, and to inform them that an
investigation had commenced.
60. Sadly, Mrs A died a short time later.
Further information
SDHB
61. Following these events, SDHB conducted an immediate
investigation into the incident, which identified that "[i]t was
erroneously believed" by clinicians that the results remained
visible in the memo tab until they had been acknowledged. SDHB told
HDC that after 24 hours, once results are opened/viewed in the memo
tab, the results drop to the bottom of the queue, where they are no
longer visible (regardless of whether they have been acknowledged).
Both read and unread memos remain in the memo tab unless deleted.
SDHB said that this resulted in the read memos getting "bogged
down". It said that the position of a particular memo could move
down several pages from the top of the list. SDHB said: "All
unacknowledged reports remain in the 'unacknowledged worklist' but
the ED were unaware of this distinction in the
functionality."
62. SDHB told HDC that there "is no 'fault' in the system but a
lack of understanding from the clinicians in the ED as to the
functionality of the system". It said that while the report
disappeared from view in the memo tab, it did not disappear from
the system.
SDHB's investigation - Serious Adverse Event Review
63. SDHB's investigation highlighted that "[t]here is potential
confusion with regard to the best process of viewing and
acknowledging results electronically in the PMS used at [the public
hospital]". The report documented that one option was to use the
memo tab option on [the system]. When opening [the] start page, a
link to "unread memos" appears, which then lists all unread
results/reports for both inpatients and outpatients. The second
option was to use the "unacknowledged work list".
64. The review noted that clinicians could work off both the memo
tab and the "unacknowledged worklist", but always needed to check
the "unacknowledged worklist" for anything that may have been
missed. It documented that the "unacknowledged worklist" shows
whether results are still unattended, and is the catch-all method
to show the clinician any unacknowledged results. The review noted
that using the memo tab resulted in a risk that some results might
not be acknowledged. The report also noted that both options (the
memo tab and the "unacknowledged worklist") "may be cumbersome as
the linkage back to a respective patient's electronic health record
is only indirect (i.e. one will have to go in and out of the site
repeatedly. This makes it virtually impossible to check and deal
with results 'on the run', i.e. during the course of the other
daily clinical duties)."
65. The investigation noted that staff were introduced to, and
instructions provided in the use of, the "unacknowledged work list"
when the feature was first introduced (in 2005 ), but said that "it
is not clear how much emphasis [was] given in the IT training to
ensure no such confusion existed". Furthermore, it noted: "It has
now become clear that many clinicians have not been aware of the
differences."
66. In addition, the investigation noted: "It is not clear what
[clinical] staff IT training is being provided/made compulsory in
order to ensure that [the] IT system's capabilities are indeed
fully utilised."
67. Several recommendations were made as a result of the Serious
Adverse Event Review, including the following:
• Reporting of results in the electronic patient management system
and clearly defining a process for the paperless acknowledgement of
results, for the escalation/passing on of unacknowledged results
within specific time frames, for the process to act upon those
results and the documentation of those respective actions in the
patient's electronic medical record.
• A system for the flagging of abnormal imaging results of tests
completed at the public hospital's medical imaging department,
including reviewing the possibility of having plain X-rays read and
reported on by the on-site radiologists.
• Capture of relevant patient details (i.e., GP details), to ensure
good communication to primary care after each contact with the
ED.
• Electronic requesting of medical imaging investigations.
• Staff orientation and training to ensure systems are utilised
properly (including the system used for managing patients, the
electronic sign-off of results/reports, the process to ensure
proper communication to other medical practitioners, the electronic
requests of tests, etc).
• Additional radiology training for non-radiology staff to enhance
their interpretation of plain X-ray films.
• Enhanced care pathways for patients with COPD and lung cancer,
and evaluation of mental health patients with significant smoking
history, for the presence of respiratory symptoms or respiratory
conditions.
• Consideration of improved consumer engagement through the
development of a process to copy patients with reports of certain
investigations.
Changes made
68. SDHB told HDC:
"A significant number of other radiology results that had not been
acknowledged due to the same issue within the system were
identified and the ED consultant medical staff are in the process
of checking these results and if necessary contacting patients
where any further action is needed."
69. SDHB set up an organisation-wide Electronic Acknowledgement
Project to develop the recommendations outlined above and to focus
on improving the systems and practices regarding unacknowledged
results.
70. Regarding the number of radiology results that had not been
acknowledged, SDHB said that, of these, 23 results were identified
as requiring some form of follow-up, and that, of those, one
required an ultrasound scan. The remainder did not require any
further action other than a more in-depth review or a telephone
call to the patient.
71. SDHB told HDC that the ED team has changed the way in which it
uses the IT system, and that it now uses the "unacknowledged work
list" functionality as opposed to the memo functionality.
72. SDHB further advised:
"[We continue] to be very concerned as an organisation regarding
the problem of radiology result reports (and other results) that
are lost to follow-up and we acknowledge the serious problem that
this has [caused] for a small but significant number of our
patients and their relatives. We have begun to address the long
standing problems with the dual systems, paper and electronic, used
for the acknowledgement of diagnostic results; in particular the
large volume of unacknowledged electronic radiology and laboratory
results. Of note these are not necessarily unreviewed results.
[SDHB] has initiated a project based on [a successful project at
another DHB] to resolve this problem."
Dr C
73. Dr C told HDC that predominantly she had used the memo tab to
view and manage results from tests she had ordered, and that
previously she had left results in the memo tab to action later, as
she had not known of the potential for them to drop from view if
they were left for a length of time. She stated:
"I had no reason to believe that [the system] would not work as it
was designed to do, and I trusted that my results would remain in
the memo tab until I acknowledged them … Had I been aware that
there was a chance that this report (or any others) would have been
lost, I would have employed back up strategies."
74. Dr C told the Serious Adverse Event Review Group:
"I did not fail to action an abnormal result, the disappearance of
the result from my inbox, for reasons beyond my control, prevented
me from completing this task."
Response to provisional opinion
75. Mrs A's family and Southern DHB were asked to comment on the
relevant sections of my provisional opinion.
76. Mrs A's family chose not to provide a response. Southern DHB
responded and said that it accepted the findings and advised that
it would implement the proposed recommendations.
Opinion: Dr C - Adverse comment
77. The formal radiologist's report regarding Mrs A's X-ray (from
five days previous) identified a 15 x 10mm mass in her lung, and
recommended a follow-up chest X-ray or CT scan in six weeks' time.
The report was sent to Dr C's inbox electronically as the ordering
clinician.
78. SDHB's expectation was that its senior medical staff were
individually responsible for checking and acknowledging tests that
were ordered under their name.
79. Dr C reviewed Mrs A's X-ray report. Dr C was about to go on
leave for 10 days, so she did not acknowledge the results (and left
them in the memo tab), as she wanted to review the X-ray and
discuss with the radiology consultants what follow-up would be most
appropriate. She assumed that the result would be visible in the
memo tab on her return, and was not aware of the possibility that
it could drop off from her view.
80. However, when Dr C returned from leave, Mrs A's chest X-ray
results were no longer visible in the memo tab of Dr C's inbox. Dr
C did not recall the report on her return. She said: "[W]ith the
number of reports which come through our inboxes, it is impossible
to remember every single report, especially after 10 days."
81. As part of this investigation I obtained expert advice from an
emergency physician, Dr William Jaffurs. Dr Jaffurs advised that Dr
C dealt with Mrs A's X-ray report (on receipt by her) "in a manner
that would allow for considered follow up". He advised that Dr C's
intention to follow up on the necessary action when she returned
from leave rather than assign this responsibility to anyone else
was acceptable. Dr C said she thought that she could rely on the IT
system to remind her to do this. She believed that, as the result
had not been acknowledged, it would still be in her inbox when she
returned from leave.
82. I note Dr Jaffurs' advice that he considers "[Dr C] to be
caught in a moderate, if unintentional departure from the standard
of care for not following up this ominous report at some point in
the future, but not necessarily at the time of first viewing". Dr
Jaffurs also acknowledged: "Unfortunately an important chest x-ray
result was lost in an information system trusted by [Dr
C]."
83. However, Dr Jaffurs advised that other options could have been
exercised by Dr C for dealing with the report. She could have
called Mrs A or Mrs A's GP, or written a note in the form of an
addendum to Mrs A's discharge summary and mailed it to her. Dr C
also could have printed a paper copy to use as a reminder. Dr
Jaffurs advised me that "[t]hese options are the safety net an
experienced practitioner creates when dealing with imperfect
patient information systems".
84. While ideally Dr C would have employed safety-netting
strategies such as those outlined by Dr Jaffurs, I also note that
Dr C was not aware that she was working with an imperfect patient
information system. Dr C said: "Had I been aware that there was a
chance that this report (or any others) would have been lost, I
would have employed back up strategies." I consider that it was
reasonable for her to rely on the system in these
circumstances.
85. While I am concerned that Dr C did not follow up on Mrs A's
X-ray report, overall, having considered the circumstances, I am of
the view that the failure to follow up on Mrs A's X-ray results was
largely caused by systems errors within SDHB.
Opinion: Southern District Health Board - Breach
Presentation to ED - 2013
86. Mrs A went to the ED because she had been experiencing a cough
and chest tightness for a couple of days. Dr C examined Mrs A and
found that her chest had "decreased air entry with wheeze
throughout". Mrs A was given nebulisers, after which she was noted
as being much improved.
87. Dr C ordered an X-ray of Mrs A's chest. At the time of these
events, X-rays were reviewed off site and not reported immediately
by a radiologist. After the X-ray had been carried out, Dr C
reviewed it and could not see anything of concern. She diagnosed
COPD with acute asthma. Mrs A was discharged home, with her care
discharged to her GP. Her discharge report made no mention of a
pending X-ray report.
88. Dr Jaffurs advised that Dr C's impression that Mrs A had COPD
was "an entirely reasonable assumption", and that discharging her
care to her GP was appropriate. He also advised that the standard
for reading a chest X-ray in this situation was met. I am
satisfied that Dr C read the X-ray appropriately, and that her
diagnosis and her decision to discharge was appropriate in the
circumstances. Accordingly, I am not critical of the standard of
care provided to Mrs A.
Follow-up of X-ray results
89. Five days later, the formal radiologist's report regarding Mrs
A's X-ray identified a 15 x 10mm mass. It documented that "a
significant lung nodule [could] not entirely be excluded", and
advised, as a minimum, a follow-up chest X-ray or a CT scan in six
weeks' time. The report was sent to Dr C's inbox
electronically.
90. SDHB's expectation was that individually its senior medical
staff were responsible for checking and acknowledging tests that
were ordered under their name. When there were new results to
review, the system sent the clinician a memo to indicate this. The
process was that the results would be reviewed, acted upon if
necessary, and acknowledged electronically. At SDHB it was, and
still is, standard practice to view results and leave in the inbox
those that require attention, until they are acted on, and then
acknowledge them.
