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IMPLEMENTATION APPROACHES
FOR EVIDENCE-BASED RECOMMENDATIONS
Preventing surgical site infections: implementation approaches for evidence-based
recommendations
ISBN 978-92-4-151438-5
© World Health Organization 2018
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CONTENTS
ACKNOWLEDGEMENTS.......................................... 4 4. SECTION II: IMPROVEMENT INTERVENTION
EXAMPLES FOR SURGICAL SITE INFECTION
ABBREVIATIONS AND ACRONYMS....................... 5
REDUCTION........................................................... 27
1. INTRODUCTION................................................. 6 4.1 A review of the evidence framed around
the Four E’s model.......................................................27
2. PURPOSE OF THE DOCUMENT........................ 12 4.1.1 Introduction.......................................................... 27
4.1.2 Facilitating successful improvement using
3. SECTION I: THE WHO SURGICAL SAFETY engagement, education, execution and
CHECKLIST – AN EXAMPLE OF BRINGING evaluation............................................................. 28
GUIDELINES TO LIFE IN THE SERVICE 4.1.3 Summary of success factors and barriers
OF PATIENT SAFETY......................................... 13 to improvement.................................................... 33
3.1 Introduction................................................................13 4.2 U
se of a multimodal infection control and patient
3.2 Background..................................................................13 safety intervention in four African countries...............34
3.3 Developing the WHO Surgical Safety Checklist: 4.2.1 Introduction.......................................................... 34
building implementation and dissemination from 4.2.2 Background to the SUSP-Africa multimodal
the start.......................................................................14 intervention approach............................................ 35
3.4 Launching the Checklist: a multifaceted 4.2.3 Actions carried out to improve on the surgical
approach to early engagement and dissemination.......14 site infection prevention process and outcome
3.5 Testing the Checklist: the importance of testing, measures............................................................... 36
collecting feedback and adapting................................15 4.2.4 Key lessons from the SUSP-Africa experience.......... 37
3.6 Creation of an online community for additional
feedback and engagement...........................................16 5. SECTION III: THE WHO MULTIMODAL
APPROACH AS A PROVEN AND SUCCESSFUL
3.7Engagement of key influencers to ensure
successful uptake and implementation.........................17
WAY TO IMPLEMENT SURGICAL SITE
INFECTION PREVENTION RECOMMENDATIONS
3.8 Creating the right culture for implementation:
INTO PRACTICE................................................. 39
the Checklist journey (at national/subnational
5.1 Introduction................................................................39
and facility level).........................................................17
5.2 Background..................................................................40
3.8.1 G eneral lessons from large-scale mandated
5.3 The multimodal approach explained in detail..............40
implementation efforts.......................................... 18
3.8.2 General lessons from large-scale voluntary 5.4 A
pplying the multimodal approach to SSI prevention
implementation efforts.......................................... 18 to achieve improvement..............................................44
3.8.3 L earning from national and facility voluntary
implementation..................................................... 19 REFERENCES........................................................... 58
ACKNOWLEDGEMENTS
The Department of Service Delivery and Safety of and Quality, Johns Hopkins University Schools
the World Health Organization (WHO) gratefully of Medicine and Bloomberg School of Public
acknowledges the contributions that many Health, United States of America [USA]).
individuals and organizations have made to
the development of this practical manual. Expert review group
The following experts contributed to the review
Overall coordination and writing of the manual: Alex Aitken (London School of
of the document Hygiene and Tropical Medicine, United Kingdom
Benedetta Allegranzi (Department of Service [UK]); An Caluwaerts (Médecins Sans Frontières/
Delivery and Safety, WHO) coordinated the Doctors Without Borders, Belgium); Asad Latif
development of this document and contributed (Johns Hopkins Hospital and University Schools
to its writing. Claire Kilpatrick (Department of of Medicine, United States of America [USA]);
Service Delivery and Safety, WHO) led the writing Paul Malpiedi (Centers for Disease Control and
of the document; Lizabeth Edmonson (Ariadne Prevention, United States of America [USA]); Anna
Labs, United States of America [USA]), Willian R Maruta (WHO Country Office, Sierra Leone);
Berry (Ariadne Labs, Harvard TH Chan School of Shaheen Mehtar (Infection Control Network
Public Health, United States of America [USA]) Africa, Republic of South Africa); Peter Nthumba
and Tom Weiser (Stanford University School of (AIC Kijabe Hospital, Kenya); Joseph S Solomkin
Medicine, United States of America [USA]) led the (University of Cincinnati College of Medicine and
writing of section I (The WHO Surgical Safety World Surgical Infection Society, United States of
Checklist - an example of bringing guidelines America [USA]); Julie Storr (Department of Service
to life in the service of patient safety); Bassim Delivery and Safety, WHO); Giulio Toccafondi
Zayed (Division of Communicable Disease, (Patient Safety Centre and Risk Management
WHO Eastern Mediterranean Region Office) Tuscany Region, Italy); Akeau Unahalekhaka
and Giulio Toccafondi (Patient Safety Centre (Chiang Mai University, Thailand); Tom Weiser
and Risk Management Tuscany Region, Italy) (Stanford University School of Medicine, United
made contributions to section II (Improvement States of America [USA]).
intervention examples for surgical site infection
reduction) and section III (The WHO multimodal Photograph contributions
approach as a proven and successful way to Courtesy of Didier Pittet, MD (University of Geneva
implement surgical site infection prevention Hospitals, Switzerland); courtesy of Juliana Cusack
recommendations into practice), respectively. (Patrick Okao, MD, Surgeon, Butaro District
Rosemary Sudan provided professional editing Hospital, Rwanda, and James Cusack, MD, Visiting
assistance. Surgeon from Massachusetts General Hospital and
Harvard Medical School, United States of America
Contributions to the development [USA]).
of the report
The following experts provided original content Acknowledgement of financial support
contributing to the development of section Funding for the development of this document
II: Promise Ariyo, Blair Anton (Johns Hopkins was provided by WHO.
University School of Medicine, United States
of America [USA]), Asad Latif (The Armstrong
Institute for Patient Safety and Quality, Johns
Hopkins University School of Medicine, United
States of America [USA]), Sean Berenholtz
(The Armstrong Institute for Patient Safety
ABBREVIATIONS AND ACRONYMS 5
ABBREVIATIONS
AND ACRONYMS
CCiSC Clean Care is Safer Care
CUSP Comprehensive Unit-based Safety Program
Four E’s engage, educate, execute and evaluate
HAI health care-associated infection
IHI Institute of Healthcare Improvement
IPC infection prevention and control
LMICs low- and middle-income countries
OR operating room
PDSA plan, do, study, act
SAP surgical antibiotic prophylaxis
SBAR situation, background, assessment, and recommendation
SSI surgical site infection
SUSP Surgical Unit-based Surgical Program
UK United Kingdom
USA United States of America
WHO World Health Organization
6 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
INTRODUCTION
Among the range of avoidable harms associated The so-called “Global Surgery” agenda (9) is an
with health care, health care-associated infections ongoing challenge and a recognized international
(HAI) have been described as a significant burden burden. To this end, the effective deployment of
(1). Surgical site infections (SSIs) are the most SSI preventive actions represents a solution, at
frequent HAI in low- and middle-income countries least in part, to one aspect of this wider challenge,
(LMICs), and can affect up to one-third of surgical including also the global burden of antimicrobial
patients (2). In African countries, infection is resistance agenda (11).
the most frequent complication in surgery and
up to 20% of women who have a caesarean Much progress has been made over recent
section develop a postoperative wound infection, decades in designing and testing new approaches
compromising their own health and their ability to IPC. To achieve substantial and lasting
to care for their infants (3) (WHO, unpublished behavioural changes, it is now recognized that
data, 2016). In higher income settings, SSI are the these approaches should be grounded in social
second most frequent HAI in Europe (4) and the and implementation science theory. Successful
United States of America [USA] (5). They threaten health care improvement projects must be
the lives of millions of patients each year and simple enough for frontline staff to understand,
contribute to the spread of antibiotic resistance. sufficiently limited in scope to be accomplished
In the USA, these infections are estimated to without significant new resources, and relevant
contribute to patients spending more than 400 000 enough so as not to require input that participating
extra days in hospital at a cost of an additional organizations are fundamentally unable to provide.
