David B. Nash • Maulik S. Joshi • Elizabeth R. Ransom • Scott B. Ransom • Editors 00_Nash (2382).indb 1 2/22/19 10:56 AM HAP/AUPHA Editorial Board for Graduate Studies Carla A. Stebbins, PhD, Chairman Rochester Institute of Technology Kevin Broom, PhD University of Pittsburgh Erik L. Carlton, DrPH University of Memphis Daniel Estrada, PhD University of Florida Edmond A. Hooker, MD, DrPH Xavier University LTC Alan Jones, PhD, FACHE US Army Christopher Louis, PhD Boston University Peggy J. Maddox, PhD George Mason University Donna Malvey, PhD University of Central Florida Brian J. Nickerson, PhD Icahn School of Medicine at Mount Sinai Stephen J. O’Connor, PhD, FACHE University of Alabama at Birmingham Maia Platt, PhD University of Detroit Mercy Debra Scammon, PhD University of Utah Tina Smith University of Toronto James Zoller, PhD Medical University of South Carolina 00_Nash (2382).indb 2 2/22/19 10:56 AM Health Administration Press, Chicago, Illinois Association of University Programs in Health Administration, Washington, DC 00_Nash (2382).indb 3 2/22/19 10:56 AM Your board, staff, or clients may also benefit from this book’s insight. For more information on quantity discounts, contact the Health Administration Press Marketing Manager at (312) 424-9450. This publication is intended to provide accurate and authoritative information in regard to the subject matter covered. It is sold, or otherwise provided, with the understanding that the publisher is not engaged in rendering professional services. If professional advice or other expert assistance is required, the services of a competent professional should be sought. The statements and opinions contained in this book are strictly those of the authors and do not represent the official positions of the American College of Healthcare Executives, the Foundation of the American College of Healthcare Executives, or the Association of University Programs in Health Administration. Copyright © 2019 by the Foundation of the American College of Healthcare Executives. Printed in the United States of America. All rights reserved. This book or parts thereof may not be reproduced in any form without written permission of the publisher. 23 22 21 20 19 5 4 3 2 1 Library of Congress Cataloging-in-Publication Data Names: Nash, David B., editor. | Joshi, Maulik, editor. | Ransom, Elizabeth R., editor. | Ransom, Scott B., editor. Title: The healthcare quality book : vision, strategy, and tools / David B. Nash, Maulik S. Joshi, Elizabeth R. Ransom, and Scott B. Ransom, editors. Description: Fourth edition. | Chicago, Illinois ; Association of University Programs in Health Administration : Washington, DC : Health Administration Press, [2019] | Includes bibliographical references and index. | Identifiers: LCCN 2018060062 (print) | LCCN 2019000071 (ebook) | ISBN 9781640550544 (eBook 13) | ISBN 9781640550551 (Xml) | ISBN 9781640550568 (Epub) | ISBN 9781640550575 (Mobi) | ISBN 9781640550537 (print) Subjects: LCSH: Medical care—United States—Quality control. | Health services administration— United States—Quality control. | Total quality management—United States. 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Riverside Plaza, Suite 1900 Suite 407 Chicago, IL 60606-6698 Washington, DC 20036 (312) 424-2800 (202) 763-7283 00_Nash (2382).indb 4 2/22/19 10:56 AM BRIEF CONTENTS Foreword..................................................................................................xvii Brent C. James Preface......................................................................................................xix David B. Nash, Maulik S. Joshi, Elizabeth R. Ransom, and Scott B. Ransom Part I The Foundation of Healthcare Quality Maulik S. Joshi Chapter 1. Overview of Healthcare Quality .........................................5 Rebecca C. Jaffe, Alexis Wickersham, and Bracken Babula Chapter 2. History and the Quality Landscape...................................49 Norbert Goldfield Chapter 3. Variation in Medical Practice and Implications for Quality....................................................................75 David J. Ballard, Briget da Graca, David Nicewander, and Brett D. Stauffer Part II Tools, Measures, and Their Applications Elizabeth R. Ransom Chapter 4. Data Collection..............................................................107 John Byrnes Chapter 5. Statistical Tools for Quality Improvement.......................127 Davis Balestracci Chapter 6. Physician Profiling and Provider Registries......................171 Bettina Berman and Richard Jacoby Chapter 7. Health Information Technology in Healthcare Quality and Safety: Prevention, Identification, and Action........189 Sue S. Feldman, Scott E. Buchalter, and Leslie W. Hayes v 00_Nash (2382).indb 5 2/22/19 10:56 AM vi B rief Co nte n ts Chapter 8. Simulation in Healthcare Quality and Safety...................213 Hyunjoo Lee and Dimitrios Papanagnou Part III Culture and Leadership David B. Nash Chapter 9. The Patient Experience...................................................233 Deirdre E. Mylod and Thomas H. Lee Chapter 10. Safety Science and High Reliability Organizing...............253 Craig Clapper Chapter 11. Education for Healthcare Quality and Safety...................279 David Mayer and Anne J. Gunderson Chapter 12. Creating Alignment: Quality Measures and Leadership............................................................301 Michael D. Pugh Chapter 13. Governance for Quality..................................................329 Kathryn C. Peisert Part IV Emerging Trends Scott B. Ransom Chapter 14. Ambulatory Quality and Safety.......................................363 Lawrence Ward and Rhea E. Powell Chapter 15. The Role of the National Committee for Quality Assurance........................................................389 Michael S. Barr and Frank Micciche Chapter 16. Value-Based Insurance Design........................................415 A. Mark Fendrick and Susan Lynne Oesterle Chapter 17. Value-Based Purchasing: The Increasing Importance of Quality Considerations in Funding the Healthcare System........................................................................439 Neil Goldfarb Chapter 18. Medication Use Quality..................................................457 Mel L. Nelson, Matthew K. Pickering, Hannah M. Fish, and Laura Cranston 00_Nash (2382).indb 6 2/22/19 10:56 AM Br ief C ontents vii Chapter 19. Population Health Safety and Quality.............................475 Keith Kosel Index......................................................................................................501 About the Editors.....................................................................................547 About the Contributors............................................................................551 00_Nash (2382).indb 7 2/22/19 10:56 AM 00_Nash (2382).indb 8 2/22/19 10:56 AM DETAILED CONTENTS Foreword..................................................................................................xvii Brent C. James Preface......................................................................................................xix David B. Nash, Maulik S. Joshi, Elizabeth R. Ransom, and Scott B. Ransom Part I The Foundation of Healthcare Quality Maulik S. Joshi Chapter 1. Overview of Healthcare Quality .........................................5 Rebecca C. Jaffe, Alexis Wickersham, and Bracken Babula The Growing Focus on Quality..........................................5 Frameworks and Stakeholders.............................................9 Measurement...................................................................14 Quality Improvement Models...........................................17 Quality Improvement Tools.............................................22 Conclusion.......................................................................33 Case Study: Mr. Roberts and the US Healthcare System...33 Case Study: Stopping Catheter-Related Bloodstream Line Infections at the Johns Hopkins University Medical Center and Hospitals Across the United States.............38 Study Questions...............................................................43 References........................................................................44 Chapter 2. History and the Quality Landscape...................................49 Norbert Goldfield Introduction....................................................................49 Quality Measurement and Management Prior to 1965......50 Medicare, Medicaid, and Subsequent Developments.........53 New Outcomes Metrics and the Future of Quality Measurement and Management...................................63 Conclusion.......................................................................65 Notes...............................................................................66 ix 00_Nash (2382).indb 9 2/22/19 10:56 AM x Det a iled C o n te n ts Study Questions...............................................................66 References........................................................................67 Chapter 3. Variation in Medical Practice and Implications for Quality....................................................................75 David J. Ballard, Briget da Graca, David Nicewander, and Brett D. Stauffer Variation in Medical Practice............................................75 Analyzing Variation .........................................................82 Using Variation Data to Drive Healthcare Quality Initiatives.....................................................................87 Conclusion.......................................................................94 Study Questions...............................................................95 References........................................................................95 Part II Tools, Measures, and Their Applications Elizabeth R. Ransom Chapter 4. Data Collection..............................................................107 John Byrnes Considerations in Data Collection..................................107 Sources of Data .............................................................113 Conclusion: Returning to the Case Example ..................123 Notes.............................................................................124 Study Questions.............................................................125 Acknowledgments .........................................................125 Additional Resources......................................................125 References .....................................................................126 Chapter 5. Statistical Tools for Quality Improvement.......................127 Davis Balestracci Introduction..................................................................127 Process-Oriented Thinking: The Context for Improvement Statistics...............................................128 Variation: The Framework of This Chapter.....................130 Plotting Data over Time: The Run Chart.......................132 Common Causes Versus Special Causes of Variation........134 The Control Chart: A Very Powerful Tool......................139 Analysis: The I-Chart Is Your “Swiss Army Knife”..........147 An Important Expansion of the Concepts of “Perfectly Designed,” Common Cause, and Special Cause.........150 00_Nash (2382).indb 10 2/22/19 10:56 AM D etailed C ontents xi Summary.......................................................................162 Study Questions.............................................................164 Additional Resources......................................................164 References......................................................................169 Chapter 6. Physician Profiling and Provider Registries......................171 Bettina Berman and Richard Jacoby Background and Terminology........................................171 The Physician’s Role in Improving Quality.....................174 Use of Physician Profiling and Provider Registries in Healthcare Organizations..........................................176 Examples of Profiles and Scorecards................................177 Benchmarking................................................................180 