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Shelley Johnson

A Case Study of Organizational


Risk on Hospital-Acquired
Infections
O
N ANY GIVEN DAY, 1 of every CDC’s National Healthcare Safety
EXECUTIVE SUMMARY 25 patients hospitalized in Network (HNSH) benchmarks.
Hospital-acquired infections
the United States will The estimated additional cost of
(HAIs) pose a significant threat have a hospital-acquired care related to CAUTIs, CLABSIs,
to health care and healthcare
organizations.
infection (HAI) (Centers for and C. diff in the organization
Disease Control and Prevention totaled $1,384,000 in 2016, down
HAIs cause patient safety, ethi- [CDC], 2018a). These infections slightly from $1,440,352 in 2015
cal, regulatory, financial, and
legal risk.
are a patient safety risk and add to (see Table 1). The organization’s
the cost of health care. They are goal was to decrease each of these
The HAI workgroup at one also mostly preventable. While HAIs by at least 20% in 1 year by
organization is leading improve-
ment efforts that require every
this number of HAIs has been engaging an interprofessional

individual in the organization to


declining since 2009, there is still workgroup of frontline staff mem-

be engaged in the improvement


work to be done to achieve a goal bers to focus on improving

efforts.
of eliminating HAIs (CDC, 2018a; processes and practices related to

Understanding root causes, fol-


Institute for Healthcare Improve- HAIs. This article describes the

lowing the Institute for


ment [IHI], 2018a). efforts employed by the work-

Healthcare Improvement model


The current rate of HAIs in a group the first year.
for improvement to deploy inter-
community hospital and health-
ventions, communicating HAI
care organization in Northern Literature Review
stories to the frontline, and
California places it at high risk for C. difficile infections. Hospital-
implementing staff improvement
patient safety, ethical, regulatory, acquired C. diff infections are a per-
ideas have all proven effective
financial, and legal exposure. sistent problem for patients and
in addressing HAIs. HAIs causing the most concern are healthcare providers. C. diff is a
The community, patients, and
catheter-associated urinary tract spore bacterium that can survive
the organization’s reputation as
infections (CAUTIs), central line- for long periods of time on sur-
a quality provider of health care associated bloodstream infections faces. Patients who have received
depend on these continuous
improvement efforts.
(CLABSIs), and Clostridium diffi- antibiotics are at increased risk for
cile (C. diff) infections. Numbers developing a C. diff infection.
and rates of HAIs were the same or Normal flora in the intestinal tract
increased in 2016 compared to that helps prevent infections is
2015. These HAIs are above the depleted with antibiotic treatment.

SHELLEY JOHNSON, MHA, BSN, RN, CENP, CNL, is Director, Critical Care Services,
NorthBay Healthcare, Fairfield, CA.

128 NURSING ECONOMIC$/May-June 2018/Vol. 36/No. 3


Table 1.
Current CLABSI, CAUTI, and C. diff

2016 Estimated
Additional Cost of
HAI 2015 2016 Care Related to HAIs
CLABSI number 8 9 $144,000
CLABSI rate (number of CLABSI infections/1,000 line days) 1.15 1.15
CLABSI benchmark (NHSN mean) 0.9 0.9
CAUTI number 7 15 $30,000
CAUTI rate (number of CAUTI infections/1,000 urinary catheter days 0.89 1.35
CAUTI benchmark (NHSN mean) 1.25 1.3
C. diff number 66 61 $1,200,000
C. diff rate/10,000 patient days 15.9 12.77
C. diff benchmark (NHSN per 10,000 patient days) 7.4 7.4
Total number of all three HAIs 81 85
Total estimated cost of all three HAIs $1,374,000
CAUTI = catheter-associated urinary tract infection, CLABSI = central line associated bloostream infection, C. diff =
Clostridium difficile, HAI = hospital-acquired infection, NHSN = National Healthcare Safety Network

