Self Assessment Correct Flashcards
Which of the following is a component of a quality management system?
- A. Customer needs.
- B. Organizational structure.
- C. Staff selection.
- D. Prevention of unauthorized access.
- E. Calibration.
Organizational structure.
- Components of a quality management system are: organizational structure, responsibilities, policies, processes, procedures, and resources needed. It is the responsibility of executive management to address these elements for QA.
- The other answers are not quality system components, but rather, a quality function or responsibility.
For sentinel events, which of the following is true?
- A. A sentinel event is any unexpected occurrence that results in death.
- B. Hospitals are required to report a sentinel event to The Joint Commission.
- C. Failure to submit a root cause analysis for a reported sentinel event may result in denial of accreditation by The Joint Commission.
- D. Only deaths resulting from medical errors qualify as reviewable sentinel events by The Joint Commission.
- E. A root cause analysis is not necessary if the event can be clearly attributed to an error by an individual or group of individuals.
Failure to submit a root cause analysis for a reported sentinel event may result in denial of accreditation by The Joint Commission.
- A sentinel event is an unexpected occurrence involving death or serious physical or psychological injury, or risk thereof.
- Serious injury includes loss of limb or function.
- “Risk thereof” includes any situation for which recurrence would carry a significant chance of a serious adverse outcome.
- These events signal the need for immediate investigation and response.
- Hemolytic transfusion reactions caused by the administration of ABO-incompatible blood or components are sentinel events.
- The Joint Commission does not require sentinel event reporting but it does encourage reporting for purposes of:
- Sharing “lessons learned” with other institutions.
- Consultation with The Joint Commission staff during root cause analysis and development of corrective action.
- Demonstrating due diligence in addressing patient safety issues.
- Once The Joint Commission is aware of a sentinel event, either through voluntary reporting or other methods, the organization must submit a thorough and credible root cause analysis and action plan within 45 days of discovering the event.
- If more than 45 days have elapsed at the time of discovery, the
organization has 15 days to submit a root cause analysis and
action plan.
- If more than 45 days have elapsed at the time of discovery, the
- Beyond the due date, there are still opportunities for an organization to comply with the requirement to submit a root cause analysis and action plan. If the root cause analysis is not submitted within 90 days of the due date, a recommendation for denial of accreditation status is submitted to the Accreditation Committee. Even then, the organization is given the opportunity to respond.
- Root cause analysis should identify the risk factors that contribute to the probability of an event occurring. An error by an individual or group of individuals may be indicative of an ineffective process. Additionally, not all sentinel events are the result of errors.
A laboratory purchases a new plasma freezer and is in the process of equipment qualification. The lab checks that the freezer control alarms are triggered when the temperature goes beyond the established range. This testing is an example of which aspect of equipment qualification?
- A. Installation qualification (IQ).
- B. Calibration of equipment.
- C. Operational qualification (OQ).
- D. Emergency preparedness.
- E. Performance qualification (PQ).
Operational qualification (OQ).
- IQ, OQ, and PQ are the components of equipment qualification. IQ is focused on environmental needs for the equipment (eg, space needed, table-top versus floor instrument, appropriate ventilation). OQ is focused on the equipment working properly (ie, holds appropriate temperature, control alarms). PQ is focused on verifying the capabilities of the equipment (ie, it maintains blood products at a set temperature, control alarms interface with institutional security). See also Explanation for Question 25.
- Testing that control alarms function properly is an example of OQ because it is verification that freezer alarms are working properly.
At the blood collection center, a potential blood donor is deferred because he had sex with a man last week. Unfortunately, the costs associated with recruitment and initial screening of this donor cannot be recovered via collection of a transfusable product. How may a donor center best minimize these costs of quality?
- A. Donor education with initial recruitment materials.
- B. Donor education with required reading during assessment.
- C. Donor education during limited physical exam.
- D. Postdonation look-back procedures when new information is provided.
- E. Postdonation audits of donor history.
Donor education with initial recruitment materials.
- When taking a process approach to blood donation, efforts to educate potential donors of reasons for deferral prior to the donor assessment is the optimal way to minimize the costs of quality. Once the potential donor begins the assessment process, more is invested (ie, phlebotomist, nursing, and potentially physician time) to ensure quality, which does not result in a transfusable product. If a donor who should have been deferred is collected, then even more resources are consumed. Not only does the collection facility need to gain control over the collected products, but it also must invest in review and actions to prevent similar errors in the future.