The Measurement and Implementation Process..............181 Keys to Success...............................................................183 Challenges ....................................................................183 Physician Profiling and Provider Registries in a Changing Healthcare Landscape................................185 Study Questions.............................................................186 References .....................................................................186 Chapter 7. Health Information Technology in Healthcare Quality and Safety: Prevention, Identification, and Action........189 Sue S. Feldman, Scott E. Buchalter, and Leslie W. Hayes Introduction..................................................................189 Health IT in Healthcare Quality and Safety....................190 What Does the Literature Say About Health IT Use in Healthcare Quality and Safety?...................................191 Improving Care Delivery Through Health IT: Case Studies .............................................................195 Case Study 1: Prevention................................................195 Case Study 2: Identification............................................198 Case Study 3: Action......................................................202 Conclusion.....................................................................205 References......................................................................210 Chapter 8. Simulation in Healthcare Quality and Safety...................213 Hyunjoo Lee and Dimitrios Papanagnou Introduction to Simulation.............................................213 Applying Educational Frameworks to Patient Safety Simulations ...............................................................218 00_Nash (2382).indb 11 2/22/19 10:56 AM xii Det a iled C o n te n ts Simulation in the Patient Safety Landscape.....................221 Conclusion.....................................................................226 Study Questions.............................................................226 References......................................................................227 Part III Culture and Leadership David B. Nash Chapter 9. The Patient Experience...................................................233 Deirdre E. Mylod and Thomas H. Lee The Patient Experience Emerges....................................233 Concerns About Patient Experience Data.......................236 Improving Patient Experience Measurement and Reporting..................................................................241 Using Patient Experience Data to Improve.....................245 Study Questions.............................................................249 References......................................................................250 Chapter 10. Safety Science and High Reliability Organizing...............253 Craig Clapper Safety and Reliability......................................................253 History of the Modern Safety Movement.......................256 Reliability as an Emergent Property................................260 Descriptive Theories of High Reliability Organizations...262 Why Should We Care?....................................................265 Creating Safety and High Reliability in Practice..............266 Important Topics in Safety and High Reliability..............271 Sustaining Cultures of Safety and High Reliability..........276 Study Questions.............................................................276 References......................................................................277 Chapter 11. Education for Healthcare Quality and Safety...................279 David Mayer and Anne J. Gunderson Introduction..................................................................279 Early Curricular Work in Clinical Quality and Patient Safety......................................................281 Current Curricular Work in Clinical Quality and Patient Safety......................................................286 Conclusion.....................................................................298 Study Questions ............................................................298 References......................................................................299 00_Nash (2382).indb 12 2/22/19 10:56 AM D etailed C ontents xiii Chapter 12. Creating Alignment: Quality Measures and Leadership............................................................301 Michael D. Pugh Introduction..................................................................301 Quality Measures and Metrics.........................................301 Quality Assurance, Quality Control, and Quality Improvement.............................................................305 Leadership, Measurement, and Improvement.................308 Case Study: Board-Adopted Quality Aims......................318 Conclusion.....................................................................324 Notes.............................................................................325 Study Questions.............................................................326 References......................................................................326 Chapter 13. Governance for Quality..................................................329 Kathryn C. Peisert Background: Why Is Quality the Board’s Responsibility?...........................................................329 What Are the Board’s Quality Oversight Duties?.............340 The Board-Level Quality Committee..............................350 Building a Culture of Quality and Safety.........................352 Conclusion.....................................................................356 Notes.............................................................................356 Study Questions.............................................................357 References......................................................................357 Part IV Emerging Trends Scott B. Ransom Chapter 14. Ambulatory Quality and Safety.......................................363 Lawrence Ward and Rhea E. Powell The Ambulatory Care Setting ........................................363 Ambulatory Quality Improvement .................................364 Ambulatory Safety..........................................................371 Future Challenges and Keys to Success...........................374 Conclusion.....................................................................376 Case Study: A Private Practice in the Pennsylvania Chronic Care Initiative..............................................377 Case Study: Comprehensive Primary Care Plus...............379 Case Study: A New Pay-for-Performance Contract..........380 00_Nash (2382).indb 13 2/22/19 10:56 AM xiv Det a iled C o n te n ts Case Study: Referral Follow-Up and Ambulatory Safety.....................................................382 Study Questions.............................................................382 References......................................................................383 Chapter 15. The Role of the National Committee for Quality Assurance........................................................389 Michael S. Barr and Frank Micciche Healthcare Quality: A Novel Concept.............................389 Development of the National Committee for Quality Assurance......................................................390 NCQA Adds Practice-Level Focus..................................393 2009–2017: A New Era of Health Reform.....................400 Quality Measurement: Assessing Healthcare Performance Across the United States........................404 Conclusion.....................................................................408 Study Questions.............................................................409 References......................................................................409 Chapter 16. Value-Based Insurance Design........................................415 A. Mark Fendrick and Susan Lynne Oesterle Introduction..................................................................415 Key Concepts in the Shift from Volume to Value............416 Putting Innovation into Action.......................................419 The Future of V-BID.....................................................429 Conclusion.....................................................................433 Study Questions.............................................................433 Case Study: Implementation of Connecticut’s Health Enhancement Plan.....................................................433 References......................................................................435 Chapter 17. Value-Based Purchasing: The Increasing Importance of Quality Considerations in Funding the Healthcare System........................................................................439 Neil Goldfarb Introduction and Definitions..........................................439 Overview of Value-Based Purchasing Strategies...............440 Public Purchaser Value-Based Purchasing: CMS and Medicare ..................................................................447 Employers as Value-Based Purchasers.............................449 Driving Toward a Value-Based Marketplace....................453 00_Nash (2382).indb 14 2/22/19 10:56 AM D etailed C ontents xv Study Questions.............................................................453 References......................................................................454 Chapter 18. Medication Use Quality..................................................457 Mel L. Nelson, Matthew K. Pickering, Hannah M. Fish, and Laura Cranston Introduction..................................................................457 The Shift from Volume to Value in Healthcare................457 Medication Use Expert: The Pharmacist.........................463 Emerging Trends: Pharmacist Engagement in a Value-Based Healthcare System...........................467 Conclusion.....................................................................470 Study Question..............................................................470 Interactive Exercise........................................................470 References......................................................................471 Chapter 19. Population Health Safety and Quality.............................475 Keith Kosel Overview: Where We Stand Today..................................475 Safety and Quality in Various Populations.......................478 What Should Safety and Quality Look Like in a Community? .............................................................480 Who Should Be Responsible for Population Safety and Quality?.....................................................................487 Case Study: Hearts Beat Back: The Heart of New Ulm Project ......................................................................491 Case Study: Boston Community Asthma Initiative .........492 The Role of Measurement in Driving Population Health Safety and Quality .....................................................492 Going Forward..............................................................495 Conclusion.....................................................................497 Study Questions.............................................................497 References......................................................................497 Index......................................................................................................501 About the Editors.....................................................................................547 About the Contributors............................................................................551 00_Nash (2382).indb 15 2/22/19 10:56 AM 00_Nash (2382).indb 16 2/22/19 10:56 AM FOREWORD T he modern quality movement has been building for nearly half a century. Wennberg’s classic study documenting massive geographic variation in healthcare appeared in 1973. In 1987, researchers established that the amount of clinical variation within a single hospital was larger than the variation among geographic regions. By