Assessment 2: Root-Cause Analysis and Safety Improvement Plan
Unit / Course
NURS4035: Improving Quality of Care and Patient Safety (BSN level)
Assessment Overview
You will complete a structured root-cause analysis (RCA) and develop a safety improvement plan in response to a specific patient safety issue or sentinel event drawn from your current practice, a recent clinical placement, or a realistic scenario approved by your instructor. The task requires you to move beyond individual blame, examine underlying system factors, and propose evidence-based strategies that reduce risk and strengthen safety culture at the unit or organisational level. The completed template will demonstrate your ability to use RCA as a practical leadership tool for quality and safety improvement.
Assessment Type, Weighting and Length
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Assessment type: Individual written assessment using the provided RCA and Safety Improvement Plan template (professional report style)
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Course level: Undergraduate (RN–BSN), core quality and safety unit
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Suggested length: Approximately 1,200–1,500 words (about 4–6 pages of substantive content, excluding title page and references). Emphasis is placed on addressing all template sections comprehensively rather than strict word count
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Weighting: 25–30% of the final grade for NURS4035 (refer to your subject outline for the exact weighting)
Assessment Context
This assessment places you in the role of a BSN-prepared nurse contributing to organisational learning following a serious safety event or recurring patient safety concern. Sentinel events should be interpreted as indicators of deeper system vulnerabilities rather than isolated incidents. Your analysis should demonstrate how human factors, team processes, equipment and environment, policies, and organisational culture interact to influence risk. The safety improvement plan should outline realistic, sustainable actions aligned with contemporary patient safety frameworks and regulatory expectations such as those of the Joint Commission or national patient safety standards.
Learning Outcomes Assessed
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Analyse the root cause(s) of a patient safety issue or sentinel event using a structured systems-thinking approach
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Apply evidence-based strategies and human factors principles to design a safety improvement plan
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Demonstrate leadership behaviours appropriate for a BSN-prepared nurse in quality and safety initiatives
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Communicate findings and recommendations clearly using professional language and current scholarly sources in APA or Harvard style (follow institutional requirements)
Assessment Instructions
Step 1: Select a Patient Safety Issue or Sentinel Event
Choose a patient safety issue or sentinel event that is specific, clearly defined, and appropriate for RCA.
Examples include:
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Wrong-patient medication administration
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Delayed recognition of clinical deterioration
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Falls with serious injury
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Failure in handoff communication
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Diagnostic delays
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Wrong-site procedures
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Omission of critical laboratory follow-up
The event may be drawn from de-identified clinical practice, placement experience, published cases, or approved simulation scenarios. Ensure adequate information is available to reconstruct the event and explore contributing factors at multiple levels.
Step 2: Complete the RCA Template – Understanding What Happened
Use the official NURS4035 Root-Cause Analysis and Safety Improvement Plan template and address each section thoroughly.
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Case header: Include identifying details such as name, course, instructor, and date
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Event description: Clearly describe what happened, where, and when, including the sequence of events
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Who was affected and how: Outline patient and family impact and note staff effects such as moral distress or second-victim experiences
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Why did it happen? Analyse contributing factors across:
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Human factors (communication, workload, fatigue, training)
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System and process design (workflow, handover, documentation, equipment usability)
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Organisational culture (leadership, reporting culture, psychological safety)
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Environment (staffing, noise, layout, interruptions)
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Societal and cultural factors where relevant
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Deviation from standards: Identify any divergence from protocols and assess whether policies were realistic and accessible
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Communication analysis: Examine interprofessional and patient–provider communication
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Monitoring and surveillance: Consider whether warning signs or abnormal results were missed or not escalated
Step 3: Identify Root Causes and Contributing Factors
Identify one to three root causes and relevant contributing factors.
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Root causes: Fundamental system-level issues that, if addressed, would reduce recurrence
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Contributing factors: Conditions that increased the likelihood or severity of the event
Classify each using the RCA grid categories:
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Human factor – communication
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Human factor – training
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Human factor – fatigue/scheduling
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Environment/equipment
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Rules, policies, procedures
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Barriers (missing or ineffective safeguards)
Step 4: Application of Evidence-Based Strategies
Summarise current best practices related to the safety issue and its contributing factors.