The primary ways to prevent hos- half million infections, 24% were preventable (IHI, 2012; Sacks et al.,
pital acquired C. diff infections are classified as hospital-acquired 2014).
by thorough caregiver handwash- while 66% were classified as Sacks and colleagues (2014)
ing between patients, limiting healthcare-associated. In 2007, it compared the CLABSI infection
antibiotic use, isolating patients was estimated that C. diff caused rate 1 year pre and 6 months post-
with known C. diff infection, effec- 14,000 deaths and it is anticipated intervention with the IHI CLABSI
tive cleaning of patient rooms that rates of C. diff will continue to prevention bundle in a surgical
using a spore killing cleaner, and rise. This increase may be in part intensive care unit. A same-size
preventing cross-contamination by because of more sensitive testing, medical intensive care unit was the
appropriately cleaning equipment but also because the infection is control unit. Study results showed
between patients and wearing per- highly transmittable (Lessa et al., a 68% decrease in the CLABSI rate
sonal protective equipment (PPE) 2015). on the intervention unit, 12
(CDC, 2012; Dubberke et al., 2014). Catheter-associated blood CLABSIs were prevented, and
C. diff contributes to increased stream infections. Central lines are annual savings in unnecessary
morbidity and mortality and catheters that end in a great vessel patient care costs of $198,600. The
accounts for increased costs of such as the aorta, vena cava, sub- CLABSI prevention bundle in-
care. C. diff infection costs for first- clavian, or femoral veins and are cludes hand hygiene, barrier pre-
time and recurrent infections aver- used for blood withdrawal, hemo- cautions on insertion, chlorhexi-
age between $13,168 and $28,218 dynamic monitoring, or infusions dine skin preparation, site selection
(Shah et al., 2016). Because the C. (CDC, 2018b). Nearly 50% of all such as avoiding the femoral area,
diff spore can live for months on patients in intensive care have a and daily review of line necessity
surfaces, it is easily spread from central line, equating to 82,000 (IHI, 2012).
person to person via hands that central lines used annually in U.S. Valencia and co-authors (2016)
have touched contaminated sur- hospitals. There are 28,000 deaths conducted a worldwide survey in
faces (CDC, 2018a). related to central-line bloodstream intensive care units to assess prac-
C. diff is the most common infections each year. CLABSIs cost tices related to the CLABSI preven-
hospital-acquired pathogen and between $3,700 and $29,000 in tion bundle. They categorized
the leading cause of death associ- additional health care per patient respondents by country and sorted
ated with gastroenteritis (Shah et and can add up to 7 additional the nations into low income, mid-
al., 2016). In 2011, there were over days to a hospital stay. These dle income, and high income. No
half million C. diff infections in infections are expensive, add to low-income countries, 14 middle-
the United States alone. Of those morbidity and mortality, and are income countries, and 27 top-

NURSING ECONOMIC$/May-June 2018/Vol. 36/No. 3 129


Table 2.
CDC Guidelines for Appropriate Indwelling Urinary Catheter Use
tive, and organizations can improve
compliance with the guidelines to

Appropriate Reasons for


avoid CAUTIs (Galiczewski &

Appropriate Reasons for Perioperative Indwelling


Shurpin, 2017; Parker et al., 2017;

Indwelling Urinary Catheters Urinary Catheters


Taha et al., 2017).

• Urinary retention or a bladder • Urologic or genitourinary proce-


Organizational Risk Assessment
obstruction dures
• Intensive care unit patients who • Planned for the patient to receive a
HAIs increase length of stay,