the mid-1990s, Deming’s position that higher quality nearly always reduces operating costs was proving correct. In late 1999, the Institute of Medicine released the To Err Is Human report, which launched patient safety as a critical quality focus. Its 2001 successor, Crossing the Quality Chasm, reflected the voice of the healing professions calling for fundamental reform of healthcare delivery systems. Literally thousands of successful clinical projects, across a wide range of organizations and settings, have given further support for Deming’s premise: The path to financial stability runs through clinical excellence. But all these years later, has anything really changed? Variation still runs rampant in care delivery services, and patients still suffer unacceptable rates of care-associated injuries and deaths. Costs continue to rise, making essential healthcare services ever less accessible. Why? Quality improvement theory contains two major parts. The first is data-based problem solving—a set of methods and tools that help identify operational problems, find focused areas for high-leverage change, and then demonstrably fix those problems through measured experimentation. The vast majority of healthcare quality training and most organizational quality initiatives rely on data-based problem solving. However, despite its manifest effectiveness, data-based problem solving innately builds around a series of projects. Clinical researchers sometimes note that “multiple anecdotes do not constitute evidence,” and the same is true in quality: Multiple projects do not constitute health system reform. The second part of quality improvement is what Deming called a “system of production”—the idea that a masterful enterprise will organize literally everything around value-added frontline work processes. This approach starts with key process analysis, a tool that prioritizes the processes that define any organization, and it builds true transparency, embedding data systems that align to key processes. Management structure follows the process structure. A “system of production” is bottom-up healthcare reform. A number of examples—Allina xvii 00_Nash (2382).indb 17 2/22/19 10:56 AM xviii Fo rew o rd Health in Minnesota, Mission Health in North Carolina, and Bellin Health in Michigan, to name a few—have shown that these principles can work just as well in care delivery as they do in other industries. The volume you hold in your hands is about creating a system that supports quality. It outlines the major, essential components, and it shows how to fit those components together. Properly used, it can serve as an operations manual for healthcare reform, laying a foundation upon which you can build a new future. It holds the keys to a care delivery system that delivers All the right care, but Only the right care; Without defect or injury; At the lowest necessary cost; Under the full knowledge and control of the patient; while Learning from every case. Read it, then go forth and conquer. Brent C. James, MD, MStat Salt Lake City, Utah 00_Nash (2382).indb 18 2/22/19 10:56 AM PREFACE T ransformation, disruptive innovation, redesign, reform—these popular terms all accurately characterize the state of our current healthcare system and its evolution. The changes we are witnessing today are accelerating at a rate that early pioneers in medicine could not have envisioned. All healthcare organizations are facing the challenges of change as they embark on their individual journeys to provide better care, better service, and better overall health for everyone they serve. All organizations are on a different path and have a different destination. However, they all have one commonality: Quality is the road map. Improving healthcare quality is the essential strategy to survive and thrive in the future. The difference between organizations that are good and those that are great is determined by leadership, and leaders who are masters of quality improvement are the difference makers. This textbook provides a framework, strategies, and practical tactics to help all healthcare leaders to learn, teach, and lead improvement efforts. This fourth edition has been updated significantly from the previous editions, but once again it has an all-star list of contributors with incredible expertise and breadth of experience. Like the healthcare field itself, this edition has been improved, reimagined, and redesigned. Organized into four sections, the book focuses on the foundation of healthcare quality (part I); tools, measures, and their applications (part II); culture and leadership (part III); and emerging trends (part IV). Individually, and in aggregate, this book is designed to be both an instructional guide and a conversation starter among all students of healthcare quality—that is, all current and future healthcare professionals. Part I contains three chapters that together provide a foundation for healthcare quality. In chapter 1, Rebecca C. Jaffe, Alexis Wickersham, and Bracken Babula provide an overview of major reports and concepts, Donabedian’s classic structure-process-outcome framework, and methods and tools for quality improvement. The history and the landscape of quality in healthcare are beautifully narrated by Norbert Goldfield in chapter 2. In chapter 3, David J. Ballard and colleagues examine one of the most pervasive and significant issues in healthcare quality—clinical variation. They explain the concept, distinguish between warranted and unwarranted variation, and discuss quality improvement tools that can help manage and reduce unwarranted variation in medical practice. Part II of the book builds on the foundation and speaks in-depth to tools, measures, and their applications in the pursuit of quality. John Byrnes, in xix 00_Nash (2382).indb 19 2/22/19 10:56 AM xx Prefa c e chapter 4, articulates how data are the foundation of quality and patient safety and how the effective and efficient collection of data is critical to all strategic endeavors to improve quality. Davis Balestracci, in chapter 5, reveals how to apply the appropriate statistical analyses to make the information meaningful. In chapter 6, Bettina Berman and Richard Jacoby expertly apply data to the physician and provider registry domain as another tool for leveraging information for improvement. Information technology (IT) is an engine that uses data as fuel and, in chapter 7, Sue S. Feldman, Scott E. Buchalter, and Leslie W. Hayes describe how organizations use healthcare IT in a three-part cycle of prevention, identification, and action with data and information. Chapter 8 rounds out part II’s focus on applications of data, information, measures, and tools, as Hyunjoo Lee and Dimitrios Papanagnou provide an overview of how simulation, as they say, “can be used to improve healthcare quality and safety by highlighting its intrinsic ability to expose, inform, and improve behaviors that are critical for effective communication and teamwork.” Whereas part II provides a comprehensive view of the measures, tools, and technologies that are needed to improve quality and safety in healthcare moving forward, part III focuses on what is arguably the key to everything— leadership and culture. To begin this section, Deirdre E. Mylod and Thomas H. Lee, in chapter 9, summarize important aspects of patient satisfaction—a key marker of a patient-centered field. In chapter 10, Craig Clapper, a national expert and teacher in high reliability, reinforces the goals of zero preventable harm and 100 percent appropriate care as cornerstones of a high reliability culture. In chapter 11, David Mayer and Anne J. Gunderson trace the history of the education movement by outlining key milestone papers and symposia, signaling that there are still significant gaps in the teaching of education for healthcare quality. Chapter 12, by Michael D. Pugh, exquisitely details the why and how of dashboards and scorecards as critical leadership system tools for improvement and accountability. The final chapter in this section, chapter 13 by Kathryn C. Peisert, describes the fiduciary responsibility of the board of directors and delineates its central role in the quality and safety debate. Ultimately, the board bears the responsibility for everything in the healthcare organization, including quality and safety. The textbook concludes with part IV—a compilation of chapters that discuss many of the emerging trends in today’s fast-paced healthcare environment. Lawrence Ward and Rhea E. Powell, in chapter 14, consider the multitude of approaches to improving quality and safety in the ambulatory setting, providing contemporary insights for driving improvements in the delivery of care in primary care and specialty provider offices, ambulatory surgery centers, urgent care centers, retail clinics, freestanding emergency departments, and work-based clinics. In chapter 15, Michael S. Barr and Frank Micciche provide an overview of the National Committee for Quality Assurance (NCQA), from its initial role in helping employers and health plans develop quality standards to 00_Nash (2382).indb 20 2/22/19 10:56 AM Prefac e xxi its present-day work in creating systems to measure those standards, including the Healthcare Effectiveness Data and Information Set (HEDIS) measures, health plan accreditation guidelines, the patient-centered medical home model, and various recognition programs. In chapter 16, A. Mark Fendrick and Susan Lynne Oesterle present the fundamentals of value-based insurance design, another trend that impacts all healthcare stakeholders. Neil Goldfarb then shows us in chapter 17 how purchasers select and pay for healthcare services with a greater focus on value. Mel L. Nelson and her colleagues in chapter 18 provide a pharmacy perspective on achieving greater quality and lower cost through effective medication use. Finally, in chapter 19 by Keith Kosel, we review current thinking on population health quality and safety. Throughout the world, healthcare is changing dramatically. However, that dramatic change will lead to significant advances in patient safety and quality of life only when organizations and healthcare leaders effectively implement quality improvement solutions to our complex problems. As editors, we use this book extensively, whether for teaching in our courses, as reference material, or for research. The most important use is for leading change within our organizations. We greatly appreciate all the feedback we have received thus far to improve the textbook so that we can all be better leaders and healthcare providers. Please contact us at doctormaulikjoshi@yahoo.com with your feedback on this edition. Your teaching, learning, and leadership are what will ultimately transform healthcare. David B. Nash Maulik S. Joshi Elizabeth R. Ransom Scott B. Ransom Instructor Resources This book’s Instructor Resources include teaching aids for each chapter, including PowerPoint summaries, answers to the end-of-chapter study questions, and a test bank. For the most up-to-date information about this book and its Instructor Resources, go to ache.org/HAP and search for the book’s order code (2382). This book’s Instructor Resources are available to instructors who adopt this book for use in their course. For access information, please email hapbooks@ache.org. 00_Nash (2382).indb 21 2/22/19 10:56 AM 00_Nash (2382).indb 22 2/22/19 10:56 AM PART I THE FOUNDATION OF HEALTHCARE QUALITY Maulik S. Joshi Q uality is the focal point in the transformation of the healthcare system. A fundamental change in the way care is delivered and financed requires addressing every facet of quality, including • understanding the gaps and variation from best practices in care and service; • leveraging data, tools, and information technology to lead quality improvement; • creating a culture of service excellence, safety, high reliability, and value; • leading and governing toward population health; and • engaging with all key stakeholders, such as accrediting bodies, policy makers, payers, purchasers, providers, and consumers. The three chapters that make up this section of the book provide an overview of quality, trace the history of the quality movement in