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Adherence to Pressure Ulcer Prevention Guidelines:

Implications for Nursing Home Quality


Debra Saliba, MD, MPH,*‡§ Lisa V. Rubenstein, MD, MSPH,* †‡ Barbara Simon, MA,*
Elaine Hickey, RN, MS ¶ Bruce Ferrell, MD,* Elaine Czarnowski, and Dan Berlowitz, MD, MPH ¶

OBJECTIVES: This study aims to assess overall nursing line recommendations, ranging from 29% to 51% overall
home (NH) implementation of pressure ulcer (PU) preven- adherence across all 15 recommendations (P  .001) and
tion guidelines and variation in implementation rates among from 24% to 75% across the six key recommendations
a geographically diverse sample of NHs. (P  .001). Adherence rates for specific indications also
DESIGN: Review of NH medical records. varied, ranging from 94% (skin inspection) to 1% (educa-
SETTING: A geographically diverse sample of 35 Veter- tion of residents or families). Standardized assessment of
ans Health Administration NHs. PU risk was identified as one of the most important and
measurable recommendations. Clinicians performed this as-
PARTICIPANTS: A nested random sample of 834 residents
sessment in only 61% of patients for whom it was indicated.
free of PU on admission.
CONCLUSIONS: NHs’ overall adherence to PU prevention
MEASUREMENTS: Adherence to explicit quality review
guidelines is relatively low and is characterized by large
criteria based on the Agency for Healthcare Research and
variations between homes in adherence to many recom-
Quality Practice Guidelines for PU prevention was mea-
mendations. The low level of adherence and high level of
sured. Medical record review was used to determine over-
variation to many best-care practices for PU prevention in-
all and facility-specific adherence rates for 15 PU guideline
dicate a continued need for quality improvement, particu-
recommendations and for a subset of six key recommen-
larly for some guidelines. J Am Geriatr Soc 51:56–62,
dations judged as most critical.
2003.
RESULTS: Six thousand two hundred eighty-three instances
Key words: nursing home; quality improvement; pressure
were identified in which one of the 15 guideline recom-
ulcers; guidelines
mendations was applicable to a study patient based on a
specific indication or resident characteristic in the medical
record. NH clinicians adhered to the appropriate recom-
mendation in 41% of these instances. For the six key rec-
ommendations, clinicians adhered in 50% of instances.
NHs varied significantly in adherence to indicated guide-
P ressure ulcer (PU) prevention is a key element of nurs-
ing home care quality with important implications for
patients and healthcare systems. For patients, the develop-
ment of a PU is a major source of morbidity that is associ-
From the *Center for the Study of Healthcare Provider Behavior and ated with an increased risk of death.1–3 Systems or facilities
†Department of Medicine, Veterans Affairs Medical Center, Greater Los
must employ additional resources (staff time and treat-
Angeles System, Los Angeles, California; ‡Geriatric Research, Education,
and Clinical Center, Veterans Affairs Medical Center, Sepulveda, California; ments) if a patient develops a PU.4,5 In addition, families
§Department of Medicine, University of California at Los Angeles, Los and oversight agencies view the development of a new PU
Angeles, California; Center for Health Quality, Outcomes and Economic as a sentinel event or indicator of potentially poor nursing
Research, Bedford Veterans Affairs Medical Center, Bedford, Massachusetts; home (NH) quality.6,7
and ¶Boston University School of Public Health, Boston, Massachusetts.
The importance of this condition to patients and pro-
This research is based on a VA HSR & D funded study #CPG97-012 and
was presented at the Department of Veterans Affairs 19th Annual Health viders national8,9 and organizational10 monitoring efforts
Services Research and Development Services Meeting, February 2001, indicated. Although reported prevalence and incidence
Washington, DC. rates vary, on average, 12% of NH residents have an ex-
Dr. Saliba is a Research Associate of the Veterans Affairs Health Services isting PU,11 and about 6% of NH residents will develop a
Research and Development Services and a 2000 Pfizer/American Geriatrics
Society Foundation for Health in Aging Junior Faculty Scholar for Health
new PU over a 6-month period.12 Efforts to provide NHs
Outcomes in Geriatrics. with facility-level and national PU prevalence data repre-
Address correspondence to Debra Saliba, MD, MPH, RAND Corporation, sent one approach for stimulating quality improvement
1700 Main Street, Santa Monica, CA 90401. E-mail: saliba@rand.org (QI) activities.