need accurate urinary output large volume of fluid or diuretics


mortality, and cost of care (Sacks et

measurement • Intraoperative monitoring or urinary


al., 2014). These avoidable costs

• Patients with healing sacral or per- output


with potential legal liability may
ineal wounds and who are inconti-
compromise the organization’s
nent
financial health. High HAI rates
• Prolonged patient immobility typi-
can threaten an organization’s rep-
cally related to a traumatic event
utation for providing safe, high-
• End-of-life care quality care. The literature suggests
full implementation and consistent
SOURCE: CDC, 2018c use of prevention guidelines is not
widespread. Healthcare organiza-
tions must provide a safe environ-
ment for patients to receive care,
income countries responded. Their risk of UTIs for many reasons. The and therefore a commitment to
findings concluded 80% or more of urine from an IUC is collected into implement evidence-based HAI
the respondents in both middle a bag. The bag is often a harbor for prevention strategies. Using pub-
and high-income countries have bacteria growth. Patients can lished evidence-based guidelines
access to CLABSI prevention become infected if there is a back- and care bundles will significantly
guidelines, but only 23% of mid- flow of urine from the bag, if there decrease HAIs.
dle-income country respondents is a break in the closed system of A healthcare organization in
and 62% of high-income country the IUC, or from biofilm that exists Northern California is diligently
respondents reported compliance on the catheter itself. Lack of care- working to decrease HAIs and the
with the guidelines. While most giver handwashing or contaminat- organizational risks associated
respondents indicated the need to ed supplies when inserting or with them. The organization’s mis-
understand their CLABSI rates, few maintaining the IUC also adds risk sion is to provide the highest qual-
could report their current rate for infection (Boev & Kiss, 2017). ity care to the community it serves.
(Valencia et al., 2016). Often, IUCs are not removed when The organization was founded by a
Catheter-associated urinary the indication for use expires, grassroots community effort in the
tract infections. Urinary tract which leads to unnecessarily mid-20th century. With the uncer-
infections (UTIs) are the most fre- extended dwell times. The dwell tainty of healthcare reform and
quent HAI. Forty percent of all time of an IUC can contribute to transparent governmental public
HAIs are attributed to UTIs, while infection risk (Clayton, 2017; IHI, reporting, there is added health-
80% of those are associated with 2018). care provider focus on community
an indwelling urinary catheter Several recent studies and trust, high-quality care, smooth
(IUC). The healthcare-associated quality improvement projects have care transitions, and high financial
expenses related to a CAUTI or shown improvement in CAUTI performance.
bacteremia related to the UTI con- rates. These studies focus on fol- In 2017, the Joint Commission
tribute an average additional cost lowing the CDC and IHI guidelines changed its accreditation evalua-
of $2,000 per case (IHI, 2018b). regarding IUC reason for insertion, tion model to the Survey Analysis
Because of their frequency and aseptic insertion practices, use and for Evaluating Risk (SAFER) matrix.
associated costs, reducing CAUTIs maintenance practices, and timely The SAFER matrix provides sur-
is a priority. The CDC has specific removal of IUCs. Healthcare pro- veyors the opportunity to score
indications of when an IUC vider knowledge of unit or organi- identified issues based on the like-
should be used (see Table 2). zation CAUTI rates and catheter lihood of causing harm to patients,
Despite the CDC indications, 21% days also contributed to decreasing staff, or visitors and the pervasive-
of patients in hospitals have an CAUTIs. Implementing direct ob- ness of the problem (The Joint
IUC and half of them have no servation of IUC insertions also Commission, 2016). Improvement
identified reason for insertion or yielded decreased CAUTIs. Dili- in HAIs must be addressed to aid in
continuation (IHI, 2018b). gently following established evi- a successful survey and continued
Patients with IUCs have a high dence to prevent CAUTIs is effec- accreditation.

130 NURSING ECONOMIC$/May-June 2018/Vol. 36/No. 3


Table 3.
HAI Alignment to COSO Enterprise Risk Management Model

COSO Category Definition HAI Risk Alignment


Primary Objectives
Strategic High-level goals aligned with and support Aligns with all three components of the
the institution’s mission strategic plan of enhancing trust, seamless
care, and maintaining independence.
Operations High-level goals aligned with and support Improvement of HAIs aligns with mission of
the institution’s mission organization and management goals for
2017.
Reporting Internal or external reporting of risks/poten- Public reporting: 22% of the CMS star rating
tial risks system is attributed to safety. CAUTIs,
CLABSIs, and C. diff are three of eight com-
ponents that make up the safety category.
Compliance Adherence to laws and regulations Potential self-reporting to regulatory bodies
based on severity of HAI/patient event
Interrelated Components
Internal environment The tone of an organization and how risk is HAIs integrated into weekly managerial
viewed and addressed report of risk events sets it as a priority focus
for organization.
Objective setting The process an organization uses to set its HAI improvement set as managerial objective
goals and objectives; Objectives must exist for 2017. This objective has also been cas-
before management can identify potential caded via the performance evaluation
events affecting their achievement. process to frontline employees.