91. Dr C reviewed Mrs A's X-ray report. The following day, Dr C was
going on leave for 10 days, so she did not acknowledge the results
(and left them in the memo tab), as she wanted to review the X-ray
and discuss with the radiology consultants what follow-up would be
most appropriate. She said that the results were not immediately
urgent (as follow-up was suggested in six weeks' time, and she was
away for only 10 days), and therefore she considered it appropriate
to action them on her return. She assumed that the result would be
visible in the memo tab on her return, and was not aware that the
memo would drop off from her view after 24 hours.
92. When Dr C returned from leave, Mrs A's chest X-ray results were
no longer visible in the memo tab of Dr C's inbox. In addition, Dr
C did not recall the need to action the report on her return. Dr C
said: "[W]ith the number of reports which come through our inboxes,
it is impossible to remember every single report, especially after
10 days."
93. Dr Jaffurs advised that Dr C dealt with Mrs A's X-ray report
(on receipt by her) "in a manner that would allow for considered
follow up". He advised that Dr C's intention to follow up on the
necessary action when she returned from leave rather than assign
this responsibility to anyone else was acceptable. Dr C said she
thought that she could rely on the IT system to remind her to do
this. She believed that, as the result had not been acknowledged,
it would still be in her inbox when she returned from
leave.
94. I note Dr Jaffurs' advice that he considers "[Dr C] to be
caught in a moderate, if unintentional departure from the standard
of care for not following up this ominous report at some point in
the future, but not necessarily at the time of first viewing". Dr
Jaffurs also acknowledged that "[u]nfortunately an important chest
x-ray result was lost in an information system trusted by [Dr
C]".
95. I acknowledge Dr Jaffurs' advice that other options for dealing
with the report could have been exercised by Dr C. She could have
called Mrs A or Mrs A's GP, or written a note in the form of an
addendum to Mrs A's discharge summary and mailed it to her. Dr C
also could have printed a paper copy to use as a reminder. Dr
Jaffurs advised that "[t]hese options are the safety net an
experienced practitioner creates when dealing with imperfect
patient information systems".
96. However, I also note that Dr C was not aware that she was
working with an imperfect patient information system. Dr C said:
"Had I been aware that there was a chance that this report (or any
others) would have been lost, I would have employed back up
strategies." I consider that it was reasonable for her to rely on
the system in these circumstances.
97. Overall, having considered the circumstances, I am of the view
that the failure to follow up on Mrs A's X-ray results was largely
caused by systems errors within SDHB.
98. Mrs A's GP, Dr D, did not receive the final chest X-ray report.
This was due to a systems error where Mrs A's GP details did not
appear on the stickers on the X-ray request form. While Dr D
received the ED electronic discharge report relating to Mrs A's
initial presentation (which stated that her care had been
discharged to him), there was nothing to indicate a pending X-ray
report. As a result, there was a lost opportunity to have someone
else follow up on the X-ray report. I am critical that SDHB did not
have in place an appropriate system to ensure that Dr D received
Mrs A's X-ray report.
99. About 20 months after Mrs A's X-ray, Mrs A returned to the ED
having felt unwell for the previous few days, with a constant
headache, right-sided weakness, poor coordination, and having
recently experienced eight to ten falls. A review of her electronic
clinical history resulted in the discovery of the non-actioned
X-ray report from 2013. I note that the error was disclosed to Mrs
A in a timely manner, once discovered.
100. SDHB told HDC that while predominantly the ED clinicians were
using the memo tab to view and acknowledge results, clinicians
actually had two options for reviewing results and reports. As well
as the memo tab, a second option was to use an "unacknowledged work
list". SDHB's investigation into these events found that its IT
system allowed results to disappear from the memo tab view 24 hours
after the results had been opened/viewed in the memo tab
(regardless of whether they had been acknowledged), by dropping to
the bottom of the queue. All unattended and unacknowledged reports
remained in the "unacknowledged work list", but ED staff were
unaware of this distinction in functionality. It was erroneously
believed that results remained visible in the memo tab until they
had been acknowledged.
101. Of concern, SDHB acknowledged that many clinicians were not
aware of the differences between the memo tab and the
"unacknowledged work list", and it has since identified that a
"significant number" of other radiology results had also not been
acknowledged owing to clinicians relying on the memo tab.
102. I note that SDHB has acknowledged that while staff were
introduced to, and instructions provided in the use of, the
"unacknowledged work list" when the feature was first introduced in
2005, "it is not clear how much emphasis [was] given in the IT
training to ensure no such confusion existed [between the use of
the memo tab versus the unacknowledged work list]". I note that
following its review, SDHB found that "[i]t is not clear what staff
IT training is being provided/made compulsory in order to ensure
that [the] IT system's capabilities are indeed fully
utilised".
103. Furthermore, I note that there was no process to ensure that
reports or results were acknowledged within a certain length of
time, and there was no warning system to alert clinicians to the
existence of unacknowledged reports. Therefore, as Dr C did not see
the report in her inbox on her return from leave, Mrs A did not
receive the recommended follow-up X-ray or CT scan. Mrs A heard
nothing further from the public hospital in relation to the
radiologist's report, and the X-ray results were not sent to
her.
104. In my view, Dr C was working in an inadequate system, in that
SDHB failed to ensure that its staff were adequately and
appropriately trained to use its electronic system for managing the
results and reports they had ordered.
105. Dr Jaffurs advised: "The reviews from SDHB clearly identify a
dangerous flaw in the management of verifying and acknowledging
reports which allows the reports to become virtually invisible
after first viewing but prior to acknowledgment. … The system
appears to be in wide use at their health board and is a 'tool of
the trade' for the practitioners there." He said it is expected
that functional and current tools of the trade are provided. I
agree and am concerned that this problem appears to have been
longstanding at SDHB.
Conclusion
106. SDHB failed to have in place an appropriate system for the
management and acknowledgement of test results. Although a system
was in place, SDHB's clinicians were not trained to use the system
adequately, either initially or on an on-going basis. There was
clearly widespread misunderstanding within SDHB's ED regarding the
functionality of the IT system, which clinicians should have been
able to use easily and rely on. This failure resulted in Dr C not
following up on Mrs A's X-ray report. In addition, SDHB did not
have in place an appropriate system to ensure that Dr D received
Mrs A's X-ray report, and did not have a process to ensure that
reports or results did not go unacknowledged by SDHB clinicians for
any length of time. Accordingly, I find that SDHB failed to provide
Mrs A with an appropriate standard of care and breached Right 4(1)
of the Code of Health and Disability Services Consumers'
Rights.
Further comment
107. I note Dr Jaffurs' advice that "the IT system needs to be
fixed and have warnings installed and a culture of safety net
behaviours added to the handling of test results". Following these
events, SDHB checked all other radiology results that had not been
acknowledged owing to the same issue and, where necessary,
contacted any patients where further action was needed. It has also
implemented a new process "to minimise the risk of a similar error
occurring". Most importantly, clinicians now use the
"unacknowledged work list" rather than the memo tab.
108. Dr Jaffurs advised that SDHB's Electronic Acknowledgment
Project is an "ambitious and well intentioned project" and, in my
view, it is an appropriate step to take in response to the problem
of unacknowledged results.
Recommendations
109. I recommend that Southern District Health Board:
a) Provide a report regarding the outcome of the Electronic
Acknowledgement Project to HDC and DHB Shared Services within 12
months of this report.
b) Provide an audit of four months' data from the 2016 calendar
year regarding the time taken to acknowledge reports. This is to be
sent to HDC within six months of the date of this report.
c) Consider having a warning system added to its electronic IT
system to alert clinicians to the existence of unacknowledged
results, and report to HDC within six months of the date of this
report.
d) Arrange for an impartial IT expert with a medical background to
examine its electronic management system to determine whether user
warnings and updates need to be built in to the software and
training sessions, and report back to HDC within six months of the
date of this report.
e) Provide a report to HDC regarding the actions taken in respect
of the recommendations as outlined in the SDHB Serious Adverse
Event Report, within six months of this report.
f) Provide a written apology to Mrs A's family for its breach of
the Code, within three weeks of the date of this report. The
apology is to be sent to HDC for forwarding.
Follow-up actions
110. A copy of this report with details identifying the parties
removed, except the expert who advised on this case and SDHB, will
be sent to HealthCERT and DHB Shared Services.
111. A copy of this report with details identifying the parties
removed, except the expert who advised on this case and SDHB, will
be placed on the Health and Disability Commissioner website,
www.hdc.org.nz, for educational purposes.
Appendix A: Emergency medicine advice to the Commissioner
The following independent expert advice was obtained from an
emergency medicine specialist, Dr William Jaffurs:
"Thank you for your request to review the above complaint.
In doing so I have reviewed the documents sent to me
including:
Your letter
Disc with X-ray images and request forms
ED Notes from [initial visit]
Complaint HDC [date]
SDHB response [2015]
SDHB further response [2015]
Information gathered document undated
SDHB Serious Adverse Event Report [2015]
I am currently a Fellow of the Australasian College of Emergency
Medicine since 1998 and work full time as an Emergency Medicine
Specialist at Whangarei Base Hospital since 1997. I was Director of
the Emergency Department for my first seven years. I also hold
Fellowship with the American College of Emergency Medicine. Having
reviewed the persons and entities in this case I can see no
conflict of interest on either a personal or professional level. I
have read your guidelines for expert advisors.
Case summary:
[Mrs A] presented to the Emergency Department of [the public
hospital] at 1316 hours [in] 2013 with respiratory symptoms and
feeling unwell for four days. She was triaged to code four and seen
by [Dr C] at 1432 hours, slightly over the one hour guideline for
code four from the Australasian College for Emergency Medicine. The
clinical notes are orderly, legible, and appropriate to her
presenting complaint, as is her urgent treatment plan. Her GP's
name appears to be on the Triage note, but not on her labels. She
has a Chest X-ray which shows no evidence of pneumonia. She is
treated with antibiotic, bronchodilator nebulisation, and oral
steroids. She is directed to follow up with her GP as needed for
her presumed exacerbation of Chronic Obstructive Lung Disease
(COPD). A specific time frame for follow up is not evident in the
clinical note, so I would ask what was either said to [Mrs A], or
written in her discharge summary about this. Her previous history
and smoking status are not documented. Her departure time is
documented as 1537 hours. Attached to these record copies is a
printed chest x-ray report 'verified' [dated five days later], and
acknowledged by [Dr F] [in 2015]. The report has an unexpected
finding with a recommendation for further imaging if no prior
images are available for correlation.
[Dr C] recalls that she viewed the report, filed it electronically
for further action, proxied her upcoming reports for review by
another doctor, and then went on leave for 10 days. Upon her return
the report was not apparent in her electronic file. As a result no
further action was taken. The DHB letters outline an unrecognized
risk discovered subsequently in the electronic filing system that
would allow the report to apparently disappear without being
acknowledged.