US$ 10 billion per year (6). SSI prevention is The most successful improvement projects
complex as the risk results from several factors typically embrace a multimodal approach, which
arising from the surgical patient journey, including requires a strong understanding of the local
sometimes after discharge. context. There are many descriptions of how
Similar to any other HAI, SSIs are largely avoidable to undertake improvement projects, including
and up to one-half can generally be prevented implementation models or frameworks, as well as
through the successful implementation of clinical both anecdotal and formal descriptions of local
practice guidelines using a multimodal improvement activities. For the first time, this document presents
strategy (7). However, no health facility or country a range of examples from different settings to
can claim to be free of avoidable infections. stimulate next steps in planning for SSI prevention
Infection prevention requires behavioural change strategies.
interventions. Furthermore, many health facilities
Important in informing this document, in November
do not yet have the infrastructure or established
2016 WHO launched its evidence-based global
infection prevention and control (IPC) programmes
guidelines on the prevention of SSI (12) with the
in place. The recommendations contained within the
dual aim of providing guidance on a wide range of
World Health Organization (WHO) guidelines on
issues that influence infection risk and to overcome
core components of IPC programmes (8) underpin
some inconsistencies in the interpretation of
HAI prevention and include SSI prevention as one of
evidence and recommendations in existing national
the building blocks for achieving impacts on patient
guidelines. Importantly, these guidelines have
outcomes.
been developed to be valid for any country and
In the wider context, many approaches to amenable to local adaptation. They take account
preventing SSI are also relevant to improving of the strength of available scientific evidence, cost
other issues around surgical safety (3, 9, 10). and resource implications, as well as patient values
This is especially relevant to surgery performed and preferences. In 2017, updated evidence-based
in LMICs where there is both the greatest unmet recommendations from the United States (US)
need for surgical services and the most challenges Centers for Diseases Control and Prevention were
for the delivery of high-quality surgical care. also issued and deal with similar topics (13).
INTRODUCTION 7
Figure 1.1.a
Surgical Site Infection Prevention Recommendations
8 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
Figure 1.1.a
Surgical Site Infection Prevention Recommendations
INTRODUCTION 9
Figure 1.1.b
Surgical Site Infection Prevention Recommendations
10 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
Figure 1.1.b
Surgical Site Infection Prevention Recommendations
INTRODUCTION 11
Figure 1.1.c
Surgical Site Infection Prevention Recommendations
12 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
SECTION I:
THE WHO SURGICAL SAFETY CHEKLIST -
AN EXAMPLE OF BRINGING GUIDELINES
TO LIFE IN THE SERVICE OF PATIENT SAFETY
3.1 Introduction This section describes the pathway TARGET
of and lessons learned from the
In 2006, the WHO Patient Safety
development and implementation of AUDIENCE
Department decided to focus on
improving the safety of surgical care
the WHO Surgical Safety Checklist The target audience
(15). is intended to be
as its Second Global Patient Safety
Challenge. The First Challenge, any discipline
3.2 Background introducing,
Clean Care is Safer Care (CCiSC),
addressed the promotion of hand Over the last 50 years, there has been leading or supporting
hygiene to decrease HAI worldwide an explosion in the number of health SSI prevention and
and resulted in the publication care discoveries with the potential to safer surgical care
of evidence-based guidelines, the make life better for people everywhere, including: surgeons;
creation of a comprehensive toolkit including during surgery. However, surgical nurses and
reflecting an innovative multimodal many patients continue to suffer and
technical support
implementation approach for hand sometimes die when we know what to
do, but do not apply our knowledge
staff; IPC focal
hygiene improvement, and the
of these lifesaving discoveries into
points and teams;
significant engagement of ministries
practice for every patient who needs senior administra-
of health and other country leaders.
Despite the differing contexts, many it. A gap exists between knowing and tors; anaesthetists;
implementation lessons learned from doing because of failures in knowledge clinical research
CCiSC proved useful to orient the dissemination, failure of the widespread project staff; any
strategic approach of the Second adoption of interventions and, finally, professionals directly
Challenge. the failure to implement the use of key providing surgical
tools at the clinical front lines. care, including
One revolutionary innovation included individuals who
the creation of the ‘My 5 moments for Assembling experts from around are creating or
hand hygiene’ approach summarized in the globe to build guidelines that supporting surgical
a clear visual presenting the required help to base efforts on the available
quality improvement
actions for health care workers in evidence and to develop innovative
approaches that benefit patients
programmes at
the context of their workflow (14).
the most is a crucial step in the
the system or
Hand hygiene applies to all health
process of closing the gap between country level.
care settings and is a cornerstone
of good public health. Similarly, the knowledge and benefit. But guideline
Second Challenge aimed to identify creation cannot stand alone because
a clear, adoptable solution to ensure guidelines, that is, distillations of
that every patient undergoing surgery crucial knowledge, do not come to
benefits from an appropriate and timely life by themselves. Guidelines first
compliance with surgical standards. require careful dissemination and
The tool created for this purpose was strong implementation strategies and
the WHO Surgical Safety Checklist. tools, to be adopted and understood
on the frontline of care. Furthermore,
guidelines and their associated tools
need to be as simple as possible and
14 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
have instructions for use and straightforward 3.4 Launching the Checklist:
processes to ensure that they are understood and a multifaceted approach to early
followed. engagement and dissemination
WHO used its leadership and reach to make
The creation of the instructions and the processes
a powerful launch of the Checklist across the
for following them is known as the implementation
world with events in different WHO regions.
process, that is, the vital connection between
Furthermore, experts as well as professional
guidelines [the goal] and the actions that can
societies were engaged to present, adopt and
decrease suffering and sometimes prolong
promote the Checklist. Based on experiences
life. Failure to consider these dimensions of
from CCiSC and other large-scale implementation
implementability will lead to a failure of use
efforts, an implementation guide describing a basic
and no benefit to patients. Similar to CCiSC, the
pathway to follow was created, including ideas
Second WHO Global Patient Safety Challenge
from previous work by the Institute for Healthcare
dedicated to safer surgical care, provided a
Improvement (IHI) and the Johns Hopkins Central
powerful opportunity to ensure that a process of
Line Insertion Checklist (16) implementation
guidance development and its application into real
projects. Table 3.1 summarizes the key launch
life would result in benefit to patients.
activities and their aims.
Table 3.1 Key activities to launch the WHO Surgical Safety Checklist
and their aims
Launch activity Aim
A series of global events To capitalize on the attendees’ significant
in different WHO regions. potential to adopt the checklist themselves
and return home with it as enthusiastic
supporters and advocates.
Gathering endorsements from To actively engage those who could
professional organizations* influence spread and adoption
To use leadership to actively spread the ΒΟΧ 3.1
checklist and helped create buy in within Challenges included:
respective specialties.
•g aining buy-in from
Presentations at national and To support further spread of awareness all clinicians;
international meetings by to the checklist and guideline and to
providing speakers drawn from demonstrate early engagement and advocacy • e ducating team
the initial expert group. from key experts in different regions. members on how
to use the Checklist
* Organizations included professional colleges, societies, associations and others representing correctly;
the many professions involved in delivering surgical care.
• incorporating
the Checklist into
clinical practice
3.5 Testing the Checklist: • F eedback was actively sought and
so it is used for
the importance of testing, collected and data were gathered
collecting feedback and on more than 7000 patients over every patient;
adapting a six-month period. •u sing the Checklist
Testing the Checklist was critical as intended to
before the next steps could be taken This testing process led to substantial decrease errors
and followed a formal process. learning about the feasibility of and adverse events
the tool as well as what types of and increase
Who was involved in the testing and modifications hospitals may need to teamwork and
make to the Checklist template, to
where did it take place? communication;
• The earliest testing of the checklist maximize benefit in different settings.
Universal implementation lessons were • f acing and resolving
was conducted by experts and other
then drawn up, such as the importance system issues
contributors from 28 countries
of identifying local champions (for that needed to be
(Australia, Afghanistan, Brazil,
Canada, Chile, China, Cuba, Denmark, example, nurses, surgical technicians, resolved before
Ethiopia, Georgia, Germany, Ghana, surgeons and anaesthetists) and being able to
Hong Kong, India, Iran, Iraq, Kenya, monitoring the Checklist use for use the Checklist
Mongolia, New Zealand, Nigeria, improving staff adherence. clinically;
Pakistan, Philippines, Switzerland,
Pilot sites faced initially many of the
• leading the initiative
Thailand, Turkey, United Kingdom, independently, when
United States, and Zambia). These same challenges that every hospital
faces when trying to change practice, in fact coaching
were highly respected and widely from an ‘expert’
known experts and thus, in a strong as outlined in Box 3.1.
(WHO) team was
position to support the testing and
required. Almost
by default dissemination.
• After considerable modification
every site required
following the initial feedback, a coaching at some
formal pilot test was undertaken in point and all sites
eight sites (high and LMIC) countries received visits from
to better understand how it could be the WHO team.
used in a variety of clinical settings.
16 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
Study results were published in the New Table 3.2 summarizes some additional lessons
England Journal of Medicine (17), thus creating learned for implementation from pilot testing
an additional high-profile avenue to spread reflecting the recommended WHO multimodal
awareness of the Checklist. improvement strategy (see Section III).
Table 3.2. Key lessons from the pilot test phase of the WHO Surgical Safety Checklist
Component of the WHO Lesson learned from pilot testing
multimodal improvement
strategy*
System change The infrastructures and processes to support each Checklist item must be in place to effectively
accomplish it. For example, some sites needed to change the place where they stored
antibiotics and started prophylaxis administration from inpatient wards to the OR in order
to ensure that it could be started within the appropriate time frame specified in the Checklist.
Training and education Every team member needs some training with the Checklist before using it with a patient.
Team members should try the Checklist for the first time using simulation training.
Creating a (locally contextual) demonstration video of how the Checklist should be used can
be very helpful in encouraging proper use by team members.
Evaluation and feedback Observing teams and giving them feedback on how to improve Checklist use through coaching
can improve performance.
Communications and Creating large posters of the Checklist that can be seen by all members of the surgical team
reminders can improve use.