healthcare, and address the issue of variation in the quality of clinical care. Together, the chapters provide a foundation for leading the healthcare transformation. Rebecca C. Jaffe and colleagues begin in chapter 1 by providing an overview of major reports and concepts that form the quality foundation. Two Institute of Medicine (IOM) reports—To Err is Human (2000) and Crossing the Quality Chasm (2001)—are truly landmark documents that articulate major deficiencies in the United States healthcare system and define a strategic road map for a future state of improved quality. The reports highlight the severity of medical errors, estimated to account for up to 98,000 deaths and $29 billion per year, and provide a critical classification scheme for understanding quality defects. The categories are underuse (not doing what evidence calls for), misuse (not appropriately executing best practices), and overuse (doing more than is appropriate). The IOM reports also introduce a game-changing 00_Nash (2382).indb 1 2/22/19 10:56 AM 2 T h e Health c a re Q u a l i ty B o o k framework for defining six aims of quality: It should be safe, timely, effective, efficient, equitable, and patient centered. Finally, the reports note that, for improvement to be lasting, it must happen at four nested levels—at the level of the patient, the team, the organization, and the environment. Chapter 1 also discusses the work of Avedis Donabedian, who noted that all evaluations of quality of care could be viewed in terms of one of three measures—structure, process, or outcome. Evaluation based on structure considers characteristics of the people or setting, such as accreditation or physician board certification, that serve as structural quality measures. Assessment of process quality involves measures such as the percentage of diabetic patients receiving a blood sugar test in the previous 12 months, or the percentage of eligible women receiving mammograms. Outcomes, such as mortality rates and self-reported health status, are the ultimate quality measures. The remaining content in chapter 1 focuses on the methods and tools necessary to achieve the goal of improved quality. Many approaches to quality improvement are available, and all are worth considering. The methods and tools have a variety of names and titles (e.g., the Plan-Do-Study-Act cycle, Six Sigma, Lean), but their success is fundamentally dependent on the culture and capability for executing improvement. Essential to all are the steps of identifying the problem(s), setting measurable aims for improvement, testing interventions, studying data to assess the impact of the interventions, and repeating the cycle of testing and learning. Chapter 1 ends with a discussion of what quality is all about—providing the best care and service to the patient. The concluding case studies highlight opportunities to improve systems of care so that future patients don’t have to face the same problems that have plagued the healthcare field to date. In chapter 2, Norbert Goldfield describes the history and landscape of quality, introducing us to healthcare quality pioneers such as Walter Shewhart, William Deming, and J. M. Juran. Goldfield places a particular emphasis on Ernest A. Codman, who studied results, or what we now call outcomes. The chapter continues with a discussion of Medicare and Medicaid, which serves as a launchpad for addressing important elements of quality—case mix, risk adjustment, claims and medical records, and, ultimately, payment for quality. Malpractice, consumerism, and the politics of healthcare quality represent both challenges and opportunities for the future of quality improvement. Goldfield’s calls to action apply the learnings from the past to accelerate better quality data and measurement, better quality management, and the implementation of change in the “small-p” politics of healthcare. In chapter 3, David J. Ballard and colleagues examine one of the most pervasive and vexing issues in healthcare quality—clinical variation. Although variation in medical practice has been studied for nearly a century, John Wenn­ berg and colleagues brought it to the forefront with the development of the 00_Nash (2382).indb 2 2/22/19 10:56 AM Par t I: The Foundation of H ealthc are Q uality 3 Dartmouth Atlas of Health Care, which accentuated the differences in rates of utilization for many medical procedures in the United States. The color-coded Dartmouth Atlas maps reveal the often-stark differences between counties, even those adjacent to each other, in terms of the rates of procedures. Ballard and colleagues note the tenets of warranted variation, which is based on patient preferences and related factors, and unwarranted variation, which cannot be explained by patient preference or evidence-based medicine. The effects of unwarranted variation are well documented and include inefficient care, excessive costs, and disparities in outcomes. The chapter authors emphasize that the goal is not to merely understand the nature of variation but to implement strategies to reduce unwarranted variation. Building on chapters 1 and 2, chapter 3 notes that positive change requires identifying variation in practice, distinguishing warranted from unwarranted variation, and implementing quality improvement tools to manage and reduce unwarranted variation. The foundation of quality requires us to acknowledge history’s lessons to create a better future. Today’s challenges are not completely new; many healthcare pioneers studied the early dimensions of quality measurement and management long ago. Sentinel reports and studies over the last two decades have called attention to major gaps in quality, as well as strategies and tools to get quality to where we want it to be. Even with all of this knowledge and evidence in hand, however, we are still confronted by the ubiquitous variation in quality of care. Looking to the future, we must address this variation to ensure that the right care is provided to the right patients at the right time and place. 00_Nash (2382).indb 3 2/22/19 10:56 AM 00_Nash (2382).indb 4 2/22/19 10:56 AM CHAPTER OVERVIEW OF HEALTHCARE QUALITY 1 Rebecca C. Jaffe, Alexis Wickersham, and Bracken Babula The Growing Focus on Quality The quality of the US healthcare system is not what it could be. Around the end of the twentieth century and the start of the twenty-first, a number of reports presented strong evidence of widespread quality deficiencies and highlighted a need for substantial change to ensure high-quality care for all patients. Among the major reports driving the imperative for quality improvement were the following: • “The Urgent Need to Improve Health Care Quality” by the Institute of Medicine (IOM) National Roundtable on Health Care Quality (Chassin and Galvin 1998) • IOM’s To Err Is Human: Building a Safer Health System (Kohn, Corrigan, and Donaldson 2000) • IOM’s Crossing the Quality Chasm: A New Health System for the 21st Century (IOM 2001) • The National Healthcare Quality Report, published annually by the Agency for Healthcare Research and Quality (AHRQ) since 2003 • The National Academies of Sciences, Engineering, and Medicine’s Improving Diagnosis in Health Care (National Academies 2015) Years after these reports were first published, they continue to make a tremendous, vital statement. They call for action, drawing attention to gaps in care and identifying opportunities to significantly improve the quality of healthcare in the United States. “The Urgent Need to Improve Health Care Quality” Published in 1998, the IOM’s National Roundtable report “The Urgent Need to Improve Health Care Quality” included two notable contributions to the quality movement. The first was an assessment of the current state of quality (Chassin and Galvin 1998, 1000): “Serious and widespread quality problems exist throughout American medicine. These problems . . . occur in small and 5 00_Nash (2382).indb 5 2/22/19 10:56 AM 6 T h e Health c a re Q u a l i ty B o o k large communities alike, in all parts of the country, and with approximately equal frequency in managed care and fee-for-service systems of care. Very large numbers of Americans are harmed.” The second contribution was the categorization of quality defects into three broad categories: underuse, overuse, and misuse. This classification scheme has become a common nosology for quality defects and can be summarized as follows: • Underuse occurs when scientifically sound practices are not used as often as they should be. For example, only 72 percent of women between the ages of 50 and 74 reported having a mammogram within the past two years (White et al. 2015). In other words, nearly one in four women does not receive treatment consistent with evidence-based guidelines. • Overuse occurs when treatments and practices are used to a greater extent than evidence deems appropriate. Examples of overuse include imaging studies for diagnosis of acute low-back pain and the prescription of antibiotics for acute bronchitis. • Misuse occurs when clinical care processes are not executed properly— for example, when the wrong drug is prescribed or the correct drug is prescribed but incorrectly administered. To Err Is Human: Building a Safer Health System Although the healthcare community had been cognizant of its quality challenges for years, the 2000 publication of the IOM’s To Err Is Human exposed the severity and prevalence of these problems in a way that captured the attention of a large variety of key stakeholders for the first time. The executive summary of To Err Is Human begins with the following headlines (Kohn, Corrigan, and Donaldson 2000, 1–2): The knowledgeable health reporter for the Boston Globe, Betsy Lehman, died from an overdose during chemotherapy. . . . Ben Kolb was eight years old when he died during “minor” surgery due to a drug mix-up. . . . [A]t least 44,000 Americans die each year as a result of medical errors. . . . [T]he number may be as high as 98,000. . . . Total national costs . . . of preventable adverse events . . . are estimated to be between $17 billion and $29 billion, of which health care costs represent over one-half. Although many people had spoken about improving healthcare in the past, this report focused on patient harm and medical errors in an unprecedented way, presenting them as perhaps the most urgent forms of quality defects. To Err Is Human framed the problem in a manner that was accessible 00_Nash (2382).indb 6 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 7 to the public, and it clearly demonstrated that the status quo was unacceptable. For the first time, patient safety became a unifying cause for policy makers, regulators, providers, and consumers. Crossing the Quality Chasm: A New Health System for the 21st Century In March 2001, soon after the release of To Err Is Human, the IOM released Crossing the Quality Chasm, a more comprehensive report that offered a new framework for a redesigned US healthcare system. Crossing the Quality Chasm provides a blueprint for the future that classifies and unifies the components of quality through six aims for improvement. These aims, also viewed as six dimensions of quality, provide healthcare professionals and policy makers with simple rules for redesigning healthcare. They can be known by the acronym STEEEP (Berwick 2002): 1. Safe: Harm should not come to patients as a result of their interactions with the medical system. 2. Timely: Patients should experience no waits or delays when receiving care and service. 3. Effective: The science and evidence behind healthcare should be applied and serve as standards in the delivery of care. 4. Efficient: Care and service should be cost-effective, and waste should be removed from the system. 5. Equitable: Unequal treatment should be a fact of the past; disparities in care should be eradicated. 