Professional Documents
Culture Documents
primarily used more highly skilled registered nurses to meet the staffing Douglas M. Sloane is a
mandate. In addition, we found that the staffing mandate resulted in research professor in the
Center for Health Outcomes
roughly an additional half-hour of nursing per adjusted patient day and Policy Research,
beyond what would have been expected in the absence of the policy. University of Pennsylvania.
Policy makers in other states can look to California’s experience when Linda H. Aiken is the Claire
considering similar approaches to improving patient care. M. Fagin Leadership Professor
in the School of Nursing,
University of Pennsylvania.
I
n 1999 then–California Governor Gray have been associated with a number of negative
Davis signed Assembly Bill 394 into patient outcomes, such as higher surgical mor-
law,1 requiring the California Depart- tality and higher complication rates due to er-
ment of Health Services to adopt regu- rors.5–7 Higher patient workloads for nurses have
lations establishing minimum nurse- also been linked to negative nurse outcomes,
to-patient staffing ratios for hospitals.2 The law such as job dissatisfaction and burnout, that
came in response to growing concern about pa- are associated with staff retention problems.6–8
tient safety as the complexity of care in hospitals The California Department of Health Services
increased and California experienced a severe spent two years holding hearings and inviting
nurse shortage in the late 1990s.3 Influence from stakeholders to make recommendations regard-
unions, including the California Nurses Associ- ing which nurse-to-patient ratio minimums
ation and the Service Employees International should be mandated. In 2002 the department
Union, helped propel staffing issues into the announced the final ratios, which went into ef-
political agenda, despite opposition from organ- fect on January 1, 2004.
izations such as the California Healthcare Asso- The department’s regulations specified staff-
ciation, which represents hospitals. ing ratios for different specialties. For example,
California’s minimum nurse staffing ratios minimum staffing in general medical and surgi-
were intended to improve quality of care and cal units were set at one licensed nurse for six
patient safety, and to retain nurses in employ- patients for an eighteen-month phase-in period,
ment in hospitals.4 Another primary goal of the and then reduced to one nurse for five patients.1,2
law was to avoid high patient-to-nurse ratios, Hospitals could staff with more nurses per set
especially for registered nurses. These ratios number of patients than specified, but not fewer.
The law allowed hospitals to be considered in changes in states without a similar policy. Our
compliance with the mandate if 50 percent of approach therefore used a longitudinal design
their required nursing staff was licensed voca- with multiple comparison groups for the period
tional nurses, sometimes called licensed practi- 1997–2008.
cal nurses. Licensed vocational nurses have less Our goal was to assess the effect of California’s
training and a more restricted scope of practice policy on changes in hospital staffing and skill
than registered nurses, and they are generally mix. Similar hospitals were selected based on
paid less. Some hospitals with higher propor- propensity score matching. This technique pro-
tions of licensed vocational nurse staffing, re- vides a means of balancing the distribution of
ferred to as a “lower skill mix,” have been shown observable characteristics in the California and
to have poorer patient health outcomes.9–11 comparison hospitals. It approximates a ran-
The law gave hospitals in markets where reg- domized experiment in that the California hos-
istered nurses were in short supply a mechanism pitals were, except for being in California, sim-
to meet the state mandate with a lower skill mix. ilar to the comparison hospitals in observed
However, some feared that this could undermine characteristics such as size and teaching status.
the law’s intent to boost patient safety with im- We used two methods to assess the robustness
proved nurse-to-patient ratios.3,12 of our findings. First, we compared California
Many other states have staffing regulations hospitals to all hospitals in states other than
that require actions such as collecting data on California. Second, to ensure that hospitals in
staffing, public reporting, and limits on over- one large state alone were not disproportion-
time. Because they do not directly target staffing ately accounting for the trend seen in the na-
levels, these measures are likely to be far less tional average, we selected four states from
effective than California’s approach of mandat- which to compare hospitals to institutions in
ing specific minimum staffing levels. As the only California: Florida, New York, Pennsylvania, and
state with a clear and enforceable minimum Texas.
nurse-to-patient ratio guiding hospital staffing Although California is unique in many ways,
decisions, California may provide valuable infor- we selected states that, like California, had a
mation for policy makers considering the appro- large number of hospitals and sizable variation
priate nurse staffing policy design for other in hospital characteristics. In addition to having
states. a large enough sample size, states were selected
For example, in the legislative session begin- for geographical diversity, with variation be-
ning January 2011, the Massachusetts Nurses tween regions.
