Title: Improving the Performance of the Public Mental Health System: Quality Assessment and Improvement
1Improving the Performance of the Public Mental
Health System Quality Assessment and
Improvement
2Berwicks Question
- How can one tell whether or not a healthcare
organization is really serious about improving
its quality, instead of simply engaging in
defensive measurement to protect itself against
the demands of outsiders for information? - Don Berwick, The Basic Concepts of Quality
Improvement, unpublished paper, 1987
3Quality Assessment and Improvement
- Definitions
- The Quality Environment
- The Quality Assessment Component
- DMAIAn Ongoing Process
- Fundamental Principles of Quality Management
4Definitions
- Performance measurement is the regular
collection and reporting of data to track work
produced and results achieved - Performance measure is the specific quantitative
representation of capacity, process, or outcome
deemed relevant to the assessment of performance - Performance standard is a generally accepted,
objective standard of measurement such as a rule
or guideline against which an organizations
level of performance can be compared
5Definitions
- Performance management is the use of performance
measurement information to help set agreed-upon
performance goals, allocate and prioritize
resources, inform managers to either confirm or
change current policy or program directions to
meet those goals, and report on the success in
meeting those goals - Performance measurement is NOT punishment
- Guidebook for Performance Measurement ,
- Turning Point Project
6Definitions
- Two of the primary uses for the results of
performance measurement are for - Making comparisons of performance levels
- Improving the quality of the processes and
outcomes of the organization - The American College of Mental Health
Administration (ACMHA) applied these distinctions
between comparison and quality improvement in the
proposed Consensus Set of Indicators for
Behavioral Health
7Definitions
- In the ACMHA project, five national accreditation
entities reached consensus on a set of
performance measures (CARF The Rehabilitation
Commission, the Council on Accreditation, the
Council on Quality and Leadership in Support of
Persons with Disabilities, JCAHO and NCQA) but
not on the specifications for measurement - They concluded that it was important to
recognize that selecting appropriate measures
depends on the purpose of assessing performance - They designated measures as either a comparison
measure or a quality improvement measure to
clarify the intended use of each measure and its
data set
8Definitions
- For comparison purposes, the standards and
measures should provide sufficiently valid and
reliable quantification such that comparison
across the systems programs and departments can
be made. By identifying the highest level of
performance or outcome (the benchmark), an
organization can duplicate those work processes
to achieve higher performance overall. - For improving quality, some standards and
measures lend themselves more to internal
monitoring of performance and local
accountability and are most suitable for
supporting the improvement of the organization
rather than for comparability among organizations.
9Definitions
- Balanced Budget Act (BBA) of 1997 was a
substantial rewrite of the Medicaid and Medicare
program rules. Final rules were passed on
6/14/02 protocols and checklists then rolled
out. Details in the protocols and checklists are
critical for an understanding of BBA impact. - External Quality Review Organization (EQRO) is an
independent entity that meets competence criteria
for conducting Medicaid EQR activities EQROs are
being selected through state procurement
processes to review the operations of risk
bearing organizations contracting with state
Medicaid agencies.