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Discuss what the literature reports about prevention of similar events
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Explain how each strategy applies to your scenario and context
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Support discussion with recent peer-reviewed evidence or authoritative guidelines
Step 5: Safety Improvement Plan and Action Plan (E / C / A)
Develop a practical improvement plan addressing each root cause using the E/C/A framework.
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Eliminate: Remove unsafe elements
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Control: Introduce standardisation, education, alerts, or checks
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Accept: Acknowledge residual risk when unavoidable and describe mitigation
Outline required resources, education, documentation changes, expected outcomes, and a realistic implementation timeline.
Step 6: Organisational Resources and Sustainability
Identify existing organisational supports such as quality teams, educators, informatics staff, and reporting systems. Explain how these will be leveraged to support implementation, sustainability, and a just culture that promotes learning and reporting.
Step 7: Referencing and Academic Integrity
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Use the required referencing style consistently
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Prioritise recent peer-reviewed literature and safety standards
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De-identify all patients, staff, and organisations
Marking / Grading Criteria (Summary)
The assessment is graded across five criteria:
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Root-cause analysis quality (25%)
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Use of evidence-based strategies (20%)
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Safety improvement plan feasibility and outcomes (25%)
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Professional role, systems thinking, and safety culture (20%)
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Academic writing and referencing (10%)
Medication administration errors in acute care typically result from a convergence of human factors such as interruptions, cognitive overload, and poorly designed workflows rather than isolated individual negligence. A structured root-cause analysis that examines communication failures, training gaps, fatigue, and equipment issues helps reveal missing or ineffective safety barriers. Improvement strategies such as standardised medication rounds, interruption-free zones, and decision-support alerts within electronic medication systems can significantly reduce error rates and strengthen safety culture when consistently applied and evaluated.
Additional Evidence-Based Insight
High-reliability healthcare organisations emphasise continuous learning from adverse events by embedding root-cause analysis within broader quality improvement systems. Research shows that RCA processes are most effective when frontline staff are actively engaged, leadership demonstrates visible support, and findings are translated into measurable system-level changes rather than one-off educational fixes (Reason, 2016). This approach aligns with just culture principles and supports sustainable reductions in patient harm.
References
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Mueller, S. K., Sponsler, K. C., Kripalani, S., & Schnipper, J. L. (2018). Hospital-based medication reconciliation practices: A systematic review. Archives of Internal Medicine, 172(14), 1057–1069. https://doi.org/10.1001/archinternmed.2012.2246
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Rodziewicz, T. L., Houseman, B., & Hipskind, J. E. (2024). Medical error reduction and prevention. StatPearls. https://www.ncbi.nlm.nih.gov/books/NBK499956/
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Raso, R., Fitzpatrick, J., Masick, K., & Giordano-Mulligan, M. (2019). Nurse leader competencies: A systematic review. Journal of Nursing Management, 27(7), 1520–1533. https://doi.org/10.1111/jonm.12839
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Joint Commission. (2023). Sentinel Event Policy and Procedures. https://www.jointcommission.org/resources/patient-safety-topics/sentinel-event/
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van der Velde, F., Zegers, M., de Graaf, J., & van der Schaaf, T. (2025). Experience of nurse-guided root cause analysis after a sentinel event. BMC Health Services Research, 25, Article 123. https://doi.org/10.1186/s12913-025-1180-9
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Reason, J. (2016). Managing the risks of organizational accidents (2nd ed.). Routledge. https://doi.org/10.4324/9781315543543
Root-Cause Analysis and Safety Improvement Plan
Completed by: (Student Name)
Organization: School of Nursing and Health Sciences, Capella University
Department: NURS4035: Improving Quality of Care and Patient Safety
Reported to: (Instructor Name)
Date Completed by: (Date)
| Understanding What Happened | |
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Sentinel Event Description
A 72-year-old female patient admitted for heart failure was administered a double dose of furosemide (Lasix) within a 2-hour interval. The repeated administration caused sudden loss of fluid and electrolytes, which resulted in severe hypotension and arrhythmia. It called for transfer to the ICU for stabilization. Understanding What Happened 1. What happened? The incident occurred during morning meds on a med-surg floor. At 0600, the night shift had administered furosemide 40 mg IV but failed to document in a timely manner due to lagging electronic health records (EHR) systems. For the shift change at 0700, verbal handover included “morning meds administered” without listing the specific meds completed. The day shift nurse, who had eight patients due to understaffing, read the undocumented EHR at 0800 and administered a second dose of 40 mg furosemide. At 0930, the patient experienced severe hypotension (78/45 mmHg), arrhythmia, and required the response team to intervene immediately and also to be transferred to the ICU. Who was affected: The patient needed a 48-hour ICU admission due to hemodynamic instability. Both nurses were emotionally distressed and took part in a formal debriefing. |
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2. Why did it happen?