6. Patient-centered: The system of care should revolve around the patient, respect patient preferences, and put the patient in control. Improving the quality of healthcare in the STEEEP focus areas requires change to occur at four different levels, as shown in exhibit 1.1. Level A is the patient’s experience. Level B is the microsystem where care is delivered by small provider teams. Level C is the organizational level—the macrosystem or aggregation of microsystems and supporting functions. Level D is the external environment, which includes payment mechanisms, policy, and regulatory factors. The environment affects how organizations operate, operations affect the microsystems housed within organizations, and microsystems affect the patient. “True north” lies at level A, in the experience of patients, their loved ones, and the communities in which they live (Berwick 2002). National Healthcare Quality Report Mandated by the US Congress to focus on “national trends in the quality of healthcare provided to the American people” (42 U.S.C. 299b-2(b)(2)), the 00_Nash (2382).indb 7 2/22/19 10:56 AM 8 T h e Health c a re Q u a l i ty B o o k EXHIBIT 1.1 The Four Levels of the Healthcare System Environment Level D Organization Level C Microsystem Level B Patient Level A Source: Ferlie and Shortell (2001). Used with permission. AHRQ’s annual National Healthcare Quality Report highlights progress and identifies opportunities for improvement. Recognizing that the alleviation of healthcare disparities is integral to achieving quality goals, Congress further mandated that a second report, the National Healthcare Disparities Report, focus on “prevailing disparities in health care delivery as it relates to racial factors and socioeconomic factors in priority populations” (42 U.S.C. 299a1(a)(6)). AHRQ’s priority populations include women, children, people with disabilities, low-income individuals, and the elderly. The combined reports are fundamental to ensuring that improvement efforts simultaneously advance quality in general and work toward eliminating inequitable gaps in care. These reports use national quality measures to track the state of healthcare and address three questions: 1. What is the status of healthcare quality and disparities in the United States? 2. How have healthcare quality and disparities changed over time? 3. Where is the need to improve healthcare quality and reduce disparities greatest? In its 2016 National Healthcare Quality and Disparities Report, the AHRQ (2016) notes several improvements, including improved access to healthcare, better care coordination, and improvement in patient-centered care. Despite these improvements, many challenges and disparities remain with regard to insurance status, income, ethnicity, and race. 00_Nash (2382).indb 8 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 9 Improving Diagnosis in Health Care The National Academies of Sciences, Engineering, and Medicine’s (2015) report on Improving Diagnosis in Health Care claims that most people will experience at least one diagnostic error—defined as either a missed or delayed diagnosis—in their lifetime. Diagnostic errors are thought to account for up to 17 percent of hospital-related adverse events. Likewise, up to 5 percent of patients in outpatient settings may experience a diagnostic error. Previous reports had steered clear of discussing diagnostic error, perhaps fearing that the topic assigns blame to clinicians on a personal level. This report, however, proposes an organizational structure for the diagnostic process, allowing for analysis of where healthcare may be failing and what might be done about it. The National Academies recommend that healthcare organizations involve patients and families in the diagnosis process, develop health information technologies to support the diagnostic process, establish a culture that embraces change implementation, and promote research opportunities on diagnostic errors (National Academies 2015). How Far Has Healthcare Come? More than 15 years after the prevalence of medical errors was brought to light in To Err Is Human, healthcare in the United States has seen a call to arms for the improvement of quality and safety. But has anything really changed? A 2016 analysis published by the British Medical Journal suggests not. The article, titled “Medical Error—The Third Leading Cause of Death in the US,” delivers a shocking realization of the scope of medical error in healthcare today. Using death certificate records along with national hospital admission data, Makary and Daniel (2016) conclude that, if medical errors are tracked as diseases are, they account for more than 250,000 deaths annually in the United States—outranked only by heart disease and cancer. To Err Is Human and Crossing the Quality Chasm were catalysts for change in healthcare, and they led to increased recognition and reporting of medical error and improved accountability measures set by governing bodies. Nonetheless, more work needs to be done to shrink the quality gap in US healthcare. The remainder of this chapter will focus on frameworks for quality improvement, providing a deeper dive into the STEEEP goals and examining stakeholder needs, measurement concepts, and useful models and tools. Frameworks and Stakeholders The six STEEEP aims (Berwick 2002), as presented in Crossing the Quality Chasm, provide a valuable framework that can be used to describe quality at any of the four levels of the healthcare system. The various stakeholders involved 00_Nash (2382).indb 9 2/22/19 10:56 AM 10 T h e Health c a re Q u a l i ty B o o k in healthcare—including clinicians, patients, health insurers, administrators, and the general public—attach different levels of importance to particular aims and define quality of care differently as a result (Bodenheimer and Grumbach 2009; Harteloh 2004). The STEEEP Framework Safety Safety refers to the technical performance of care, but it also includes other aspects of the STEEEP framework. Technical performance can be assessed based on the success with which current scientific medical knowledge and technology are applied in a given situation. Assessments of technical performance typically focus on the accuracy of diagnoses, the appropriateness of therapies, the skill with which procedures and other medical interventions are performed, and the absence of accidental injuries (Donabedian 1988b, 1980). Timeliness Timeliness refers to the speed with which patients are able to receive care or services. It inherently relates to access to care, or the “degree to which individuals and groups are able to obtain needed services” (IOM 1993, 4). Poor access leads to delays in diagnosis and treatment. Timeliness can also manifest as the patient experience of wait times—either the wait for an appointment or the wait in the medical facility. Timeliness is often a balance between quality of care and speed of care. Effectiveness Effectiveness refers to standards of care and how well they are implemented. Perceptions of the effectiveness of healthcare have evolved over the years to increasingly emphasize value. The cost-effectiveness of a given healthcare intervention is determined by comparing the potential for benefit, typically measured in terms of improvement in individual health status, with the intervention’s cost (Drummond et al. 2005; Gold et al. 1996). As the amount spent on healthcare services grows, each unit of expenditure ultimately yields eversmaller benefits until no further benefit accrues from additional expenditures on care (Donabedian, Wheeler, and Wyszewianski 1982). Efficiency Efficiency refers to how well resources are used to achieve a given result. Efficiency improves whenever fewer resources are used to produce an output. Because inefficient care uses more resources than necessary, it is wasteful care, and care that involves waste is deficient—and therefore of lower quality—no matter how good it may be in other respects. “Wasteful care is either directly 00_Nash (2382).indb 10 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 11 harmful to health or is harmful by displacing more useful care” (Donabedian 1988b, 1745). Equity Findings that the amount, type, or quality of healthcare provided can relate systematically to an individual’s characteristics—particularly race and ethnicity—rather than to the individual’s need for care or healthcare preferences have heightened concern about equity in health services delivery (IOM 2002; Wyszewianski and Donabedian 1981). Many decades ago, Lee and Jones (1933, 10) asserted that “good medical care implies the application of all the necessary services of modern, scientific medicine to the needs of all the people. . . . No matter what the perfection of technique in the treatment of one individual case, medicine does not fulfill its function adequately until the same perfection is within the reach of all individuals.” Patient Centeredness The concept of patient centeredness, originally formulated by Gerteis and colleagues (1993), is characterized in Crossing the Quality Chasm as encompassing “qualities of compassion, empathy, and responsiveness to the needs, values, and expressed preferences of the individual patient” and rooted in the idea that “health care should cure when possible, but always help to relieve suffering” (IOM 2001, 50). The report states that the goal of patient centeredness is “to modify the care to respond to the person, not the person to the care” (IOM 2001, 51). Stakeholders Virtually everyone can agree on the value of the STEEEP attributes of quality, but clinicians, patients, payers, managers, and society at large attach varying levels of importance to each attribute and thus define quality of care differently from one another. Clinicians Clinicians tend to perceive the quality of care foremost in terms of technical performance. Their concerns focus on aspects highlighted in IOM’s (1990, 4) often-quoted definition: “Quality of care is the degree to which health services for individuals and populations increase the likelihood of desired health outcomes and are consistent with current professional knowledge.” Reference to “current professional knowledge” draws attention to the changing nature of what constitutes good clinical care. Because medical knowledge advances rapidly, clinicians strongly believe that assessing care provided in 2010 on the basis of knowledge acquired in 2013 is neither meaningful nor 00_Nash (2382).indb 11 2/22/19 10:56 AM 12 T h e Health c a re Q u a l i ty B o o k appropriate. Similarly, “likelihood of desired health outcomes” aligns with clinicians’ widely held view that, no matter how good their technical performance is, predictions about the ultimate outcome of care can be expressed only as a probability, given the presence of influences beyond clinicians’ control, such as a patient’s inherent physiological resilience. As healthcare has evolved, standards for clinicians have moved beyond technical performance and professional knowledge. Clinicians today are increasingly asked to ensure that their care is patient centered and offered in a way that demonstrates value and efficiency. Patients Patients care deeply about technical performance, but it may actually play a relatively small role in shaping their view of healthcare quality. To the dismay of clinicians, patients often see technical performance strictly in terms of the outcomes of care; if the patient does not improve, the physician’s technical competence is called into question (Muir Gray 2009). Additionally, patients may not have access to accurate information regarding a clinician’s technical skill. Given the difficulty of obtaining and interpreting performance data, patients may make decisions about their care based on their assessment of the attributes they are most readily able to evaluate—chiefly patient centeredness, amenities, and reputation (Cleary and McNeil 1988; Sofaer and Firminger 2005). As health policy changes, patients, much like clinicians, are becoming more likely to consider cost as part of the quality equation. From the patients’ vantage point, cost-effectiveness calculations are highly complex and depend greatly on the details of their insurance coverage. A patient who does not have to pay the full price of medical care may have a very different view of the value of the treatment, compared to a patient who incurs a higher percentage of the cost. Payers Third-party payers—health insurance companies, government programs such as Medicare, and others who pay on behalf of patients—tend to