10Definitions
- Managed Care Organization (MCO) is Medicaids
term for a health plan that provides health care
services to Medicaid enrollees - Examples include Group Health Cooperative,
Community Health Plan of Washington and Molina - Prepaid Inpatient Health Plan (PIHP) is
Medicaids term for a health plan that provides a
more limited range of services than an MCO, for
specialty services such as mental health - Examples include the Washington State Regional
Support Networks (RSNs) and Oregons Mental
Health Organizations (MHOs)
11The Quality Environment
- Crossing the Quality Chasm a New Health System
for the 21st Century, Institute of Medicine (IOM)
2001 - Redesign of the health care system based on 10
new rules - Build organizational supports for change,
including the incorporation of care process and
outcome measures into daily work and revising
financial methods to support quality work - Priority Areas for National Action Transforming
Health Care Quality, IOM 200320 priority areas
selected including major depression (screening
and treatment) and severe and persistent mental
illness (focus on treatment in the public sector)
12The Quality Environment
- Currently an IOM Committee is studying how to
adapt the Quality Chasm recommendations to Mental
Health and Addictive Disorders - In December 2004, a meeting was co-hosted by the
National Council for Community Behavioral
Healthcare (NCCBH), RWJ Center for Health Care
Strategies and SAMHSA to frame a National
Initiative for Behavioral Health Care Quality
Improvement (CMS participated in this effort, an
opportunity to generate their support as well as
to foster relationships)
13The Quality Environment
- The Institute for Healthcare Improvement (IHI)
and Don Berwick, MD, have led the healthcare
dialogue from its early beginnings - IHI is a healthcare industry focal point through
National Forums, trainings, and Breakthrough
Series that target reducing adverse drug events,
medical errors or reducing delays and waiting
times throughout the system - IHI partnered with Health Resources and Services
Administration (HRSA) in developing and staffing
the Health Disparities Collaboratives for
Federally Qualified Health Centers (asthma,
diabetes, depression)
14The Quality Environment
- National Committee for Quality Assurance (NCQA),
created jointly by healthcare purchasers and HMOs
to assess, measure and report on the quality of
care provided by managed care organizations - Measures performance through HEDIS, a
standardized measurement system for MCOs - Accredits MCOs using standards grounded in
QIaccreditation is based on a combination of
accreditation survey scores and scores on HEDIS
measures (33 of 100 points) - MAA incorporates most of the NCQA quality
standards in MCO contracts, collects selected
HEDIS performance measures, and uses NCQA
accreditation for a major part of the EQRO review
15The Quality Environment
- Joint Commission on Accreditation of Healthcare
Organizations (JCAHO) accreditation process has
shifted from survey preparation and scores to
continuous operational improvement in support of
safe, high-quality care - ORYX core measure data are used to continually
assess key performance areas, and eventually will
be incorporated into the organizations
performance report as core measures are adopted
for programs - JCAHO prepared the CMS protocols for BBA EQROs to
use in review of Medicaid MCOs and PIHPs
16The Quality Environment
- BBA requires EQROs to operate within specific
protocols - Determine Compliance with Federal Medicaid
Managed Care Regulations - Validate performance measures and methods of
calculating measures of performance - Validate Performance Improvement Projects (PIPs)
and methods of conducting a PIP - Conduct an Information Systems Capabilities
Assessment (ISCA)
17The Quality Environment
- BBA rules require that the MHD and PIHPs have a
Quality Assessment and Performance Improvement
Program (QAPI) that includes mechanisms to detect
both under-utilization and over-utilization - MHD is expected to continuously and consistently
monitor the appropriateness and quality of the
consumer care delivery system in PIHPs - MHD infrastructure is charged with reviewing
statewide mental health data, recommending system
improvements, and designing and implementing
quality improvement projects and processes
18The Quality Environment
- Sample questions from the EQRO protocol include
- Have any recent QAPI activities been implemented
to monitor compliance with established standards
for timeliness of access to care and member
services? - What types of information does the program
provide to support recredentialing of providers? - How does your PIHP detect over- and
under-utilization? Provide examples. - How are enrollee and provider data from all
components of your network used in your QAPI?
19The Quality Environment
- So we have a QAPI and PIPsits all about the
bureaucracy, right?wrong, the work must have
relevance to the organizational vision, mission
and goalsits about achieving your purpose and
serving your consumers - Requires leadership commitment and a deep
understanding of the vision and mission of the
system and/or organization - If you cannot tell 1) how a project specifically
relates to your agencys vision and mission, or
2) (worse) if you cannot tell how your agencys
mission and vision relate to quality, the project
should be sidelined until you can - Hayes and Nelson, A Handbook Of Quality Change
Implementation For Behavioral Health
20The Quality Assessment Component
- Are your system decisions made in a data-free
environment? - How do you know if your agency is achieving its
goals? - How do you know when you should initiate a PIP?
- How will you decide on implementing practice
guidelines? - How will you know if (and why or why not) the PIP
or practice guideline is successful?