Organizational safety Creating a multidisciplinary team to help lead the project at each site improves communication
climate and encourages a broad sense of ownership.
and culture Discussing Checklist use and the project frequently at staff and physician meetings helps to
build it into the local culture.
It is recommended to consider modifying the Checklist to meet the local context. Sites
deemed it useful to add items to their Checklist, such as appropriate prophylaxis to prevent
deep vein thrombosis, thus making it a better fit to local pre-existing practice.
• resource constraints.
SECTION I: THE WHO SURGICAL SAFETY CHECKLIST 17
Individuals also reported that Checklist implementation approach and specifically touched
modification was key to building “buy-in” on the challenges of effective implementation
and uptake of the tool, with a majority in many cases. Publications have helped to keep
of users adding items, as well as customizing it engagement and interest in the Checklist strong
for their local hospital by adding their name over time. A book by Dr. Atul Gawande, The
and logo to the tool. Checklist Manifesto published in 2011, also helped
engagement.
Unfortunately, further development of the
virtual community was time limited by resource 3.8 Creating the right culture for
constraints and this should be considered when implementation: the Checklist journey
establishing the overall dissemination and (at national/subnational and facility
implementation process for any new (global) level)
tools.
The importance of the local culture, in the form
of improved perception of teamwork and safety
3.7 Engagement of key influencers climate should not be underestimated. It is
to ensure successful uptake and associated with as much as half the improvement
implementation in clinical outcomes.
The Checklist and implementation guide were
translated in the five WHO official languages As knowledge of the effectiveness of the Checklist
to be more accessible to the global community. began to spread, two different implementation
strategies quickly emerged. These can be identified
Many WHO Country Offices participated as the mandatory versus encouraging voluntary
actively in the dissemination efforts. A number adoption approaches – “You will!” versus “Will
of national governments were also engaged you?”
and adopted the Checklist, usually through
their health ministries, and encouraged 1. Adopting countries often mandated the
implementation in their countries. use of the Checklist in facilities funded by
the government, usually through their health
ministries. Mandates can be divided into two
KEY LEARNINGS FROM WHO COUNTRY broad groups: mandates with and without
OFFICES AND NATIONAL GOVERNMENT consequences. A consequence is an incentive of
ENGAGEMENT some type, either financial (giving or withholding
a bonus) or regulatory (giving or withholding
• Significant resources were devoted to the support of
implementers at the national, regional and local levels. certification of some kind). In either case, there is
This resulted in the availability of valuable tools to spread directly enforced accountability for regular use of
awareness of the checklist, dissemination of implementation the Checklist with the following, mainly negative,
materials, and the engagement of in-country champions, points gathered from many years of real-life
who were also given support where possible. experiences, all of which can cause concern over
reliability of measurement results:
• The ways in which use is measured for
The actual uptake, implementation and clinical accountability can vary greatly, ranging from
use of the Checklist in many of these countries direct observation by an official observer to
was highly variable, often due to limited resources self-reported performance needs;
and the burden of other competing improvement • Measurement through the use of an observation
initiatives related to other aspects of healthcare. tool or staff member can also vary greatly. Did
you do the Checklist [yes or no] or did you do
Engaging the intended audience through scientific the component parts of the Checklist or did you
publications highlighting Checklist implementation perform the Checklist “well”?;
approaches was a useful addition. To date, more • Such types of mandates sometimes prevented
than 200 scientific articles related to the Checklist adoption of the Checklist in a facility by eliciting
have been published and have helped to keep a reaction from professionals against being
interest strong over time. These reports have “told” to do something that they did not believe
primarily reinforced the value of the suggested was important.
18 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
• Enforced mandates can result in compliance Modifying the Checklist benefits organizations by:
with the mandate that meets only the way • engaging clinicians in the project and improving
that compliance is being measured, that is, the buy-in;
Checklist will be done to meet the measure and • creating a sense of ownership;
not to meet the intent, which usually means • allowing organizations to address local needs
minimal, superficial compliance. However, and culture.
anecdotal evidence suggested that unenforced,
non-resourced mandates were frequently Even if the Checklist did not change dramatically,
ineffective in driving implementation and actual the sheer process of reviewing each item and
checklist use. ensuring that that it met the needs of the
environment where it was being implemented
2. The alternative path to implementation at scale increased the probability of successful
is a voluntary effort. In this case, a government implementation.
or other organization champions the use of the
Checklist and invests resources in supporting Risks when modifying the Checklist included:
dissemination, adoption and implementation. • removing items that were proven to be beneficial
Again, real-life experiences tell us such to patient care and improving teamwork, thus
organizations usually become implementation making the Checklist less effective;
partners or supporters of clinical champions or • adding too many items to the original ones,
facilities in the effort to bring the Checklist into making the Checklist more difficult to execute
practice. Examples include professional societies, in the clinical environment;
hospital associations, insurance companies and • modifying the formatting of the Checklist,
non-governmental organizations. making it difficult to read and complete.
Voluntary uptake by nature can be highly variable It was important to ensure that any changes
because success requires a number of steps that provided evidence-based benefits for the patient.
might not be embedded in a voluntary process, Thus, the Checklist was tested outside of the OR
including systematic efforts to create awareness of in a simulation situation to check the change
the Checklist, convince local champions to adopt matched with local culture and workflow, before
the effort and then support for that champion use on a patient.
throughout the implementation process with
necessary resources. 3.8.2 General lessons from large-scale
voluntary implementation efforts
3.8.1 General lessons from There has been an extensive global uptake
large-scale mandated implementation efforts of the WHO Surgical Safety Checklist outside of
Large-scale efforts driven by mandates were mandated efforts. Information gathered through
undertaken in many settings with variable success the WHO website when the tools were launched
over time and provided universal lessons not provided evidence of global interest and some
tied to a specific setting or location type. Most degree of adoption and use driven by local
large-scale mandated efforts involved active champions. Voluntary implementation efforts
dissemination of the Checklist through awareness at scale have taken place in several settings and
campaigns and meetings. there are valuable lessons to be learned from
these.
In many cases, local champions played a key
role in successful implementation and were aided
by the incentive of the mandate to make their
implementation actions more effective. The
type of performance measurement varied from
self-reporting to actual direct observations and
auditing. Although the result of this approach was
often an uneven uptake of the Checklist, there were
examples of well-structured mandates that led to
widespread and effective adoption over time.
SECTION I: THE WHO SURGICAL SAFETY CHECKLIST 19
• Engage participating organizations by asking implementers with direct feedback that informs the
them to be on a panel or present. Asking specific next steps of their Checklist effort. These visits can
people to have formal speaking roles on a panel also give the programme team an opportunity to
or to share their story is a powerful way to further build their relationships with implementers.
engage individuals and their organizations further Consider the following when implementing
in the work. coaching visits:
• Consider asking less-engaged facilities to • train coaches in what to look for and how to give
formally participate in a meeting so they will constructive feedback;
send participants and learn more about the work. • visit hospitals multiple times over the course of
Some Checklist initiatives increased physician the programme, if possible;
participation by asking physicians to represent
• use the coaching visits to help the programme
their hospital on the panel or to help facilitate
team understand what is going well and what
portions of the meeting.
organizations need help.
• Couple programme meetings with those
organized for other purposes to increase Monitor the work without overburdening
attendance and minimize costs, thus taking participating organizations
advantage of every opportunity to interact with
Lessons learned highlighted that data collection
and support frontline implementers.
can be a burden to hospitals and often detract
• Hold meetings in a variety of locations to from the resources and time that they are able to
minimize the burden and cost of travel to dedicate to implementation.
participants.
1. Recruit a team Build a multidisciplinary team responsible for planning and executing your implementation effort.
This team should include at least one representative from each role in the OR and at least one
administrative representative.
2. Understand the work It is essential for the implementation team to have an in-depth understanding of the Checklist.
They will be asked to teach and coach their colleagues in its use and will most likely be challenged
by some of their colleagues regarding the purpose, supporting evidence and benefits of this work.
3. Assess your Assess how things are currently done at your facility, how people feel about their work, and what
environment people think about safety and teamwork by administering a culture survey and observing teams in
the OR. This information will help you create a plan that works for your facility. Every facility is
different and has unique needs that will need to be addressed.
4. Decide: are we It is important to take a pause, reflect on the data you collected in Step 3 and determine whether
ready? your facility is ready to commit to the work. Some facilities may decide that they will not introduce
the checklist in its entirety, while others are ready to proceed with the entire Checklist. Use this
opportunity to present your findings and proposed plan to leadership and ask them for their help.
5. Customize and test One of the key tasks of your implementation team is to modify the Checklist to ensure that it meets
your facility’s needs. Each time you make a change to the Checklist, ensure that it is tested outside
of the OR to test that the changes match your culture and workflow. Never use a Checklist with
a patient if it has not been tested outside of the OR first (for example, in a simulation situation).
6. Plan your expansion Pause and create a plan that describes in detail what your team will do, how and when, to expand
Checklist use in your facility (Steps 7 to 10). It is best to start small and build slowly. Remember to
remain flexible, this plan will most likely need to be changed as you do the work.