JAGS 51:56–62, 2003


© 2003 by the American Geriatrics Society 0002-8614/03/$15.00
JAGS JANUARY 2003–VOL. 51, NO. 1 ADHERENCE TO PRESSURE ULCER PREVENTION GUIDELINES 57

Best-practice guidelines represent another potential ments. Each IF statement identified the group of residents
stimulus and provide an important tool for improving out- to whom the specific review criterion applied. Each THEN
comes of care.13 Recognizing the prevalence of PUs and the statement specified the recommended intervention for that
need for prevention tools, the Agency for Healthcare Re- group. These review criteria were adopted to assess guide-
search and Quality (AHRQ (formerly AHCPR)) assem- line use in the current study’s population.
bled a national interdisciplinary panel to develop a set of
best-practice guidelines for PU prevention. The expert Chart Abstraction Tool
panel developed clinical practice guidelines based, in part, A form that was developed and validated for assessing
on their evaluation of more than 800 scientific manu- hospital compliance with the PU prevention guideline re-
scripts related to PU prevention. The AHRQ Clinical Prac- view criteria was modified.22 The modification accounted
tice Guidelines for Pressure Ulcer Prevention incorporated for differences between hospitals and NHs in average length
this literature and scientific expertise to identify appropri- of stay, service mix, record organization, and levels of doc-
ate and effective care for preventing PU development. 14,15 umentation. The resulting NH chart abstraction tool and
These guidelines have been disseminated on a national accompanying instructions recognize the interdisciplinary
level and continue to be recommended as the standard of nature of PU care23,24 and use multiple data sources (nurs-
care for PU prevention.5,16,17 A systematic reassessment ing, physician, consultant, nurse’s aide, dietitian and ther-
performed in 2000 judged the AHRQ PU prevention apy notes, and laboratory reports) for the same informa-
guidelines to be still valid.18 In addition, QI efforts to im- tion. The abstraction tool reviews the first 45 days of NH
plement the guidelines have been associated with de- admission. To enhance comparability across reviewers and
creased PU incidence.19,20 across facilities, the NH abstraction tool provides specific
Given the organizational and national emphasis on parameters and time intervals for identifying resident char-
PU prevention, continuous feedback about PU prevalence, acteristics, risk factors, and indicated interventions out-
and the availability of prevention guidelines, most NHs lined in the guidelines.
may be systematically implementing best practices for PU Pilot testing revealed that some recommendations
prevention. The decline in NH-reported PU rates seen were unlikely to be obtained reliably from the planned
during the 1990s10,21 points to this possibility. It may be NH chart review. In most instances, this lack of reliability
that the current rates represent the best that can be achieved resulted from the time frame for review or from a lack of
with existing technology and case mix and that no further specificity in typical chart documentation for the IF or the
QI efforts are needed. To ascertain whether this is the THEN statement. If this lack of specificity might lead to
case, it is important to know whether NHs are imple- misclassifying care as failing to meet an indication, that
menting the guidelines for best-care practices and whether guideline was excluded from review (Appendix 1).
NHs vary in performance. The current study therefore
aimed to assess overall NH implementation of clinical Key Guideline Recommendations
practice guidelines for PU prevention and variation in im- In the current study, study clinicians identified key guide-
plementation rates among a geographically diverse sam- line recommendations by independently ranking the qual-
ple of NHs. ity review criteria on importance and feasibility of mea-
NHs were viewed within a single healthcare delivery surement with medical records. This additional ranking
system and payment structure: the Veterans Health Ad- was performed because all review criteria might not be
ministration (VHA). The VA has been monitoring and equally important or equally feasible to measure through
providing its NHs with specific PU incidence data since chart review.
1991.10 This allowed for the examination of guideline ad-
herence for NHs with similar reimbursement, ownership, Sample Selection
and surveillance but with diverse and varied staffing, size, One hundred thirty VHA NHs potentially were available
location, and resident characteristics. to participate. Forty were chosen to represent a range of
sizes, geographic regions, urban versus rural location, and
METHODS reported PU rates. Nested sampling was performed to
identify residents in the selected NHs. Resident inclusion
AHRQ Guidelines
criteria, from the VHA Patient Assessment File (PAF),
The guidelines for PU prevention contain best-practice were new NH admission between January and December
recommendations organized around four goals: (1) to 1998, absence of PU on admission, and NH stay of 2 or
identify persons at risk and the specific risk factors that more weeks. From residents meeting these inclusion crite-
place them at risk; (2) to preserve and enhance the ability ria, a sample was selected to represent a range of PU risk
of tissue to tolerate pressure; (3) to protect against pres- within each NH. Resident risk was estimated based on a
sure, friction, and shear; and (4) to employ education to modified Norton Scale score constructed from the
reduce PU occurence.14 The guidelines and supporting PAF.14,25
documents did not include explicit tools for abstracting
relevant information about guideline adherence from the Chart Abstractions
medical record. The medical administrative services at each study site pro-
In a project conducted for AHRQ, Lauori et al. used vided NH records for abstraction. Study nurses used the
formal methods and testing to translate the AHRQ guide- NH chart abstraction tool to abstract information from
lines into explicit quality review criteria.22 These quality each resident’s record. Ten percent of records were re-
review criteria were written as “IF . . . THEN . . .” state- abstracted to determine interrater reliability.
58 SALIBA ET AL. JANUARY 2003–VOL. 51, NO. 1 JAGS