21The Quality Assessment Component
- JCAHO ORYX Core Measurement Sets
- Data Quality Principles (Handout 1)
- May vary by setting or by key issue
- Relate to the basic principles of care, process
oriented - Performance measure categories considered useful
in the accreditation process - Clinical
- Health status
- Perception of care/service
- Categories not considered useful include
- Financial measures
- Utilization measures, unless related to a
standard of quality
22The Quality Assessment Component
- For JACHO Behavioral Health, requirements differ
by type of organization - Organizations providing 24 hour care
- Select a minimum of six clinical, health status
or perception of care measures from the set of
JCAHO approved measures - Measures must focus on the clients that receive
24 hour services - Organizations providing non-24 hour care and/or
24 hour care for an ADC of less than 10 - Select at least six measures from any relevant
source, - Share data, analytic conclusions and actions
taken with surveyor - In future will be expected to select and enroll
in a listed performance measurement system when
core measures relevant to their services are
identified
23The Quality Assessment Component
- NCQA HEDIS BH Measurement Sets (Handout 2)
- Follow up after hospitalization for mental
illness - Antidepressant medication management
- Mental health utilizationinpatient discharges
and average length of stay - Mental health utilizationpercentage of members
receiving services - Chemical dependency utilizationinpatient
discharges and average length of stay - Initiation and engagement of AOD dependence
treatment - Identification of AOD services
24The Quality Assessment Component
- PIHP Measurement Sets
- Verity examples (Handout 3)
- ACMHA Indicators (Handout 4)
- PIHP Master Calendar (Handout 5)
- Pilot Measurement of Initiation and Engagement
(Handout 6)
25The Quality Assessment Component
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27The Quality Assessment Component
- The quality assessment component requires that a
group of selected indicators are regularly
tracked and reported - The data should be regularly analyzed through the
use of control charts and comparison charts (Stay
tuned for details!) - These indicators should tell you if you are
achieving your agency goals and objectives - These indicators can provide the basis for
deciding when a PIP might be indicated and the
baseline information for measuring the future
impact of PIPs
28The Quality Assessment Component
- The quality organization does not wait to be told
(via regulations or requirements) what processes,
procedures, or programs to implement. Instead the
quality organization proactively implements a
program that it recognizes it may have to alter
as standards or regulations are developed - Consider the ACMHA list of indicators as a
starting placeit includes measures of what
quality service means to consumers
From Hayes and Nelson, A Handbook Of Quality
Change Implementation For Behavioral Health
29The Quality Assessment Component
- Quality assessment is an absolutely necessary,
but not sufficient, step to change from a
data-free environment to a culture of
measurement
30DMAIAn Ongoing Process
- Living in a the plan-do, plan-do world?
- Too busy fighting fires to close the loop?
- Quality assessment indicators must have relevance
to the organizational vision, mission, goals and
objectives - PIPs based on goals and objectives must use a
Design/Measure/Analyze/ - Improve cycle
31DMAIAn Ongoing Process
- MHD Implementation and Design Group has
designated a standard methodology for the
infrastructure to use in assessing, choosing,
developing, monitoring and evaluating QI
opportunities and outcomes - The Design, Measure, Analyze and Improve (DMAI)
model is - Congruent with and supported by JCAHO
- Data drivenintegrates trending, tracking,
analysis and action into day-to-day processes - Already used by numerous providers and at least
one RSN
32DMAIAn Ongoing Process
From Hayes and Nelson, A Handbook Of Quality
Change Implementation For Behavioral Health
33DMAIan Ongoing Process
- Designtwo steps at the beginning
- Establish objectives of the project
- Establish the processes used to meet the
objective - Measure
- Establish the specific outcome and process
measures the project will use for baseline and
post implementation measurement
34DMAI-An Ongoing Process
- Analyzetwo types of analysis
- Use statistical and numerical methods
- Use comparative methods