7. Have 1-on-1 Harness the power of a personal conversation to connect people with the idea and purpose of the
conversations Checklist and directly ask for their help. Your team will need to reach every person whose role is
touched by the Checklist. (that is, anyone who works in the OR) with a 1-on-1 conversation before
that person uses the Checklist. This is an essential step that helps engage everyone that will be
asked to use the Checklist. Organizations that employed these conversations reported minimal
resistance from frontline clinicians.
8. Promote the Create broader awareness of the work, spark curiosity and reinforce the idea of a shared mission to
checklist improve surgical safety by promoting the project throughout your facility. Internal publicity can
take many forms such as demonstration videos, bulletin boards, badges, e-mails, collecting stories
and newsletters. Promotion is not a replacement for 1-on-1 conversations.
9. Train and spread Once surgical team members have been introduced to the idea and benefits of using the Checklist
in a 1-on-1 conversation, they need to be trained to properly use the checklist before they are
asked to use it with a patient. The goal of training is to provide an explanation and demonstration
of how the Checklist will be used, followed by an opportunity for the team to practice using the
Checklist away from the OR.
10. Watch and coach Coaching is the third part of the learning progression that begins with a 1-on-1 conversation and
continues with hands-on training. It is a vital part of every successful implementation because it
helps lead individuals and teams to achieve a better performance and sustain effective Checklist use
over time.
11. Continually You now face a different challenge, that is, how to sustain the work and improve it over time.
improve As soon as we turn our attention towards the next problem to be addressed, our attention shifts
and the Checklist work may start to slide a little. Never stop looking and talking to surgical team
members about the work. You can do this through watching and coaching, collecting stories and
administering annual culture surveys.
It is also important to continue to have an implementation team that oversees this project. Think
about changing implementation team members from time to time and updating the content on
your Checklist to meet your organization’s changing needs.
24 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
In summary, employing the specific concepts that all available resources to daily care provision.
are included in the described 11 steps facilitates Overburdened health facilities frequently view
system change in a facility by engaging physicians quality improvement initiatives as “luxuries” that
in quality improvement, getting people out of they just cannot afford due to the overwhelming
their silos, and providing a process for continuous physical, infrastructural and financial constraints
improvement. The implementation process itself and limitations. Furthermore, staff time is typically
can help change the organizational culture and fully allocated to specific activities related to
build a quality improvement infrastructure for clinical care and documentation.
future work. Approaching implementation in a
• Challenge – Due to competing priorities,
multidisciplinary fashion and being consistent with
governments often lacked resources to support
WHO recommendations and experiences of a
implementation of the Checklist at frontline
stepwise improvement approach is also important.
facilities. On several occasions, governments
Even if an organization was not ready for the that committed to the work would send the
entire Checklist, there were incremental steps to Checklist materials to facilities, but were not
help move towards eventual full implementation. able to offer other resources or training for its
For example, some facilities chose to initially implementation. Visits to facilities in LMICs
implement only one section of the Checklist or found that they had seemingly “implemented”
even to begin to change practice by asking teams the Checklist and although it was often observed
to do one Checklist item. This resonates once in the facility, there was no evidence of its actual
again with the experiences of implementing the use in any capacity.
WHO ‘My 5 moments for hand hygiene.’ • Solution - Most Checklist items did not require
new resources, even in very resource-constrained
3.9 The challenges of bringing the facilities. Thus, emphasizing how to implement
WHO Surgical Safety Checklist to low- without new resources was critical. The
and middle-income countries Checklist was designed as a template potentially
Bringing the Checklist to surgical settings beyond usable in all surgical settings worldwide. It
high-income countries presented unique challenges prompted the team to discuss plans, address
in dissemination, adoption and implementation. concerns, verify critical information and confirm
that critical processes had been completed.
3.9.1 Spreading knowledge of the Checklist This involved existing human resources in the
first instance and can be achieved as a first
•C
hallenge - Spreading knowledge of the
step in addressing implementation and, more
Checklist was more difficult than in high- income
importantly, to identify gaps for its support.
countries due to limited communication
Implementation of parts of the Checklist should
channels.
be possible in almost any setting.
• Solution - Partnering with ministries of
health, not-for-profit organizations, charities,
3.9.3 The Checklist is difficult
students, national professional societies and
to implement in its entirety
other expatriates in support of dissemination
To achieve any level of success, project goals
was critical. It often took multiple touchpoints
are often different in LMIC settings. Instead of
through multiple organizations and individuals
Checklist implementation focusing on improving
to successfully connect with a clinician working
teamwork and communication, it was essential
in a facility. The Checklist spread more rapidly
to first ensure that the basic processes underlying
in countries where there were strong clinical
many of the Checklist items were in place.
champions. Often these champions helped design
and/or test the Checklist. • Challenge - For example, the Checklist asks
the anaesthesia professional to confirm that
3.9.2 Addressing resources antibiotics have been administered within 60
In high-income countries, facilities have greater minutes of skin incision. In many LMIC settings,
resources and often have extensive prior experience the availability of resources will vary. Antibiotics
with process improvement. In the LMIC setting, may not be readily available at the right times
the improvement infrastructure is often entirely and when they are, the process of antibiotic
lacking because of the need to devote almost administration is often flawed.
SECTION I: THE WHO SURGICAL SAFETY CHECKLIST 25
• Solution - Work was done to adapt workflow, In most LMIC settings where success has been
including when and where antibiotics are given. achieved, strong champions have also been
Instead of administering antibiotics on the ward, identified or significant support provided from
antibiotics now come with the patients to the external sources. There are many instances of
OR to ensure administration within one hour of successful, sustained adoption at the facility
incision. Prior to this change, most antibiotics level to demonstrate that success is possible,
were given several hours prior to skin incision, that the Checklist is able to be implemented
where their efficacy was not high. In terms of in these settings, and that efforts to spread its
the WHO-recommended multimodal strategy, dissemination and encourage implementation
this encompasses system change, education should not stop. The same steps outlined in the
and training, awareness-raising, evaluation and Checklist implementation pathway also apply
feedback and adjusting the organization’s safety to LMIC settings.
climate and culture.
3.10 Summary of general lessons
• Challenge – A local approach to address SSI from the WHO Surgical Safety
was considered important. Checklist to consider for
• Solution - One approach to learn from is implementation
a programme developed by Lifebox (www.
lifebox.org), a not-for-profit organization KEY POINTS WHEN DESIGNING
dedicated to improving the safety of surgery
worldwide. Lifebox developed a checklist-
AN IMPLEMENTATION AND
based implementation programme focused on IMPROVEMENT PROJECT
preventing SSI. Known as ‘Clean Cut’ (Checklist REMEMBER TO:
Expansion for Antisepsis and Infection Control • develop a strategy for dissemination of the
– Customization, Use, and Training), it aims to intervention at an early stage - dissemination
support the improvement of IPC processes should be thought of as a campaign to raise
embedded in basic surgical principles and awareness of the intervention;
accepted standards of care. It uses the checklist • think about implementability from the
as a means of engaging and building a clinical beginning - if a tool is too complicated to
team to promote best practices, together implement, it will not be used;
with a data monitoring and feedback strategy, • develop a strategy to encourage adoption of
and links the team and performance data with the intervention at an early stage;
specific strategies for improving compliance • build a multidisciplinary team to help design
with standards by aligning the practices with and undertake the project. There should be
the standards, similar to the WHO multimodal representatives from every discipline that the
improvement strategy. Clean Cut targets six project will touch. It is also helpful to have
specific perioperative standards: the antiseptic experts from a variety of clinical settings.
preparation of skin; maintenance of the sterile These individuals can also serve as your clinical
field through appropriate gowning/draping/ champions to spread the work;
gloving; confirmation of sterility of surgical • be prepared to learn about implementation
instruments; appropriate timing and use of when you are testing the intervention.
antibiotics; counting and tracking of surgical
swabs; and the performance of a verbal “time out” When working with organizations to make change,
prior to skin incision. Clean Cut walks the local keep in mind:
surgical staff through a process of mapping out • interventions that require additional support in
the upstream steps for each of the recommended the form of equipment, staff or other materials
infection prevention standards as a way to identify require parallel efforts to be successful, examples
specific breakdowns and barriers and to facilitate of this have been outlined in previous sections –
the development of contextually relevant this can be classed as system change;
solutions. Early field experience shows that this • implementation goals depend on the setting
approach can successfully identify system issues and are dependent on sound monitoring and
and improve adherence to perioperative standards feedback, based on WHO recommendations
of care (http://www.lifebox.org/clean-cut/). (8). Additionally, collect feedback on the
26 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
implementation process from participants at Table 3.4 summarizes strategies that facilitated
every opportunity; the implementation of the WHO Surgical Safety
• c ontinually promote and iterate programme Checklist and provides examples of how these
activities (reminders and communication); concepts can be applied when changing patient
• p rovide education and training based on the care at scale or within an individual organization.
input and needs of participating organizations/
individuals;
• e very facility can make some type of change,
even if they are unable to implement the entire
programme – this is dependent on the local
safety climate and culture change.