· Human Factors: Unstructured shift handoff led to communication failure. Consecutive shifts of work led to fatigue in the nurse, resulting in lowered cognitive alertness (Manias et al., 2021). Time pressure due to understaffing led to shortcuts in verification. · System Factors: Inconsistent medication reconciliation processes between shifts existed. The EHR system lacked duplicate dosing alerts for high-risk drugs. There was no double-checking system mandated for cardiovascular drugs (Koyama et al., 2020). · Organizational Culture: Pressure to be effective under conditions of staffing shortages, entrenched workarounds. Less emphasis on questioning incomplete documentation when time constraints were present. · Society Culture: Staffing cost control pressures created staffing models that doubled workload per nurse. Cultural presumptions of individual nurse accountability rather than system-based safety measures governed the reaction to medication mistakes. The professional nursing culture emphasizing autonomous decision-making may have hindered seeking supervisory consultation when the medication history was unclear. |
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3. Was there a deviation from protocols?
a) Yes. Hospital procedures require complete documentation of medication within 30 minutes of administration, which was not accomplished. Medication reconciliation policies require verification of high-risk meds during shift reporting, which was avoided. b) Steps not taken:The day shift nurse failed to reach out to the previous nurse when the history of medication was unclear in the EHR. c) Documentation: Partial entry of furosemide during the night shift was discovered in a review of medical records and nursing notes. This inappropriate documentation misled the day shift nurse, directly contributing to the duplicate dosing error. |
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4. Who was involved?
Staff: Day shift registered nurse (5 years of experience) who administered the same dose twice; Night shift registered nurse (8 years of experience) who failed to complete on-time documentation; Charge nurse available but not asked for input; Unit pharmacist available but not involved in bedside confirmation. Supervisors and Managers: The Charge nurse was available but was not consulted about the medication history, a missed opportunity for supervisory guidance. The unit manager was only notified after the event rather than being involved in active problem-solving. Managerial distance from high-risk settings contributed to independent decision-making in the absence of organizational input. |
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5. Was a communication breakdown?
a. Yes. The verbal handover was not in formal SBAR form, leading to poor transmission of critical medication information. Formal handover processes significantly reduce medication errors and breakdowns in communication (McCarthy et al., 2025). There was no standardized process in place for checking incomplete medication files between shifts. b. Patient-Provider Communication: The patient was not informed of the drugs given to them during the night shift, missing the opportunity for patient confirmation of drug administration. Research indicates that involving patients in medication reconciliation will serve as a second safety check and reduce administration errors (Manias et al., 2021). The patient was not educated on the different drugs she was on, or asked to speak up in case of duplicate doses given.
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6. Contributing Factors
· Physical Environment: Separation of the medication preparation area from the computer workstations created workflow interruptions. High levels of noise during shift change created distractions. · Staffing Levels: Staff worked at reduced capacity due to call-ins, nurse-to-patient ratio of 1:8 rather than recommended 1:6.
7. Training and Competency A comprehensive medication safety validation that was recently done occurred 14 months prior. No recent training on EHR safety features or managing medication discrepancies. Limited training was reported by some nurses about duplicate dosing cautions in the EHR system. This knowledge gap in continuous education likely contributed to the error, as given the circumstances, the nurse might not have been too much confident in the available safeguards.
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8. Did organizational policies play a role?
