A Critical Quality Consideration – Which Oncology Clinical Certifications Matter?

Promoting Quality to Improve Outcomes and Cut Costs

Which Oncology Clinical Certifications Matter?

By Wes Chapman

May 23, 2013

Summary

Professional medical societies have certification programs which certify the medical practices at certain locations as being “certified” for practicing the highest standard of care. These certifications are provided by a variety of medical societies in oncology including: 1)  American College of Surgeons Commission on Cancer (ACS CoC), 2)  American Society of Clinical Oncologists (ASCO), 3) American College of Radiologists, 4) American College of Radiation Oncologists, and 5) American Society for Radiation Oncology. We have seen these certifications increasingly used to determine the potential for participation in quality based incentive plans, and have taken a systematic look at how they compare based on a series of objective quality criteria. We rated and ranked the certifications based on a scale of 1 (low score is best) to 5, and then compiled the totals into a ranking of 1-5 stars, based on a scale graded between 10 – the lowest possible score and 50.

 

On this basis CoC and QOPI both received 5 stars, with scores of 14 and 20 respectively. Both ACR and ACRO received scores of 4 stars, with respective scores of 26 and 23. While ASTRO holds much promise for its certification program, it is still in formation, but it still received 3 stars based on the work done to date.

The Solution for Payers: Promote Quality Certification

Private health insurance companies are in a unique position to speed the acceptance and reach of quality certifications by promoting their use within their provider networks. This is particularly important in oncology, where outcome data is difficult to assemble and interpret.

Some of the largest payer organizations in the U.S. – including Aetna, BCBS, Humana, and United – have already endorsed the Quality Oncology Practice Initiative Certification Program (QOPI) of the American Society of Clinical Oncology (ASCO). We have seen certifications of clinical programs at provider sites used by payers in evaluating provider organizations for participation in new alignment structures including private ACOs. Based on payer reliance on these certification programs, we have undertaken a systematic look at how they differ and their potential value in the evaluation of clinical care.

Which Standards Are Worth It?

The certification bodies considered in this paper are non-profit oncology specialty societies that focus on education for their members, along with research into evidence-based treatment guidelines. The criteria were selected as representative of best practices in quality systems in general, and medical quality systems in particular. Criteria for the institution:

  • Quality/certification a key component of mission statement
  • Specialty area expertise, including education and research
  • Large membership with national reach
  • Solid reputation; respected in the medical community
  • Non-profit and non-lobbying

Criteria for the standards:

  • Wide-ranging within the specialty, covering many aspects of care
  • Evidence-based
  • Include clinical pathways
  • Updated frequently

Criteria for the certification process

  • Audited frequently; annually is preferred
  • Requires documented and timely response to nonconformities
  • Encourages continuous improvement
  • Transparent; requires public reporting of patient outcomes

Oncology Certification Programs to Consider

To date, no certification program for oncology meets our full list of criteria; however, they serve as guidelines for choosing from what is currently available, and for determining how those programs can be improved. The table that begins on the next page allows a comparison of the major certification programs in oncology. An analysis following the table points out the shortcomings and advantages of each certification program and rates them on a scale of 1 to 5.

The table compares these oncology certification programs:

  • CoC: From the American College of Surgeons Commission on Cancer (ACS CoC)
  • QOPI: From the American Society of Clinical Oncologists (ASCO)
  • ACR: From the American College of Radiologists (ACR)
  • ACRO: From the American College of Radiation Oncologists
  • ASTRO: From the American Society for Radiation Oncology

Note that, for a number of years, ASTRO and ACR jointly certified radiation oncologists through the ACR program. In October of 2012, ASTRO withdrew from the partnership in order to create its own certification program. The ASTRO standards are still in development.

Snip 1Snip 2Snip 3Snip 4

Analysis of the Table

American College of Surgeons Commission on Cancer (CoC) Accreditation

CoC Accreditation with commendation: Score = 14

Shortcomings

  • Does not require public reporting of outcomes to the general public - except with commendation.
  • Evidence-based measures are highly-specific and by no means comprehensive. The CoC has a distinct advantage with its huge database of cancer cases, the NCDB, so it is hard to believe that they can put together a more comprehensive set of quality measures.
  • Their definition of “continuous improvement” is somewhat arbitrary, but CoC requires its awardees to execute at least two continuous improvement efforts every year.
  • Several safety measures are outsourced. In the case of radiation oncology, this is commendable, because other organizations hold much more expertise in these areas. Inclusion of evidence-based processes would be desirable.
  • No public reporting of outcomes.