Table 3.4. Summary of strategies to facilitate the implementation of the WHO Surgical Safety Checklist
Strategy National/state level applications Hospital level applications
Leverage existing •U
se existing meetings to present the work and • Re-purpose teams that work on other
communication channels, convene participants. quality improvement projects.
networks and relationships •D
isseminate information through professional • Share information about the project
organizations, (not-for-profits and others). at every opportunity, staff/physician
meetings, grand rounds, and within
existing committees.
Develop and support •B
uild a state-level committee that consists of • Build a multidisciplinary team that
clinical champions representatives from disciplines touched by the consists of at least one representative
work and a variety of facility types. from every discipline touched by the
•O
ffer a variety of programme activities for project.
individuals to learn about the project. • Provide clinical champions with
•C
reate materials to walk organizations through resources and time to implement
the key steps of implementation and offer advice the project.
on how to overcome common barriers.
•C
onvene facility champions so that they can
share their experiences and help each other solve
problems.
Support Conduct hospital site visits to learn about imple- Create a coaching programme leverag-
implementation through mentation and provide feedback to organizations. ing your implementation team and clini-
coaching Remember coaches need to be trained in how to cal champions. Remember coaches need
give feedback. to be trained in how to give feedback.
Encourage Provide guidance on how to implement the project If needed, implement parts of the
incremental change in smaller parts or how to put some components project instead of the entire programme.
into place when an organization is not ready for
the entire project.
Build in implementability; • P lan an intervention that can be implemented Modify programme materials to meet
modification of and modified. your organization’s culture and work-
interventions to meet • C
reate templates and programme materials that flow following guidance provided by
the local context should be meet the needs specific to your environment. national and state programme teams.
encouraged and supported Consider culture, resources, and prior quality
through guidance improvement projects that may inform the work.
4.1.2 Facilitating successful improvement using engagement, education, execution and evaluation
Engagement means the involvement of all relevant staff in the facility to explain why
the intervention is important and to achieve buy-in and commitment.
Partnerships Between senior management and Helps the alignment of improvement efforts with
administrators and clinical staff. organizational priorities, navigation of challenges
to changing organizational practice, and fosters
accountability in clinicians for SSI rates.
Availability of the ‘right’ The intervention team and clinical Mobilizes staff, describes actions with clear timelines,
tools staff, supported by senior facility helps reach agreement, facilitates brainstorming,
leadership. planning and progress review, as well as comprehensive
reports.
Education means efforts to share the evidence supporting the interventions among all
those involved.
Education and training are used in the majority in high-income and LMICs. Education and training
of improvement strategies, but it is only one interventions in isolation are rarely assessed
part of achieving overall improvement. The against SSI rates – usually some specific technical
success factors described here have been found changes are also employed.
Large group workshops, didactics, grand rounds Delivered to Used to introduce new evidence-based
and in-service sessions frontline staff. interventions.
Smaller academic rounds, focus groups, role play, Delivered to Used to introduce new evidence-based
peer education, one-to-one bedside training frontline staff. interventions.
Intensive training spanning months Delivered to Prior to initiation of implementation
frontline staff. projects, it can provide a focus on exact
clinical processes.
Access to educational materials via refresher courses, For frontline staff. For reinforcement and quick reference.
online videos, webinars, bulletins and brochures.
Execution means designing an (SSI) intervention ‘toolkit’, which will include the
strategy targeting the barriers, standardization and independent checks, as well
as learning from mistakes. This is all aimed at changing the process by which care
is delivered to ensure consistent care standards for all patients.
Protocols, pathways and policies Aimed at frontline staff. Supported To well delineate information and allow
by the multidisciplinary team. for ease of execution of evidence-based
recommendations.
‘Bundling’ of care processes Aimed at frontline staff. Supported Standardization of key interventions for easier
by the multidisciplinary team. execution.
Checklists Aimed at frontline staff. Considered a tool to improve quality of care.
Order sets, electronic reminders, Aimed at frontline staff. Supported Create double-checks and prompts for
automatic stops (for antibiotics) as by the multidisciplinary team and consistent care across all levels.
long- term facility-wide initiatives senior management.
Safety and quality improvement Aimed at frontline staff. Supported Facilitate stepwise implementation and rapid
models by the multidisciplinary team and identification of process inefficiencies.
senior management.
32 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
Direct observation (with or without Performed by surgical team, To create a sense of accountability and
chart audit) of clinical processes of all clinical staff. motivation to drive improvement. Can be
seen as a benchmark to drive improvement.
Targeted monitoring tools To be used by clinical staff/teams. To track progress and evaluate performance
to further plan for improvement.
Monitoring with personalized feedback Of and to clinicians and surgeons Can be seen as a benchmark of processes
specifically. to drive improvement.
Real-time feedback to units To all clinicians/staff and Allows transparency and teams/units to
or the entire hospital hospital leadership. assess their own progress and identify
improvement activities.
External review Experts in the field (to review Beneficial to clarify the approach being
implementation management/ used and provide validation of successful
review of evaluation of processes evaluation strategies.
undertaken by clinical staff).
Prospective surveillance with feedback To surgeons and clinical staff. To drive SSI reduction.
4.2.3 Actions carried out to improve on the SSI A number of tools available through CUSP and
prevention process and outcome measures WHO were adapted and used at the local level.
Activities and actions consistently carried out at Some of these have now been reviewed and
each site, with additional local adaptations and finalized, while others are available in their original
initiatives are described in the published article and form (see Table 4.5).
in the related online Appendix (7).
Any other new resources related to culture change • both elective and emergency operations were
can be found here http://www.who.int/infection- included and sites enrolled an intake of patients
prevention/tools/surgical/safety_climate/en/. reflective of their overall surgical case load,
with the aim of recruiting approximately 50
In SUSP-Africa, each hospital established SSI
operations per month;
surveillance for the duration of the project. SSI
surveillance is particularly challenging in settings • 30-day follow-up after all operative procedures
with limited resources, but it was a key pillar was conducted and used inpatient chart reviews,
of the SUSP approach, together with monitoring outpatient clinic attendance and telephone calls
compliance of the key preventive measures for contact with patients, as well as requests
implemented. Important factors that supported to send pictures to monitor wound status;
the surveillance activity were: • data collection was performed by staff in ORs
• a protocol was developed specifically for this and by IPC staff postoperatively; one additional
project, adapted from methods described by the member of the nursing staff in each hospital
US Centers for Diseases Control and Prevention; was employed to lead surveillance activities.
SECTION II: IMPROVEMENT INTERVENTION EXAMPLES FOR SURGICAL SITE INFECTION REDUCTION 37
4.2.4 Key lessons from the SUSP-Africa A key success of the intervention was its gradual
experience integration into routine clinical practice and
According to the experience of the teams and the local production or procurement of specific
mentors implementing SUSP-Africa, key lessons products became part of the regular budget.
included the necessity to define the prerequisites Hospital staff in these institutions were highly
to start such a project, to identify the factors motivated to improve their practices and local
most likely leading to success (Box 4.2), and to project leaders were influential members of their
overcome the challenges (Box 4.3) that slowed respective departments.
down or hampered implementation.
Obstacles and challenges were also encountered. Most of these are typical when promoting improvement
and change, especially when resources are limited and other health priorities
may require investment.
SECTION III 39
ΒΟΧ 5.1
Five key elemens identified by WHO for infection prevention and control multimodal
strategies in a health care context
More specifically, the five elements can be applied to SSI prevention as described in Box 5.2.
Table 5.2. The five components of the multimodal strategy applied to SSI prevention
Component Description
System change Refers to ensuring that the health-care facility has the necessary infrastructure and resources in place
to allow for implementation steps to be taken for SSI prevention. The right infrastructure and available
resources can streamline interventions for consistent delivery of care and make execution easier and
safer. This is often considered to be essential when introducing or making changes in the health-care
setting and it must be taken into account at all times.
Training and Effective, practical training and education methods (aligned to evidence-based SSI prevention
education recommendations) are one important part of achieving improvement. Insufficient knowledge, particularly
of SSI recommendations, their evidence base and the reasons why they are important, is a key barrier to
change.
Monitoring Regular monitoring and evaluation of recommended practices and procedures, infrastructures and
and feedback available resources and supplies, and health worker knowledge and perception of the problem, coupled
with timely feedback of SSI rates and risk factors for SSI, is vital if improvement is to be achieved.
Evaluation and feedback should not be seen as a component separated from implementation or only
to be used for scientific purposes, but rather as an essential step in identifying areas deserving major
efforts and in feeding crucial information into the local action plan, including measurement of the
changes induced by implementation (particularly when undertaking continuous monitoring) and to
ascertain whether the interventions have been effective, thus providing a degree of assurance.
Reminders and Communications and reminders in the workplace are key to prompting and reminding health workers
communications about the importance and relevance of practices to prevent SSI and are particularly important at the
for awareness- point of care. They are also a means of informing patients and their visitors of the standard of care
raising (previously that they should expect to receive from their health workers, as well as informing senior leaders and
‘reminders in the decision-makers about the standards that they should assure.
workplace’)
Institutional safety The institutional safety climate and culture refer to creating an environment and the perceptions
climate and culture that facilitate awareness-raising about SSI prevention at all levels. At the institutional level, this
change component represents the foundation for implementing and sustaining improvement, which must
be embedded in a climate that understands and prioritizes surgical safety issues, including through
team ‘spirit’ and cohesion. At the individual level, this component is important with respect to
accountability/ownership, advocacy, championing and the self-capacity to make change by all health
workers, and at times patients/visitors. Through the creation of an institutional safety climate and
the ‘right’ culture for the local context, both the institution and each health worker become aware
of their capacity to make a change and catalyse improvement across all risk factors.
