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Legal Ramifications
          of
Nursing Documentation
       Amy Dworkin, RN
Helping Nurses Stay in the Hospital and out of the Courtroom

    Documentation can subject a nurse to malpractice claims
                   or protect against them

             A Lesson for Acute Care Med/Surg Nurses

                    Understanding how the law applies

                     Protecting yourself from liability
 Why Nurses, Why Now
 Criteria for Negligence
 Red Flags
 Hurdles
 Documentation Guidelines
 Before: Doctors are professionals
          Nurses are assistants




 Now:    Nurses are also professionals

                                          (Weld, 2009)
Four Criteria of Negligence


 Duty
 Breach of Duty
 Causal Relationship
 Proof of Injury



(Frank-Stromborg, 2001)
Weighing In
Beyond a reasonable doubt                    Clear and convincing evidence




                   Preponderance of the Evidence
                               >50%
                            tips the scale
 Omission of key facts




    (Austin, 2006)        (Croke, 2003)




 Time gaps


 Limited nursing assessments

                                          Frank-Stromborg (2001)
More




 Altered records


 Patient Abandonment


 Charting inconsistencies

                               (Austin, 2006)
Hurdles
 Nurse/Patient Ratios
 Emergent situations
 Too tired/overworked
 Too busy/not enough time
 Not knowing how to chart
 Not knowing what to chart
General Charting Rules

 Be specific
 Descriptive
 Objective

 Subjective
 Normal and abnormal findings


                                 Gruber & Gruber (1990)
Specific Examples

 Reasons for omitted tx/rx
 Patient’s own words
 Patient’s response
 No abbreviations
 Just the facts




Gruber & Gruber (1990)
When In Doubt
               Think Like a Juror




 Unfortunate and unavoidable accident
                         OR
 Due to
     negligence
     inadequate skill
     poor judgment
                                         Ferrell (2007)
Organizational Guides

 American Nurses Association
  Principles for Documentation, 2003



 Joint Commission of the Accreditation           of
  Healthcare Organizations (JCAHO)



 State-specific Codes (New Jersey)
                                          (Monarch, 2007)
Point to Remember to Protect Yourself
 Nursing documentation is a heavily analyzed portion of the
   medical record in malpractice cases.

 Use of computerized documentation systems does not
   automatically protect a nurse from malpractice claims.



                                                It depends on you
                                                and what and how
                                                you document.
References
A   u           s       t           i           n               ,                           S               .                               (               2                   0               0                   6                   )               .

“   L       a       d               i           e               s                               &                               g               e               n                   t           l                   e                   m                       e                   n                               o           f

t   h       e                   j               u           r               y               ,                               I                               p               r               e                   s                   e                   n                   t                               t           h               e

n   u       r       s               i           n               g                               d           o                   c               u               m                       e               n                   t                   a                   t               i               o               n               ”           .

N   u           r   s                   i           n           g               .                           3                   6               (               1                   )           ,                                       5                   6                   -               6               2           .

R   e           t   r               i           e               v           e                   d                               f            r                  o               m

h   t       t       p           :               /           /               w               w               w                   .               n               c               b               i                   .                   n                   l                   m               .               n           i               h           .

g   o       v       /           p                   u           b               m                   e               d                   /               2               0               5                   4                   3                   6                   4               8



C   r       o       k                   e           ,                           E               .                               (            2                  0               0               3                   )                                       N                   u               r               s               e               s           ,

n   e       g       l           i               g               e           n                   c           e                       ,                           a               n               d

m       a       l   p                   r           a               c           t               i           c                   e               :                               a               n                                       a                   n                   a               l               y           s               i           s

b   a       s       e                   d                       o               n                               m                       o               r               e                               t               h                   a                       n                               2               5               0

c   a       s       e                   s                       a               g               a               i               n                s                  t                           n                   u                       r                   s               e               s               .

A   m           e           r               i       c               a           n                               J                   o               u                   r               n               a               l                                       o                   f

N   u           r   s                   i           n           g                               1               0                   3               (               9               )               ,                                   5                   4                   -               6               3               .

R   e           t   r               i           e               v           e                   d                               f            r                  o               m

h   t       t       p           :               /           /               w               w               w                   .               n               u                   r           s                   i                   n                   g                   c               e               n               t           e               r

.   c       o       m                   /           p           d               f               .           a                   s                p              ?                   A                   I               D                       =                   4                   2               3               2               8           4



D   e           a       r               m               o               n           ,                           V                       .                           (               n               .                   d                   .                   )                               R               i           s               k

M       a       n       a                   g           e               m               e               n               t                               a                   n               d                                   L                   e                   g                   a               l

I   s       s       u           e                   s           ,                           J               o                   n               e               s                               a                   n                       d

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PowerPoint Presentation-Amy Dworkin