Event identification Identification of internal and external events Infection prevention notifies unit leaders of
that impact the achievement of goals event as close to real time as possible.
Risk assessment Analyze risks for impact so the best course Infection prevention and unit leaders perform
of action to address the risk can be taken. root cause analysis of each event to evaluat-
ed risks and opportunities related to event.
Risk response Selection of risk responses including: avoid- Reducing is the risk response for HAIs.
ing, accepting, reducing, or sharing Individual event responses will be determined
with each root cause analysis.
Control activities Policies and procedures support risk HAI team is establishing processes to pre-
responses are carried out effectively. vent HAIs, but also to respond to HAI events
for root cause analysis and response.
Information and communi- Relevant information is identified, captured, HAI team is establishing visual management
cation and communicated so people can fulfil their quality boards for HAI outcomes and “real
responsibilities. time” fallout review and discussion. This infor-
mation will roll up to the HAI steering commit-
tee and organization quality committee.

Monitoring Risk management components are moni- HAI outcomes monitored closely. Process
tored and modifications made as needed. and practice improvements monitored and
adjusted using Plan-Do-Study-Act method as
the data and monitoring warrant.

NOTE: Adapted from COSO, 2004

CAUTI = catheter-associated urinary tract infection, CLABSI = central line associated bloostream infection, C. diff =
Clostridium difficile, CMS = Centers for Medicare & Medicaid Services, HAI = hospital-acquired infection

NURSING ECONOMIC$/May-June 2018/Vol. 36/No. 3 131


Figure 1.
Sample Case Review of a Hospital-Acquired CAUTI Incident

Situation
There was a catheter-associated urinary tract infection (CAUTI) on 4/1/17. This is our 4th CAUTI in 2017.

Background
Patient is an 84-year-old male with history of BPH, dementia, CVA, and UTI on admission. Admitted through the ED to
hospital on 3/14/17.
3/14/17: Patient fell at home and fractured his hip. Foley catheter placed in ED. Patient admitted to med/surg. No initial
Foley catheter order entered in EHR (order on paper). Patient’s UTI identified as ESBL E. coli on admission and was
placed on isolation and 7-day treatment begun.
3/15/17: Patient to OR then to ICU post op. Order to d/c Foley on POD 2.
3/16/17: Foley was not removed per physician order. Chlorhexidine (CHG) bathing not completed on this day.
3/17/17: Patient cleared for weight bearing as tolerated with PT.
3/19/17: Patient transferred to med/surg.
3/23/17: RN completed the d/c Foley order from 3/15 in chart check, but Foley remained in place. During hospital course,
patient’s mobility was max assist, patient’s health status declined, and there was consideration of comfort care.
4/1/17: Patient febrile with blood and clots in urine. Catheter removed. Blood and urine cultures ordered and collected.
Both resulted positive for Pseudomonas. Patient made comfort care.

Assessment
• Dwell time for Foley catheter placed on admission was 19 days. This is a really long time.
• There was no electronic order for a Foley catheter on admission.
• No electronic insertion order for a Foley catheter defeated all the safeguards imbedded in EHR to prevent a CAUTI.
The major safeguard is a daily justification alert (with reason) for providers to document continued Foley use.

Recommendations
• Ensure every indwelling Foley has an insertion order in the EHR.
• Inquire about continued Foley necessity every day.
• Review line necessity daily. Providers to complete justification alert with proper reason for continuation documented.
• CHG bathing to be completed daily on every ICU patient and every med/surg patient with a Foley or central line.
• Complete and document Foley care daily and prn.
• Ensure Foley secured properly with securement device, tube not kinked, Foley bag in a dependent position: below
level of bladder but not on the ground.