Analyses
Table 1. Sample Characteristics
The adherence proportion was calculated as the number of
times the intervention was performed (the THEN statement) Characteristic Value
divided by the number of times the intervention was indi-
cated (the IF statement). Overall and facility-specific rates Nursing homes N  35
of adherence were determined for the 15 PU-prevention Daily census, mean residents (range) 122 (48–263)
quality review criteria and for the subset of key quality re- Norton score* by facility, mean (range) 14.1 (13–16.2)
view criteria identified as having strongest evidence for PU Region
prevention and being most feasible to measure with medi- East n  10
Midwest n8
cal record review. For all of the quality review criteria,
South n  10
compliance was broadly defined. For example, the recom-
West n7
mendation for risk assessment was considered met if any
Rural n3
of the following were present: a formal scale or reported re- Residents N  834
sult, any mention of a risk assessment, or any mention that Age, mean  standard deviation
the resident was or was not at risk for PU. Similarly, a rec- (range) 72  10.9 (25–105)
ommendation was scored as implemented if the record Admission source, %
documented that it was planned, ordered, or performed. A Acute care 49
process was also scored as adhered to if a provider docu- Other hospital based 15
mented any refusal or resident/family preferences that would Home 30
preclude an intervention. Not indicated 6
Variation in NH performance was assessed with a Male, % 96
generalized linear model, testing the null hypothesis of no Ethnicity, %
difference in guideline adherence associated with admis- White 53.9
sion to a particular NH. The correlation between facility Black 15.6
adherence to the 15 guideline recommendations and ad- No data 28.0
herence to the key recommendations was assessed. Norton score, number 14 (high risk)
Generalized estimation equations were employed that (range)14,25 509 (5–20)
considered adherence rates nested within facility and rates *Norton score ranges from 5–20. Lower scores indicate higher risk for PU devel-
nested by resident to determine whether selected facility opment. A generally accepted cut-off for increased risk is 14 or less.
characteristics; i.e., size, region, or type (urban teaching,
urban nonteaching, rural) were associated with differences
in documented adherence rates. fied in which a recommendation applied to a study resi-
dent based on a specific indication in the medical record
(mean number of indications per resident  7.5). For the
RESULTS
six key recommendations, 3,085 indications were found in
Sample the reviewed records.
Of the 40 NHs approached to participate, 35 are included Guideline Adherence
in the current analyses. Five NHs were not included be-
cause a local principal investigator could not be identified NH clinicians adhered to the appropriate guideline recom-
mendation in 41% (2,604/6,283) of the instances where
(n  2), too few admissions met the inclusion criteria (n 
the 15 quality review criteria applied. Overall adherence
1), or institutional review and chart transfer were delayed
for the six recommendations judged as most critical was
(n  2). Ten percent of charts obtained for review were
1,542/3,085, or 50%. Table 2 shows the adherence pro-
excluded because chart review revealed a documented PU
portion for each review criteria. For individual guideline
at the time of admission. The NH records of 834 residents
recommendations, adherence rates ranged from 94% (skin
from 35 NHs underwent complete review (mean number
inspection) to 1% (education of residents or families).
of residents per site  24, range 13–30). Table 1 shows se-
NHs differed significantly in their implementation of
lected characteristics of the NHs and residents. Almost
the guideline. Facility adherence rates ranged from 29% to
half of the residents were admitted from an acute care hos-
51% for the 15 guideline recommendations (P  .001).
pital. The NH admissions had a wide range of Norton-
For the six key recommendations, the variation was even
based risk scores.
greater, ranging from 24% to 75% (P  .001). Facilities
that performed well on the six recommendations also
Guideline Review Criteria tended to do well on all 15; correlation between NH scores
Six guideline recommendations were identified as key mea- on the 15 recommendations and the six key guideline rec-
sures of NH guideline implementation. These are indicated in ommendations was 0.87. Column 3 of Table 2 shows the
Table 2, column 1. The American Medical Director’s Associ- range of facility adherence rates for each guideline recom-
ation also highlighted all six in their efforts to abbreviate and mendation (adherence rate for the NH with the lowest
adapt the AHRQ guidelines for use by NH care providers.26 performance and the rate for the NH with the highest per-
Interrater agreement for abstraction was 95%. A large formance on each recommendation) and the results of signif-
number of indications or items meeting the IF element of icance tests for whether being a resident in any given NH
the review criteria were documented in the NH charts. For was associated with the rate of adherence to a particular
the 15 quality review criteria, 6,283 instances were identi- recommendation. This tests for the ability to reject the null
JAGS JANUARY 2003–VOL. 51, NO. 1 ADHERENCE TO PRESSURE ULCER PREVENTION GUIDELINES 59