assess the quality of care on the basis of costs. Because payers typically manage a finite pool of resources, they tend to be concerned about cost-effectiveness and efficiency. Though payer restrictions on care have commonly been considered antithetical to the provision of high-quality care, this opinion is slowly changing. Increasing costs, without concomitant improvements in overall quality, have led to more clinicians and patients focusing on the value of care and therefore accepting some limitations. Clinicians continue to be duty bound to do everything possible to help individual patients, including advocating for high-cost interventions even if those interventions have only a small positive probability of benefiting the patient (Donabedian 1988a; Strech et al. 2009). Third-party 00_Nash (2382).indb 12 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 13 payers—especially governmental units that must make multiple trade-offs when allocating money—are more apt to view the spending of large sums for diminishing returns as a misuse of finite resources. The public, meanwhile, has shown a growing unwillingness to pay higher insurance premiums or taxes needed to provide populations with the full measure of care that is available. Administrators The chief concern of administrative leaders responsible for the operations of hospitals, clinics, and other healthcare delivery organizations is the quality of the nonclinical aspects of care over which they have the most control— primarily, amenities and access to care. Administrators’ perspective on quality, therefore, can differ from that of clinicians and patients with respect to efficiency, costeffectiveness, and equity. Because administrators are responsible for ensuring that resources are spent where they will do the most good, efficiency and costeffectiveness are of central concern, as is the equitable distribution of resources. Society/Public/Consumers At a collective, or societal, level, the definition of quality of care reflects concerns about efficiency and cost-effectiveness similar to those of governmental third-party payers and managers, and much for the same reasons. In addition, technical aspects of quality loom large at the collective level, where many believe care can be assessed and safeguarded more effectively than it can be at the level of individuals. Similarly, equity and access to care are important to societal-level concepts of quality, given that society is seen as being responsible for ensuring access to care for everyone, particularly disenfranchised groups. Are the Five Stakeholders Irreconcilable? Different though they may seem, stakeholders—clinicians, patients, payers, administrators, and the public—have a great deal in common. Although each emphasizes the attributes differently, none of the other attributes is typically excluded. Strong disagreements do arise, however, among the five parties’ definitions, even outside the realm of cost-effectiveness. Conflicts typically emerge when one party holds that a particular practitioner or clinic is a high-quality provider by virtue of having high ratings on a single aspect of care—for example, patient centeredness. Those objecting to this conclusion point out that, just because a practice rates highly in that one area, it does not necessarily rate equally highly in other areas, such as technical performance, amenities, or efficiency, for instance (Wyszewianski 1988). Clinicians who relate well to their patients, and thus score highly on patient centeredness, nevertheless may have failed to keep up with medical advances and, as a result, provide care that is deficient in technical terms. As with this example, an aspect of quality that a given party overlooks is seldom in direct conflict with that party’s own overall concept of quality. 00_Nash (2382).indb 13 2/22/19 10:56 AM 14 T h e Health c a re Q u a l i ty B o o k Measurement Just as frameworks and stakeholders are useful for advancing one’s understanding of quality of care, so is measurement, particularly with respect to quality improvement initiatives. Structure, Process, and Outcome As Avedis Donabedian first noted in 1966, all evaluations of the quality of care can be classified in terms of one of three measures: structure, process, or outcome. Structure In the context of measuring the quality of care, structure refers to characteristics of the individuals who provide care and of the settings where care is delivered. These characteristics include the education, training, and certification of professionals who provide care and the adequacy of the facility’s staffing, equipment, and overall organization. Evaluations of quality based on structural elements assume that wellqualified people working in well-appointed and well-organized settings provide high-quality care. However, although good structure makes good quality more likely, it does not guarantee it (Donabedian 2003). Licensing and accrediting bodies have relied heavily on structural measures of quality because the measures are relatively stable, and thus easier to capture, and because they reliably identify providers or practices lacking the means to deliver high-quality care. Process Process—the series of events that takes place during the delivery of care—can also be a basis for evaluating the quality of care. The quality of the process can vary on three aspects: (1) appropriateness—whether the right actions were taken, (2) skill—the proficiency with which actions were carried out, and (3) the timeliness of the care. Ordering the correct diagnostic procedure for a patient is an example of an appropriate action. However, to fully evaluate the process in which this particular action is embedded, we also need to know how promptly the procedure was ordered and how skillfully it was carried out. Similarly, successful completion of a surgical operation and a good recovery are not enough evidence to conclude that the process of care was of high quality; they only indicate that the procedure was performed skillfully. For the entire process of care to be judged as high quality, one also must ascertain that the operation was indicated (i.e., appropriate) for the patient and that it was carried out in time. Finally, as is the case for structural measures, the use of process measures for assessing the quality of care rests on a key assumption—that if the right 00_Nash (2382).indb 14 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 15 things are done and are done right, good results (i.e., good outcomes of care) are more likely to be achieved. Outcome Outcome measures capture whether healthcare goals were achieved. Because the goals of care can be defined broadly, outcome measures may include the costs of care as well as patients’ satisfaction with their care (Iezzoni 2013). In formulations that stress the technical aspects of care, however, outcomes typically involve indicators of health status, such as whether a patient’s pain subsided or condition cleared up, or whether the patient regained full function (Donabedian 1980). Clinicians tend to have an ambivalent view of outcome measures. Clinicians are aware that many factors that determine clinical outcomes—including genetic and environmental factors—are not under their control. At best, they control the process, and a good process only increases the likelihood of good outcomes; it does not guarantee them. Some patients do not improve in spite of the best treatment that medicine can offer, whereas other patients regain full health even though they receive inappropriate or potentially harmful care. Despite this complexity, clinicians view improved outcomes as the ultimate goal of quality initiatives. Clinicians are unlikely to value the effort involved in fixing a process-oriented gap in care if it is unlikely to ultimately result in an improvement in outcomes. Which Is Best? Of structure, process, and outcome, which is the best measure of the quality of care? The answer is that none of them is inherently better and that the appropriateness of each measure depends on the circumstances (Donabedian 2003). However, this answer often does not satisfy people who are inclined to believe that outcome measures are superior to the others. After all, they reason, the outcome addresses the ultimate purpose, the bottom line, of all caregiving: Was the condition cured? Did the patient improve? As previously noted, however, a good outcome may occur even when the care (i.e., process) is clearly deficient. The reverse is also possible: Even when the care is excellent, the outcomes might not be as good because of factors outside clinicians’ control, such as a patient’s frailty. To assess outcomes meaningfully across providers, one must account for such factors by performing complicated risk adjustment calculations (Goode at al. 2011; Iezzoni 2013). What a particular outcome ultimately denotes about the quality of care crucially depends on whether the outcome can be attributed to the care provided. In other words, one has to examine the link between the outcome and the antecedent structure and process measures to determine whether the care was appropriate and provided skillfully. Structures and processes are essential but not sufficient for a good outcome. 00_Nash (2382).indb 15 2/22/19 10:56 AM 16 T h e Health c a re Q u a l i ty B o o k Metrics and Benchmarks To assess quality using structure, process, or outcome measures, one needs to establish metrics and benchmarks to know what constitutes a good structure, a good process, and a good outcome. Metrics are specific variables that form the basis for assessing quality. Benchmarks quantitatively express the level the variable must reach to satisfy preexisting expectations about quality. Exhibit 1.2 provides examples of metrics and benchmarks for structure, process, and outcome measures in healthcare. The way healthcare metrics and benchmarks are derived is changing. Before the 1970s, quality-of-care evaluations relied on consensus among groups of clinicians selected for their clinical knowledge, experience, and reputation (Donabedian 1982). In the 1970s, however, the importance of scientific literature to the evaluation of healthcare quality gained new visibility through the work of Cochrane (1973), Williamson (1977), and others. At about the same time, Brook and colleagues (1977) at RAND began using systematic reviews and evaluations of scientific literature as the basis for defining criteria and standards for quality. The evidence-based medicine movement of the 1990s, which advocated medical practice guided by the best evidence about efficacy, reinforced the focus on the literature and stressed consideration of the soundness of study design and validity (Evidence-Based Medicine Working Group 1992; Straus et al. 2005). As a result, derivation of metrics and benchmarks has come to revolve more around the strength and validity of scientific evidence than around the unaided consensus of experts (Eddy 2005, 1996). The main insight that can be drawn from a deeper understanding of concepts related to the measurement of healthcare quality is that the type of measure used—structure, process, or outcome—matters less than the measure’s EXHIBIT 1.2 Examples of Metrics and Benchmarks for Structure, Process, and Outcome Measures in Healthcare Type of Measure Focus of Assessment Metric Benchmark Structure Nurse staffing in nursing homes Hours of nursing care At least four hours of per resident day nursing care per resident day Process Percentage of patients who receive prophylactic antibiotics on the day of surgery Patients undergoing surgical repair of hip fracture 100 percent receive antibiotic on the day of surgery Outcome Hospitalized patients Rate of falls per 1,000 Fewer than five falls patient days per 1,000 patient days 00_Nash (2382).indb 16 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 17 relationship to the others. Structural measures are only as good and useful as the strength of their link to desired processes and outcomes. Similarly, process and outcome measures must relate to each other in measurable and reproducible ways—as demonstrated by efficacy studies—to be truly valid measures of quality. Quality Improvement Models A number of systems exist to guide the process of quality improvement. At their core, all of these systems are approaches to complex problem solving. Just as the scientific method guides research inquiry in the lab, and just as the diagnostic process guides clinical reasoning, quality improvement models structure the approach to system improvement. All of the models discussed in this section were initially developed for industries outside of healthcare. Their adoption in and adaptation to the field of healthcare quality improvement demonstrate the field’s willingness to learn from the success of others, as well as the relative youth of the quality movement in the healthcare arena. Although these models have different names, they have certain core commonalities. Most share the following basic format: 1. 