The individual designated to oversee a facility’s quality functions must have authority to:
- A. Take disciplinary action against individuals who repeatedly disregard institutional policies, processes, and procedures.
- B. Initiate corrective action for processes that do not comply with requirements.
- C. Approve and implement new or changed medical policies, processes, and procedures.
- D. Approve deviations from established policies, processes, and procedures.
- E. Approve and implement new or changed technical policies, processes, and procedures.
Initiate corrective action for processes that do not comply with requirements.
- The person with responsibility for oversight of the quality system should have the authority to recommend and initiate corrective action when appropriate.
- Other quality oversight functions include the following:
- Review and approval of: SOPs, training plans, validation and qualification plans, document control and recordkeeping systems, suppliers, and product specification.
- Review of nonconformances.
- Analysis of operational data.
- The medical director must approve all medical and technical policies and procedures. The quality oversight officer may not implement new or changed policies or procedures without the medical director’s approval.
- Exceptions to policies, processes, and procedures must be warranted by clinical situations, require justification, and must be preapproved by the medical director on a case-by-case basis.
For competency assessment (CA), which is true?
- A. CAs must be performed for each procedure or test that an employee performs.
- B. CAs must be performed at 3 months and 6 months during the first year of employment.
- C. Each CA must include both a written evaluation and direct performance observation.
- D. CAs must be performed at least annually after the employee’s first year.
- E. CAs must be performed by the laboratory supervisor, per Clinical Laboratory Improvement Amendments (CLIA) regulations.
CAs must be performed at least annually after the employee’s first year.
- CAs are required for any staff members whose functions may affect the quality of testing, the provision of services, or the manufacture of products.
- CA methods may include the following: Written tests, direct observation (eg, maintenance, performance), review of completed work, and testing of unknown samples.
- It is up to the employer to determine which methods will be used to perform CAs.
- Assessments may be targeted at techniques or methods that are applicable to several procedures. CAs for each procedure or test that an employee performs are not required.
- CMS requires that CAs be performed a minimum of twice in the first year of employment and at least yearly thereafter. The assessment completed at the end of training may serve as one of the first year’s assessments.
- CLIA regulations specify that the laboratory supervisor is responsible for ensuring that staff maintain competency, but they do not specify that only the supervisor may perform CAs. Each establishment may determine who is eligible to perform CAs. Criteria for eligibility should be described in the establishment’s quality system.
If a laboratory technologist has been working in a given laboratory for just over 3 years, what is the minimum number of CAs that should be in his or her file?
- A. One.
- B. Two.
- C. Three.
- D. Four.
- E. Five.
Five
- A laboratory technologist who has worked in a laboratory for just over 3 years should have at least five competency evaluations on file: at initial hire, at 6 months, at 1 year, at 2 years, and at 3 years. If competency issues have arisen during employment, then additional assessments should be on file.
Which of the following is true about critical supplies or services?
- A. Critical supplies are those needed the most for daily operations.
- B. The quality system should include processes to ensure that incoming supplies are acceptable.
- C. If supplies and reagents are FDA-approved, the vendors of those supplies are assumed to be qualified.
- D. The supplier must define acceptance criteria for the product or service.
- E. None of the above.
The quality system should include processes to ensure that incoming supplies are acceptable.
- Critical supplies are those materials, supplies, or services that affect the quality of products produced or services provided.
- A list must be maintained of critical materials, supplies, and services and approved suppliers.
- The quality system should include policies and processes that address the following: Supplier qualification, agreements, and how incoming supplies are received and qualified for use.
- Vendors of FDA-approved products must be qualified to serve as suppliers of critical supplies. The criteria used to qualify the vendor are determined by the establishment.
What should be done first when equipment is malfunctioning?
- A. It depends on whether any CLIA-regulated analytes are affected.
- B. Evaluate the potential clinical impact.
- C. Verify that preventive maintenance is up to date.
- D. Develop a Pareto chart with a quality review board.
- E. Develop a fishbone diagram with a quality review board.
Evaluate the potential clinical impact.
- Regardless of whether the analyte is CLIA-regulated, the clinical impact should be evaluated and documented. Of the options, this should be done first to minimize negative impact.