Figure 5.2
The five steps of the WHO multimodal
1. Build it
(system change)
improvement strategy: ‘build it’, ‘teach it’,
‘check it’, ‘sell it’, ‘live it’. yy What infrastructures, equipment, supplies and other resources
(including human) are required to implement the intervention?
yy Does the physical environment influence health worker
behaviour? How can ergonomics and human factors
approaches facilitate adoption of the intervention?
yy Are certain types of health workers needed to implement the
intervention?
yy Practical example: when implementing hand hygiene
interventions, ease of access to handrubs at the point of care
and the availability of WASH infrastructures (including water
and soap) are important considerations. Are these available,
affordable and easily accessible in the workplace? If not, action
is needed.
2. Teach it
(training & education)
yyWho needs to be trained? What type of training should be used
to ensure that the intervention will be implemented in line with
evidence-based policies and how frequently? 3. Check it
yyDoes the facility have trainers, training aids, and the necessary (monitoring & feedback)
equipment?
yy How can you identify the gaps in IPC practices or other
yyPractical example: when implementing injection safety indicators in your setting to allow you to prioritize your
interventions, timely training of those responsible for intervention?
administering safe injections, including carers and community
workers, are important considerations, as well as adequate yy How can you be sure that the intervention is being
disposal methods. implemented correctly and safely, including at the bedside?
For example, are there methods in place to observe or track
practices?
yy How and when will feedback be given to the target audience
and managers? How can patients also be informed?
yy Practical example: when implementing surgical site infection
interventions, the use of key tools are important considerations,
such as surveillance data collection forms and the WHO
checklist (adapted to local conditions).
4. Sell it
(reminders & communication)
yyHow are you promoting an intervention to ensure that there are
cues to action at the point of care and messages are reinforced
to health workers and patients? 5. Live it
yyDo you have capacity/funding to develop promotional
messages and materials?
(culture change)
yyPractical example: when implementing interventions to yy Is there demonstrable support for the intervention at every
reduce catheter-associated bloodstream infection, the use of level of the health system? For example, do senior managers
visual cues to action, promotional/reinforcing messages, and provide funding for equipment and other resources? Are they
planning for periodic campaigns are important considerations. willing to be champions and role models for IPC improvement?
yy Are teams involved in co-developing or adapting the
intervention? Are they empowered and do they feel ownership
and the need for accountability?
yy Practical example: when implementing hand hygiene
interventions, the way that a health facility approaches this as
part of safety and quality improvement and the value placed on
hand hygiene improvement as part of the clinical workflow are
important considerations.
SECTION III: THE WHO MULTIMODAL APPROACH AS A PROVEN AND SUCCESSFUL WAY TO IMPLEMENT SURGICAL SITE INFECTION PREVENTION 43
RECOMMENDATIONS INTO PRACTICE
Scientific evidence and global experience show framework for creating the supportive and enabling
that each component of the WHO strategy environment and climate for organizational and
is crucial. In general, no component can be behavioural change to happen across teams and in
considered optional if the objective is to achieve the specific setting where they are applied.
an effective and sustainable impact. However,
the implementation strategy itself is designed To demonstrate the similarities between the two
to be adaptable without jeopardizing its fidelity models, WHO gathered expert consensus and
and intended outcome. Therefore, depending on undertook a thematic analysis of the Four E’s
the local situation and available resources, some approach to compare it to the WHO multimodal
components might be given more emphasis than strategy (32) (Figure 5.3). The aim was to promote
others or might be practically implemented a consistent global approach that has the potential
in different ways. Regular assessment allows to facilitate adaptation and implementation of IPC
health facilities to direct efforts to all, some guidelines into practice. It is clear that there are
or one of the components at any given time. congruence and synergies between the two proven
approaches even where this is not readily evident
In section II, we explored another implementation and despite the different language used.
model (the Four E’s: engage, educate, execute In summary, system change equates to executing
and evaluate) (18) outlining the critical factors (the right things in the right place at the right time),
for success in improvement programmes and training and education clearly equates to educate
used it to review the literature related to in the Four E’s model, evaluation and feedback
interventions aimed at improving surgical practices equates to engaging and evaluating, reminders in
and reducing SSI. This approach and the WHO the workplace (or reminders and communication)
multimodal strategy have in common that they equates to engagement, and finally institutional
point out ‘how’ improvement programmes can safety climate (or culture change) equates to the
be organized to successfully support and enable actions running through all components/Four E’s.
the implementation of technical prevention Therefore, the relevance of applying the WHO
measures (for example, protocols for the multimodal strategy for the prevention of SSI well
appropriate insertion and maintenance of central- concurs with the existing evidence for the proven
line catheters). In other words, they provide the efficacy of the Four E’s model.
Figure 5.3
Visual representation of the similarities and relationship between
the WHO multimodal improvement strategy and the Four E’s approach
System change
Engage
Training and Education
Educate
Monitoring and Feedback
Execute
Reminders and Communications
Evaluate
Culture change*
A. System change – ensure Table 5.3 includes the WHO SSI prevention
that the facility has the right recommendations that mostly require system
infrastructure and resources change (in particular. procurement of specific
equipment) for effective implementation.
to implement and maintain
It is important to consider that other key SSI
the recommendations
prevention measures, which are not the object of
WHAT DO YOU NEED TO KNOW? the 2016 WHO evidence-based recommendations,
System change refers to ensuring that may also require system change (for example,
the health-care facility has the necessary sterilization of surgical equipment).
infrastructure and resources in place to
allow for implementation steps to be taken
for SSI prevention. The right infrastructure
and available resources can streamline
interventions for consistent delivery of care
and make execution easier and safer.
This is often considered to be essential
when introducing or making changes in
the health-care setting and it must be taken
into account at all times.
SECTION III: THE WHO MULTIMODAL APPROACH AS A PROVEN AND SUCCESSFUL WAY TO IMPLEMENT SURGICAL SITE INFECTION PREVENTION 45
RECOMMENDATIONS INTO PRACTICE
Table 5.3 Examples of WHO SSI prevention recommendations requiring system change
Preoperative Perioperative Peri- and postoperative
– Patients with known nasal carriage of S. – Warming devices should be used in – Advanced dressing of
aureus should receive intranasal applications the OR and during the surgical procedure any type should NOT*
of mupirocin 2% ointment with or without for patient bodywarming with the purpose be used over a standard
a combination of chlorhexidine gluconate of reducing SSI. dressing on primarily
body wash. – Protocols for intensive perioperative closed surgical wounds
– SAP should be administered before the blood glucose control should be used for the purpose of
surgical incision, when indicated (thus for both diabetic and non-diabetic adult preventing SSI.
requiring SAP to be in the right place at patients undergoing surgical procedures
the right time). (potentially with changes to support
– Surgical hand preparation should be monitoring).
performed either by scrubbing with a suitable – Goal-directed fluid therapy should be used
antimicrobial soap and water or using a intraoperatively for the purpose
suitable alcohol-based handrub before of reducing SSI.
donning sterile gloves. – Either sterile, disposable non-woven
– Alcohol-based antiseptic solutions based or sterile, reusable woven drapes and
on chlorhexidine gluconate for surgical site surgical gowns can be used during surgical
skin preparation should be used in patients operations for the purpose of preventing
undergoing surgical procedures. SSI.
– In patients undergoing any surgical procedure, – Consider the use of irrigation of the
hair should NOT be removed or, if absolutely incisional wound with an aqueous
necessary, only be removed with a clipper. povidone iodine solution before
– Consider the administration of oral or enteral closure for the purpose of preventing
multiple nutrient-enhanced nutritional SSI, particularly in clean and clean-
formulas for the purpose of preventing SSI contaminated wounds.
in underweight patients who undergo major – Adult patients undergoing general
surgical operations. anaesthesia with endotracheal intubation
– Mechanical bowel preparation alone (without for surgical procedures should receive
the administration of oral antibiotics) should 80% fraction of inspired oxygen
NOT be used in adult patients undergoing intraoperatively and, if feasible, in the
elective colorectal surgery. immediate postoperative period for 2–6
hours.
WHAT ACTION NEEDS TO HAPPEN? Asking such questions will help the health-care
organization to determine where the leverage
A number of steps will likely be required to ensure
points are located in the local system and which
the necessary infrastructure and resources are in
of them is worth acting upon in order to transform
place for action to address recommendations that
a limitation into an action step for preventing SSI.
require any system change. Human factors theory
Additional local risk assessment should consid-
is a useful point of reference to consider when
er the interactions between health workers and
undertaking system change (33).
the system in order to assess the reasons for not
The health-care organization needs progressing adherence to a WHO SSI prevention
to ask itself some key questions: recommendation. Lack of resources may be one
What are the limitations of our current of these. It may also be necessary to ensure that
the system prevents health workers from perform-
system/infrastructure that prevent us
ing unsafe acts. For example, stopping hair removal
from implementing actions to improving
will not be realistic if razors are still available in
SSI prevention?
all wards/preoperative areas.