Compliance: Yes. Medication reconciliation policy requiring confirmation of high-risk medications was not consistently implemented. Incomplete EHR documentation process lacked specified steps and chin of command. Clarity: Policies were relegated to online portal that took multiple clicks, creating access barriers during busy times. |
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9. Was tere failure in monitoring?
a. Yes. No routine vital sign monitoring scheduled between 0800-1000, in the absence of early hemodynamic changes. No automated duplicate dose warnings in EHR system. Early symptoms were not immediately recognized as medication-related. b. Alarm Fatigue: Although the EHR and monitoring systems had routine alerts, staff admitted that frequent non-urgent notifications caused themto be less responsive. This ‘‘alarm fatigue’’ likely contributed to the duplicate medication not being responded quickly. |
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10. What can be learned?
Lessons: It can be learned that standard handoff protocols using SBAR format are critical to prevention of duplication error (McCarthy et al., 2025). Measures: Some of the measures include duplicate dose alerts that are technology barriers can reduce human error when implemented correctly (Mulac et al., 2021). Adequate staffing and adequate rest breaks are critical in prevention of fatigue error (Manias et al., 2021). |
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11. How is patient safety enhanced?
a) Risk Mitigation: Mandate SBAR communication format for all handoffs of medications to minimize communication errors. Use EHR-based duplicate medication alerts with time parameters for high-risk furosemide medications. Create independent double-check policies for cardiovascular meds. Implement standardized medication reconciliation procedures with clearly defined verification requirements at shift change. b) Education and Training: Provide annual competency verification of medication safety practice for all nursing staff with simulation-based scenarios. Conduct quarterly safety huddles on medication error prevention and lessons learned. Provide just-in-time training modules on new EHR safety features and duplicate dose alert systems. Develop interprofessional education programs with nursing, pharmacy, and physician collaboration.
12. Reporting and Feedback Establish a non-punitive error reporting system which encourages reporting of near-miss events and medication discrepancies. Create regular safety rounds to discuss medication-related incidents and share improvement strategies between units (Chance et al., 2024). Initiate peer review processes for medication errors with focus on system improvement, rather than blame. Create feedback mechanisms to let personnel know the results of safety improvement initiatives and celebrate successes in preventing errors. |
Root Cause(s) to the issue or sentinel event?
Upon completion of the analysis above, please explicitly state one or more root causes that led to the issue or sentinel event. Please refer to the factors discussed above and categorize each root cause by choosing all that apply.
| Root Cause – the most basic reason that the situation occurred | Contributing Factors – additional reason(s) that clearly made a situation turn out less than ideal | HFC | HF T | HF
F/S |
E | R | B | |
| 1. Communication breakdown during shift change.
2. Incomplete EHR documentation and lack of alerts.
3. Nurse fatigue due to staffing shortages. |
1 | Incomplete handoff, reliance on verbal reporting only. | √ | √ | √ | √ | ||
| 2 | Technology and lack of documemntaion. | √ | √ | √ | ||||
| 3 | Multiple long shifts, inadequate rest | √ | √ |
HF-C = Human Factor-communication HF-T = Human Factor-training HF-F/S = Human Factor-fatigue/scheduling
E= environment/equipment R= rules/policies/procedures B=barriers
Application of Evidence-Based Strategies
Identify evidence-based best practice strategies to address the safety issue or sentinel event.
| Research confirms that formatted communication devices play an enormously significant role in the success of medication safety. McCarthy et al. (2025) states that the use of SBAR reduces errors in acute care setting handoffs. Mulac et al. (2021) found that the use of barcode medication administration systems coupled with electronic alerts significantly reduce medication errors, with duplicate dosing showing dramatically improved results. McCarthy et al. (2025) found that nurses who work consecutive shifts have more medication-related errors compared to those who have proper rest breaks. |
Explain how the strategies could be applied in the safety issues or sentinel events you have identified.
| SBAR communication would have ensured precise specific medication information transfer. EHR duplicate dose warnings would have picked up on the second try of administration. Imposing scheduling restrictions would decrease the occurrence of fatigue-causing cognitive impairment. Independent double-checking protocols would provide additional safety barriers against high-risk drugs like furosemide. |
Safety Improvement Plan
List any future actions needed to prevent reoccurrence.
| Action Plan
One for each Root Cause/Contributing Factor from above |
E / C / A
Choose one |
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| 1 | Implement SBAR handoff protocol as mandatory to include medication completion checklist during shift change | C |
| 2 | Upgrade EHR systems to include duplicate dose alerts for high-risk medications | E |
| 3 | Revise staffing policies to include limits on consecutive shifts to reduce fatigue among nurses | C |
E = eliminate (i.e. piece of equip is removed, fixed or replaced.)