Advantages

  • Strict requirements for Cancer Program Practice Profile Reports (CP3R) measure performance.
  • Data quality requirements, beyond chart abstractions.
  • Data requirements for diagnostic purposes and treatment planning.
  • Requires a multi-specialty tumor board. This tumor board leads the different programs required by accreditation, including prevention, screening, and continuous improvement programs.

QOPI: Score = 20

Shortcomings

  • Data quality requirements are more loose than most, with an audit upon achieving accreditation / reaccreditation, but doesn’t necessarily audit participants every year
  • Data auditing requires chart abstraction is cumbersome and expensive In a world where electronic medical record systems are common, other forms of reporting could be accepted.
  • Could benefit from including data quality requirements.
  • No public reporting of outcomes

Advantages

  • QOPI has strict performance and quality-of-care requirements.
  • Has a well-defined set of safety measures in a separate standard, to ensure safe patient care.
  • Well-respected, comprehensive set of evidence-based quality measures.
  • QOPI raises the bar for cancer center performance—in 2011, performance required by QOPI was 72.62% and today it is 75%—instead of leaving it up to each individual cancer center.

ACR: Score = 26

Shortcomings

  • Clinical pathways and processes are not specified.
  • Safety standards are loosely-defined when compared against ACRO.
  • Does not include a lower-bound on minimum acceptable process improvement.
  • Neither public reporting nor collection of outcomes data.
  • Could benefit from including data quality requirements.
  • Not entirely clear about what or how they will measure performance. They do not state how or why they will score different charts.

Advantages

  • ACR’s guidelines can do tremendous good.
  • Requires compliance to safety guidelines established by ACR and ASTRO.

ACRO: Score = 23

Shortcomings

  • Does not require public reporting of outcomes data.
  • Could benefit from including data quality requirements.
  • Does not necessarily include evidence-based guidelines; charts are reviewed with an eye towards NCCN’s evidence-based pathways.

Advantages

  • Establishes a process-based approach and defines an evidence-based process for delivering safe radiation oncology therapy.
  • Comprehensive set of safety requirements that include processes, staffing, and other areas relevant to clinical quality.
  • Process-based continuous improvement requirement.
  • Very clear regarding requirements and criteria for chart reviews.
  • Reminiscent of an ISO 9001 quality management system, but adapted for a radiation oncology clinic.

ASTRO: Score = 33

Shortcomings

  • Not fully completed yet.
  • It is unclear whether continuous improvement will be a requirement.

Advantages

  • Will include a very comprehensive set of safety measures, perhaps the most comprehensive of any accreditation.
  • Will include public reporting of outcomes data, the first radiation oncology certification to require this.
  • Performance standards will derive from evidence-based guidelines.

 

Quality Rankings Tabular Analysis

Snip 5

Rating the Certifications

We have rated the certifications on a scale of 1 to 5 and also make recommendations for their areas of application. (Obviously, a provider that doesn’t perform radiation therapy or diagnostics should not be expected to have certification in that area.)

ACRO: 4 Stars – Recommended for radiation oncology clinics and cancer centers that offer radiation therapy.

CoC with commendation: 5 Stars – Recommended for cancer centers.

QOPI: 4 Stars – Recommended for medical oncology clinics and cancer centers.

CoC (without commendation): NR – We recommend CoC with commendation first, or else CoC combined with QOPI.

ACR: 4 Stars – We recommend ACRO first, but would recommend ACR over nothing at all.

ASTRO: 3 Stars – – This seems to be a promising, comprehensive certification, but we must defer a recommendation until the standard is published.

Note that any of these certifications is preferable to no quality certifications at all. In the case of certifications not listed here, payers can use the criteria and table headings to compare and rate them before deciding whether to promote them among their network providers.

Conclusion

All of the certifications reviewed offer worthwhile measures for medical practice, and are increasingly moving in the direction of the best quality management systems – like ISO 9001 – requiring best practice adherence, continuous improvement and outcome analysis to test effectiveness. Clearly data access and quality loom as major issues for all medical quality systems, and the gigantic investment in EMRs has not yet facilitated real time access to meaningful data sufficient to power any of the certifications.

CMS & ISO 9001 – The Impulse Toward Quality in Healthcare

CMS and ISO 9001

The Impulse Toward Quality in Healthcare

By Wes Chapman, Steve Maker, and Mario Martinez • April, 2013

Preface

This is the first of two white papers on ISO 9001 in healthcare. This paper provides a historical perspective, an overview of the purpose and principles of ISO 9001, and a brief look at the potential of ISO 9001 to transform healthcare delivery in the U.S. now that accreditation and certification under its standards have been embraced by CMS. The second paper will take a closer look at the process required to successfully implement ISO 9001.