There is no indication that the Chest x-ray report was conveyed to
the Patient's GP. This was apparently due to the absence of these
details on the Patient's identification label on the x-ray request
which is visible on the CD provided.
[Mrs A] attended ED again [in] 2015 with a headache and neurologic
findings prompting a workup revealing metastatic cancer with a
primary apparently in the right lung where the chest x-ray done in
2013 showed a suspicious density. This connection makes sense
clinically but has not been verified by tissue biopsy according to
the records supplied.
[Mrs A] received palliative radiotherapy and passed away as a
result of her cancer [in] 2015 in [a] Hospice.
In response to your questions pertaining to my opinion on the
following issues:
That the GP did not receive any follow-up reports:
There is an assumption here that the GP did not receive either an
ED visit note, or an x-ray report. Has this been verified?
There is no GP name filled in the space on the labels or
requisitions, although it appears there is a GP name on the triage
note, so this information was apparently available. I would expect
the program used to record the clinical note to either send the
note to the GP by email which is the practice described for SDHB,
or failing this, have it mailed or faxed at a later time. This
action is a routine in the EDs in New Zealand with which I am
familiar. It would not be uncommon however to have this action fail
if the GP information was either missing or incorrect. If in this
case the GP information on the triage note was correct, I would
expect a copy of the clinical note to be sent to the GP to
facilitate the follow up visit requested from ED. It would be
unfair to say the situation here was a departure from the standard
of care as the standard is more of a goal that can be attained in
most cases. As a backup the patient is commonly given a discharge
summary with follow up instructions which can be carried to the GP,
or the GP can call for a summary when the patient presents to their
rooms for follow up care. Did [Mrs A] receive a discharge summary
with follow up instructions, and were these instructions followed
in some manner? If the instructions were those in the clinical note
which indicates she was referred to her GP, and she followed this
advice, I do not think this would have been an issue.
The x-ray report would not necessarily go to the GP unless the
information was specifically included on the request. The report
was sent to the requesting doctor meeting the current standard in
my opinion.
That [Dr C] did not take any further action after diagnosing
COPD.
The ED is for episodic and urgent care. Patient history and
background is not as complete as the information held by a
patient's GP. To suspect that [Mrs A], a 66 year old tobacco smoker
has, and had had, Chronic Obstructive Lung Disease (COPD) was an
entirely reasonable assumption. She improved with nebulised
medicine and prednisone. She was discharged to the care of her GP
and I interpret the instruction is to follow up with either ED or
the GP as needed. No time course is specified. I understand there
was not an existing pathway to enrol new COPD patients in available
at that time. Her history does not suggest severe COPD or frequent
use of the medical system for her condition, therefore GP referral
in this instance was appropriate, as was the assumption that she
had an ongoing relationship with a GP as named on the triage
note.
That [Dr C] did not recognize any mass on the Chest x-ray:
I was unable to open the image files on the CD sent to me despite
trying the disc in several machines. The report suggests a
subtle lung density that I would not expect an Emergency Physician
to see immediately. It is not what [Dr C] was looking for. She
specifies there was no consolidation to suggest pneumonia and she
was correct.
The density described in the report is commonly noted by ED
physicians only after being pointed out by a Radiologist, so the
standard for reading a Chest x-ray in this situation is met.
That [Dr C] did not carry out any immediate action on viewing the
formal x-ray report before going on leave:
She indicates that she recognized the importance of the report and
handled it in a manner that would allow for considered follow up.
The x-ray report specifies a time frame of 6 weeks for follow up
examination. Unfortunately [Mrs A's] details were lost to her in
the [IT] system before her intended plan could be actioned.
Certainly other options could have been exercised for handling this
report such as calling the patient or her GP, or writing her a
short note in the form of an addendum to her discharge summary and
mailing it to her. She could have printed a paper copy to use as a
reminder later on. These options are the safety net an experienced
practitioner creates when dealing with imperfect patient
information systems, and they are all imperfect.
Having experience with several major suppliers of such systems,
they are marketed in an imperfect state with the expectation that
users will flush out the bugs and adapt the systems to their
specific patterns of use. Unfortunately this situation reflects an
ongoing problem in New Zealand hospitals of siloed software tools,
an inability to efficiently spec and purchase modern software for
patient management, and virtually no standard of provision or
maintenance of good working systems.
I was not provided with [Dr C's] background, age or experience, or
training with [the IT system]. She bravely accepts that it was her
duty to act on the information as only a mature practitioner would,
and is consistent with the stated policy of SDHB and the New
Zealand Medical Council guidelines cited in [the CEO's] letter of
[2015]. [Dr C] appears to have fallen into a [IT system] trap of
losing the information for which she is individually responsible,
and perhaps assuming her proxy covering for her while on holiday
dealt with the report. She does not indicate in her letter that
this last was her assumption in this case. Considering the
situation as presented, I consider [Dr C] to be caught in a
moderate, if unintentional departure from the standard of care for
not following up this ominous report at some point in the future,
but not necessarily at the time of first viewing.
In our hospital x-ray reports are viewed in printed out form by
senior clinicians, usually the day duty consultant, because of
unresolvable problems setting up electronic sign off of test
reports. We read and sign off reports as a department in order to
prevent cases such as this slipping through if a doctor is away, on
leave, or no longer employed. Individual doctors do not necessarily
sign off their own test results in the interest of timely review of
a large number of test results. GPs are copied on results they
often do not want to see, as they often have their own burden of
requested results to review. This system is our best effort to deal
with a large and constant deluge of test results emanating from a
busy ED. I recognize this system is not perfect either. Each
institution must choose its best and safest option.
A survey of several of our Emergency medicine consultants who have
recently worked at other hospitals reveals a variety of systems for
checking results. Only one other hospital mentioned has results
signed off by the ordering doctor on an electronic system. Most
larger hospitals have daily batches of reports ordered by all the
emergency doctors in the few preceding days reviewed by either the
duty consultant or registrar with supervision. Some use paper, some
use electronic sign off. One system mentioned does not have a two
step system like SDHB using 'verified' and 'acknowledged', but
rather if you view the result, whether you ordered the test or not,
you are acknowledging that you have viewed and will act on
it.
That [Dr C] relied only on SDHB's [IT system] to ensure she
followed up on results after she had been away on leave:
Answer as to the previous question.
The adequacy of SDHB's [IT system]:
The reviews from SDHB clearly identify a dangerous flaw in the
management of verifying and acknowledging reports which allows the
reports to become virtually invisible after first viewing but prior
to acknowledgment. There is clear intention to correct this flaw.
The system appears to be in wide use at their health board and is a
'tool of the trade' for the practitioners there. The Association of
Salaried Medical Specialists (ASMS) Multi Employer Collective
Agreement specifies that hospitals will recognize the importance of
providing good quality, suitable and safe workplace conditions,
resources, and accommodation. Section 53.1. In general this is
interpreted to mean safe tools of the trade are provided that are
both functional and current. It is unfortunate that this paperless,
reasonably modern system for managing huge amounts of patient data
has failed in just a few instances with tragic results. The system
seems to work perfectly the rest of the time.
The Serious Adverse Event Report (SAER) indicates the system will
be modified to remind practitioners and emphasize unacknowledged
results. This problem appears to have been longstanding at the
SDHB. In addition, a culture of safety net behaviors and warnings
needs to be attached to the system as described above. Therefore,
in regard to this item, I think there is again a moderate departure
from the expected standard of care.
The adequacy of SDHB training in relation to its [IT system]
and
The adequacy of SDHB's recommendations relating to improving the
[IT system], and whether you have any recommendations relating to
it.
The basic training package appears to be intended to get one
started. Initial training does not replace working knowledge of an
electronic system. I would suggest that an impartial IT expert with
a medical background examine the system for other traps such as the
one that got [Dr C], and build user warnings and updates into the
software and training sessions, and provide subsequent alerts to
users.
It would be helpful if as mentioned the [IT system] was more
readily accessible without separate login so that results could be
acknowledged in the course of daily clinical practice.
The replacement of their current [IT] system […] may address this
problem. […]
I support the SAER's recommendation to give patients access to
their imaging reports. This is not common practice in New Zealand
yet, although in other countries, such as the Kaiser Hospitals
system in the USA, this has been part of a successful strategy for
getting patients actively involved in managing their medical
care.
Are there any aspects of the care which warrant additional
comment?
No one has commented on the apparent situation that [Mrs A] did not
appear to seek regular medical care, either for acute illness or in
a health maintenance mode. She was a smoker with lung disease. Her
appearance in a General Practice would have prompted a review that
would have likely picked up her disease earlier. The Emergency
Department is not a good source for comprehensive medical care as
this case demonstrates. There are some indications that [Mrs A] had
mental health issues which would make pursuit of health maintenance
even more important for her. Emergency Departments in New Zealand
are increasingly utilized for episodic medical care. I do not think
it is fair to expect EDs to shoulder the responsibility of health
maintenance which ultimately rests with the patient and their
family, though I recognize that there are barriers, individual,
financial, and cultural, to achieving this.
[Mrs A's] case demonstrates that the Emergency Department staff
were there to handle an acute episode. The information and test
results were requested to handle the illness that night. The
materials provided indicate information was available for any
follow up visit although this apparently did not happen.
Unfortunately an important chest x-ray result was lost in an
information system trusted by [Dr C]. The IT system needs to be
fixed and have warnings installed and a culture of safety net
behaviours added to the handling of test results. I would like to
think in honour of [Mrs A's] memory that this situation will not
occur again but no system at this health board or any other, either
mechanical or human, is without error. We can only try.
Sincerely yours
William Jaffurs, MD FACEM FACEP
Emergency Physician, Whangarei."
Dr Jaffurs provided the following further expert advice on 11
August 2016:
"I am responding to your letter of 5 August 2016 enclosing further
information relating to this case and requesting further expert
advice regarding the care given to [Mrs A] in the Emergency
Department of [the public hospital].
In doing so I have reviewed the additional documents sent to me
with my comments following each item as necessary:
Your letter
Response letter from [the] CEO 17 August 2015
This letter clarifies the identified problem, and misunderstandings
leading to, 'a large number of unacknowledged reports'. An initial
effort to identify and acknowledge overlooked results has been
implemented in the Emergency Department, although the Project Brief
below suggests this is more than just an Emergency Department
problem. Overall this letter adds to the 'root cause
analysis' and shows a constructive response to a difficult and
unforeseen problem with an information system that for the most
part has served a large number of patients and health care
practitioners well.
Project brief SDHB Electronic Acknowledgment
This ambitious and well intentioned project is an appropriate
response to the identified problem of unacknowledged results. I am
sure other health boards, including ours, will be interested in the
final form of this project.