Do we know how to re-allocate existing
resources or deploy resources within
the facility, including when improvement
is slower than expected? EXAMPLE 1
Are the resources and equipment for SSI If it is intended to perform patient preoperative
prevention available to the relevant user screening to determine nasal carriage of
at the right time and in the right place S. aureus prior to receiving intranasal
(that is, the design of the current working applications of mupirocin 2% ointment with
environment is supportive of workflow, or without a combination of chlorhexidine
including SSI prevention resources and gluconate body wash, is the laboratory service
equipment)? available/able to identify carriers? Is the
equipment available for both screening and
Are they properly stored, easy to access,
treatment?
timely supplied, tracked and maintained,
usable and meet current safety and policy
standards?
Do we need to introduce barriers to discourage EXAMPLE 2
the unsafe use of resources and equipment? In recent years, many facilities have switched
Do we need to procure, produce, identify, to using disposable clipper heads when hair
allocate or prepare for the improvement to removal is absolutely necessary. Does your
take place and for the system change to be facility use disposable clipper heads or if your
sustainable in order to help staff to prevent setting lacks the resources for disposable
SSI? clippers, have you put in place a safe procedure
to decontaminate clipper heads and blades
so that they can be reused?
SECTION III: THE WHO MULTIMODAL APPROACH AS A PROVEN AND SUCCESSFUL WAY TO IMPLEMENT SURGICAL SITE INFECTION PREVENTION 47
RECOMMENDATIONS INTO PRACTICE
Table 5.4
Summary checklist of actions for system change to be achieved for any of the WHO SSI recommendations
There is visible commitment from management to address infrastructure and resource needs.
Assessment of current limitations and strengths for improving adherence to SSI recommendations has been carried out.
Budget has been secured for infrastructure and resource needs (this may require business cases to be developed).
An action plan for implementing any new infrastructure and resource needs is available, including the exact location and
by when this should be achieved.
An identified, dedicated team exists to implement the action plan with clear roles and responsibilities.
A clear system for staff to record learning from defects related to infrastructure and resources is available and accepted
within the culture of the facility as a learning tool.
An approach for ongoing checks on the infrastructure and resources is established within the monitoring and feedback plans
of the facility.
All facility documentation, for example, policies, standard operating procedures, procurement plans, as well as education
and training contents, are updated to reflect the infrastructure and resources that will support safe implementation and SSI
prevention.
Valid and reliable tools to support the required system change have been identified and are available.
It is important to note that apart from establishing of the multimodal strategy will also have
the right infrastructure and resources, other aspects to be addressed to make any change happen.
WHAT ACTION NEEDS TO HAPPEN? The facility needs to ask itself some key
A number of steps will likely be required to ensure
questions:
that training and education actions lead to the – Do we have staff who are competent
change in behaviour and practice that needs to be in delivering targeted training?
achieved. Trainers may wish to consider training – Do we have the right materials and
content developed by WHO (http://www.who. equipment to deliver the training
int/infection-prevention/tools/surgical/training_ (related to system change*)?
education/en/) and/or should design new resources – Which staff need to be trained and
in line with the SSI recommendation how can we ensure that staff can attend
and the objectives related to the system change training sessions?
to maximize the complementarity among the
different elements of the multimodal strategy. * It is also important to ask if any system
Training modalities should be planned according change has been made or is needed so
to the specific practices needed to implement that the training delivered is realistic
the recommendation, while taking into account to the setting, for example, if training
the limitations and strengths of the local context. on use of negative pressure devices takes
The recommendation on training and education as place, the actual device needs to be
a core component of effective IPC programmes (8) available for use.
clearly indicates the efficacy of team and task-
based strategies that are participatory and include
bedside and simulation. In addition, the facility EXAMPLE
manual supporting the implementation of the If staff cannot leave the clinical area for specific
recommendations provides ideas, tips and examples training sessions, then training can be facilitated
to help trainers achieve these aims (23).. at the place of work (point of care) and/or
embedded in existing opportunities. Do you
use gatherings such as town hall meetings to
highlight key training points
on SSI prevention?
Table 5.5
Summary checklist of actions for training and education to be achieved for any of the WHO SSI recommendations
There is visible commitment from management and clinical leaders to ensure that training and education is delivered in
an effective, timely manner.
Budget is available to ensure the right materials and media are available for training.
An action plan to roll-out targeted, specific training is available and has been viewed and approved by all relevant others.
An identified, dedicated and competent team who will deliver the training exists.
A clear system for reporting on and possibly recording training sessions is available and allows feedback to management
and all staff on progress on reaching training targets, for example, number of staff by discipline.
An approach for ongoing checks on knowledge and perception is in place to assess the training and education sessions.
All facility documentation, for example, policies, standard operating procedures and procurement plans, are up to date
with the content of the training materials.
It is important to note that apart from providing happen in practice. Some further practical examples
training and education, other aspects of the are available at the end of this section to help you
multimodal strategy will also have to be on your journey.
addressed to make any sustainable improvement
WHAT ACTION NEEDS TO HAPPEN? The facility needs to ask itself some key
A number of steps will likely be required to
questions:
ensure that selected indicators and feedback – Do we know what are the key processes
actions reflect the overall objective of the SSI we want to monitor and how?
prevention intervention and are consistent with – Do we have staff who are competent in
system changes and training and education undertaking monitoring and feedback?
content. Planning for evaluation and feedback – Do we have the right resources to conduct
should involve primarily the IPC team and monitoring?
eventually engage everyone in order to create an
– Which staff need to be trained to ensure
understanding of the importance of local data.
effective monitoring and feedback?
Knowledge of the local situation through the
use of data and other information is critical to – Are there fora where feedback can be
create situation awareness and trigger teamwork. delivered?
Selecting the right process, infrastructure and – Is the organization prepared for receiving
knowledge indicators to reflect system and feedback and acting upon it?
practice change are essential elements and require – Have we asked staff members how
the expertise of the IPC team. they could contribute to improvements
Furthermore, SSI surveillance is the critical following evaluation and feedback?
component of the assessment framework of a
SSI improvement programme. Surveillance data EXAMPLE
are essential for improvement and can be a most Targeted feedback is an important part of
persuasive factor when faced with a situation improvement and behaviour change. Has your
where clinicians do not think change is required. facility consulted and agreed on different formats
The conduct of monitoring and surveillance for providing feedback to different staff groups?
activities requires the support and agreement
of the facility leadership and the chiefs of the Examples of targeted process evaluation
targeted surgical services as it is linked to patient and feedback
safety and performance assessment and may • If the use of alcohol-based antiseptic solutions
require some additional resources (for example, containing chlorhexidine gluconate for surgical
dedicated time of trained staff and microbiological site skin preparation is one of the planned
investigations in some cases). Building monitoring objectives for reducing SSI, monitoring of
and surveillance capacity will require some degree preoperative skin disinfection and feedback on
of training of the person identified as the lead for interim results need to be organized.
surveillance (most likely, the IPC lead) and those • If improving surgical hand preparation is one of
dedicated to data collection, usually the nurses the planned objectives for reducing SSI, assessing
and physicians working in the wards or departments the use of the correct product (scrubbing with a
where surveillance is conducted. If this expertise suitable antimicrobial soap and water or using
does not yet exist, this should form the initial an appropriate alcohol-based handrub) and
priority focus for your plans. Consider what technique, together with feedback of the results of
expertise is available in nearby health facilities compliance observations need to be organized.
and nationally to support this activity. • If avoiding hair removal (or using a clipper in case
of absolute necessity) in patients undergoing
any surgical procedure is one of the planned
objectives for reducing SSI, monitoring of
this needs to be organized in the preoperative
period either in the ward or in the OR, including
feedback on interim results.
• If correct SAP administered at the right time
(within two hours before surgical incision) is
one of the planned objectives for reducing SSI,
monitoring of antibiotic administration and
feedback on interim results need to be organized.
52 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
Table 5.6
Summary checklist of actions for evaluation and feedback to be achieved in relation to any of the WHO SSI
recommendations
There is visible commitment from management to ensure monitoring and feedback is conducted in timely manner with an
open culture in providing and receiving feedback for action and not blame.
Budget is available to ensure the right materials and human resources are available for monitoring.
An identified, dedicated and competent team who will undertake consistent, valid and reliable monitoring exists, including
members with analytical skills.
A reliable protocol has been identified or developed and a list of indicators is defined and used to monitor advancement and
accounting for critical issues.
An action plan for conducting specific monitoring and feedback of process indicators and SSI surveillance in the context of
the overall local improvement plans has been developed, reviewed and approved by all relevant staff.
Training of observers has been conducted, if necessary.
The task of analysing the data has been assigned and there is a plan for interim and final analysis of the data and their use in
the context of the improvement plan.
The team in charge of monitoring and feedback meet on a timely base to brief and debrief the activity carried out.
An approach for ongoing checks on action against monitoring feedback/defects is in place.
The WHO Surgical Safety Checklist is in use with management of any defects in adherence.
All facility documentation, for example, policies, standard operating procedures, procurement plans, are concurrent with
monitoring indicators.