- Improve
- Implement revised processes until analysis of
measures indicates that the objectives have been
met
35DMAIAn Ongoing Process
- DMAI adds clarity about objectives into the
cycle this is implied, but not specified in the
PDCA or PDSA, and two types of analyses are
specified
36Fundamental Principles of Quality Management
- Know your customers and what they need
- Focus on processes
- Use data for making decisions
- Understand variation in processes
- Use teamwork to improve work
- Make quality improvement continuous
- Demonstrate leadership commitment
37Know Your Customers
Design
Improve
- Identify customers and their needsin
healthcare there are usually two sets of
customers - The people who use your services are the primary
customers - The purchasers of your services also have
requirements - Set goals based on their needs and DMAI
objectives based on the goals - Monitor performance and satisfaction to target
performance improvementopportunities - Improve or redesign how work is done
38Focus on Processes
Design
Improve
- 85 of poor quality is a result of poor work
processes, not of staff doing a bad job - When things go wrong, it is often at the point of
the handoff in the process - Attend to improving the overall design, not just
one partsome of the most complex and poor
quality processes are the result of improving
and creating work arounds at some steps instead
of redesigning the entire process
39Focus on Processes
Design
Improve
- Advice from NCQA, JCAHO and othersmeasure
processes that are - High-risk
- High-volume
- Problem proneAnd
- Can be tracked and reported as summary or
aggregate statistics - Are being selected by other organizations to
allow statistically valid comparisons to be made
(for purposes of benchmarking)
40Use Data to Make Decisions
DMAI
- Use performance assessment data to target
improvement - Use data analysis tools to develop information
- Analyze data to identify root cause
- Use data to monitor performance outcomes
41Use Data to Make Decisions
Measure
Analyze
- Collection of data on clinical outcome alone does
not provide useful information about what led to
the outcome, or how it can be replicated or
improved - Pairing collection of outcome data with data on
key process performance measures associated with
the outcome will provide information on the
consistency of the process of care - Statistical analysis of these sets of data tells
an organization whether it is improving
performance on outcomes while improving
consistency
42Use Data to Make Decisions
Measure
Analyze
43Use Data to Make Decisions
DMAI
- Symptom is the indication of a problem, but not
a statement of cause - Theory is the preliminary diagnosis about the
cause - Analysis includes data that confirms or rules
out theories - Solutionis the change that will best address
the cause - Information is data that confirms whether the
solution is having the expected impact
44Use Data to Make Decisions
DMAI
From Hayes and Nelson, A Handbook Of Quality
Change Implementation For Behavioral Health
45Use Data to Make Decisions
DMAI
Numerical Tools
Conceptual Tools
- Check Sheet
- Bar Chart
- Histogram
- Pareto Chart
- Control Chart
- Run Chart
- Affinity Diagram
- Brainstorming
- Process Flow Chart
- Interrelational Diagraph
- Matrix Diagram
- Tree Diagram
- Cause and Effect Diagram
46Use Data to Make Decisions
Design
- Conceptual tools support theory generation
regarding root causes, a key step in the PIP
process - Root causes
- In the logical chain of causes
- Directly and economically controllable
- Can be considered a constant part of (or
deficiency in) the process under study - If eliminated, the problem disappears or is
drastically reduced (the Pareto Principle or
80-20 rule) - Initiating a PIP that defines a desired solution,
rather than a process to be studied can be
hazardous to your QAPI s health!
47Use Data to Make Decisions
Design
- Brainstorming for root causestheory generation
thrives on divergent thinking, so no idea is a
bad one - What can go wrong in the process we are studying?
- Problems in hand-offs between steps
- Problems in execution within steps
- Look at machines, materials, methods,
measurements, and people - Cause-effect or Fishbone diagram (Handout 7)
- Organizes and displays theories
- Encourages divergent thinking
- Demonstrates the complexity of the problem
- Encourages scientific analysis (rule-out)
- Failure to use a Cause-effect diagram or use of
an incomplete one, can be hazardous to a PIPs
health!