- The remaining answers may be needed at some point. One should verify that preventative maintenance had been done.A fishbone diagram helps assess potential causes of error. A Pareto chart helps assess which causes occur more commonly and where resources should be used.
For equipment used in the collection, processing, testing, or storage of blood components and human cells, tissues, and cellular and tissue-based products, which of the following is required?
- A. Biannual preventive maintenance.
- B. FDA inspection and approval before implementation.
- C. Biannual recalibration.
- D. Documentation of OQ.
- E. A list of employees currently approved to use the equipment.
Documentation of OQ.
- All equipment used in the collection, processing, testing, or stor- age of blood components or HCT/Ps must be qualified for use before implementation and after modifications or repairs that may affect its function.
- Qualification is demonstrating the equipment is capable of fulfilling specified requirements.
- There should be written procedures for installation, operational, and PQ.
- IQ verifies that the equipment and all components have been installed and activated in accordance with the manufacturer’s specification and any cGMP requirements that may be applicable. IQ includes ensuring the equipment is assigned a unique identification number and entered into a preventive maintenance program.
- OQ verifies that the functionality of the equipment conforms with the manufacturer’s specifications.
- PQ verifies that the equipment meets the user’s specifications. PQ tests should be designed to verify the satisfactory performance of the equipment or system in the organization’s processes. PQ is performed under the user’s operating conditions,
by user personnel, and with real process materials. PQ is performed after IQ and OQ.
- Employees must be trained on equipment use before being allowed to operate a piece of equipment. Employee training records should provide evidence of this training and document satisfactory results on a CA. A specific list of employees authorized to use the equipment is not required but may be desirable for complex pieces of equipment.
For documents and records, which of the following is true?
- A. The terms documents and records are used interchangeably.
- B. Documents and records must be retained indefinitely.
- C. Documents provide information on what should happen.
- D. Accrediting agencies may review documents, but records are legally protected from outside review.
- E. Records provide information on what should happen.
Documents provide information on what should happen.
- Documents are written policies, procedures, process descriptions, labels, work instructions, and forms. They describe the activities of the establishment and the expectations for how things should happen. Documents may be in paper or electronic format.
- Records provide evidence that what should have happened has happened. Forms become records when data are added to them. Records may be in paper or electronic format.
- The quality system should include a document management system that ensures documents are current and comprehensive and both current and obsolete documents are available. The system should also ensure records are accurate and complete.
- There should be defined processes for developing, approving, distributing, and maintaining documents.
- Distribution of documents should be controlled so copies of obsolete documents may be reliably retrieved and replaced with current documents.
- Documents must be reviewed, modified, and reapproved periodically. Review should be performed annually.
- Documents must be protected from unintended alterations or destruction.
- The required retention period for documents and records is determined by the purpose of the documents and records and is established by regulatory and accrediting organizations.
Which of the following events is a biological product deviation (BPD) that must be reported to the FDA?
- A. An Rh-positive Red Blood Cell (RBC) unit is incorrectly labeled as Rh negative and issued to an Rh-positive patient. The unit is returned to the blood bank.
- B. An Rh-positive unit is labeled as Rh negative and is crossmatched for an Rh-negative individual with anti-D. The unit is crossmatch incompatible. There is a delay in providing blood for the patient while the explanation for the positive crossmatch is pursued.
- C. While reviewing the blood donor questionnaires from the day’s collections, a supervisor notices that follow-up questions were missing for 15 donors who had responded that they had traveled to a malarial risk area. Eventually all 15 collections must be discarded because of incomplete donor histories.
- D. Blood bank policy requires that all neonates receive cytomegalovirus (CMV)-seronegative cellular blood products. AB CMV-seronegative platelets are not available for a group AB 3-month-old infant. Leukocyte-reduced AB platelets are issued with approval of the blood bank medical director.
- E. None of the above.
An Rh-positive Red Blood Cell (RBC) unit is incorrectly labeled as Rh negative and issued to an Rh-positive patient. The unit is returned to the blood bank.
- Manufacturing events that affect the safety, purity, or potency of blood components that have been distributed must be reported to the FDA. These events constitute biologic product deviations (BPDs).
- Manufacturing encompasses testing, processes, packing, labeling, storage, and distribution steps.
- Distribution of a product that does not meet known patient specifications also constitutes a BPD when this is a result of an error and not a therapeutic decision.