Risk Mitigation each other. The model supports staff workgroup to address the high
The organization strives for typical management components number of HAIs and evaluate HAI
zero HAIs; however, because hos- of an organization (COSO, 2004) outcomes as they relate to process-
pitalized patients typically have (see Table 3). es and practices. Physicians, nurs-
compromised immune systems The 4Ts of hazard manage- es, pharmacists, laboratory techni-
and hospitals treat infectious ment (tolerate, treat, transfer, ter- cians, clinical nurse specialists,
patients, zero HAIs is difficult to minate) are helpful in considering clinical nurse leaders, infection
realize. The organization evaluat- how to address risk. The best prevention (IP) nurses, and envi-
ed its risk appetite related to HAIs. option for HAIs is to manage the ronmental services are representa-
The risk tolerance should mini- risk to prevent the occurrence. tives on the workgroup. The HAI
mally be below the NHSN nation- Decreasing the exposure and workgroup is evaluating the extent
al benchmark for each specific impact of HAIs will manage the evidence-based practice standards
HAI (Hopkin, 2014a). risk. Treat is the appropriate man- are integrated into the organiza-
Risk mitigation tools. The agement strategy because HAIs are tion’s policies. They also assess
Committee of Sponsoring Organi- likely to happen, but they have a work practices related to each HAI
zations of the Treadway Commission mid-range impact to the organiza- to guide improvement activities.
(COSO) Enterprise Risk Manage- tion’s overall risk considerations The HAI workgroup reports events
ment framework is a tool to evalu- (Hopkin, 2014b). Tolerating, trans- and outcomes to the HAI steering
ate risk and develop strategies to ferring, or terminating risk would committee that reports to the orga-
mitigate risk comprehensively. The not apply as options in hazard nization’s quality committee. The
COSO model assists with assessing management strategies for HAIs. accountability to the workgroup’s
various risk components individu- Risk mitigation actions. The actions and the committees pro-
ally, and how they integrate with organization developed a frontline vide resources should the team

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Table 4.
HAI Workgroup Interventions
Issue HAI Team Interventions
C. diff
Collection audit tool for frontline providers and staff to be completed before sending any
Stool collection criteria
stool specimen to lab.*
Standard work for handwashing
Reviewed at until huddles
Created small poster depicting standard work of handwashing
Handwashing
Poster placed at every sink in the organization (staff and visitor).*
Patient and visitor education sheet on proper handwashing technique
Invite visitors to wash their hands at nurses’ station.
Standard work for doffing PPE
Reviewed until huddles
Doffing PPE Created small poster depicting standard work of doing PPE
Poster placed at doorway of every C. diff/contact isolation room.*
Patient and visitor education sheet of every C. diff on use of PPE and proper doffing
CAUTI
Policy update to reflect current evidence-based reasons for insertion
Add female urinals to all unit supply.*
Evaluate various catheter insertion kits and make recommendation to supply chain.
Update provider order sets to not have urinary catheter prechecked and add reasons for
Indwelling catheter insertion insertion to order.
Start communication campaign to update staff on indwelling catheter current evidence-
based practice (e.g., Do not inflate balloon prior to insertion, straight catheterization is
potentially a better option than an indwelling for some patients). Present this information
in unit huddles.
CLABSI
Partnering with central line and PICC vender to assess issues with CLABSI and develop
Insertion and maintenance
interventions
Dissemination of Data
Quality boards created to display data for each HAI
“Real time” case review of fallouts and near misses
Quality boards and huddles
Data and fallout information discussed at until shift huddles.
Improvement ideas solicited from frontline staff
* Interventions recommended as improvement ideas from frontline staff

CAUTI = catheter-associated urinary tract infection, CLABSI = central line associated bloostream infection, C. diff =
Clostridium difficile, HAI = hospital-acquired infection, PPE = personal protective equipment, PICC = peripherally inserted cen-
tral catheter

encounter barriers with their providing “real time” notification When the IP team learns of a
improvement activities. of and information on HAI cases. HAI from laboratory results, they
Daily management and moni- Information technology and ana- immediately notify the patient’s
toring of HAI events was the first lytical support personnel assist in unit nursing manager and direc-
intervention of the workgroup. delivering HAI-related data to aid tor. The nursing manager, HAI
The team has supported the IP this rapid cycle improvement workgroup representatives, and IP
department in their effort with process. conduct a case review within 1