48Use Data to Make Decisions
Measure
Analyze
- Numerical tools support analysis of PIP theories,
measurement of PIP implementation and ongoing
assessment - Specific theories are needed to drive data
collection and analysis - Data collection and analysis leads to the vital
few root causes by narrowing the competing
theories of cause - Look for clusters of causes that can be tested
together - Use stratifying variables to localize the problem
and identify likely causes - Do Pareto analysis of symptoms and theories
49Use Data to Make Decisions
DMAI
- From Methods and Tools of Quality Improvement
- Institute for Healthcare Improvement
50Use Data to Make Decisions
Measure
Analyze
- The Four Dimensions of Variability
Shape
Center average, median or mode
Spread range or standard deviation
Sequence trend
From Methods and Tools of Quality Improvement
Institute for Healthcare Improvement
51Use Data to Make Decisions
Measure
Analyze
- The average by itself is not a good summary of
data, use a variety of numerical summaries
(Handout 8) - Measures of center include
- Average/Mean the total data values divided by
the total number of observations - Median the middle value in the data set, half of
the data value lie above, half lie below the
median - Mode the most frequently occurring values in the
set of data - Use histograms to look at overall variation
patterns - Use line graphs to look at patterns over time
52Use Data to Make Decisions
Measure
Analyze
- Pareto Principle
- In any group of things that contribute to a
common effect, a relative few contributors will
account for the majority of the effect - These few contributors are call the vital few
while the many other contributors are called the
useful many - The vital few hold the greatest potential gain
from quality improvement efforts - Pareto DiagramA fact based tool for priority
setting in quality improvement efforts (Handout 9)
53Use Data to Make Decisions
Measure
Analyze
- Control charts (Handout 9)
- Variation in performance data is the result of a
complex system of causes - Variation in this system of causes has
characteristics of random variation - Used for ongoing quality assessment, control
charts can help decide when to take action on the
process based on the data - Statistics provide standard distributions and
mathematical methods for testing common and
special cause variation
54Understand Variation
Measure
Analyze
- Sources of variation include machines,
materials, methods, measurements, people,
environment - Control charts are pictures of trend data with an
extra featurethe range of variation built into
the system - Common cause variation occurs if the process is
stable variation in data points will be random
and obey a mathematical lawit is said to be in
statistical control, with a large number of small
sources of variation - If an organization reacts to random variation in
a process that is stable/in statistical control,
it is called tampering and leads to further
complexity, increasing variation and mistakes
55Understand Variation
Measure
Analyze
- Special cause variation arises because of
specific circumstances which are not part of the
process all the time and may or may not ever
recurif the recurrence is periodic, clues to the
root cause may emerge - Not in statistical control is
- One data point above or below the upper/lower
control limits (three standard deviations) - Two out of three consecutive data points beyond
two standard deviations - Of five consecutive data point, four are on the
same side of the mean and beyond one standard
deviation - Eight consecutive data points are on the same
side of mean - Need to investigate special cause variation
before making any conclusions about performance
level
56Understand Variation
Measure
Analyze
- Dont redesign an entire process (a PIP) when
there is special cause variation, because there
is not a consistent process to improve or stable
baseline data to measure the impact of PIP
implementation - A sentinel event is a special cause variation
requiring root cause analysis - Examine specific incident(s) of special cause
variation and make changes to a single element
only after very careful analysis - Failure to distinguish between common and special
cause variation can be hazardous to
organizational performance!