Response letter [Dr C] 14 August 2015
[Dr C] is and was an experienced, interested, and motivated
Emergency Medicine practitioner who is actively pursuing a
specialist qualification in an advanced training program. She
clearly indicates that she understood the significance of the chest
x-ray report on initial reading and intended to personally follow
up on necessary action and did not assign this responsibility to
anyone else. I think it would have been acceptable to do this after
returning from her period of leave. She indicates she relied
on the [IT] system she had been using to manage large amounts of
patient information without incident for [several] years to remind
her to do this. She had no reason to expect that she would either
lose [Mrs A's] details or not find the information in her filing
system when she returned.
Emergency Department and hospital clinical notes and [external
service] chest x-ray report
These documents were reviewed previously.
GP letter [Dr D] [2015]
[Dr D] did not receive the final chest x-ray report. He has
attached the discharge summary he received suggesting follow up as
needed. [Mrs A] was 'a very infrequent visitor' to the practice and
in this case did not present for follow up care, therefore I think
[Dr D] met his responsibility to be available to her as
needed.
CD with x-ray/CT images
The opacity described on this chest x-ray of [date] is subtle as
viewed on my computer screen. It took me a while to even
imagine seeing it with the radiologist's report in front of me
therefore I would not expect a non Radiologist to appreciate this
on first viewing on a less than high definition screen.
In conclusion, the additional information provided clarifies the
situation and subsequent corrective actions, but does not change my
advice as previously provided.
Sincerely yours,
William Jaffurs, MD FACEM FACEP
Emergency Physician
Whangarei"
Southern District Health Board
A Report by the Health and Disability
Commissioner
Table of Contents
Executive summary
Complaint and
investigation
Information gathered during
investigation
Response to provisional
opinion
Opinion: Dr C - Adverse comment
Opinion: Southern District Health Board
- Breach
Recommendations
Follow-up actions
Appendix A: Emergency medicine advice to the
Commissioner
Executive summary
1. In 2013 Mrs A went to a public hospital's emergency
department (ED) because she had been experiencing a cough and chest
tightness for about four days. ED medical officer Dr C examined Mrs
A and gave her nebulisers, after which she was noted as being much
improved.
2. Dr C ordered an X-ray of Mrs A's chest and did not note
anything of concern. She diagnosed chronic obstructive pulmonary
disease (COPD) with acute asthma. Mrs A was discharged home with
her care discharged to her GP. Her discharge report did not mention
a pending X-ray report.
3. Five days later, the formal radiologist's report regarding
Mrs A's X-ray identified a 15 x 10mm mass. The report documented
that "a significant lung nodule cannot entirely be excluded", and
recommended a chest X-ray or a CT scan in six weeks' time. The
report was sent electronically to Dr C's inbox.
4. Two days later, Dr C reviewed Mrs A's X-ray report. The
following day, Dr C was going away on leave for 10 days, and she
did not acknowledge the results as she wanted to review the X-ray
and discuss it with the radiology consultants. She said that the
results were not immediately urgent, and she considered it
appropriate to action them on her return. She assumed that the
result would still be visible in the memo tab on her return, and
was not aware that the memo would drop off from her view after 24
hours.
5. When Dr C returned from leave, Mrs A's chest X-ray results
were no longer visible in the memo tab of Dr C's inbox, and Dr C
did not recall the report.
6. Mrs A did not receive the recommended follow-up X-ray or CT
scan, and the X-ray results were not sent to her.
7. About 20 months after Mrs A's X-ray, Mrs A returned to the ED
having felt unwell for the last few days with a constant headache,
right-sided weakness, poor coordination, and having recently
experienced eight to ten falls. A review of her electronic clinical
history resulted in the discovery of the non-actioned X-ray report,
which showed a mass on Mrs A's lung. Sadly, Mrs A died a short time
later.
8. Southern District Health Board's (SDHB's) investigation into
these events found that its IT system allowed results to disappear
from the view of the memo tab, once results were opened/viewed in
the memo tab, after 24 hours (regardless of whether they were
acknowledged) by dropping to the bottom of the queue. All
unattended and unacknowledged reports remained in the
"unacknowledged work list". However, "the ED were unaware of this
distinction in the functionality", and ED staff were using only the
memo tab.
9. SDHB acknowledged that while staff were introduced to, and
instructions provided in the use of, the "unacknowledged work list"
when the feature was first introduced in 2005, it is not clear how
much emphasis had been given in the IT training to ensure that no
such confusion existed between the use of the memo tab versus the
unacknowledged work list.
10. Furthermore, there was no process at the public hospital to
ensure that reports or results were acknowledged within a certain
length of time, and there was no warning system to alert clinicians
to the existence of unacknowledged reports.
Findings
11. It was found that SDHB failed to have in place an
appropriate system for the management and acknowledgement of test
results. While a system was in place, SDHB's clinicians were not
trained adequately to use the system. There was clearly widespread
misunderstanding within SDHB's ED regarding the functionality of
the IT system, which clinicians should have been able to rely on
and use adequately. There was inadequate initial and on-going
training in relation to the system. This failure resulted in Dr C
not following up on Mrs A's report. In addition, SDHB did not have
in place an appropriate system to ensure that Mrs A's GP received
the X-ray report, and did not have a process to ensure that reports
or results did not go unacknowledged by SDHB clinicians.
Accordingly, it was found that SDHB failed to provide Mrs A with an
appropriate standard of care and breached Right 4(1) of the Code of
Health and Disability Services Consumers' Rights.
12. Adverse comment was made about Dr C not putting in place any
safety-netting strategies. However, overall it was considered
reasonable for her to rely on the system in these
circumstances.
Recommendations
13. It is recommend that SDHB:
a) Provide a report regarding the outcome of the Electronic
Acknowledgement Project to HDC and DHB Shared Services.
b) Provide an audit of four months' data regarding the time
taken to acknowledge reports.
c) Consider having a warning system added to its IT system to
alert clinicians to the existence of unacknowledged results.
d) Arrange for an impartial IT expert with a medical background
to examine its electronic management system to determine whether
user warnings and updates need to be built in to the software and
training sessions.
e) Provide a report to HDC regarding the actions taken in
respect of the recommendations as outlined in the SDHB Serious
Adverse Event Review.
f) Provide a written apology to Mrs A's family.
Complaint and
investigation
14. The Commissioner received a complaint from Mr B about the
services provided by Southern District Health Board to Mrs A. The
following issue was identified for investigation:
• Whether Southern District Health Board provided Mrs A with an
appropriate standard of care between 2013 and 2015.
15. An investigation was commenced on 28 July 2015.
16. The parties directly involved in the investigation were:
Mr B Complainant
Southern District Health Board Provider
Dr C Provider
17. Information from ACC, Dr D, and a medical centre was also
reviewed. Also mentioned in this report:
Dr E Emergency medicine doctor
Dr F Emergency medicine consultant
Dr G General medicine physician consultant
18. Independent expert advice was obtained from Dr William
Jaffurs, an emergency physician (Appendix A).
Information gathered during
investigation
Background
19. Mrs A (aged 66 years at the time of these events) lived at
home with her husband. She was a patient of the medical centre.
Prior to these events, her last consultation at the practice was in
2010. Her general practitioner (GP) was Dr D. Mrs A was a
smoker.
Emergency Department
20. In 2013, Mrs A began feeling unwell with a cough and chest
tightness. Three days later she began coughing and could not stop.
At 1.16pm she went to the ED. At 1.25pm she was seen in triage by a
registered nurse (RN). The RN documented that Mrs A had been
feeling lethargic and generally unwell, with a worsening cough over
the past four days. Her vital signs were taken and noted to be
normal (temperature 37°C, pulse 95 beats per minute, and
respiratory rate 22 breaths per minute). Mrs A was given a priority
code of "4" (to be seen within 60 minutes).
21. At 2.32pm Mrs A was seen by ED Medical Officer Dr C. Dr C
noted that Mrs A was reporting symptoms of chest tightness and
shortness of breath on exertion, and that she complained of having
been unwell with a cough and chest tightness over the past few
days, which had become worse that day. Mrs A's pain was documented
as being "++", and she denied any "fevers/sweats/chills/rigors" and
was otherwise well.
22. Dr C examined Mrs A and documented her observations as
stable and her abdomen soft and non tender, but that she "look[ed]
short of breath", and her chest had "decreased air entry with
wheeze throughout".
23. Dr C ordered a chest X-ray. In a statement provided as part
of SDHB's Serious Adverse Event Review, Dr C advised that this was
"to look for signs of pneumonia".
24. Mrs A's nursing progress notes document that at 2.50pm she
was given two nebulised bronchodilators and oral prednisone (a
steroid).
25. The X-ray was taken at 3pm and subsequently received by Dr
C, who reviewed it and noted that there was "no focal
consolidation". The X-ray was not reported formally by a
radiologist at that time.
26. At 3.36pm Dr C noted that Mrs A was "much improved post nebs
[after receiving nebulisers]". Dr C's impression was that of
chronic obstructive pulmonary disease (COPD), with acute
asthma. Dr C prescribed prednisone (40mg to be taken over five
days) and Augmentin (625mg to be taken over seven days). At
3.37pm Dr C discharged Mrs A.
27. Dr C told HDC:
"Unfortunately, due to the time which has elapsed since
[Mrs A] was seen by myself … I cannot remember exactly what I
discussed with her on her discharge … However, it is my standard
practice, to discuss with any patients I see, that I have xrayed,
that I am not a radiologist, and that their xray will be read by a
radiologist (a specialist in radiology) within a few days. I then
discuss with the patient that if there are any abnormalities on the
xray, which I have not picked up, that I will get in contact with
them to discuss the abnormality, and further management of this
abnormality."
28. SDHB told HDC that it had no written guidelines around what
doctors should discuss with patients prior to discharge. It said
that "the expectation" was that relevant information would be
discussed with the patient, including that if "formal reporting of
imaging differed from the initial reading and that a change in
management or additional management was required, the medical team
who cared for the patient must make contact with the patient and
make the necessary arrangements for their ongoing care".
29. SDHB told HDC that at the time of discharge, Mrs A would
have been provided with a copy of her discharge report, as this was
common practice. A copy was also sent to her GP electronically. Mrs
A's discharge report documented "discharge to gp", and did not
mention a pending X-ray report.
SDHB process for receiving radiology
results
30. SDHB told HDC that at the time of these events, all plain
film images (X-rays) were read off site by an externally contracted
company (external radiology service). Once a patient's X-ray report
had been generated by a radiologist it was then sent to the public
hospital's Radiology Service, and matched with the patient's
medical record. The report then became available for the requesting
clinician to review in his or her inbox on SDHB's IT system.
External radiology service radiologists are registered with
the Medical Council of New Zealand.
31. When there were new results to review, SDHB's system was to
send the clinician a memo including the results. The memo appeared
in the "memo tab" of the clinician's inbox and, at the same time,
results were also sent to an "unacknowledged worklist" tab. The
process was that the results would be reviewed, acted upon if
necessary, and then acknowledged (electronically).