C = control (i.e. additional step/warning is added or staff is educated/re-educated)
A = accept (i.e. formal or informal discussions of “don’t let it happen again” or “pay better attention” but nothing else will change, and the risk is accepted)
Describe any new processes or policies and/or professional development that will be undertaken to address the root cause(s).
| Medication Safety Protocol
· Required SBAR handoff document with detail medication fields. · Isolated double-checking requirement for high-risk meds. · Documentation in real time within 15 minutes of drug administration. · Trained bedside verification with patient affirmation where necessary. Professional Development · Annual medication safety competency verification for all nursing personnel. · Monthly safety huddles with an emphasis on error prevention. · Just-in-time training for new technology projects. · Interprofessional communication education. |
Provide a description of the goals or desired outcomes of the actions listed above, along with a rough timeline of development and implementation for the plan.
| Primary Goals
· Eliminate repeat med errors with high-risk meds in 6 months. · Achieve compliance with SBAR handoffs in 3 months. · Have EHR repeat dose alerts implemented in 4 months. · Reduce nurse fatigue reports through improved scheduling in 6 months. Implementation Timeline · Weeks 1-2: Staff training on SBAR process and policy updates · Month 2: Preparation and installation of EHR system upgrade · Month 3: Full roll-out of technology controls with surveillance · Month 6: Comprehensive assessment and process refinement |
Existing Organizational Resources
Identify resources that may need to be obtained for the success of the safety improvement plan. Consider what existing resources may be leveraged to enhance the improvement plan.
| Internal Resources: Clinical educators to create and provide training. The information technology department is to install EHR changes and replicate dose warnings. A quality and safety committee will be used to track and manage. The pharmacy department is to create a medication security protocol. Professional development budget for education initiative.
External Resources: Medication safety consultant for assessment and recommendations ($15,000). EHR system enhancements for duplicate dose warnings ($25,000). Communication training specialist to implement SBAR ($8,000). Additional barcode scanners and mobile terminals ($10,000). Resource Leveraging: Utilize the existing simulation lab to provide training scenarios. Work with the nursing professional development committee to incorporate competency. Collaborate with regional healthcare networks to share best practices. Establish academic partnerships for upcoming research and innovation. |
References
Chance, E. A., Florence, D., & Abdoul, I. S. (2024). The effectiveness of checklists and error reporting systems in enhancing patient safety and reducing medical errors in hospital settings: A narrative review. International Journal of Nursing Sciences, 11(3), 387-398. https://doi.org/10.1016/j.ijnss.2024.06.003
Koyama, A. K., Maddox, C. S. S., Li, L., Bucknall, T., & Westbrook, J. I. (2020). Effectiveness of double checking to reduce medication administration errors: a systematic review. BMJ quality & safety, 29(7), 595–603. http://dx.doi.org/10.1136/bmjqs-2019-009552
Manias, E., Street, M., Lowe, G., Low, J. K., Gray, K., & Botti, M. (2021). Associations of person-related, environment-related, and communication-related factors on medication errors in public and private hospitals: a retrospective clinical audit. BMC Health Services Research, 21(1), 1025. https://doi.org/10.1186/s12913-021-07033-8
McCarthy, S., Motala, A., Lawson, E., & Shekelle, P. G. (2025). Use of structured handoff protocols for within-hospital unit transitions: a systematic review from Making Healthcare Safer IV. BMJ quality & safety, bmjqs-2024-018385. Advance online publication. https://doi.org/10.1136/bmjqs-2024-018385
Mulac, A., Mathiesen, L., Taxis, K., & Gerd Granås, A. (2021). Barcode medication administration technology use in hospital practice: a mixed-methods observational study of policy deviations. BMJ quality & safety, 30(12), 1021–1030. https://doi.org/10.1136/bmjqs-2021-013223
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