57Understand Variation
Measure
Analyze
- Control chart analysis is done before comparison
analysis to ensure a given process is stable
before evaluation of relative performance level - Comparison charts are based on multiple
organizations performance data (or on
standards/benchmarks that have been adopted) and
are used to evaluate relative performance level - If the process is stable, the only way to make
improvements is to fundamentally change some
aspect of the processthrough a redesign of the
process or PIP - Use benchmark data to create a new control chart
that raises the bar on consistency of expected
average performance and control limits
58Use Teamwork
Design
Improve
- PIPs need buy-in from all stakeholders
- Process being studied is stable, but complex
- Creative ideas are needed
- Division of labor is needed
- Process often crosses functions
- Solution generally affects many
-
59Use Teamwork
Design
Improve
- Those who do the work
- Have theories about the cause
- Have the detailed knowledge needed for conceptual
analysis tools such as fishbone diagrams - Have the clinical and intuitive judgment needed
for design work - Have ideas about improving the processes
- Improving processes means changeinvolvement in
planning change and having staff that are seen as
leaders for the change will be critical to
successful implementation - Open, safe communication is critical for
improving processes (Handout 10)
60Use Teamwork
Design
Improve
- Provide every team with a clear charge and
support resources - Teams should adopt working agreements (everything
from cell phone rules to decision procedures) - Teams should have assigned roles of facilitators
and recorders - The team process has some predictable stages that
it is useful to keep in mind - Forming
- Storming
- Norming
- Performing
61Make QI Continuous
DMAI
From Hayes and Nelson, A Handbook Of Quality
Change Implementation For Behavioral Health
62Make QI Continuous
DMAI
- QI is a system-wide approach to assessing and
continuously improving quality of the processes
and services over time - See inter-relationships, not parts
- Understand the flow of work, not the one-time
snapshot - Detail the work processes
- Determine cause and effect relationships
- Identify points of highest leverage
- Improve and innovate, not just change for
changes sake - A way of doing business, not the exclusive
responsibility of one individual or a committee
63Make QI Continuous
DMAI
- Use quality assessment to identify areas for
improvement - Charge PIP team and provide support
- Provide DMAI training
- Use tools to understand root causes
- Use data for baseline and analysis
- Design process improvement to address root causes
- Train ... train ... train staff on the newly
designed process improvement - Evaluate the impact of process improvements
- If you dont get the results you expected.use
assessment to understand why, revise accordingly
and try again
64Make QI Continuous
DMAI
- Measure improvement over time and compared to
benchmarks - Health of the people served
- Customer satisfaction
- Cycle time
- Accuracy/consistent features
- Financial performance
- Quality assessment is critical to measure the
impact of PIPs and practice guidelines - Measurement of baseline rates
- Initial and second remeasurement after
implementation - Plan to ensure demonstrated improvement can be
maintained over time - EQROs are looking for performance measurement
over time
65Demonstrate Leadership Commitment
DMAI
- Build a QAPI culture
- Connect the organizations strategic plan to
performance improvement - Know and use quality principles
- Encourage all staff to use quality improvement in
daily work - Reward improvements
- Assure adequate QAPI infrastructure for quality
assessment and improvement activities
66Demonstrate Leadership Commitment QAPI Culture
DMAI
- Clearly stated and enacted constancy of purposea
deep understanding of the vision and mission - Regular review of key indicator data
- Decisions made on data rather than hunches or
opinions - Long range view supports search for root causes
and permanent solutions rather than quick fixes - Focus on systems rather than individuals
- Continued identification of improvement
opportunities - Publicize successes (Handout 11)
- Clear communication agency-wide regarding the
commitment to quality and the change processes
necessary to implement improvement
67Demonstrate Leadership Commitment QAPI
Infrastructure
DMAI
- Governance
- Oversight and accountability
- Program structure
- Who will do what when, with what processes for
recommending or deciding - Staff
- Support for ongoing monitoring and analysis, for
training and facilitating improvement activities - Data system
- Collect data and report in a user friendly way
68Demonstrate Leadership Commitment QAPI
Description
DMAI
- Goals
- Organizational structures, responsibilities, and
flow of information - Quality council/committee
- Method for selecting PIP projects, charging PIP
work teams - Scope
- Programs/services/staff included
- Processes included
- Process for using quality assessment results to
plan changes
69Demonstrate Leadership Commitment QAPI Work Plan
DMAI
- Goals
- Important aspects of care/services
- Activities that involve a high volumes, high
degree of risk and/or tend to produce problems
for patients or staff - Monitoring activities associated with important
aspects of care/services - Methods of measurement, frequency, timelines for
reporting - Consumer satisfaction monitoring
70Demonstrate Leadership Commitment QAPI Work Plan
DMAI
- Planned PIPs (in process, new) and timelines
- Evaluation of PIPs now implemented and timelines
- Annual evaluation of QAPI workplan and program
description, with proposed revisions
71Berwicks Answer
- Quality improvement is grounded in values,
- It begins with a commitment at the top of the
organization, - It takes money,
- It has mechanisms for horizontal integration of
quality measurement and control up and down the
line of management and is relevant to front line
staff, - It requires statistical sophistication,
- The focus is on design, not simply on
performance, - Management is responsive and looks for ways to
remove obstacles to improvement, and - There is a strategy to drive out fear