  • 1. Legal Ramifications of Nursing Documentation Amy Dworkin, RN
  • 2. Helping Nurses Stay in the Hospital and out of the Courtroom Documentation can subject a nurse to malpractice claims or protect against them A Lesson for Acute Care Med/Surg Nurses Understanding how the law applies Protecting yourself from liability
  • 3.  Why Nurses, Why Now  Criteria for Negligence  Red Flags  Hurdles  Documentation Guidelines
  • 4.  Before: Doctors are professionals Nurses are assistants  Now: Nurses are also professionals (Weld, 2009)
  • 5. Four Criteria of Negligence  Duty  Breach of Duty  Causal Relationship  Proof of Injury (Frank-Stromborg, 2001)
  • 6. Weighing In Beyond a reasonable doubt Clear and convincing evidence Preponderance of the Evidence >50% tips the scale
  • 7.  Omission of key facts (Austin, 2006) (Croke, 2003)  Time gaps  Limited nursing assessments Frank-Stromborg (2001)
  • 8. More  Altered records  Patient Abandonment  Charting inconsistencies (Austin, 2006)
  • 9. Hurdles  Nurse/Patient Ratios  Emergent situations  Too tired/overworked  Too busy/not enough time  Not knowing how to chart  Not knowing what to chart
  • 10. General Charting Rules  Be specific  Descriptive  Objective  Subjective  Normal and abnormal findings Gruber & Gruber (1990)
  • 11. Specific Examples  Reasons for omitted tx/rx  Patient’s own words  Patient’s response  No abbreviations  Just the facts Gruber & Gruber (1990)
  • 12. When In Doubt Think Like a Juror  Unfortunate and unavoidable accident OR  Due to  negligence  inadequate skill  poor judgment Ferrell (2007)
  • 13. Organizational Guides  American Nurses Association Principles for Documentation, 2003  Joint Commission of the Accreditation of Healthcare Organizations (JCAHO)  State-specific Codes (New Jersey) (Monarch, 2007)
  • 14. Point to Remember to Protect Yourself  Nursing documentation is a heavily analyzed portion of the medical record in malpractice cases.  Use of computerized documentation systems does not automatically protect a nurse from malpractice claims. It depends on you and what and how you document.
  • 15. References A u s t i n , S . ( 2 0 0 6 ) . “ L a d i e s & g e n t l e m e n o f t h e j u r y , I p r e s e n t t h e n u r s i n g d o c u m e n t a t i o n ” . N u r s i n g . 3 6 ( 1 ) , 5 6 - 6 2 . R e t r i e v e d f r o m h t t p : / / w w w . n c b i . n l m . n i h . g o v / p u b m e d / 2 0 5 4 3 6 4 8 C r o k e , E . ( 2 0 0 3 ) N u r s e s , n e g l i g e n c e , a n d m a l p r a c t i c e : a n a n a l y s i s b a s e d o n m o r e t h a n 2 5 0 c a s e s a g a i n s t n u r s e s . A m e r i c a n J o u r n a l o f N u r s i n g 1 0 3 ( 9 ) , 5 4 - 6 3 . R e t r i e v e d f r o m h t t p : / / w w w . n u r s i n g c e n t e r . c o m / p d f . a s p ? A I D = 4 2 3 2 8 4 D e a r m o n , V . ( n . d . ) R i s k M a n a g e m e n t a n d L e g a l I s s u e s , J o n e s a n d