Association proposed a similar bill that would California has the most adult, nonfederal,
require the Massachusetts Department of Public acute care hospitals of any state. The comparison
Health to limit the number of hospital patients a states represented the states with the second
nurse can care for at one time. Currently under through fifth most such hospitals in the country:
review in the Joint Committee on Public Health, Texas, New York, Florida, and Pennsylvania, re-
that bill is scheduled for a hearing on Septem- spectively (for additional detail, see the Ap-
ber 21, 2011. pendix).17
Previous studies of California’s mandate on Data Sources And Variables We analyzed
staffing and skill mix have either focused on a hospitals’ registered nurse staffing, nursing skill
single point in time8 or looked exclusively within mix, and a number of control variables in all
California.13–16 Comparing the changes in staffing adult, nonfederal, acute care hospitals in the
in California to other states and the nation as a United States during the period 1997–2008.
whole is necessary to determine the effect on The primary data source for hospital character-
staffing attributable to the state’s law. The pur- istics was the American Hospital Association
pose of this article is to address this knowledge Annual Survey for the years 1997–2008. The uni-
gap by conducting a longitudinal study with verse of hospitals surveyed annually is about
multiple comparison groups of US hospitals to 6,000, and the overall response rate averages
assess the effect of California’s nurse staff- approximately 85 percent each year.
ing law. Outcomes Two dependent variables were con-
structed to evaluate the effect of California’s law:
a staffing measure reflecting the ratio of regis-
Study Data And Methods tered nurses to patients, and a skill-mix measure
Design The implementation of nurse-to-patient reflecting the mix of registered nurses and li-
staffing ratios in California created an experi- censed vocational nurses.
ment in which the effect of the mandate could We measured staffing as the ratio of nursing
be assessed by comparing the changes before hours per adjusted patient day. The variable was
and after implementation in California with constructed based on full-time-equivalent regis-
range from other staffing policies to reactions to ifornia hospitals and in hospitals in other states
publicity about quality problems at hospitals. after 2002. The rate of increase appears steeper
It is possible that there was systematic infla- in California (from 5.72 hours in 2002 to 6.03
tion in California hospitals’ reports of their hours in 2003) than elsewhere (from 5.66 hours
nurse staffing data following the implementa- in 2002 to 5.74 hours in 2003). There was a
tion of the California mandate. However, using notable increase in staffing again for California
different data, other investigators13–15 have hospitals in the implementation period (from
shown trends in nurse staffing in California sim- 6.44 hours in 2004 to 7.11 hours in 2008). Staff-
ilar to those we found. This suggests that the ing went from 5.75 hours to 6.22 hours in the
pattern we observed was not attributable to bias comparison hospitals for the same period. Addi-
in the data source. tional descriptive details on hospital character-
Our data also did not include unlicensed care istics are in the Appendix.17
personnel, who may have been fired or hired at Skill mix was higher in California hospitals at
lower rates as a cost containment strategy—a the beginning of the study period than it was in
possible unintended consequence of the man- the matched set of hospitals in other states
date. However, there is no evidence in the re- (Exhibit 2). From 2002 on, the trend was iden-
search literature that having more unlicensed tical for California hospitals and other hospitals:
personnel in hospitals with adequate nurse staff- Skill mix increased at an annual rate of 0.006 in
ing adversely affects patient outcomes. both sets of hospitals.
Finally, our data refer to overall hospital staff- Differences in the change in staffing from the
ing levels and are not specific to the individual announcement period to the implementation
specialty ratios mandated by the law. In previous period between California hospitals and the com-
work using primary data at the specialty level, parison hospitals were significantly greater
hospitals in California were shown to have sig- (p < 0:001) in all cases (Exhibit 3). The change
nificantly higher staffing levels than two com- in registered nurses’ hours per patient day was
parison states in every specialty area affected by twice as great in California hospitals compared
the mandate.8 to Texas hospitals, and five times that of New
York hospitals.
The skill mix in California hospitals did not
Study Results decrease following implementation of the staff-
Registered nurse staffing—measured as hours ing mandate as feared. In fact, it increased three
per adjusted patient day—was, on average, percentage points (Exhibit 4). This increase was
higher in California hospitals than in matched not significantly different from the comparison
hospitals in other states in any given year. There groups, whose skill mixes also increased (rang-
was a notable downward trend in staffing in the ing from 1.4 percentage points to 3.2 percentage
preannouncement period (1997–2001) in both points). This suggests that the changes in skill
California hospitals (5.83 hours in 1997 to mix in California largely matched the trend
5.67 hours in 2001) and matched hospitals from across the nation.
all other states (5.83 hours in 1997 to 5.64 hours Our estimates of the effects of the nurse staff-
in 2001) (Exhibit 1). ing mandate on California hospitals compared to
Nurse staffing began to increase both in Cal- hospitals not subject to a similar policy show
little evidence that an announcement effect re-
sulted in higher staffing in California hospitals.
