Measuring Organizational Readiness for Quality Improvement Perspectives Measuring organizational readiness for change – Traditional approaches (attitudes, beliefs, culture) – Expanding to clinical structure and care processes Elizabeth Yano, PhD VA Greater Los Angeles HSR&D Center for the Study of Healthcare Provider Behavior UCLA School of Public Health Examples of studies of organizational influences on quality – National VA reorganization (emphasizing PC) – VA quality improvement interventions (QUERI) PrePre-implementation organizational assessment PostPost-implementation predictors of sustainability/spread Review key informant surveys as one method Organizational Readiness Organizational Readiness “Readiness represents a state of mind about the need for an innovation and the capacity to undertake change...” change...” “Readiness consists of people’ people’s beliefs, attitudes, and intentions about the desirability of changes, and perceptions about the ability of individuals and the organization to successfully make those changes.” changes.” “Readiness represents the predisposition to unfreeze established patterns of behavior.” behavior.” Commonly measured as: Sources: Beer 1990, 2004; Beer & Eisenstat 1996, 2004; METRIC 2005 Sources: Beer 1990, 2004; Beer & Eisenstat 1996, 2004; METRIC 2005 Contribution of Organizational Readiness Measures to VA Quality Culture (staff surveys) – QI orientation associated with ↑ tobacco counseling rates Investments of resources/competition (PC leader survey) – Sufficiency of clinical support arrangements accounts for substantial variation in prevention performance Past contracts/agreements (PC leader survey) – Stringent PC patient assignment associated with lower breast & cervical cancer screening Control over decisions, resources (PC leader survey) – PC practice autonomy over internal operations associated with higher CRC screening rates and better diabetic control Sources: Yano et al., JGIM, 2002; Soban & Yano, JACM, 2005; Yano HCOC, 2005; Goldzweig et al, AJMC, 2004; Jackson, et al., AJMC, 2005. – Culture (innovativeness, flexibility, climate) – Definition of roles – Investment of resources (including competition) – Past contracts or agreements (can limit changes in behavior) – Threats to power— power—control over decisions, resources Organizational Readiness: Expanding Beyond Attitudes, Beliefs, Culture Interventions associated with changes in quality – – – – Organizational change (biggest (biggest effects) effects) Reminders Audit and feedback/profiling Incentives Organizational change interventions focus on structures and processes of care (org “enablers” enablers”) – Not attitudes, beliefs, culture – hard to change – Clinical processes of care, management strategies, clinic structure, provider training, decision support Source: Stone, et al., Ann Intern Med, 2002. 1 Major Reorganization of VA Health Care System (1996(1996-present) VA Health Care System as the Organizational Context VA health care system largest in U.S. Historically, VA was… was… – IndividuallyIndividually-managed hospitals focused on specialty care – Funded through priorprior-year cost cost reimbursement – Extremely poor quality of care reputation – 163 hospitals, >750 freestanding communitycommunity-based outpatient clinics, >130 nursing homes, >200 vet ctrs – Served over 5 million patients in past year Congressionally approved VA reorganization… reorganization… – – – – – – – Veterans’ Veterans’ integrated service networks (VISNs (VISNs)) (n=22) NetworkNetwork-level budget control and performance agreements Incentivized auditaudit-andand-feedback on quality/satisfaction Funded by population served (capitated (capitated)) Eligibility reform changed VA to health plan and payor Computerized patient record system (CPRS) w/decision support Primary care as platform for restructuring care delivery Affiliated with over 1,200 academic institutions – Including 107 medical schools, 55 dental schools – 110,000 students and trainees in >45 disciplines/year > ½ of all U.S. MDs received part of their training in VA VA market penetration growing rapidly – 20% of those <65 and 29% of those >65 VA health care budget $25.9 billion (2003) VA Improves 12 of 13 Leading Quality Indicators (1995(1995-2000) 1995 1996 1998 1999 2000 100 90 80 70 60 50 40 30 20 10 0 HbA1c Flu shots CRC Screen ASA MI VA Beats Medicare 1212-1 in 2000 Medicare VA 100 90 80 70 60 50 40 30 20 10 0 Mammo Flu shots Pneumovac Primary Care Organizational Changes HbA1c DM eye DM lipid Jha NEJM 348:22 2003 Jha NEJM 348:22 2003 Changes in PC Physician Volume/Mix Mean FTEEs 10 Percent of VAs w/PC Program 100 90 80 9 PC budget PC-based QI Pt-PCP assignment PC teams PC Teams 8 GIM MDs Geriatrics MDs IM Subspecialists Psychiatrists 7 Pt assignment 70 6 5 60 PC-based QI 50 4 3 40 Separate PC budget 30 20 10 2 1 0 1993 0 1993 1996 1996 1999 1999 2 Staff Alignment to Primary Care Changes in PC Resource Sufficiency Percent of VAs with PC Staff Reporting Only to Primary Care Percent of VAs Reporting Always/Mostly Sufficient 90 90 MDs NPs PAs MSWs RNs 80 70 60 50 * 80 70 * * * 60 50 40 40 30 30 20 20 10 10 0 1993 1996 * 0 1993 1996 Admin offices 1999 Organizational Readiness: Implications for QI Research Basic Science VA intramural research program Clinical Research Health Services Research TRIP over the proverbial “brick wall” TRANSLATION “new discoveries” Examining Rooms Treatment rooms PCs Patient education space Organizational Readiness: Implications for QI Research Health Services Research EFFICACY to EFFECTIVENESS “new treatments” “new cures” “improved access” “better quality of care” • Measure organizational readiness • Use to select promising sites • Locally tailor QI intervention(s) • Fixed characteristics (eg, urban/rural) • Mutable characteristics (change/adapt) IMPLEMENTATION “barriers” “barriers” “barriers” Routine Care Routine Care Organizational Readiness for QI: Organizational Readiness for QI: Preparing to Implement Depression Collaborative Care Preparing to Implement HIV QI Intervention Depression collaborative care model in 7 VAs – – – – Depression care manager PCPC-MH collaboration Informatics/registry (screening, reminders) Leadership support PrePre-intervention semisemi-structured telephone interviews of all PC and MH leaders – Assess current screening and referral processes – Assess local barriers (eg (eg,, turf, staffing gaps, history) – Fed back into planning calls, adapted protocols Sources: Parker LE, Yano EM, Rubenstein LV, 2003; Ficket et al, in prep. HIV quality improvement intervention trial (16 VAs) VAs) (Asch et al) – GroupGroup-based QI, auditaudit-andand-feedback, reminders Used national HIV provider survey (n=118 VAs) VAs) to examine how organizational factors affected adoption of HIV QI activities before starting trial – – – – Assessed local QI activities, HIV guideline use Measured attitudes toward proposed QI modalities Evaluated regional, facility and practice variations Fed back to team (site selection, adapted protocols) Sources: Anaya, Am J Med Qual 2004; Korthuis et al, JAIDS, 2003; Yano, et al., Mil Med 2005. 3 Organizational Readiness for QI: Implementing/Sustaining Depression Collaborative Care Onsite inin-person stakeholder interviews – Network, medical center, clinic site – PC and MH leaders, PC and MH providers, nurses, care managers, patients, consumer reps (n=106) SemiSemi-structured interviews exploring implementation of each care model component – Leadership support/opinion leaders – Depression care manager interaction/contacts – Provider interactions and ongoing education needs Fed back to implementation/spread teams and developing “diffusion” diffusion” tools Different Measurement Approaches Knowledge/ Evidence Base HIGH • know domains/items? Key Informant • who has knowledge? • can you get to them? Surveys • will they cooperate? LOW Qualitative Interviews Informs survey design Provider Surveys • if variation important • if QI intervention requires their change • AND all of above • telephone or in-person • different levels of interview structure • different levels of stakeholders/informants Measuring Organizational Characteristics Using Key Informant Surveys Measuring Organizational Characteristics Using Key Informant Surveys Step #1: #1: Translate ideas into survey domains Step #2: #2: Select measures allowing benchmarking against other health care organizations Example: Translate HIV QI strategic plan into domains: – – – – HIV screening policies and