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business day on each HAI inci- Table 4. Audits are conducted on PDSA process was key. Use of
dent to review the causes of the focus areas pre and post-interven- these tools required the team to be
infection and to develop interven- tion. Results of these audits are disciplined in understanding and
tions to prevent future HAIs. The reviewed to determine next steps gathering data about problems con-
team writes a synopsis of the case on each issue. tributing to HAIs before jumping to
(see Figure 1). Quality boards on The HAI team and their front- solutions.
each unit are updated at least line colleagues have taken the Other contributing factors to
weekly with current HAI occur- risks that HAIs pose to the organi- success were the team’s engage-
rence data, evidence-based inter- zation seriously. The staff have ment with all hospital staff mem-
ventions to help mitigate a HAI, given feedback they appreciate the bers. Reviewing HAI fallouts, writ-
daily evaluation of practice out- real-time information and support ing the story, providing lessons
comes related to the response, on HAI cases. Real-time review of learned and recommendations,
case reviews, and solicitation of each HAI provides the team a per- and disseminating the story along
ideas for improvement from staff. sonal connection to the data. with updated data during unit
Unit leadership disseminate qual- Frontline staff have been engaged huddles was well received by
ity board data and interventions at in the interventions, and their frontline department colleagues.
shift huddle and during meetings improvement ideas have been Those colleagues also offered valu-
and encourage staff to discuss HAI implemented. A staff member rec- able improvement ideas; many of
problems and possible solutions. ommended placing the official which were implemented by the
The HAI workgroup is imple- work posters for handwashing and team.
menting a consistent process to doffing PPE adjacent to infection
drive improvement in the organi- prevention signage at a patient’s
zation. They are using the IHI room doorway. This reminds staff Conclusion
Model for Improvement and the to follow that standard work each Hospital-acquired infections
Plan-Do-Study-Act (PDSA) model time they enter or exit the room. It pose a significant threat to health
for continuous improvement (IHI, also has been used to help educate care and healthcare organizations.
2018b). Evidence-based practice family and visitors to appropriate HAIs cause patient safety, ethical,
resources, national guidelines, handwashing and utilization of regulatory, financial, and legal risk.
and bundles are used to update PPE. Other staff improvement The rate of HAIs in 2016 did not
policies to reflect the latest evi- ideas that have been implemented align with the mission, vision, or
dence and standards. The organi- are noted in Table 4. strategic plan of the organization
zation’s quality and process and action had to be taken. The
improvement specialists guide the Results
HAI workgroup is leading im-
HAI workgroup in using tools to The HAI team was formed in provement efforts that require
identify cause and effect reasons January 2017. The 2017 count of every individual in the organiza-
for HAIs. From identified causes HAIs through mid-December was
tion to be engaged in the improve-
and policy updates, the team pri- 47 compared to 80 during the same
ment efforts. Understanding root
oritizes focus areas for evaluation time period in 2016 (41% reduc-
causes, following the IHI Model for
and intervention. tion). This reduction amounts to a
Improvement to deploy interven-
One intervention was crafting $380,000 in savings to the organiza-
tions, communicating HAI stories
an audit tool for frontline nurses tion. The workgroup will continue
to the frontline, and implementing
and physicians to use when decid- to work on cost-avoidance efforts,
staff improvement ideas have all
ing to collect a C. diff specimen. focusing on other root cause issues
The audit tool ensures appropriate of HAIs and ensuring sustainment proven effective in addressing
samples are sent to the lab. of improvement. HAIs. The community, patients,
Examples of workgroup interven- and the organization’s reputation
tions include creating official Implications for Practice as a quality provider of healthcare
work posters that describe and Several factors have led to the depend on these continuous
show suitable techniques for successful decrease in HAIs. First, improvement efforts. $
washing hands and doffing PPE. the HAI workgroup is interprofes-
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