2. 3. 4. 5. 6. Identify the problem Measure current performance Perform a cause analysis Develop and implement an improvement strategy Measure the effect of the intervention Modify, maintain, or spread the intervention “Form follows function,” a concept rooted in the field of architecture, stresses the importance of understanding what you are trying to accomplish before you determine how you are going to do it. Applied to healthcare quality, the phrase highlights the need to understand the purpose behind the effort—the goal—at the individual, departmental, and organizational levels before deciding what improvement process or approach to adopt. The following approaches, though not an exhaustive list, are the ones most commonly applied: • • • • • The Plan-Do-Study-Act (PDSA) cycle The model for improvement Lean, or the Toyota Production System Six Sigma Human-centered design 00_Nash (2382).indb 17 2/22/19 10:56 AM 18 T h e Health c a re Q u a l i ty B o o k The Plan-Do-Study-Act Cycle Walter A. Shewhart (1891–1967) developed the PDSA cycle during the 1920s, and the cycle was further described by W. Edwards Deming (1900–1993), who is often regarded as the “father” of quality. Deming (2000b), a statistics professor and physicist by trade, stressed the importance of practicing continuous improvement and thinking of manufacturing as a system. As part of his “system of profound knowledge,” Deming (2000a) promoted the idea that about 15 percent of poor quality was because of workers and 85 percent was because of improper management, systems, and processes. In most, but not all, contexts, the stages of this model are plan, do, study, and act. Some may replace the “study” with “check,” making the cycle PDCA. Nevertheless, the principles remain the same. In practical terms, the stages of the PDSA cycle can be broken down as follows. Plan • Understand the problem and the underlying causes for a gap in quality. • Establish an objective. What are you trying to accomplish? By how much do you aim to improve, and by when? • Ask questions and make predictions. What do you think will happen? • Plan to carry out the cycle. Who will perform the functions? What steps will be performed? • When will the plan be implemented and completed? Where will the plan/work take place? Do • • • • Educate and train staff. Carry out the plan (e.g., try out the change on a small scale). Document problems and unexpected observations. Begin analysis of the data. Study • Assess the effect of the change, and determine the level of success achieved, relative to the goal/objective. • Compare the results with your predictions. Did you meet your aim for improvement? Did anything get worse? • Summarize the lessons learned. • Determine what changes need to be made and what actions will be taken next. Act • Act on what you have learned. • Determine whether the plan should be repeated with modification, or whether a new plan should be created. 00_Nash (2382).indb 18 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 19 • Make necessary changes. • Identify remaining gaps in the process or performance. • Carry out additional PDSA cycles until the goal/objective is met. Model for Improvement Tom Nolan and Lloyd Provost, cofounders of Associates in Process Improvement (API), developed a simple model for improvement based on Deming’s PDSA cycle. As shown in exhibit 1.3, the model uses three fundamental questions as a basis for improvement: (1) What are we trying to accomplish? (2) How will we know that a change is an improvement? (3) What change can we make that will result in improvement? Setting measurable aims is essential for any quality improvement effort. The effort required to bring about improvement may vary depending on the problem’s complexity, whether the focus is on a new or an old design, or the number of people involved in the process (Langley et al. 1996). The Institute for Healthcare Improvement (IHI) has adopted the API approach as its organizing improvement model. Lean, or the Toyota Production System The Massachusetts Institute of Technology first used the term Lean in 1987 to describe product development and production methods that, when compared with traditional mass production processes, produce more products with fewer Model for Improvement EXHIBIT 1.3 API Model for Improvement • What are we trying to accomplish? • How will we know that a change is an improvement? • What change can we make that will result in improvement? Act Plan Study Do Source: Langley et al. (1996). Used with permission. 00_Nash (2382).indb 19 2/22/19 10:56 AM 20 T h e Health c a re Q u a l i ty B o o k defects in a shorter time. Lean thinking, or Lean manufacturing, grew out of the work of Taiichi Ohno (1912–1990), who began developing the concepts as early as 1948 at Toyota Motor Corporation in Japan. As a result, it is also known as the Toyota Production System (TPS). The goal of Lean is to develop a way to specify the meaning of value, to align steps/processes in the best sequence, to conduct activities without interruption whenever someone requests them, and to perform the activities more effectively (Womack and Jones 2003). Lean focuses on the removal of muda, or waste, which is defined as anything that is not needed to produce an item or service. Ohno identified seven types of waste: (1) overproduction, (2) waiting, (3) unnecessary transport, (4) overprocessing, (5) excess inventory, (6) unnecessary movement, and (7) defects. Lean also emphasizes the concept of continuous (one-piece) flow production. In contrast to a batch-and-queue process, continuous flow creates a standardized process in which products are constructed through a single, continuous system one at a time, ultimately producing less waste, greater efficiency, and higher output. Lean methodology places the needs of the customer first by following five steps: 1. Define value as determined by the customer, based on the provider’s ability to deliver the right product or service at an appropriate price. 2. Identify the value stream—the set of specific actions required to bring a product or service from concept to completion. 3. Make value-added steps flow from beginning to end. 4. Let the customer pull the product from the supplier; do not push products. 5. Pursue perfection of the process. When waste is removed and flow is improved, quality improvement results. The simplification of processes reduces variation, reduces inventory, and increases the uniformity of outputs (Heim 1999). Six Sigma Six Sigma is a system for improvement developed by Hewlett-Packard, Motorola, General Electric, and other organizations during the 1980s and 1990s (Pande, Neuman, and Cavanagh 2000). The central concepts of Six Sigma are not new; they build on the foundations of quality improvement established from the 1920s through the 1950s, including Shewhart’s research on variation and his emphasis on precise measurement. Six Sigma creates clear roles and responsibilities for executives and other individuals, who may achieve the ranks of champion, green belt, black belt, or master black belt as they develop through higher levels of training and expertise. 00_Nash (2382).indb 20 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 21 With Six Sigma, the aim is to reduce variation and eliminate defects in key business processes. It aims for a rate of no more than 3.4 defects per million opportunities. By using a set of statistical tools to understand the fluctuation of a process, managers can predict the expected outcome of that process. If the outcome is not satisfactory, management can use associated tools to learn more about the elements influencing the process. The primary theory of Six Sigma is that a focus on reducing variation leads to a more uniform process output. Secondary effects include less waste, less throughput time, and less inventory (Heim 1999). The Six Sigma improvement model consists of five steps that together form the acronym DMAIC: 1. Define. Identify the customers and their problems. Determine the key characteristics that are important to the customer, along with the processes that support those key characteristics. 2. Measure. Categorize key characteristics, verify measurement systems, and collect data. 3. Analyze. Convert raw data into information that provides insights into the process. These insights include identifying the fundamental and most important causes of defects or problems. 4. Improve. Develop solutions to the problem, and make changes to the process. Measure process changes, and judge whether the changes are beneficial, or whether another set of changes is necessary. 5. Control. If the process is performing at a desired and predictable level, monitor the process to ensure that no unexpected changes occur. Human-Centered Design Quality improvement initiatives are increasingly incorporating design concepts as part of an effort to restore the central role of patients and frontline healthcare providers in the improvement process. Existing improvement models emerged primarily out of the manufacturing industry, where reduction in defects, speed of production, and reduction of waste are the primary concerns. Design methods, on the other hand, originate from such industries as architecture, product development, and fashion. Priorities in these fields extend beyond those of manufacturing and include such concerns as customer satisfaction, functional performance, and creativity. When applied to the healthcare setting, humancentered design can encompass a broad array of concepts and practices, including human factors engineering (HFE) and the process of co-creating devices, spaces, and processes with patients or end users. This approach might involve, for instance, purposefully forming a team of industrial designers, patients, and occupational therapists to design a new type of prosthetic device for amputees, 00_Nash (2382).indb 21 2/22/19 10:56 AM 22 T h e Health c a re Q u a l i ty B o o k or bringing together designers, medical professionals, patients, and family members to create a better waiting room experience (Guinn 2017). The steps of the design process are as follows: 1. Empathize. Thoroughly understand the motivations, needs, and concerns of the client or user. 2. Define. Translate the perspectives gained from interviewing and observing the end user into clear design challenges and goals. 3. Ideate. Generate a broad array of potential solutions, with minimal selfediting or concern for real or imagined limitations. 4. Narrow. Identify the most promising solutions, usually through the application of specific criteria. 5. Prototype. Create tangible products representing the potential future solutions, with the goal of communicating back to the end user and further exploring/refining ideas. 