Table 2. Quality Review and Utilization Criteria Pressure Ulcer Prevention*

Overall Range of Facility


Adherence Adherence
(n compliant/ %
Criterion n indicated) (P-value)*†

1‡ IF a person is admitted to a NH, 61% 0–100


THEN an assessment of pressure ulcer (PU) risk should be performed. (507/834) (.0001)
2‡ IF a person remains in a NH, 17% 0–76
THEN reassessments of PU risk should be performed at periodic intervals. (73/424) (.0001)
(Current study measures whether risk is reassessed between Week 2 and Week 6).
3‡ IF a NH resident is at risk for PU, 94% 75–100
THEN a systematic skin inspection that pays attention to bony prominences should be (668/712) (.110)
performed at least once a day.
(Current study measures whether skin inspection is performed at least once).
4 IF a NH resident is incontinent of urine or stool, 10% 0–38
THEN skin cleansing should occur at the time of soiling. (56/559) (.0034)
(Current study measures whether skin cleansing is planned or performed).
5 IF a NH resident has dry skin, 40% 0–100
THEN the skin should be treated with moisturizers. (31/77) (.073)
6 IF a NH resident is incontinent and exposure to urine/stool is not controlled, 87% 60–100
THEN underpads, briefs, or topical agents that act as barriers to moisture should (486/559) (.302)
be used.
7 IF a NH resident is immobile or has altered level of consciousness, 32% 0–100
THEN exposure to friction/sheer forces should be minimized through proper (95/298) (.0001)
positioning, transferring and turning techniques and lubricants, protective films,
protective dressings, or protective padding.
(Study measures whether positioning, protective dressings, or education of resident
about repositioning is planned, ordered, or implemented.)
8 IF a NH resident has inadequate dietary intake, 86% 56–100
THEN approaches to improving intake should be considered or implemented. (301/349) (.117)
9‡ IF a NH resident is nutritionally compromised, 37% 0–67
THEN a plan for nutritional support or supplement should be implemented. (129/349) (.048)
10‡ IF a NH resident is confined to bed (immobility, remains in bed), 69% 0–100
THEN repositioning should be scheduled and performed every 2 hours. (37/54) (.019)
(Study measures whether repositioning is planned or implemented)
11 IF a NH resident is confined to bed, 11% 0–50
THEN positioning devices should be used to keep bony prominences from direct (6/54) (.798)
contact.
12 IF a NH resident is immobile and confined to bed, 17% 0–50
THEN devices that relieve pressure on heels should be used. (49/292) (.197)
13 IF a NH resident is immobile or has altered level of consciousness, 10% 0–50
THEN lifting devices or bed linens should be used to move the resident in bed. (29/298) (.097)
14‡ IF a NH resident is at risk for PU, 18% 0–65
THEN a pressure-reducing device (foam, static air, alternating air, gel, or water (128/712) (.0001)
mattress) should be used when lying in bed.
15 IF a NH resident is at risk for PU, 1% 0–8
THEN education addressing PU prevention should be provided to the resident and (9/712) (.860)
family caregiver.
*Range reports the highest- and lowest-scoring NH for the individual quality indicator.
†P-value gives significance test for the association between facility of residence and compliance for a each recommendation.