Editor's Notes

  • #2: You are here today because you are a nurse in an acute care facility that incorporates electronics in its documentation system. We tend to think computerized systems are flawless, but their effectiveness and value is greatly determined by what we put into them. Our goal today is to help you understand the legal significance of your documentation.
  • #3: We want to help make sure you stay in the hospital and out of the courtroom, and since the great majority of nurse malpractice payouts are against acute care med/surg nurses, we want to make you aware of how your documentation can subject you to malpractice claims or protect you against them. We will look into how the law applies and what you need to be cognizant of to protect yourself from liability.
  • #4: More specifically, we will take a look at (1)why it is that nurses are now the subjects of malpractice claims, (2) the criteria for proving negligence, (3) red flags that attorneys look for in medical records, (4) the hurdles we face as nurses, and (5) some guidelines to remember to help improve how we document.
  • #5: Why nurses? Why now? *Years ago doctors were the only professionals in healthcar. *Nurses were just assistants. They were only expected to “use such care as a reasonably prudent and careful person would use under similar circumstances.” (Weld, 2009). As the nurse’s role and responsibilities increased, so did the nurse’s education. *The nurse became recognized as a professional. With that recognition came liability and subjection to malpractice.
  • #6: The are four criteria that must be established for there to be a viable malpractice claim. The first, referred to as a duty, is a recognized relationship between the nurse and patient where it can be shown that the patient requested or allowed care by the nurse and the nurse agreed to take care of a patient. Next it must be shown that the defendant nurse failed to provide reasonable care or meet the designated standards of care. This is called breach of duty, like not meeting your obligations under a contract. Third is causal relationship, which means that not only did the nurse not meet the standard of care, but by not doing so caused – or was a contributory cause of – the plaintiff/patient’s injury. Finally, the plaintiff/patient must prove the injury that was purportedly suffered as a result of plaintiff/nurse’s actions or inactions. (Frank-Stromborg, 2001).
  • #7: Most people have heard the phrase * “beyond a reasonable doubt”. This is the most difficult to prove and is reserved for criminal cases. * “Clear and convincing evidence” may also be a familiar term to some, and it is the measure for certain types of civil cases. However, malpractice cases only require a * “preponderance of the evidence”, which is the * lowest level of proof in a trial. What this means is that if it is determined that the nurse was * greater than 50% at fault, the patient will have proven his case. This does not equate to the percentage of the nurse’s documentation that was wrong, missing, inconsistent or otherwise substandard, Rather, even if the* majority of the record contains full and proper documentation, if even one aspect is deemed to be * greater than 50% of the cause, * the proof is satisfied.
  • #8: Nurses know in theory that they should be documenting everything they do, “if it isn’t documented it wasn’t done”. *Omission of key facts is a major flaw in documenting; one that sends up a red flag. Since this one is so important let’s consider two examples. *Consider a case where a change in a patient’s condition warranted doctor notification. The nurse’s documentation indicated the time the change of condition was detected, what the change was, and the time the nurse communicated the change in status to the doctor, which was over an hour later. *The nurse did not, however, document her “initial unsuccessful attempt” to reach the doctor at the time she noted the change. This one omission caused the nurse to lose the case in that it was the basis for the determination that she delayed notification. Other types of omission may be due to the mistaken assumption that certain things are too obvious or routine to include when charting. An example of such an omission can be found in a case where *an injection of the correct dose of the correct medication was given to the correct patient during an emergency room visit and the patient later claimed suffering a “cutaneous gluteal nerve injury”. The medical record did not contain any information as to how (subcutaneous or intramuscular) or in what part of the body the injection was given, so even though the nurse routinely gave this injection intramuscularly in a site where the plaintiff purportedly sustained injury, her lack of documenting this information made it impossible for her to prove she gave it properly in this case. She lost at both the trial court and appellate level. Clearly, determination as to whether the standard of care is breached relies heavily on the medical record. (Croke, 2003).*Time gaps and *limited nursing assessment are two more issues that raise red flags. If you supposedly do hourly rounding, or it is even every other hour that you see a patient, you need to document that you have seen them, what they were doing, what their general condition was, or even that there was no change since your last assessment or check-in with them.
  • #9: *Altered records are usually seen as intentional cover ups. If a record must be altered because a true error is found that needs to be corrected, the explanation itself needs to be documented. Missing charting can lead to accusations of *Patient Abandonment. This is an example of the dogma “if it isn’t documented, it wasn’t done.” So even if you checked in on your patient every hour, if you only show a morning assessment and perhaps a med administration or two, that does not cover you for your shift. *Charting inconsistencies are obvious. It is especially easy to make this kind of mistake on electronic systems with drop downs to click on, and more so if you are in a hurry. You need to really read every box you check, or skip, and make sure it is consistent and makes sense with something like it in another section.
  • #10: There are many on the road to complete and accurate documentation. Some of these are: (read list)However we cannot let these barriers, while undeniable, get in our way.
  • #11: It’ not just how much you chart, but also how you chart. * “Bad charting will make a good nurse look bad.” (Gruber & Gruber ,1990). General charting rules to remember and take the time to follow are: (read list)
  • #12: Always give reasons if something is not done. For instance, if a med is not given, state “insulin not required, blood glucose 110”; or if a hypertension med was not give, state “Blood pressure 90/50”. Whenever possible, and especially if something is being described or documenting an event, use the patient’s own words, and quote them.Always document the patient’s response to your intervention, whether verbal, gestural, or your physical assessment of the patient.Do not use abbreviations no matter how familiar they are to you or anyone in your unit or department.Be accurate and complete, but do not elaborate. Less can be more. So just give the facts.
  • #13: If you get stuck on how you want to phrase something or whether or not it is needed or superfluous information, imagine you do not know the actual situation or circumstance and you are reading the information documented. Ask yourself what picture that information paints. If it is not clear or gives an inaccurate impression, adjust accordingly. If you did everything right, and your documentation shows that, it is more likely to be judged as an * unfortunate or unavoidable accident that was not your fault. If you do not paint an accurate picture, you may be deemed to have been * negligent, * not have necessary skills, or used * poor judgment, all of which adds up to malpractice.
  • #14: There are no local, regional or national organizations that include in their purpose support to nurses regarding documentation or related liability. The only guides there are are Principles for Documentation, published by the ANA in 2003 and basic guides by JCAHO and individual State codes. None of these, however, address legal liability.
  • #15: Just read slide.