32. SDHB told HDC that at this time clinicians in ED were
unaware that once memos were opened/viewed in the memo tab, after
24 hours they would drop to the bottom of the queue, where they
were no longer visible, regardless of whether or not they had been
acknowledged. Results in the unacknowledged worklist remain visible
until acknowledged, and do not drop to the bottom of the queue
after 24 hours. ED staff were unaware of the distinction between
the memo tab and the unacknowledged worklist, and were working only
within the memo tab.
The X-ray report
33. Five days later Mrs A's X-ray was reported formally by an
external radiologist and sent to SDHB for processing. Also on that
day the report was sent electronically to Dr C's inbox as the
ordering clinician. The radiologist's report documented that a "15
x 10 mm somewhat lentiform opacity in the right mid
zone" had been identified. It also documented that "a significant
lung nodule cannot entirely be excluded", and that, as a minimum, a
follow-up chest X-ray in six weeks' time or a low radiation dose CT
was recommended. The X-ray results were not sent to Mrs A or
her GP.
34. SDHB's Serious Adverse Event Report
(following an investigation after these events) stated that at the
time of Mrs A's triage her GP details were documented on the triage
nurse's initial assessment sheet, but were not documented on the
stickers generated to be used for forms during Mrs A's time in ED
(including X-ray request forms). SDHB's Serious Adverse Event
Report states: "[I]t is assumed that when the ED adhesive label
stickers were generated, one was not able to automatically include
the GP details and a 'default' sticker without the GP details was
created."
35. SDHB's Serious Adverse Event Report
documented:
"There has been no agreed process to allow radiologists to
alert a clinician if there is a significant abnormality on a
patient's chest x-ray."
36. The report noted that the current system "[had] potential
weaknesses", including that if details were missing, such as the
patient's GP details (as in this case), "the report [would] be
issued regardless".
37. At 1.39pm two days later, Dr C viewed the
formal X-ray report using the memo tab, but she did not acknowledge
it electronically, as she was about to go on leave for 10
days. Dr C explained to the Serious Adverse Event Review Group why
she did not acknowledge the report on the day she viewed it
initially:
"[I]t was not immediately urgent, and could have been done
on my return from leave. … I may have not been able to find a
radiology consultant at the time I was viewing the report, to
discuss the [X-ray] and the findings with them. This is not
unreasonable, as they are very busy, and to leave the report to
discuss with them on my return from leave is also not unreasonable,
as a follow up [X-ray] was suggested in 6 weeks, and my leave of 10
days finished well within this time … It is standard to view
results and leave those that may need to be acted on in the [memo
tab] until they are acted on, and then acknowledge them, so that
the results are then deleted."
38. SDHB also told HDC that commonly clinicians viewed but did
not acknowledge a result when they wanted to investigate the result
further, and hence wanted to leave the result "live" on the system.
It told HDC that this practice is still in place today.
39. SDHB's Serious Adverse Event Report
documented:
"[Mrs A's radiology report did] not suggest specifically
that there was concern about a cancerous growth. The recommendation
… would have meant the need for a case review. Such a case review
includes a 'second' look at the [X-ray], a review of the patient's
record, consultation with one of the [public hospital's] 'in-house'
radiologists. All of this is time consuming and therefore only
feasible after completion of the more immediate daily duties."
40. Dr C told HDC that, in preparation for going on leave, she
changed the settings in her results inbox, so that any new results
that came into her inbox while she was on leave would be forwarded
to an ED consultant.
41. SDHB told HDC that it has no specific
guidelines or policies for the acknowledgement of radiology or
laboratory test results in ED. It said that the Medical Council of
New Zealand (MCNZ) guidelines for the follow-up of results are the
de facto guidelines, which outline that the ordering clinician is
responsible for the result of any test he or she
orders.
42. SDHB told HDC that at the time of these
events the usual process regarding follow-up of radiology reports
ordered by ED clinicians was the following:
"All members of the senior medical staff were individually
responsible for checking and acknowledging all radiology and
laboratory tests that were ordered under their name. They undertook
this using the 'memo' functionality of the [IT] (clinical intranet)
system - when there were new results to review the system sends the
clinician a 'memo' to indicate the presence of new results. The
process was that the results would be reviewed, acted upon if
necessary and acknowledged using the electronic system."
43. SDHB's Serious Adverse Event Report acknowledged: "At [the
public hospital] there had been no process to ensure that
unacknowledged reports (or any other results) do not go
unacknowledged for any length of time." It noted that there was no
process to "escalate" automatically or pass on unacknowledged
reports to another clinician or the Clinical Director, and no
warning system to alert clinicians to the existence of
unacknowledged reports.
Return from leave
44. Dr C told HDC that upon returning from 10 days' leave she
did not recall Mrs A's X-ray report. The result was no longer
visible in the memo tab, even though the report had not been
acknowledged.
45. Dr C told the Serious Adverse Event
Review Group:
"I regret that I did not remember this report to follow
up, even when it had disappeared from my inbox, but with the number
of reports which come through our inboxes, it is impossible to
remember every single report, especially after 10 days. This is the
reason that I did not acknowledge the report immediately, as I
needed to follow it up. As it had not been acknowledged, the report
should have still been in my inbox on my return, for me to
action."
46. Mrs A did not hear from the public hospital in relation to
the report, and did not receive the recommended follow-up X-ray or
CT scan.
2015 - return to ED
47. About 20 months after her X-ray, Mrs A went to a second
medical centre, as she had been feeling unwell for a few
days. An RN documented that Mrs A complained of having had "a
constant headache" for the past four days, right-sided weakness,
and poor coordination, and that recently she had experienced eight
to ten falls. It is noted that she was anxious and vague and had
decreased strength in her right hand. Mrs A was referred to the
ED.
48. At 12.48pm, Mrs A presented to the ED and
was seen by a triage nurse who documented that Mrs A was
complaining of right-sided altered sensation, decreased grip in her
right hand, altered gait, headache easing with analgesia, but no
visual disturbances, and that her symptoms came on after a
mechanical fall five days previously. She was given a priority code
of "3" (to be seen within 30 minutes).
49. At 2.09pm Mrs A was seen by Dr E. Mrs A
told Dr E that about five days previously she had tripped when
walking up steps to a door, and had fallen on to her right side and
hip. She denied any preceding symptoms, and denied hitting her head
or experiencing a loss of consciousness. She advised Dr E that the
next day she had developed a constant headache at the back of her
head, and now felt some weakness in her right side. She also said
that she had lost confidence with stairs. Dr E noted that Mrs A
reported feelings of a loss of coordination and of feeling muddled,
that she had no facial droop or slurring of speech and no visual
symptoms, and that she was a lifelong smoker, smoking five
cigarettes a day.
50. Dr E's impression was that Mrs A had experienced an
intracerebral event (bleeding within the brain) or a subdural event
(bleeding outside the brain). Dr E discussed Mrs A with an
emergency medicine consultant, Dr F, and the decision was made to
order a CT scan of her head.
51. A CT scan was carried out at 2.57pm. The
CT report documents:
"There are three ring enhancing lesions in the left
parietal lobe with the largest measuring 17 mm in diameter. There
is surrounding vasogenic oedema with some compression of the
adjacent left lateral ventricle. There is no midline shift.
Appearances are consistent with metastases. "
52. At 4.28pm Dr E documented in Mrs A's clinical notes that Mrs
A's CT scan showed "multiple cerebral [metastases]". Due to the
intracranial findings showing appearances consistent with
metastases, a set of CT scans of her chest and abdomen were
arranged.
53. The overall results stated:
"Findings consistent with right lung lower lobe bronchus
carcinoma with metastasis in the right lung upper, middle and lower
lobe as well as mediastinal lymph node metastases and possible left
adrenal metastasis."
Review of notes
54. Following receipt of the CT reports, Dr F carried out a full
review of Mrs A's clinical history and discovered the non-actioned
X-ray report from 2013.
55. Mrs A's care was then transferred to the
general medicine department. A medical registrar and a general
medicine physician consultant, Dr G, took over the care of Mrs A.
Dr F informed the medical registrar and Dr G about the 2013 X-ray
result that showed a 10mm x 15mm mass in Mrs A's lung. It is
documented that Dr G informed Mrs A and her family that Mrs A had
cancer originating from the lung, and that it had spread to her
brain. Mrs A was admitted to the acute ward at 6.40pm.
56. Dr G ordered a chest X-ray, which was
carried out. The radiology report documented: "The lungs are
well expanded. On the right side, a right peripheral abnormality is
associated with more bulky central lesions." It was also noted:
"The left side is stable compared with [the X-ray of 2013]." The
report concluded: "Progressive right-sided changes consistent with
pulmonary neoplasm. "
Disclosure
57. Dr G documented in Mrs A's clinical notes that she had
advised Mrs A that the X-ray taken in 2013 had shown a mass in her
lung, and that this had not been acted upon in error. It is further
documented that Mrs A and her family were advised that Mrs A's
cancer was terminal, and that any treatment would be
palliative.
58. Mrs A was discharged home for on-going palliative
management. Follow-up was arranged with Radiation Oncology, and she
was referred for hospice care.
59. Dr G and the Service Manager Medical Directorate met Mrs A's
family to apologise on behalf of the DHB for the fact that the
original X-ray had not been acted upon, and to inform them that an
investigation had commenced.
60. Sadly, Mrs A died a short time later.
Further information
SDHB
61. Following these events, SDHB conducted an immediate
investigation into the incident, which identified that "[i]t was
erroneously believed" by clinicians that the results remained
visible in the memo tab until they had been acknowledged. SDHB told
HDC that after 24 hours, once results are opened/viewed in the memo
tab, the results drop to the bottom of the queue, where they are no
longer visible (regardless of whether they have been acknowledged).
Both read and unread memos remain in the memo tab unless deleted.
SDHB said that this resulted in the read memos getting "bogged
down". It said that the position of a particular memo could move
down several pages from the top of the list. SDHB said: "All
unacknowledged reports remain in the 'unacknowledged worklist' but
the ED were unaware of this distinction in the functionality."
62. SDHB told HDC that there "is no 'fault' in the system but a
lack of understanding from the clinicians in the ED as to the
functionality of the system". It said that while the report
disappeared from view in the memo tab, it did not disappear from
the system.
SDHB's investigation - Serious Adverse Event
Review
63. SDHB's investigation highlighted that "[t]here is potential
confusion with regard to the best process of viewing and
acknowledging results electronically in the PMS used at [the public
hospital]". The report documented that one option was to use the
memo tab option on [the system]. When opening [the] start page, a
link to "unread memos" appears, which then lists all unread
results/reports for both inpatients and outpatients. The second
option was to use the "unacknowledged work list".
