The Nature, Causes and Clinical Impact of Errors in The Lab
The Nature, Causes and Clinical Impact of Errors in The Lab
The Nature, Causes and Clinical Impact of Errors in The Lab
type of reports are an interesting source compared with the others improve the workflow. However, personnel working at the labora-
because it provides an extensive view on the clinical process and tory is being trained to report all incidents as part of daily work.
an insight into the part of incidents that healthcare workers con- The incident reports are used for trend monitoring and im-
sider relevant and that reflect situations that have the potential to provement of workflow and the quality of patient care. Data are re-
become major incidents. corded and are reviewed weekly by independent health-care
Databases with voluntary incident reports have not been widely workers, to check if any high-impact incidents have happened that
used yet for investigating errors in laboratory testing process. We need additional actions. The system can be queried on character-
are familiar with 3 large studies, performed in the United States istics to reports of interest for analysis.
and Canada.13–15 In the first study, an analysis of 37,532 labora-
tory event reports, it was found that most errors occurred in the Data
preanalytical phase (specimen not labeled/mislabeled and im-
For this study, we queried the system for all reports labeled as
proper collection) and that most errors did not cause harm.13 In
diagnostics (regardless of where the reported error occurred) and
the second study, an analysis of 12,278 laboratory related safety
all reports from all other categories for which was reported that
events reported to the British Columbia Patient Safety and Learn-
the error occurred at a clinical laboratory in 2017 and 2018. Of
ing System, comparable results were found. Most incidents con-
all these reports, for convenience purposes (limited time and the
cerned the preanalytical phase (76%), and it was found that the
estimation we did not need all the reports for a representative analy-
majority of incidents (95.9%) resulted in little or no harm and
sis), the first 600 reports (in order of time of reporting) were
0.44% in severe harm.14 In that study, the association between
included. From these we selected reports concerning the clinical
the degree of harm and the phase of testing was investigated. It
laboratory process of clinical genetics, medical microbiology, clini-
was found that postanalytical events contain the highest risk to re-
cal chemistry, pathology, and metabolic diagnostics for the analysis.
sult in severe harm.14 In those studies, it was not specifically
investigated whether the incidents led to (potential) diagnostic er-
rors. The third study from the same group with data from British Outcomes
Columbia Patient Safety and Learning System confirmed the Per report, we determined the nature, the cause, and the clinical
findings from their first study.15 To gain more insight into diag- impact of the error.
nostic errors related to errors in the clinical laboratory testing pro- Before the study, the authors C.M., T.E., and M.B. established a
cess, we conducted a retrospective analysis of voluntary incident 36-step classification scheme for the nature (type of error) of er-
reports in our hospital, a large academic teaching hospital with rors in the clinical laboratory testing process based on previously
high volume diagnostic testing (e.g., approximately 500,000 or- used classifications in order studies (Table 1).10,16,17 All 600 re-
ders for clinical chemistry testing annually) in which we looked ports were read by 2 authors (C.M. and M.B.) and together they
at the phases of the testing process, the type of errors, the causes classified the nature of the incident into the 36 steps of laboratory
and the clinical impact, including potential diagnostic errors, as process. For the classification of the causes, the Eindhoven classi-
well as the relation between these. fication model18 was used. For classification of the clinical
impact, the classification previously used by Graber et al19 for diag-
METHODS nostic error was used. Two authors (C.M. and M.B.) classified the
first 50 cases together, to determine how the different categories
should be classified. Subsequently, C.M. classified the cases alone.
Study Design
In case of doubt, C.M. and M.B. discussed and decided together.
We conducted a retrospective study with reports concerning any As incident reports describe the whole spectrum of incidents
type of incident concerning the clinical laboratory process of clini- (near misses, minor errors with no consequences and diagnostic
cal genetics, medical microbiology, clinical chemistry, pathology, errors, etc.), we defined the outcomes as followed:
and metabolic diagnostics from the voluntary patient safety incident
report system of the University Medical Center Utrecht (UMC • The nature of the error: In which phase of the laboratory testing
Utrecht), a 1024-bed academic teaching hospital in the Netherlands. process the error occurred was analyzed by using both the known
3-phase model of the laboratory testing process (preanalytical, ana-
Voluntary Incident Report System lytical, and postanalytical) and by the 36-step classification scheme
The voluntary patient safety incident report system that was (Table 1).
used at the UMC Utrecht during the study period was the Incident • The cause of the error: Full free-text descriptions of the incident
Management System from the Patient Safety Company (Alkmaar, reports were examined for causes based on the classification
the Netherlands). used in the periodical Dutch report on health-related harm.2
The system was online accessible through the internal Web site Causes were grouped into one of the following 3 main catego-
of the hospital. All personnel of UMC Utrecht can report any in- ries: human factors, technical factors, and organizational factors.