protocols Practice arrangements for management of HIV disease Provider ratings of effectiveness of diff QI interventions Potential barriers to adoption of HIV guidelines Example: Evaluate PC organizational predictors of quality – Institute of Medicine primary care domains (access, continuity… continuity…) – Primary care strategic plans – PC practice managers (observation and interview) Example: Example: Depression collaborative care implementation – Disaggregate care model components— components—explicitly open “black box” box” Measuring Organizational Characteristics Using Key Informant Surveys Step #4: #4: Test and adapt survey to target health care settings Cognitive interviews with sample respondents Vary types of organizations included (big/small) Develop multiple modules if needed – By setting (hospitals, freestanding outpatient clinics) – By respondent type (hosp director, PC chief, lab tech) Step #5: #5: Identify key informants Desired knowledge base, incentives to participate Social desirability and need for validation, politics Example: Example: VA QUERI HIV & HCSUS Example: Example: VA, NCQA PSAS, & Kaiser Example: Example: VA & DHHS Office of Women’ Women’s Health COEs Step #3: #3: Develop new measures that match structurestructure-process or -outcome model or QI goals Literature review, expert panel methods— methods—build on evidence Talk to “real people” people” who live in world you are studying Begin with qualitative interviews or focus groups Measuring Organizational Characteristics Using Key Informant Surveys Step #6: #6: Sampling organizations What’ What’s in it for the organization? Sampling to represent what? Where do – Types of organizations, units w/in you get organizations, different size and complexity this kind of information? – Regions, urban/rural locations, other area characteristics Obtaining their cooperation… cooperation… – Leadership support, uses of data, IRB, HIPAA – Funding to compensate for administrative time 4 Measuring Organizational Characteristics Using Key Informant Surveys Measuring Organizational Characteristics Using Key Informant Surveys Step #7: #7: Field preparation Step #8: #8: Administer surveys Identify and market to venues common to respondents Determine regular communication options – Management meetings, conference calls, broadcast fax, advance mass mailing Involve senior leaders/opinion leaders – spokespersons Market value of participation – Demonstrate previous uses of data (“ (“good works” works”) – Offer incentive (eg (eg,, summary of survey results, publications order form, financial) Contact organizations and talk to support staff Hardcopy expressexpress-mail with prepaid returns WebWeb-based with varying email introductions and reminders Quality review of survey content with active followfollow-up of missing data and nonnon-respondents – 2-week second wave mailouts – 4-week telephone followfollow-up Continual data entry (if hardcopy), quality checking FollowFollow-up postcards and repeat announcements in original venues Example Key Informant Surveys Primary care practice organization (93, 96, 99) – Care arrangements, teams, staffing, authority, resources, QI, decision support, care coordination, profiling, incentives, management structure Clinical practice organizational survey (05) 93%100% HIV practice structure/delivery models (00) – Screening, PC vs. specialty management, HIV clinics, staffing, provider experience, HIV case management, HIV guideline use, barriers, provider preferences 83% – 3 modules: Network directors (n=21) (~$1 (~$1 billion each) Chiefs of staff (aka (aka medical directors) (n=160) Primary care clinic directors (n=259) – Mapped to prior VA surveys Æ time trends – Mapped to NCQA PSAS© and Kaiser IT surveys Æ benchmarking Women’ Women’s primary care organizational survey (06) Women’ Women’s health care delivery organization (01) – Clinic structures, service availability, referral arrangements, decision support, QI, leadership, policies, staffing, authority, provider training Example Key Informant Surveys 82%100% – Senior WH clinician or medical director – Classify every VA by organizational taxonomy – Evaluate quality of care within different types Thank you Elizabeth.yano@med.va.gov (818) 895-9449 5