64. The review noted that clinicians could work off both the
memo tab and the "unacknowledged worklist", but always needed to
check the "unacknowledged worklist" for anything that may have been
missed. It documented that the "unacknowledged worklist" shows
whether results are still unattended, and is the catch-all method
to show the clinician any unacknowledged results. The review noted
that using the memo tab resulted in a risk that some results might
not be acknowledged. The report also noted that both options (the
memo tab and the "unacknowledged worklist") "may be cumbersome as
the linkage back to a respective patient's electronic health record
is only indirect (i.e. one will have to go in and out of the site
repeatedly. This makes it virtually impossible to check and deal
with results 'on the run', i.e. during the course of the other
daily clinical duties)."
65. The investigation noted that staff were introduced to, and
instructions provided in the use of, the "unacknowledged work list"
when the feature was first introduced (in 2005 ), but said that "it
is not clear how much emphasis [was] given in the IT training to
ensure no such confusion existed". Furthermore, it noted: "It has
now become clear that many clinicians have not been aware of the
differences."
66. In addition, the investigation noted: "It is not clear what
[clinical] staff IT training is being provided/made compulsory in
order to ensure that [the] IT system's capabilities are indeed
fully utilised."
67. Several recommendations were made as a result of the Serious
Adverse Event Review, including the following:
• Reporting of results in the electronic patient management
system and clearly defining a process for the paperless
acknowledgement of results, for the escalation/passing on of
unacknowledged results within specific time frames, for the process
to act upon those results and the documentation of those respective
actions in the patient's electronic medical record.
• A system for the flagging of abnormal imaging results of tests
completed at the public hospital's medical imaging department,
including reviewing the possibility of having plain X-rays read and
reported on by the on-site radiologists.
• Capture of relevant patient details (i.e., GP details), to
ensure good communication to primary care after each contact with
the ED.
• Electronic requesting of medical imaging investigations.
• Staff orientation and training to ensure systems are utilised
properly (including the system used for managing patients, the
electronic sign-off of results/reports, the process to ensure
proper communication to other medical practitioners, the electronic
requests of tests, etc).
• Additional radiology training for non-radiology staff to
enhance their interpretation of plain X-ray films.
• Enhanced care pathways for patients with COPD and lung cancer,
and evaluation of mental health patients with significant smoking
history, for the presence of respiratory symptoms or respiratory
conditions.
• Consideration of improved consumer engagement through the
development of a process to copy patients with reports of certain
investigations.
Changes made
68. SDHB told HDC:
"A significant number of other radiology results that had not
been acknowledged due to the same issue within the system were
identified and the ED consultant medical staff are in the process
of checking these results and if necessary contacting patients
where any further action is needed."
69. SDHB set up an organisation-wide Electronic Acknowledgement
Project to develop the recommendations outlined above and to focus
on improving the systems and practices regarding unacknowledged
results.
70. Regarding the number of radiology results that had not been
acknowledged, SDHB said that, of these, 23 results were identified
as requiring some form of follow-up, and that, of those, one
required an ultrasound scan. The remainder did not require any
further action other than a more in-depth review or a telephone
call to the patient.
71. SDHB told HDC that the ED team has changed the way in which
it uses the IT system, and that it now uses the "unacknowledged
work list" functionality as opposed to the memo functionality.
72. SDHB further advised:
"[We continue] to be very concerned as an organisation regarding
the problem of radiology result reports (and other results) that
are lost to follow-up and we acknowledge the serious problem that
this has [caused] for a small but significant number of our
patients and their relatives. We have begun to address the long
standing problems with the dual systems, paper and electronic, used
for the acknowledgement of diagnostic results; in particular the
large volume of unacknowledged electronic radiology and laboratory
results. Of note these are not necessarily unreviewed results.
[SDHB] has initiated a project based on [a successful project at
another DHB] to resolve this problem."
Dr C
73. Dr C told HDC that predominantly she had used the memo tab
to view and manage results from tests she had ordered, and that
previously she had left results in the memo tab to action later, as
she had not known of the potential for them to drop from view if
they were left for a length of time. She stated:
"I had no reason to believe that [the system] would not work as
it was designed to do, and I trusted that my results would remain
in the memo tab until I acknowledged them … Had I been aware that
there was a chance that this report (or any others) would have been
lost, I would have employed back up strategies."
74. Dr C told the Serious Adverse Event Review Group:
"I did not fail to action an abnormal result, the disappearance
of the result from my inbox, for reasons beyond my control,
prevented me from completing this task."
Response to
provisional opinion
75. Mrs A's family and Southern DHB were asked to comment on the
relevant sections of my provisional opinion.
76. Mrs A's family chose not to provide a response. Southern DHB
responded and said that it accepted the findings and advised that
it would implement the proposed recommendations.
Opinion: Dr C -
Adverse comment
77. The formal radiologist's report regarding Mrs A's X-ray
(from five days previous) identified a 15 x 10mm mass in her lung,
and recommended a follow-up chest X-ray or CT scan in six weeks'
time. The report was sent to Dr C's inbox electronically as the
ordering clinician.
78. SDHB's expectation was that its senior medical staff were
individually responsible for checking and acknowledging tests that
were ordered under their name.
79. Dr C reviewed Mrs A's X-ray report. Dr C was about to go on
leave for 10 days, so she did not acknowledge the results (and left
them in the memo tab), as she wanted to review the X-ray and
discuss with the radiology consultants what follow-up would be most
appropriate. She assumed that the result would be visible in the
memo tab on her return, and was not aware of the possibility that
it could drop off from her view.
80. However, when Dr C returned from leave, Mrs A's chest X-ray
results were no longer visible in the memo tab of Dr C's inbox. Dr
C did not recall the report on her return. She said: "[W]ith the
number of reports which come through our inboxes, it is impossible
to remember every single report, especially after 10 days."
81. As part of this investigation I obtained expert advice from
an emergency physician, Dr William Jaffurs. Dr Jaffurs advised that
Dr C dealt with Mrs A's X-ray report (on receipt by her) "in a
manner that would allow for considered follow up". He advised that
Dr C's intention to follow up on the necessary action when she
returned from leave rather than assign this responsibility to
anyone else was acceptable. Dr C said she thought that she could
rely on the IT system to remind her to do this. She believed that,
as the result had not been acknowledged, it would still be in her
inbox when she returned from leave.
82. I note Dr Jaffurs' advice that he considers "[Dr C] to be
caught in a moderate, if unintentional departure from the standard
of care for not following up this ominous report at some point in
the future, but not necessarily at the time of first viewing". Dr
Jaffurs also acknowledged: "Unfortunately an important chest x-ray
result was lost in an information system trusted by [Dr
C]."
83. However, Dr Jaffurs advised that other options could have
been exercised by Dr C for dealing with the report. She could have
called Mrs A or Mrs A's GP, or written a note in the form of an
addendum to Mrs A's discharge summary and mailed it to her. Dr C
also could have printed a paper copy to use as a reminder. Dr
Jaffurs advised me that "[t]hese options are the safety net an
experienced practitioner creates when dealing with imperfect
patient information systems".
84. While ideally Dr C would have employed safety-netting
strategies such as those outlined by Dr Jaffurs, I also note that
Dr C was not aware that she was working with an imperfect patient
information system. Dr C said: "Had I been aware that there was a
chance that this report (or any others) would have been lost, I
would have employed back up strategies." I consider that it was
reasonable for her to rely on the system in these
circumstances.
85. While I am concerned that Dr C did not follow up on Mrs A's
X-ray report, overall, having considered the circumstances, I am of
the view that the failure to follow up on Mrs A's X-ray results was
largely caused by systems errors within SDHB.
Opinion:
Southern District Health Board - Breach
Presentation to ED - 2013
86. Mrs A went to the ED because she had been experiencing a
cough and chest tightness for a couple of days. Dr C examined Mrs A
and found that her chest had "decreased air entry with wheeze
throughout". Mrs A was given nebulisers, after which she was noted
as being much improved.
87. Dr C ordered an X-ray of Mrs A's chest. At the time of these
events, X-rays were reviewed off site and not reported immediately
by a radiologist. After the X-ray had been carried out, Dr C
reviewed it and could not see anything of concern. She diagnosed
COPD with acute asthma. Mrs A was discharged home, with her care
discharged to her GP. Her discharge report made no mention of a
pending X-ray report.
88. Dr Jaffurs advised that Dr C's impression that Mrs A had
COPD was "an entirely reasonable assumption", and that discharging
her care to her GP was appropriate. He also advised that the
standard for reading a chest X-ray in this situation was met.
I am satisfied that Dr C read the X-ray appropriately, and
that her diagnosis and her decision to discharge was appropriate in
the circumstances. Accordingly, I am not critical of the standard
of care provided to Mrs A.
Follow-up of X-ray results
89. Five days later, the formal radiologist's report regarding
Mrs A's X-ray identified a 15 x 10mm mass. It documented that "a
significant lung nodule [could] not entirely be excluded", and
advised, as a minimum, a follow-up chest X-ray or a CT scan in six
weeks' time. The report was sent to Dr C's inbox
electronically.
90. SDHB's expectation was that individually its senior medical
staff were responsible for checking and acknowledging tests that
were ordered under their name. When there were new results to
review, the system sent the clinician a memo to indicate this. The
process was that the results would be reviewed, acted upon if
necessary, and acknowledged electronically. At SDHB it was, and
still is, standard practice to view results and leave in the inbox
those that require attention, until they are acted on, and then
acknowledge them.
91. Dr C reviewed Mrs A's X-ray report. The following day, Dr C
was going on leave for 10 days, so she did not acknowledge the
results (and left them in the memo tab), as she wanted to review
the X-ray and discuss with the radiology consultants what follow-up
would be most appropriate. She said that the results were not
immediately urgent (as follow-up was suggested in six weeks' time,
and she was away for only 10 days), and therefore she considered it
appropriate to action them on her return. She assumed that the
result would be visible in the memo tab on her return, and was not
aware that the memo would drop off from her view after 24
hours.
92. When Dr C returned from leave, Mrs A's chest X-ray results
were no longer visible in the memo tab of Dr C's inbox. In
addition, Dr C did not recall the need to action the report on her
return. Dr C said: "[W]ith the number of reports which come through
our inboxes, it is impossible to remember every single report,
especially after 10 days."
93. Dr Jaffurs advised that Dr C dealt with Mrs A's X-ray report
(on receipt by her) "in a manner that would allow for considered
follow up". He advised that Dr C's intention to follow up on the
necessary action when she returned from leave rather than assign
this responsibility to anyone else was acceptable. Dr C said she
thought that she could rely on the IT system to remind her to do
this. She believed that, as the result had not been acknowledged,
it would still be in her inbox when she returned from
leave.