WHO already provides a number of tools that can help with monitoring aspects of the guidelines.
SECTION III: THE WHO MULTIMODAL APPROACH AS A PROVEN AND SUCCESSFUL WAY TO IMPLEMENT SURGICAL SITE INFECTION PREVENTION 53
RECOMMENDATIONS INTO PRACTICE
D. Reminders and communications Reminders and prompts are key to remind all
for awareness-raising those involved in surgical care how to take the
right evidence-based actions when needed and
WHAT DO YOU NEED TO KNOW?
should be used as part of a multimodal strategy.
Reminders and communications in the work- Dedicated teams should position reminders
place are key to prompting and reminding appropriately in order to trigger staff attention
health workers about the importance and on the most critical and relevant action to
relevance of practices to prevent SSI and are be taken in order to prevent SSI. Most of the
particularly important at the point of care. WHO recommendations lend themselves to this
They are also a means of informing patients approach. Communication is key to construct
and visitors of the standard of care that they the organizational culture and attitude regarding
should expect to receive from their health the key recommendations for preventing SSI. It
workers, as well as informing senior leaders should be oriented both internally and to a wider
and decision-makers on the standards that audience to create problem-awareness and point
they should assure. to the identified solution and local action to
reduce the burden of SSI.
WHAT ACTION NEEDS TO HAPPEN? The facility needs to ask itself some key
A number of steps will likely be required to
questions:
ensure that reminders are coherent and aligned – Do we know what are the best places
with the comprehensive multimodal strategies where reminders on key recommendations
and objectives defined by the health-care facility should be placed and which
regarding the key recommendations and concepts recommendation should be targeted?
promoted through training and education, – Do we know which staff members would
as well as other dimensions. This will support benefit from reminders?
the goal that staff accept reminders and – Do we know what are the key messages
progressively embed them in current behavior to communicate with simple language
and practices for SSI prevention. The local understandable locally?
situation and culture and available expertise
should be taken into account in order to
– Do we have the right expertise and
construct sound and effective communication
resources to develop impactful
strategies regarding the implementation of key
communications?
recommendations. – Have we asked staff members how they
could contribute to communication
exercises and what practices would benefit
EXAMPLE from tailored reminders?
In the SUSP project described in section II, – Do we know the objectives of a
the content for a reminder summarizing all SSI communication strategy to support SSI
prevention measures included in the intervention prevention at the local level and how to
was designed by local staff. They considered design it according to diverse audiences
it helpful to categorize the measures to be and media?
improved according to the pre- peri- and
intraoperative periods and to use the term A sample action plan, as well as identification of
‘wound’ infection rather than SSI. The same barriers and solutions for monitoring and feedback
designed content was used in different supports, of IPC practices, is included in Part III of the
such as a poster, a folded leaflet and banners Improving infection prevention and control at the
to suit different audiences and uses. Have you health facility. Interim practical manual supporting
included clinical staff in your communication implementation of the WHO Guidelines on core
exercises to be sure that the language and components of infection prevention and control
format will be acceptable? programmes” (23 ) and can be easily applied to SSI
prevention programmes.
54 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
WHO NEEDS TO BE INVOLVED? you can ask ward or OR staff to create posters
describing the evidence-based recommendations
Each staff discipline most relevant to the change
that require change.
you want to see should be engaged in reminders
and communication plans and activities. To address • If you have financial resources, engage
the risk factors associated with SSI prevention, all communication experts to work alongside local
those working in or associated with surgery will be staff.
important at different stages of communication • If you suppose or know that a recommendation
plans in order to assure that the scientific content is still not being adhered to even after
of the message is coherent and aligned with care communications or reminders have been posted,
activities. The following are suggestions for continue to involve a range of hospital staff
developing communications and targeting key staff. including clinical and management as well as
communication experts, where possible, to
• If you decide that certain/all SSI review materials and adjust the strategy.
recommendations need communications to
ensure that they attract the attention they Consistency of communications and the content
deserve to encourage implementation, engage of reminders with training and education materials
all relevant staff groups in preparing and should be ensured and trainers should be also
disseminating these messages. For example, involved in their development.
Table 5.7
Summary checklist of actions for reminders and communications for awareness raising to be achieved in relation
to any of the WHO SSI recommendations
There is commitment from management to support communications as part of a multimodal strategy.
Budget is available to ensure that the right communications can be created and issued.
An identified, dedicated and competent team who will be able to develop or support the development of communications
exists.
Communications are consistent with all other facility documentation, for example, policies, standard operating procedures,
procurement plans, and with the facility communication style and local culture
WHO already provides a number of examples System change may also be necessary to ensure
that can help with communications, reminders that the recommendations being promoted can
and prompts (WHO tools as a reminder in the be achieved. For example, posters stating that
workplace [hand hygiene] http://www.who. hair removal should only be performed with
int/infection-prevention/tools/hand-hygiene/ clippers if clippers are not available, will make the
workplace_reminders/en/; WHO tools for communication strategy fail. This again implies
communications for awareness-raising [injection the cyclical or stepwise nature of the multimodal
safety] http://www.who.int/infection-prevention/ strategy where some components will need to be
tools/injections/communications/en/). addressed before others.
SECTION III: THE WHO MULTIMODAL APPROACH AS A PROVEN AND SUCCESSFUL WAY TO IMPLEMENT SURGICAL SITE INFECTION PREVENTION 55
RECOMMENDATIONS INTO PRACTICE
WHAT ACTION NEEDS TO HAPPEN? The facility needs to ask itself some key
The CUSP process includes five steps:
questions:
– Are senior management engaged and
1. science of safety training;
participating in the workings of surgical
2. identifying safety hazards – a continuous process; units?
3. senior executive partnership;
– Are staff listened to when they have
4. learning from defects; concerns about patient safety or defects?
5. implementation of improvement tools.
– Are issues or disagreements in surgical
units resolved appropriately with what
It is clear that while training, monitoring and is best for the patient as the focus?
feedback and subsequent improvement steps using
a checklist and other tools have been covered
– Are all staff, including senior management,
throughout this section, the specific CUSP process
able to attend training and other sessions
is about engagement of the right people to ensure
that discuss hazards and defects, for
the right outcome. It has been demonstrated that
example, grand rounds?
this leads to culture change within surgical units – Would staff say that they would feel
in support of SSI reduction (34). Achieving an safe being treated in the surgical unit
institutional safety climate also depends on broader as a patient?
training and learning from defects that refers to – Are the staff part of teams that design
the institutional mission, which encompasses the targeted interventions to achieve
training on the actual SSI recommendations. improvement in surgical processes?
EXAMPLE
Communication from hospital leadership has been shown to be effective in supporting infection
prevention. Is there a process whereby your facility’s leadership has committed to the SSI reduction
programme? For example, have chief executives agreed to have meetings with clinical teams
to address barriers (including resources)?
56 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
Overall, who should be involved in ensuring • If your facility appears to be successfully
an institutional safety climate and culture? addressing the SSI burden, the goal should be to
Each staff discipline most relevant to the change demonstrate achievements through assessments
you want to see should be targeted and roles and and to reward individual and team excellence
responsibilities clearly outlined from the outset. until everyone is confident that culture change
is embedded and teams are working to achieve
• If your facility has not already recognised quality and safety every day without defects.
that SSI is a problem, the IPC team, senior
management, the quality and safety team, and Health care facilities may also choose to
senior clinical staff must meet to discuss why engage patients as part of efforts to enhance
addressing SSI is necessary to quality and safety. the institutional safety climate.
• If your facility has started the journey of
addressing SSI, these teams and individuals should
continue to work together to address all actions
required to build a safety climate around SSI
prevention.
Examples of SSI recommendations and who needs to be involved to create the right
culture to support implementation
Recommendation Who should be involved
Table 5.8
Summary checklist of actions for an institutional safety climate and culture to be achieved in relation to any
of the recommendations
There is visible commitment from senior management to support change in surgical units.
Leads and senior staff in the surgical unit(s) proactively show commitment and play role models to catalyse change among
all staff.
Budget is available to support activities that facilitate change (for example, celebrations of success, awards to teams/units
that have achieved results, etc.).
An identified, dedicated and competent team has been formed and empowered to take action with clearly defined roles.
Culture assessment surveys have been undertaken at baseline and are planned for follow-up and the results have been used
to inform the subsequent plan.
An action plan for change is in place with agreed timelines for review.
Learning from defects and other safety tools are being used.
Training opportunities exist and are consistent with the culture shift being addressed.
A number of tools that can help with progressing [hand hygiene]: http://www.who.int/infection-
an institutional safety climate and culture are prevention/tools/hand-hygiene/safety_climate/
available from WHO and CUSP (US Agency for en/; WHO tools for an institutional safety climate
Healthcare Research and Quality Tools to promote and culture [injection safety]: http://www.who.
safe surgery; https://www.ahrq.gov/professionals/ int/infection-prevention/tools/injections/safety-
education/curriculum-tools/cusptoolkit/index.html; climate/en/).
WHO tools for an institutional safety climate
58 PREVENTING SURGICAL SITE INFECTIONS: IMPLEMENTATION APPROACHES FOR EVIDENCE-BASED RECOMMENDATIONS
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ISBN 978-92-4-151438-5