‡Key criteria.

NH  nursing home; PU  pressure ulcer.

hypothesis that NH of residence did not matter for predict- Of the facility characteristics considered in the nested
ing the rate of adherence to each guideline recommenda- generalized estimation equations, Midwest location revealed
tion. For five of the six key guideline review criteria, the a borderline trend for being associated with increased over-
NH adherence proportion for each criterion varied signifi- all adherence (P  .0549) to the 15 guideline recommenda-
cantly among NHs. One key guideline review criterion tions. The other specific facility characteristics failed to
with high overall adherence rates, skin assessment at least show statistical significance, but the number of facilities
once, did not show a significant difference among NHs. being compared on any particular characteristic may
60 SALIBA ET AL. JANUARY 2003–VOL. 51, NO. 1 JAGS

have limited the ability of these analyses to detect a rela- task division, and baseline knowledge affect implementa-
tionship between facility characteristics and documented tion and will vary across facilities. Thus the approaches
adherence. for implementing the guidelines would need to be adapted
to each NH’s staffing resources. 23 Overall, increased at-
DISCUSSION tention needs to be focused on implementing the guide-
Explicit NH review criteria revealed low overall rates of lines. Although QI activities focusing on PU prevention
documented adherence to best-care practices for PU pre- can improve implementation,19,20,32 such QI efforts can
vention. In this geographically diverse sample of NHs be made more efficient by identifying specific areas of
within a large healthcare system, overall adherence to 15 weakness.24
national PU prevention recommendations and a subset of It is notable that this study found significant varia-
six key recommendations was low, and variance in adher- tion in adherence to the guidelines even among NHs with
ence to quality standards among facilities was high. For common ownership and reimbursement structures. What
the six key care processes, overall adherence was 50%, does this interfacility variation mean? It has potential im-
and no NH had adherence above 75%. Guideline adher- plications for NH care and highlights an opportunity for
ence varied across care processes. Although skin inspec- guiding improvement. For residents, it means that the
tion achieved the highest rate of implementation, stan- NH they enter makes a difference in the overall PU pre-
dardized risk assessment—a critical step for systematically ventive care they receive. For health systems and facili-
targeting subsequent assessments and interventions26–29— ties, the patterns of compliance and variation that are
was performed in only 61%. These results point to the documented may provide a basis for informed quality im-
need for additional interventions to improve PU preven- provement. Arguably, competing demands for limited re-
tion practices and suggest that current PU rates do not rep- sources may impede guideline implementation. However,
resent the best that can be achieved. the wide variation across NHs in documented compliance
These rates rely on quality review criteria for which indicates that some NHs may be performing better than
the definition of adherence was set at a minimal level. This others. NHs that have implemented the guidelines might
level was selected to allow for the possibility that docu- serve as models for NHs that have not yet done so. Those
mentation may not detail all care processes that are per- NHs that have lower rates of implementation could pro-
formed. In addition, this study did not rely on one data vide information on barriers to implementation or rea-
source to indicate compliance. Instead, the record review sons for omission.
was designed to capture the same data across different data
sources to ensure that any documented care was captured. Limitations
Although comparable NH studies were not available, This study assesses quality through medical record review.
a recently published study of PU prevention in community Not all resident characteristics or care processes are docu-
hospitals measured five of the six recommended care pro- mented in the record. If the NH record does not identify
cesses identified in this study as key (daily skin assessment, that a problem exists, then the resulting underdetection of
use of PU-reducing surfaces, assessment of risk, scheduled instances where a care process should be applied may lead
repositioning, and nutritional consult for persons at risk).30 to overestimates of adherence. However, a large number
For three recommendations (skin assessment, scheduled of documented indications or resident risk factors on
repositioning, and nutrition consult), the reported rates of chart review were found. In addition, assessment itself is
adherence were similar to those that this study found in identified as a care process for which facilities are held
NHs. This study found higher adherence rates than those accountable.
reported in hospitals for two recommended care processes: The medical record may also under- or overestimate
use of pressure-reducing surfaces (NH  18%, hospital  adherence because day-to-day care may not be documented
8%) and assessment of risk (NH  61%, hospital  23%). accurately. Care that is provided routinely many times per
These differences may stem from differing definitions of day may be most susceptible to inaccurate documentation
the adherence proportion or may indicate real differences in medical records.33 This possibility was considered while
between the two settings in clinicians’ orientation toward identifying the guideline review criteria to be measured,
performing initial assessment and using support surfaces. and adherence was measured to include any mention of a
The low overall adherence rates across settings and varia- plan or implemented care. Multiple data sources for evi-
tion across care processes indicate that systematic adop- dence of adherence were also searched. In other settings,
tion of guidelines has not occurred. this approach to measuring care processes has shown cor-
It is not entirely surprising that guideline dissemina- relation between quality scores and outcomes.34–36
tion and external surveillance/feedback of PU rates have It was not possible to measure all of the guideline rec-
not resulted in the systematic implementation of best ommendations with medical record review, particularly
prevention practices in NHs. First, preventive care prac- those specific to chair-bound individuals. It is possible that
tices may tend to be underused in general. The NHs’ some NHs may be doing a better job in implementing
rates of adherence to best practices for PU prevention are those care processes not measured.
similar to rates seen in the community for other preven- This study was conducted in VHA NHs. It remains
tive care practices.31 Second, given the interdisciplinary possible that care in nongovernment NHs would differ.
nature of PU prevention,14,24,26 attention to multiple ele- Community NHs began to collect the Resident Assessment
ments is required for organizations to systematically im- Instrument (RAI)8 in 1991, but it has only recently has
port the guidelines into daily practice. In the area of been imported into VA NHs. However, VA PU prevalence
staffing resources, for example, experience, distribution, rates of 7.7% for Stage 2 or worse ulcers in 19933 com-
JAGS JANUARY 2003–VOL. 51, NO. 1 ADHERENCE TO PRESSURE ULCER PREVENTION GUIDELINES 61