94. I note Dr Jaffurs' advice that he considers "[Dr C] to be
caught in a moderate, if unintentional departure from the standard
of care for not following up this ominous report at some point in
the future, but not necessarily at the time of first viewing". Dr
Jaffurs also acknowledged that "[u]nfortunately an important chest
x-ray result was lost in an information system trusted by [Dr
C]".
95. I acknowledge Dr Jaffurs' advice that other options for
dealing with the report could have been exercised by Dr C. She
could have called Mrs A or Mrs A's GP, or written a note in the
form of an addendum to Mrs A's discharge summary and mailed it to
her. Dr C also could have printed a paper copy to use as a
reminder. Dr Jaffurs advised that "[t]hese options are the safety
net an experienced practitioner creates when dealing with imperfect
patient information systems".
96. However, I also note that Dr C was not aware that she was
working with an imperfect patient information system. Dr C said:
"Had I been aware that there was a chance that this report (or any
others) would have been lost, I would have employed back up
strategies." I consider that it was reasonable for her to rely on
the system in these circumstances.
97. Overall, having considered the circumstances, I am of the
view that the failure to follow up on Mrs A's X-ray results was
largely caused by systems errors within SDHB.
98. Mrs A's GP, Dr D, did not receive the final chest X-ray
report. This was due to a systems error where Mrs A's GP details
did not appear on the stickers on the X-ray request form. While Dr
D received the ED electronic discharge report relating to Mrs A's
initial presentation (which stated that her care had been
discharged to him), there was nothing to indicate a pending X-ray
report. As a result, there was a lost opportunity to have someone
else follow up on the X-ray report. I am critical that SDHB did not
have in place an appropriate system to ensure that Dr D received
Mrs A's X-ray report.
99. About 20 months after Mrs A's X-ray, Mrs A returned to the
ED having felt unwell for the previous few days, with a constant
headache, right-sided weakness, poor coordination, and having
recently experienced eight to ten falls. A review of her electronic
clinical history resulted in the discovery of the non-actioned
X-ray report from 2013. I note that the error was disclosed to Mrs
A in a timely manner, once discovered.
100. SDHB told HDC that while predominantly the ED clinicians
were using the memo tab to view and acknowledge results, clinicians
actually had two options for reviewing results and reports. As well
as the memo tab, a second option was to use an "unacknowledged work
list". SDHB's investigation into these events found that its IT
system allowed results to disappear from the memo tab view 24 hours
after the results had been opened/viewed in the memo tab
(regardless of whether they had been acknowledged), by dropping to
the bottom of the queue. All unattended and unacknowledged reports
remained in the "unacknowledged work list", but ED staff were
unaware of this distinction in functionality. It was erroneously
believed that results remained visible in the memo tab until they
had been acknowledged.
101. Of concern, SDHB acknowledged that many clinicians were not
aware of the differences between the memo tab and the
"unacknowledged work list", and it has since identified that a
"significant number" of other radiology results had also not been
acknowledged owing to clinicians relying on the memo tab.
102. I note that SDHB has acknowledged that while staff were
introduced to, and instructions provided in the use of, the
"unacknowledged work list" when the feature was first introduced in
2005, "it is not clear how much emphasis [was] given in the IT
training to ensure no such confusion existed [between the use of
the memo tab versus the unacknowledged work list]". I note that
following its review, SDHB found that "[i]t is not clear what staff
IT training is being provided/made compulsory in order to ensure
that [the] IT system's capabilities are indeed fully
utilised".
103. Furthermore, I note that there was no process to ensure
that reports or results were acknowledged within a certain length
of time, and there was no warning system to alert clinicians to the
existence of unacknowledged reports. Therefore, as Dr C did not see
the report in her inbox on her return from leave, Mrs A did not
receive the recommended follow-up X-ray or CT scan. Mrs A heard
nothing further from the public hospital in relation to the
radiologist's report, and the X-ray results were not sent to
her.
104. In my view, Dr C was working in an inadequate system, in
that SDHB failed to ensure that its staff were adequately and
appropriately trained to use its electronic system for managing the
results and reports they had ordered.
105. Dr Jaffurs advised: "The reviews from SDHB clearly identify
a dangerous flaw in the management of verifying and acknowledging
reports which allows the reports to become virtually invisible
after first viewing but prior to acknowledgment. … The system
appears to be in wide use at their health board and is a 'tool of
the trade' for the practitioners there." He said it is expected
that functional and current tools of the trade are provided. I
agree and am concerned that this problem appears to have been
longstanding at SDHB.
Conclusion
106. SDHB failed to have in place an appropriate system for the
management and acknowledgement of test results. Although a system
was in place, SDHB's clinicians were not trained to use the system
adequately, either initially or on an on-going basis. There was
clearly widespread misunderstanding within SDHB's ED regarding the
functionality of the IT system, which clinicians should have been
able to use easily and rely on. This failure resulted in Dr C not
following up on Mrs A's X-ray report. In addition, SDHB did not
have in place an appropriate system to ensure that Dr D received
Mrs A's X-ray report, and did not have a process to ensure that
reports or results did not go unacknowledged by SDHB clinicians for
any length of time. Accordingly, I find that SDHB failed to provide
Mrs A with an appropriate standard of care and breached Right 4(1)
of the Code of Health and Disability Services Consumers'
Rights.
Further comment
107. I note Dr Jaffurs' advice that "the IT system needs to be
fixed and have warnings installed and a culture of safety net
behaviours added to the handling of test results". Following these
events, SDHB checked all other radiology results that had not been
acknowledged owing to the same issue and, where necessary,
contacted any patients where further action was needed. It has also
implemented a new process "to minimise the risk of a similar error
occurring". Most importantly, clinicians now use the
"unacknowledged work list" rather than the memo tab.
108. Dr Jaffurs advised that SDHB's Electronic Acknowledgment
Project is an "ambitious and well intentioned project" and, in my
view, it is an appropriate step to take in response to the problem
of unacknowledged results.
Recommendations
109. I recommend that Southern District Health Board:
a) Provide a report regarding the outcome of the Electronic
Acknowledgement Project to HDC and DHB Shared Services within 12
months of this report.
b) Provide an audit of four months' data from the 2016 calendar
year regarding the time taken to acknowledge reports. This is to be
sent to HDC within six months of the date of this report.
c) Consider having a warning system added to its electronic IT
system to alert clinicians to the existence of unacknowledged
results, and report to HDC within six months of the date of this
report.
d) Arrange for an impartial IT expert with a medical background
to examine its electronic management system to determine whether
user warnings and updates need to be built in to the software and
training sessions, and report back to HDC within six months of the
date of this report.
e) Provide a report to HDC regarding the actions taken in
respect of the recommendations as outlined in the SDHB Serious
Adverse Event Report, within six months of this report.
f) Provide a written apology to Mrs A's family for its breach of
the Code, within three weeks of the date of this report. The
apology is to be sent to HDC for forwarding.
Follow-up actions
110. A copy of this report with details identifying the parties
removed, except the expert who advised on this case and SDHB, will
be sent to HealthCERT and DHB Shared Services.
111. A copy of this report with details identifying the parties
removed, except the expert who advised on this case and SDHB, will
be placed on the Health and Disability Commissioner website,
www.hdc.org.nz, for educational purposes.
Appendix A: Emergency medicine
advice to the Commissioner
The following independent expert advice was obtained from an
emergency medicine specialist, Dr William Jaffurs:
"Thank you for your request to review the above complaint.
In doing so I have reviewed the documents sent to me
including:
Your letter
Disc with X-ray images and request forms
ED Notes from [initial visit]
Complaint HDC [date]
SDHB response [2015]
SDHB further response [2015]
Information gathered document undated
SDHB Serious Adverse Event Report [2015]
I am currently a Fellow of the Australasian College of Emergency
Medicine since 1998 and work full time as an Emergency Medicine
Specialist at Whangarei Base Hospital since 1997. I was Director of
the Emergency Department for my first seven years. I also hold
Fellowship with the American College of Emergency Medicine. Having
reviewed the persons and entities in this case I can see no
conflict of interest on either a personal or professional level. I
have read your guidelines for expert advisors.
Case summary:
[Mrs A] presented to the Emergency Department of [the public
hospital] at 1316 hours [in] 2013 with respiratory symptoms and
feeling unwell for four days. She was triaged to code four and seen
by [Dr C] at 1432 hours, slightly over the one hour guideline for
code four from the Australasian College for Emergency Medicine. The
clinical notes are orderly, legible, and appropriate to her
presenting complaint, as is her urgent treatment plan. Her GP's
name appears to be on the Triage note, but not on her labels. She
has a Chest X-ray which shows no evidence of pneumonia. She is
treated with antibiotic, bronchodilator nebulisation, and oral
steroids. She is directed to follow up with her GP as needed for
her presumed exacerbation of Chronic Obstructive Lung Disease
(COPD). A specific time frame for follow up is not evident in the
clinical note, so I would ask what was either said to [Mrs A], or
written in her discharge summary about this. Her previous history
and smoking status are not documented. Her departure time is
documented as 1537 hours. Attached to these record copies is a
printed chest x-ray report 'verified' [dated five days later], and
acknowledged by [Dr F] [in 2015]. The report has an unexpected
finding with a recommendation for further imaging if no prior
images are available for correlation.
[Dr C] recalls that she viewed the report, filed it
electronically for further action, proxied her upcoming reports for
review by another doctor, and then went on leave for 10 days. Upon
her return the report was not apparent in her electronic file. As a
result no further action was taken. The DHB letters outline an
unrecognized risk discovered subsequently in the electronic filing
system that would allow the report to apparently disappear without
being acknowledged.
There is no indication that the Chest x-ray report was conveyed
to the Patient's GP. This was apparently due to the absence of
these details on the Patient's identification label on the x-ray
request which is visible on the CD provided.
[Mrs A] attended ED again [in] 2015 with a headache and
neurologic findings prompting a workup revealing metastatic cancer
with a primary apparently in the right lung where the chest x-ray
done in 2013 showed a suspicious density. This connection makes
sense clinically but has not been verified by tissue biopsy
according to the records supplied.
[Mrs A] received palliative radiotherapy and passed away as a
result of her cancer [in] 2015 in [a] Hospice.
In response to your questions pertaining to my opinion on the
following issues:
That the GP did not receive any follow-up reports:
There is an assumption here that the GP did not receive either
an ED visit note, or an x-ray report. Has this been verified?
There is no GP name filled in the space on the labels or
requisitions, although it appears there is a GP name on the triage
note, so this information was apparently available. I would expect
the program used to record the clinical note to either send the
note to the GP by email which is the practice described for SDHB,
or failing this, have it mailed or faxed at a later time. This
action is a routine in the EDs in New Zealand with which I am
familiar. It would not be uncommon however to have this action fail
if the GP information was either missing or incorrect. If in this
case the GP information on the triage note was correct, I would
expect a copy of the clinical note to be sent to the GP to
facilitate the follow up visit requested from ED. It would be
unfair to say the situation here was a departure from the standard
of care as the standard is more of a goal that can be attained in
most cases. As a backup the patient is commonly given a discharge
summary with follow up instructions which can be carried to the GP,
or the GP can call for a summary when the patient presents to their
rooms for follow up care. Did [Mrs A] receive a discharge summary
with follow up instructions, and were these instructions followed
in some manner? If the instructions were those in the clinical note
which indicates she was referred to her GP, and she followed this
advice, I do not think this would have been an issue.