Exhibit 1 In the announcement period, nurses’ hours
Registered Nurse (RN) Staffing In California Hospitals Compared To A Matched Set Of increased by only 0.25 hour in California
Hospitals In Other US States, 1997–2008 and by 0.09 hour in matched hospitals
(difference ¼ 0:16, p ¼ 0:09) (Exhibit 5).
RN hours per adjusted patient day
Discussion SOURCE Authors’ analysis of data from American Hospital Association Annual Survey, 1997–2008.
Our findings suggest that registered nurse staff- NOTE RN is registered nurse.
ing in California hospitals increased consider-
ably as a consequence of the implementation
of the state’s nurse staffing mandate. We found fornia’s staffing mandate has shown that the in-
no evidence that the policy resulted in lower creased staffing in California hospitals was asso-
nursing skill mix, including a higher proportion ciated with better outcomes, compared to
of licensed vocational nurses. To the contrary, outcomes for patients treated in hospitals in
skill mix increased. states without a similar law.8 It has also shown
California remains the only state to have that surgical mortality rates and rates of death
implemented minimum nurse staffing ratios. among surgical patients with complications,
However, other policy options to promote appro- known as “failure to rescue,” in hospitals in
priate hospital nurse staffing have been imple- New Jersey and Pennsylvania would be greatly
mented in a variety of states. These policies in- reduced if those hospitals were to increase their
clude mandating mechanisms at the hospital staffing to a level on par with California’s man-
level to determine evidence-based staffing levels dated level.
without mandating the actual levels, requiring A few previous studies of California nurse staff-
public reporting of hospital nurse staffing, and ing, primarily encompassing the period before
limiting mandatory overtime by nurses. the state’s nurse staffing law was implemented,
None of these alternatives to fixed nurse staff- provide evidence that suggests a link between
ing mandates have been rigorously evaluated to changes in staffing and changes in patient out-
determine their effectiveness. Evaluations of
these other policy options to match the emerging
information on the impact of the California Exhibit 3
nurse staffing legislation would greatly inform
the choices being considered by states and indi- Changes In Nurse Staffing In California Hospitals And Comparison Groups Before And After
vidual hospitals. Implementation Of California’s Staffing Ratios In 2004
Prior to implementation, it was not certain
Change in RN hours per adjusted patient day
Exhibit 5
Effect Of California Staffing Mandate On Changes In Nurse Staffing And Skill Mix In California Hospitals, Compared To Matched Hospitals In States
Without A Similar Staffing Policy, 1997–2008
Staffing (RN hours per patient day) Skill mix (RNs as percent of all nursing staff)
Announcement effect Implementation effect Announcement effect Implementation effect
Change in California hospitals 0.25*** 1.00**** <1 2
Change in matched hospitals 0.09 0.43**** <1 2
Difference in effect between California
hospitals and matched hospitals 0.16 0.57**** 0.40 −0.20
SOURCE Authors’ analysis. NOTES The announcement effect represents the change in the period 2002–03. The implementation effect is the effect beyond that of the
announcement period. Beta coefficients are from separate ordinary least squares fixed-effects regression models estimating the effects of California’s staffing mandate
on staffing and skill mix using a propensity score–matched comparison group of hospitals in states other than California. Staffing is registered nurse (RN) hours per
adjusted patient day. Skill mix is the proportion of registered nurses among all licensed nurses (registered nurses plus licensed vocational nurses). An expanded version of
this exhibit, with coefficients and standard errors for differences between California and all comparison groups, appears in the Appendix (see Note 17 in text).
***p < 0:01 ****p < 0:001
An earlier version of this work was Research (Grants R01-NR004513, P30- had no role in the study design; data
presented at the Eastern Nursing NR005043, and T32-NR00714, Linda collection, analysis, or interpretation; or
Research Society 23rd Annual Scientific Aiken, principal investigator). The writing of the report. The authors
Sessions in Philadelphia, Pennsylvania, content is solely the responsibility of gratefully acknowledge John Marcotte
March 23, 2011. This research was the authors and does not necessarily for his assistance with data preparation
supported by the Robert Wood Johnson represent the official views of the and analysis, and Aria Mahtabfar, Laura
Foundation, the Agency for Healthcare Robert Wood Johnson Foundation, the Goergen, and Erin Schelar for their
Research and Quality (K08-HS017551, Agency for Healthcare Research and assistance with manuscript preparation.
Matthew McHugh, principal investigator), Quality, or the National Institute of
and the National Institute of Nursing Nursing Research. The funding sources
NOTES
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