- Reporting is required only when the manufacturer has lost control of the product; ie, it has distributed the product. BPDs discovered before the establishment loses control of the product need not be reported, but should be thoroughly investigated and addressed by the quality unit.
- Reporting is required regardless of whether the product was administered or whether it resulted in an adverse event.
- A BPD report (BPDR):
- Must be submitted within 45 days of discovering information that would reasonably suggest a BPD has occurred.
- May be submitted on paper or electronically using a standardized form available from the CBER website.
- Deviation codes are used to classify events according to the type of error that occurred.
- The requirement to report BPDs also applies to HCT/Ps.
- HCT/P deviations are defined as events that are in violation of regulatory and established specifications for the prevention of communicable disease transmission or contamination, or unexpected or unforeseeable events that may result in disease transmission or contamination.
Which of the following statements is true about PT?
- A. PT may not be performed in duplicate.
- B. A flow cytometry laboratory may not perform PT that is reported by an HPC laboratory.
- C. PT is required only for CLIA-regulated tests.
- D. A laboratory may compare its results with results of other laboratories before reporting the results.
- E. If a laboratory fails a PT survey, it must discontinue performing that test until corrective action is implemented.
PT is required only for CLIA-regulated tests.
- As a condition of certification, laboratories must participate in an approved PT program for any CLIA-regulated testing that they perform. Notably, if your laboratory is certified by CAP, PT is required for all tests performed.
- In the absence of an approved program, laboratories must have a system for determining the accuracy and reliability of test results. For example, they may test reference samples or samples from a regional pool.
- PT samples must be handled and tested in the same manner as regular patient samples. Repeat testing is permitted providing that is also the manner in which patient specimens are tested.
- Laboratories operating under the same CLIA certificate may perform testing for each other. However, a laboratory may not send PT samples to a laboratory that operates under a different CLIA number, even if that laboratory is within the same facility and handles patient samples the same way.
- Laboratories may not discuss a proficiency survey with other laboratories during the active period of a survey.
- For CAP surveys, unsatisfactory performance on a single testing event requires investigation and corrective action by the laboratory but does not require suspension of testing or reporting to the laboratory accrediting program.
- Failure to attain a satisfactory score on two of three events requires immediate corrective action or suspension of testing. The corrective action must be approved by the accrediting program.
- Failure to attain a satisfactory score on three of four events is considered critical PT performance and requires immediate suspension of testing.
Which of the following donors is eligible to donate whole blood?
A. A 40-year-old female, blood pressure 175/101 mmHg, pulse 86 bpm, hemoglobin 13 g/dL, temperature 36 C.
B. A 25-year-old male, blood pressure 190/99 mmHg, pulse 100 bpm, hematocrit 45%, temperature 36.7 C.
C. An 82-year-old female, blood pressure 120/40 mmHg, pulse 72 bpm, hemoglobin 12.5 g/dL, temperature 37.2 C.
D. An 18-year-old female, blood pressure 150/80 mmHg, pulse 80 bpm, hemoglobin 11 g/dL, temperature 37 C.
E. A 16-year-old male, blood pressure 130/70 mmHg, pulse 90 bpm, hematocrit 42%, temperature 37.7 C.
Question 1: C
Which of the following donors is acceptable for whole blood donation?
A. A female with a hemoglobin of 11.0 g/dL by venipuncture.
B. A male with a hemoglobin of 13.0 g/dL by earlobe puncture.
C. A male with a hemoglobin of 12.5 g/dL by venipuncture.
D. A male with a hemoglobin of 13.0 g/dL by venipuncture.
E. A female with a hemoglobin of 10.0 g/dL by venipuncture.
Question 3: D
- The FDA has stated that earlobe hemoglobin measurements are unacceptable because of substantial variation in hemoglobin values compared with concurrent values from venipuncture samples.
- The FDA’s May 2015 final rule [21 CFR 630.10(f)(3)(i)(B)] defines the minimum hemoglobin level for males as 13.0 g/dL and the minimum level for females as 12.5 g/dL.
- The May 2015 final rule also includes new regulations to permit female donors with a hemoglobin level of 12.0-12.5 g/dL to donate provided the donor center uses standard operating procedures approved by the FDA for this purpose and as being adequate to ensure that the donor’s health will not be adversely affected.