6. Test. Share prototypes and gather feedback, working toward a final solution. Two key elements of the design process are empathy building and prototyping. Empathy is key to realizing the promise of patient/person centeredness in the improvement of healthcare services. The depth to which designers aim to understand their users is pivotal to the creation of superior products and services. Prototyping exists in other improvement models, but usually in the form of small-scale implementation of a solution in the actual environment. At its extreme, prototyping may take the form of a pilot, but more frequently it is a lower-fidelity expression of a final product, such as a physical model, storyboard, or simulation. Like the PDSA cycle, application of the design process is cyclical and continues until the goal is met. Quality Improvement Tools Understanding the difference between quality improvement models and quality improvement tools is difficult. A quality model is akin to the process of designing and then constructing a house. The tools are the materials and activities that take the design from an abstract concept to a physical structure. An architect does not simply walk onto a building site with an idea in her head. Instead, she creates blueprints that communicate the building plan. The blueprint is a tool that makes the design process visible. Similarly, contractors use physical tools, such as hammers and saws, as well as organizing tools, such as checklists and work schedules, to ensure that the house is built correctly. Similarly, in quality improvement, different tools have different functions and are used at distinct 00_Nash (2382).indb 22 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 23 stages. They are not interchangeable, just as you could not substitute a hammer for a saw. We can observe people using the tools of the system, but the system or model itself (e.g., Six Sigma, Lean) is invisible and cannot be observed. Quality improvement tools can be organized into seven categories, following a framework developed by the American Society for Quality (ASQ) (Tague 2004): 1. 2. 3. 4. 5. 6. 7. Cause analysis Evaluation and decision making Process analysis Data collection and analysis Idea creation Project planning and implementation Knowledge transfer and spread techniques This section is not intended to be a comprehensive reference on quality tools and techniques; rather, it aims to highlight some of the more widely used tools in each category. Cause Analysis Once a gap in quality has been identified, the next step is usually to figure out why actual performance is lagging behind optimal performance or benchmarks. This process is known as cause analysis. Skillful cause analysis allows improvement teams to link their solutions and interventions with the underlying reasons for the gaps in care they are working to fix. Five Whys The “five whys” exercise is a basic method for drilling down through the symptoms of a process or design failure to identify the root cause. Easy to understand and to perform, it involves simply asking “why?” five times. Users of this technique will quickly identify the more proximal conditions contributing to a quality gap, instead of assuming that the obvious surface conditions are the most important. The benefit of this approach is that it forces users to look beyond their first answer. Any time a breach in protocol is assumed to be the reason for a bad outcome, one must dig deeper, asking why the protocol was not followed, until a root cause is identified. The key to successful use of this technique is not to stop the analysis too early, thus misidentifying the root cause. Cause-and-Effect/Fishbone Diagram Most complex problems have multiple root causes, which can be missed using five whys, because that tool encourages one path to be followed at the exclusion of others. Cause-and-effect diagrams, also referred to as Ishikawa or fishbone 00_Nash (2382).indb 23 2/22/19 10:56 AM 24 T h e Health c a re Q u a l i ty B o o k diagrams, help to broaden the search for possible root causes. In a fishbone diagram, the problem (effect) is stated in a box on the right side of the chart, and likely causes of the problem are listed around major category headings to the left, resembling the bones of a fish (ASQ 2014). Possible category headings, as shown in exhibit 1.4, include Technology, Team, Individual, Organization/ Management, Protocols, and Environment. Evaluation and Decision Making Deciding exactly where in a system to intervene to bring about change often involves a more quantitative approach to cause analysis. Visualizing data can help to identify correlations and patterns to help guide decisions. Scatter Diagram Scatter diagrams, also known as scatter plots or x-y graphs, enable users to identify whether a correlation exists between two variables or sets of numerical data. As shown in exhibit 1.5, when a high correlation exists between the two elements, the data will display as a tight line or curve; when the elements have little correlation, the data will display as a more scattered or “shotgun” distribution. Although correlation does not imply causation, targeting a variable that is highly correlated with the outcome of interest may be more likely to improve performance. EXHIBIT 1.4 Schematic of a Fishbone Diagram Used in Cause Analysis Technology Team Individual Cause One Quality Gap Cause Two Organization/ Management 00_Nash (2382).indb 24 Protocols Environment 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 25 EXHIBIT 1.5 Scatter Diagrams Demonstrating Two Data Sets X X Y Y a) Highly correlated b) No correlation Pareto Chart The Pareto chart developed from the work of the Italian economist Vilfredo Pareto (1848–1923), who observed that 80 percent of the wealth in Italy was held by 20 percent of the population. Joseph M. Juran (1904–2008), working as an internal consultant to Deming with Western Electric on the subject of industrial engineering, applied this principle more broadly and proclaimed that 80 percent of the variation of any characteristic is caused by only 20 percent of the possible causes. A Pareto chart displays the occurrence frequency for a range of causes of variation, demonstrating the small number of significant contributors to a problem. It enables a project team to identify the frequency with which specific errors are occurring and thus to concentrate resources appropriately (Tague 2004). Pareto charts overlay a histogram and a line graph, showing the contribution of each error or cause to the total variation in the system. The charts have two x axes, with frequency of occurrence on the left-hand axis and cumulative percentage on the right. Causes are arranged in descending order of frequency, and those on the right-hand side account for the majority of the variation in outcomes (see exhibit 1.6). Process Analysis Many improvement initiatives target changes in process to achieve better outcomes. Fully understanding an existing or proposed process is a vital step in improvement. Flowchart Flowcharts, also called process maps, are used to visually display the steps of a process in sequential order. As shown in exhibit 1.7, each step in a flowchart is 00_Nash (2382).indb 25 2/22/19 10:56 AM T h e Health c a re Q u a l i ty B o o k 100 75 50 25 x2 Cumulative percent EXHIBIT 1.6 A Pareto Chart Showing the Frequency with Which Causes Contribute to Error x1 Frequency of occurrences 26 Y List of causes EXHIBIT 1.7 A Simplified Process Map Demonstrating Flow from Start to Stop with One Decision Point Start Action Decision Action Stop displayed as a symbol that represents a particular action (e.g., start/stop, process step, direction, decision, delay). Flowcharts are useful in quality improvement for identifying unnecessary or high-risk steps in a process, developing a standardized process, and facilitating communication between staff involved in the same process (Tague 2004). Specific improvement models include their own variations on flowcharts, such as value stream mapping in Lean. 00_Nash (2382).indb 26 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality 27 Failure Mode and Effects Analysis / Mistake Proofing Failure mode and effects analysis (FMEA) examines potential problems and their causes and predicts undesired results. Normally, FMEA is used to predict future product failure from past part failure, but it also can be used to analyze future system failures. By basing activities on FMEA, organizations can focus their efforts on steps in a process that have the greatest potential for failure before failure actually occurs. Prioritization of failure points, or modes, is based on the detectability of the potential failure, its severity, and its likelihood of occurrence. Mistake proofing, or poka yoke, is a related concept developed in the 1960s by Japanese industrial engineer and TPS cofounder Shigeo Shingo (1909–1990). The goal of mistake proofing is to make a potential failure impossible, or at least to make failure easily detectable before significant consequences result. Mistake-proofing techniques can be used to address potential failures identified during FMEA. Data Collection and Analysis Identifying measures, setting benchmarks, and trending performance data lie at the heart of quality improvement. Various methods emphasize the ability to understand variation and recognize when trends represent true change. SMART Aims Improvement projects need to have SMART aims—aims that are specific (S), measurable (M), achievable (A), relevant (R), and time bound (T). A wellconceived aim allows a team to communicate with stakeholders, assess progress, galvanize efforts, and advertise its success. Importantly, aims are not tied to a particular intervention. They do not specify how a team will achieve success, just what success will look like and by when. Usually, the initial aim for improvement is not to achieve a perfect performance. Instead, the aim represents a feasible incremental improvement—say, increasing the frequency of a positive outcome from 40 to 60 percent. When a team reaches its initial aim, a new one will be set. This technique emphasizes that improvement is a continuous process and that multiple improvement cycles are usually necessary to close quality gaps. Run Charts and Control Charts Run charts graph performance over time, as shown in exhibit 1.8. They can display process or outcome measures, and their ability to display change over time makes them more useful than simple “pre” and “post” data. Often, run charts display important events in a project (such as the interventions labeled in the exhibit), helping users to assess the impact of a process change and to identify or correct any problems that arise (Tague 2004). Statistical process 00_Nash (2382).indb 27 2/22/19 10:56 AM T h e Health c a re Q u a l i ty B o o k EXHIBIT 1.8 Run Chart Showing Performance on a Given Measure over Time Run Chart 100 Intervention 1 75 Performance 28 Intervention 2 Median 50 25 0 Time Note: Important events in a project can be added to the chart. control charts, or simply control charts, are closely related to run charts. Control charts contain three lines: a central/control line (median), an upper control limit, and a lower control limit. These boundaries define statistically significant change and are used to monitor performance and variation. Idea Creation When a team is seeking solutions to a quality problem, stakeholders should be engaged and encouraged to think broadly. The best solution might not be the one the team thinks of first, and outside opinions might be necessary to better understand how a proposed solution will affect real people and processes. Not all ideas are created equal. Exhibit 1.9 presents a hierarchy for improvement, with strategies such as exhortation and education at the bottom and systems-based interventions such as checklists, automation, and forcing functions at the top. Proposed solutions to quality projects are sometimes referred to as countermeasures. Project Planning and Implementation Once a countermeasure is chosen, the team must begin implementing the new process or equipment. Depending on the nature of the countermeasure, this step may be extremely complex. Tools that help to organize, prioritize, and communicate are vital to keeping the team on track. Stakeholder Analysis In truth, stakeholder analysis should be listed as a quality improvement tool in each of the seven sections. From cause analysis to knowledge transfer and spread, the management of stakeholders is key to a successful improvement initiative. 00_Nash (2382).indb 28 2/22/19 10:56 AM C hap ter 1: Over v iew of H ealthc are Q uality Strong  Forcing functions  Automation/computerization  Standardization/protocols  Checklists/double checks 29...
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