The x-ray report would not necessarily go to the GP unless the
information was specifically included on the request. The report
was sent to the requesting doctor meeting the current standard in
my opinion.
That [Dr C] did not take any further action after diagnosing
COPD.
The ED is for episodic and urgent care. Patient history and
background is not as complete as the information held by a
patient's GP. To suspect that [Mrs A], a 66 year old tobacco smoker
has, and had had, Chronic Obstructive Lung Disease (COPD) was an
entirely reasonable assumption. She improved with nebulised
medicine and prednisone. She was discharged to the care of her GP
and I interpret the instruction is to follow up with either ED or
the GP as needed. No time course is specified. I understand there
was not an existing pathway to enrol new COPD patients in available
at that time. Her history does not suggest severe COPD or frequent
use of the medical system for her condition, therefore GP referral
in this instance was appropriate, as was the assumption that she
had an ongoing relationship with a GP as named on the triage
note.
That [Dr C] did not recognize any mass on the Chest x-ray:
I was unable to open the image files on the CD sent to me
despite trying the disc in several machines. The report
suggests a subtle lung density that I would not expect an Emergency
Physician to see immediately. It is not what [Dr C] was looking
for. She specifies there was no consolidation to suggest pneumonia
and she was correct.
The density described in the report is commonly noted by ED
physicians only after being pointed out by a Radiologist, so the
standard for reading a Chest x-ray in this situation is met.
That [Dr C] did not carry out any immediate action on viewing
the formal x-ray report before going on leave:
She indicates that she recognized the importance of the report
and handled it in a manner that would allow for considered follow
up. The x-ray report specifies a time frame of 6 weeks for follow
up examination. Unfortunately [Mrs A's] details were lost to her in
the [IT] system before her intended plan could be actioned.
Certainly other options could have been exercised for handling this
report such as calling the patient or her GP, or writing her a
short note in the form of an addendum to her discharge summary and
mailing it to her. She could have printed a paper copy to use as a
reminder later on. These options are the safety net an experienced
practitioner creates when dealing with imperfect patient
information systems, and they are all imperfect.
Having experience with several major suppliers of such systems,
they are marketed in an imperfect state with the expectation that
users will flush out the bugs and adapt the systems to their
specific patterns of use. Unfortunately this situation reflects an
ongoing problem in New Zealand hospitals of siloed software tools,
an inability to efficiently spec and purchase modern software for
patient management, and virtually no standard of provision or
maintenance of good working systems.
I was not provided with [Dr C's] background, age or experience,
or training with [the IT system]. She bravely accepts that it was
her duty to act on the information as only a mature practitioner
would, and is consistent with the stated policy of SDHB and the New
Zealand Medical Council guidelines cited in [the CEO's] letter of
[2015]. [Dr C] appears to have fallen into a [IT system] trap of
losing the information for which she is individually responsible,
and perhaps assuming her proxy covering for her while on holiday
dealt with the report. She does not indicate in her letter that
this last was her assumption in this case. Considering the
situation as presented, I consider [Dr C] to be caught in a
moderate, if unintentional departure from the standard of care for
not following up this ominous report at some point in the future,
but not necessarily at the time of first viewing.
In our hospital x-ray reports are viewed in printed out form by
senior clinicians, usually the day duty consultant, because of
unresolvable problems setting up electronic sign off of test
reports. We read and sign off reports as a department in order to
prevent cases such as this slipping through if a doctor is away, on
leave, or no longer employed. Individual doctors do not necessarily
sign off their own test results in the interest of timely review of
a large number of test results. GPs are copied on results they
often do not want to see, as they often have their own burden of
requested results to review. This system is our best effort to deal
with a large and constant deluge of test results emanating from a
busy ED. I recognize this system is not perfect either. Each
institution must choose its best and safest option.
A survey of several of our Emergency medicine consultants who
have recently worked at other hospitals reveals a variety of
systems for checking results. Only one other hospital mentioned has
results signed off by the ordering doctor on an electronic system.
Most larger hospitals have daily batches of reports ordered by all
the emergency doctors in the few preceding days reviewed by either
the duty consultant or registrar with supervision. Some use paper,
some use electronic sign off. One system mentioned does not have a
two step system like SDHB using 'verified' and 'acknowledged', but
rather if you view the result, whether you ordered the test or not,
you are acknowledging that you have viewed and will act on it.
That [Dr C] relied only on SDHB's [IT system] to ensure she
followed up on results after she had been away on leave:
Answer as to the previous question.
The adequacy of SDHB's [IT system]:
The reviews from SDHB clearly identify a dangerous flaw in the
management of verifying and acknowledging reports which allows the
reports to become virtually invisible after first viewing but prior
to acknowledgment. There is clear intention to correct this flaw.
The system appears to be in wide use at their health board and is a
'tool of the trade' for the practitioners there. The Association of
Salaried Medical Specialists (ASMS) Multi Employer Collective
Agreement specifies that hospitals will recognize the importance of
providing good quality, suitable and safe workplace conditions,
resources, and accommodation. Section 53.1. In general this is
interpreted to mean safe tools of the trade are provided that are
both functional and current. It is unfortunate that this paperless,
reasonably modern system for managing huge amounts of patient data
has failed in just a few instances with tragic results. The system
seems to work perfectly the rest of the time.
The Serious Adverse Event Report (SAER) indicates the system
will be modified to remind practitioners and emphasize
unacknowledged results. This problem appears to have been
longstanding at the SDHB. In addition, a culture of safety net
behaviors and warnings needs to be attached to the system as
described above. Therefore, in regard to this item, I think there
is again a moderate departure from the expected standard of
care.
The adequacy of SDHB training in relation to its [IT system]
and
The adequacy of SDHB's recommendations relating to improving the
[IT system], and whether you have any recommendations relating to
it.
The basic training package appears to be intended to get one
started. Initial training does not replace working knowledge of an
electronic system. I would suggest that an impartial IT expert with
a medical background examine the system for other traps such as the
one that got [Dr C], and build user warnings and updates into the
software and training sessions, and provide subsequent alerts to
users.
It would be helpful if as mentioned the [IT system] was more
readily accessible without separate login so that results could be
acknowledged in the course of daily clinical practice.
The replacement of their current [IT] system […] may address
this problem. […]
I support the SAER's recommendation to give patients access to
their imaging reports. This is not common practice in New Zealand
yet, although in other countries, such as the Kaiser Hospitals
system in the USA, this has been part of a successful strategy for
getting patients actively involved in managing their medical
care.
Are there any aspects of the care which warrant additional
comment?
No one has commented on the apparent situation that [Mrs A] did
not appear to seek regular medical care, either for acute illness
or in a health maintenance mode. She was a smoker with lung
disease. Her appearance in a General Practice would have prompted a
review that would have likely picked up her disease earlier. The
Emergency Department is not a good source for comprehensive medical
care as this case demonstrates. There are some indications that
[Mrs A] had mental health issues which would make pursuit of health
maintenance even more important for her. Emergency Departments in
New Zealand are increasingly utilized for episodic medical care. I
do not think it is fair to expect EDs to shoulder the
responsibility of health maintenance which ultimately rests with
the patient and their family, though I recognize that there are
barriers, individual, financial, and cultural, to achieving
this.
[Mrs A's] case demonstrates that the Emergency Department staff
were there to handle an acute episode. The information and test
results were requested to handle the illness that night. The
materials provided indicate information was available for any
follow up visit although this apparently did not happen.
Unfortunately an important chest x-ray result was lost in an
information system trusted by [Dr C]. The IT system needs to be
fixed and have warnings installed and a culture of safety net
behaviours added to the handling of test results. I would like to
think in honour of [Mrs A's] memory that this situation will not
occur again but no system at this health board or any other, either
mechanical or human, is without error. We can only try.
Sincerely yours
William Jaffurs, MD FACEM FACEP
Emergency Physician, Whangarei."
Dr Jaffurs provided the following further expert advice on 11
August 2016:
"I am responding to your letter of 5 August 2016 enclosing
further information relating to this case and requesting further
expert advice regarding the care given to [Mrs A] in the Emergency
Department of [the public hospital].
In doing so I have reviewed the additional documents sent to me
with my comments following each item as necessary:
Your letter
Response letter from [the] CEO 17 August 2015
This letter clarifies the identified problem, and
misunderstandings leading to, 'a large number of unacknowledged
reports'. An initial effort to identify and acknowledge overlooked
results has been implemented in the Emergency Department, although
the Project Brief below suggests this is more than just an
Emergency Department problem. Overall this letter adds to the
'root cause analysis' and shows a constructive response to a
difficult and unforeseen problem with an information system that
for the most part has served a large number of patients and health
care practitioners well.
Project brief SDHB Electronic Acknowledgment
This ambitious and well intentioned project is an appropriate
response to the identified problem of unacknowledged results. I am
sure other health boards, including ours, will be interested in the
final form of this project.
Response letter [Dr C] 14 August 2015
[Dr C] is and was an experienced, interested, and motivated
Emergency Medicine practitioner who is actively pursuing a
specialist qualification in an advanced training program. She
clearly indicates that she understood the significance of the chest
x-ray report on initial reading and intended to personally follow
up on necessary action and did not assign this responsibility to
anyone else. I think it would have been acceptable to do this after
returning from her period of leave. She indicates she relied
on the [IT] system she had been using to manage large amounts of
patient information without incident for [several] years to remind
her to do this. She had no reason to expect that she would either
lose [Mrs A's] details or not find the information in her filing
system when she returned.
Emergency Department and hospital clinical notes and [external
service] chest x-ray report
These documents were reviewed previously.
GP letter [Dr D] [2015]
[Dr D] did not receive the final chest x-ray report. He has
attached the discharge summary he received suggesting follow up as
needed. [Mrs A] was 'a very infrequent visitor' to the practice and
in this case did not present for follow up care, therefore I think
[Dr D] met his responsibility to be available to her as needed.
CD with x-ray/CT images
The opacity described on this chest x-ray of [date] is subtle as
viewed on my computer screen. It took me a while to even
imagine seeing it with the radiologist's report in front of me
therefore I would not expect a non Radiologist to appreciate this
on first viewing on a less than high definition screen.
In conclusion, the additional information provided clarifies the
situation and subsequent corrective actions, but does not change my
advice as previously provided.
Sincerely yours,
William Jaffurs, MD FACEM FACEP
Emergency Physician
Whangarei"