pared favorably with 1993 post-RAI community rates of Prevention of Pressure Ulcers in Adults. Pressure Ulcers in Adults Prediction
and Prevention. Clinical Practice Guideline Number 3 (AHRQ publication
8.5%.11 In addition, it is not clear whether the mandatory
no. 92–0047). Rockville, MD: Agency for Health Care Policy and Research,
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Research and Quality Clinical Practice Guidelines: How quickly do guide-
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62 SALIBA ET AL. JANUARY 2003–VOL. 51, NO. 1 JAGS

Appendix 1. Guidelines Not Measured Through Chart Review


IF a nursing home resident is at risk for PU,
THEN massage over bony prominences should be avoided.
IF potential for improving mobility and activity status exists,
THEN rehabilitation efforts should be instituted if consistent with overall goals of therapy. (Maintaining current activity level, mobility,
and range of motion is an appropriate goal for most individuals.)
IF an intervention for PU prevention is implemented,
THEN outcomes of intervention should be monitored and documented.
IF the side-lying position is used in bed,
THEN avoid positioning directly on the trochanter.
IF a resident is at risk for PU,
THEN uninterrupted sitting in chair or wheelchair should be avoided.
IF a resident is chair bound
THEN pressure-reducing devices should be used. Do not use donut-type device.
IF a resident is chair bound,
THEN chair positioning should include consideration of postural alignment, distribution of weight, pressure relief, balance, and
stability.
IF a resident is at risk for PU,
THEN the head of the bed should be maintained at the lowest degree of elevation that is possible.
IF an education program is implemented,
THEN the program should include information on PU etiology, risk, risk assessment, skin assessment, support surfaces,
individualized skin care program, positioning, and documentation of important data.
IF an educational program is implemented,
THEN the program should: 1) identify specific roles and responsibilities of each person; 2) be appropriate to audience; 3) be updated
on a regular basis.
IF an educational program is implemented,
THEN it should be consistent with principles of adult learning and it should be evaluated.
PU  pressure ulcer.

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