cidents related to patient care including hazards, near misses, and Per report, we only scored the most prominent cause.
adverse events. Reports are filed using a standardized format for • The clinical impact of the error: This includes the severity (in-
what happened where and when. The reporter has to describe the cluding the event resulted in a diagnostic error) and the
nature of the event and the consequences for the patient in free text. consequences of the error. Severity was classified into the fol-
The reporter must assign one of the following categories to the lowing categories: unknown, no harm, distress/anxiety, new
incident: medication, falls, behavior, information and communica- sample taken, potential delay in diagnosis or treatment due to a
tion technology, medical devices, the online patient portal, or other. late test result, a missed diagnosis, and a wrong diagnosis. The
Incidents in the category other are assigned labels by the central in- latter three were considered as a potential diagnostic error, as de-
cident registration of the hospital based on the description of the in- fined by Graber et al.1 The consequences of the error were clas-
cident by the reporter. One of the additional labels is diagnostics sified into the following types: no harm (no negative conse-
that is used for incidents related to any type of diagnostic testing. quences for the patient at all), minor harm (patient inconve-
Incidents will be underreported, as small incidents will happen nience), moderate harm (i.e., delay in surgery schedule, new
and personnel will not be aware that this can be reported to sample taken), major harm (i.e., wrong treatment started based
574 www.journalpatientsafety.com © 2023 The Author(s). Published by Wolters Kluwer Health, Inc.
J Patient Saf • Volume 19, Number 8, December 2023 Errors in the Clinical Laboratory Testing Process
Main Phases of
Laboratory Process Subprocess Type of Error in Subprocess % of Events (n)
Error in ordering test by clinician Delayed order 0.6 (2)
Wrong order 8.9 (29)
No order 2.4 (8)
Error in providing order to patient Delay in providing the order 0.6 (2)
Wrong patient or wrong form 0.3 (1)
Not providing the order to the patient 0.6 (2)
Error in processing the order Delay in processing the order 0 (0)
Wrongly processing the order 1.5 (5)
Not processing the order 1.2 (4)
Improper collection of specimen Delay in collection 2.4 (8)
Incorrect patient ID 1.5 (5)
Preanalysis Improper specimen 0.6 (2)
Improper container 7.3 (24)
Improper collecting conditions 4.3 (14)
Improper collection of specimen 0.9 (3)
Problems in labeling the container 2.1 (7)
Not collecting the specimen 6.1 (20)
Error in transport of the specimen Delay in transport 4.3 (14)
Improper way of transport 1.2 (4)
Not transporting the specimen 2.1 (7)
Error in preanalytical steps in the laboratory Delay in processing 6,4 (21)
Swapping tests 1.5 (5)
Incorrect patient ID 1.5 (5)
Error in processing 3.1 (10)
Specimen lost 8.0 (26)
Unknown 6,1 (20)
Analytical error 8,0 (26)
Analysis Error in analysis by laboratory specialist. 2,1 (7)
Laboratory device unavailable 1.5 (5)
Unknown 1.8 (6)
Error in reporting result to clinician Delay in reporting 1.2 (4)
Incorrect results reported 3.1 (10)
Not reporting results 0.9 (3)
Not reading the result by clinician 0.6 (2)
Misinterpretation of result by clinician 0.3 (1)
Postanalysis Error in communication of result by Delay in communication 0.3 (1)
clinician to patient
Incorrect result communicated 0.9 (3)
Not communicating the result to the patient 0 (0)
Unknown 0.6 (2)
Unclassifiable 1.5 (5)
Other 1.2 (4)
on wrong laboratory result), disastrous (i.e., death, permanent reports, which were included in the analysis (Fig. 1). A total of
disability, or near life-threatening event), and unknown. 34.5% of these reports (n = 113) were reported by laboratory
workers. Most errors (45.3%, n = 148) occurred in the clinical
RESULTS ward, compared with occurrence in the laboratory setting.
At the UMC Utrecht, a total of 11,827 patient safety incidents For illustration purposes, we provide 3 examples of voluntary
were reported in 2017 and 2018. reports with the data we extracted in Table 2.
Of these, 949 (8%) were labeled as related to diagnostic testing,
including laboratory diagnostics, radiology and function testing Nature of the Error
like electrocardiogram and lung function testing. In Table 1, the distribution of the errors over the phases of the
The first 600 reports in time (of the 949) were screened for be- laboratory testing process is presented. Most errors occurred in
ing related to the laboratory testing process, which resulted in 327 the preanalytical phase, 77.1% (n = 252). Analytical and
© 2023 The Author(s). Published by Wolters Kluwer Health, Inc. www.journalpatientsafety.com 575
van Moll et al J Patient Saf • Volume 19, Number 8, December 2023
TABLE 2. Examples of Incident Reports on Errors in the Laboratory Testing Process (for Illustrative Purposes)
576 www.journalpatientsafety.com © 2023 The Author(s). Published by Wolters Kluwer Health, Inc.
J Patient Saf • Volume 19, Number 8, December 2023 Errors in the Clinical Laboratory Testing Process
Causes
Human, % (n) Organizational, % (n) Technical, % (n) Unidentifiable, % (n)
Nature of the errors: main phases of the laboratory testing process
Preanalysis 85.4 (164) 85.0 (40) 29.2 (12) 76.6 (36)
Analysis 5.2 (10) 8.5(4) 65.9 (27) 6.4 (3)
Postanalysis 8.8 (17) 6.4(3) 4.9 (2) 8.5 (4)
Unknown 0.5 (1) 0.0 (0) 0.0 (0) 8.5 (4)
Total % (n) 58.7 (192) 14.4 (47) 12.5 (41) 14.4 (47)
often in a wrong diagnostic follow-up and subsequent treatment, preventing these types of errors with a systemic approach different
potentially causing significant harm to the patient. strategies can be chosen, one is to focus on the errors that have
Our finding that most errors occur in the preanalytical testing biggest clinical impact, that is, analytical and postanalytical errors.
phase (77.1%) is consistent with the results from the study by In our opinion, analytical errors, mainly caused by technical er-
Snydman et al13 (81.1%) and the studies of group of Noble rors, are difficult to prevent, because laboratory tests are highly
(69.1%).14,15 Preanalytical events range from 62% to 88% in other developed, controlled, and automated. Analytical errors are
studies in which data from other sources than incident reports mainly causes by technical errors.
were used.6,10,20 Although the number of postanalytical errors is relatively low
In our study, 13.5% of the events are related to the analytical their impact is high compared with preanalytical and analytical er-
phase, and this is consistent with literature in which 11% to rors. Postanalytical processes, especially follow-up of test result,
18% of the events could be related to the analytical phase.20,21 depend strongly on human actions in critical steps. In the past de-
Our number of laboratory errors in the postanalytical phase cades, the risk of lack of follow-up of test results has been identi-
(8.0%) is comparable with the study by Snydman et al,14 in which fied as a major issue in patient safety. A closed-loop system in
5.2% of all errors were postanalytical. which test results are reported to the ordering physician in the
The analysis of the impact of the error on the patient consisted electronic health record is a minimal requirement. However, these
of different measures, the severity, and the consequences. A total systems have to support the physician in such a way there is a min-
of 59.6% of the investigated reports concerned a potential diag- imal change to miss a test result of to forget to follow up the result.
nostic error. A total of 77.1% of the potential diagnostic errors oc- Recent literature shows that follow-up of test results is still a major
curred in the preanalytical phase, but most errors in this phase had health threat to patients. Lack of proper implementation of solu-
no to moderate consequences (88.1%). The rate of potential diagnos- tions and policies is identified as a cause.23
tic errors with a high level of patient impact was low, 7.6% of all lab- For investigating the nature, cause and impact of errors in the
oratory event reports. This rate is in line with literature, in which the laboratory testing process different types of data sources can be
risk of adverse events of inappropriate care due to laboratory errors used. In addition to voluntary incident reports, as we did, one
ranges from 1.7% to 12%.10 Potential diagnostic errors with a high could use databases with medical claims or major safety incidents,
level of patient impact could mostly be related to the analytical and or medical chart review. These data sources will result in different
postanalytical phase. These data demonstrate that the analytical and findings concerning the severity of the impact of the incident. In-
postanalytical phases, in particular the reaction to aberrant laboratory cidents reported as voluntary incident report are less severe and
results, is more important causes of potential adverse outcomes will often concern near misses.24 The value of voluntary incident
for patients, compared with errors in the preanalytical phase.21,22 reports compared with data on major incidents and claims is that
The greater aim of our research is prevention of harm to pa- these reports provided a wider perspective of potential risk in the
tients due to diagnostic error. The results of the current study laboratory testing process where the other two are likely to repre-
can assist in identifying were in the diagnostic process we should sent the tip of the iceberg of incidents.
focus to gain the most impact. Errors in the laboratory testing process Incident report systems are an important tool to detect patient
and their underlying causes are diverse, as are their consequences. In harm and failures in quality of clinical care. Since the release of
TABLE 4. Clinical Impact of Patient Outcome: Number of Errors in the Laboratory Testing Process, Severity Versus Consequences,
Including Diagnostic Errors
© 2023 The Author(s). Published by Wolters Kluwer Health, Inc. www.journalpatientsafety.com 577
van Moll et al J Patient Saf • Volume 19, Number 8, December 2023
TABLE 5. Nature; Main Phases of the Laboratory Testing Process Versus Severity of Patient Outcome
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