Background

In 2008, a revolution started in healthcare quality – ISO 9001:2008 entered the fray when the Centers for Medicare and Medicaid Services (CMS) approved Det Norske Veritas (DNV) as a deeming authority for Medicare payments. DNV was the first new deeming authority named by CMS in over 40 years, and ISO 9001 – considered the gold standard for quality improvement systems – played a key role in the decision. DNV had just completed development of a system it calls the National Integrated Accreditation of Healthcare Organizations (NIAHO), which it will use to accredit hospitals under CMS’ Conditions of Participation (CoPs). NIAHO combines the CoPs standards with the ISO 9001:2008 quality standards developed by the International Organization for Standardization (ISO). Healthcare providers must meet the CoPs quality and safety standards in order to be reimbursed for treating patients under Medicare and Medicaid; in 2008, ISO 9001 became the best system available to achieve that accreditation and maintain the standards necessary to keep it.

Quality improvement, along with cost reduction and payment reform, has been an elusive goal in the complex environment of healthcare delivery. Traditional quality tools like Lean and Six Sigma have proven difficult to adapt from their roots in straightforward process environments such as auto manufacturing. ISO 9001 provides the overarching management structure needed to incorporate these types of tools into a more encompassing quality management system suited to healthcare organizations. ISO 9001 is designed for service providers as well as manufacturers. ISO 9001 is focused on customer requirements and satisfaction, and there is certainly no industry that should be more customer-focused than healthcare. ISO 9001 is flexible, allowing each healthcare provider to develop and implement a quality management system appropriate to its structure, methods, and organizational culture. And ISO 9001 requires continuous improvement in order to remain certified, which means continuous benefit to the healthcare provider, to CMS, and to the patients.

The Deeming Authorities

Several other organizations have deeming authority from CMS (see the table, below), but one in particular – the Joint Commission (TJC, formerly JCAHO) – has handled the majority of hospital applicants in the 40 years since Medicare was created. In fact, TJC was the only deeming authority named in the initial law. Until very recently, TJC had not incorporated ISO 9001 into its accreditation process, nor had it offered ISO 9001 certification separately. DNV does offer full certification under ISO 9001 in addition to CoPs accreditation under NIAHO. By granting deeming authority to DNV, CMS (which is itself ISO 9001 certified) seems to have signaled its determination to control rising health care costs in the U.S. without reducing the quality of care. In fact, this is almost a standing order to hospitals to improve care without backsliding.

Accreditation Organizations with   CMS Deeming Authority
Accreditor Scope of Authority # of accredited customers (CoPs) ISO connection
The Joint Commission Hospitals, Labs, Durable Medical Equipment, Home   Health, Hospice, other Around 5,000 hospitals and over 10,000 other   institutions Affiliated with SGS to offer the option of ISO   certification to members
DNV Healthcare Critical Access Hospitals (CAH), Acute Care Hospitals   (ACH) Around 300 hospitals (over 1200 though DNV   international groups) Requires ISO 9001 certification within two years
American Osteopathic Association (HFAP) CAH, ACH, Ambulatory Surgical Center, Behavioral   Health, Lab Around 230 hospitals and 200 other institutions No ISO relationship
ACHC Home Health, Hospice, Durable Medical Equipment   (DMEPOS) No hospitals, 8,700 DMEPOS, 1,400 Home Health, and 300   Hospices ISO-certified itself but not offering ISO certification   to clients

TJC has seen the opportunity and responded. In 2011, it announced an agreement with the Geneva-based ISO registrar SGS Group to offer ISO 9001 certification, in addition to CoPs and the other accreditations it offers. Due to its organizational roots and long affiliation with CMS, TJC can claim over 20,000 U.S. clients, of which over half are hospitals or home care organizations, though TJC/SGS has yet to announce any ISO 9001 clients. Depending on the source, DNV is working with somewhere between 250 and 300 clients in the U.S., for both CoPs accreditation under NIAHO and ISO certification. Globally, they have certified over 1200 healthcare organizations under ISO 9001 to date.

It’s very hard to estimate how many U.S. hospitals have achieved ISO 9001 certification already. In addition to DNV’s 300 or so clients working toward that end, a few healthcare organizations have already achieved it through other means. Two of them – Physician’ Clinic of Iowa (PCI) and the Office of Medical Services (MED) of the U.S. Department of State – are well documented in the book Using ISO 9001 in Healthcare (Levett and Burney, ASQ Quality Press, 2011). As the public becomes more concerned about quality and more aware of the high standard indicated by ISO 9001, we can expect to see more and more certification logos on hospital web sites and letterhead, and with them, higher quality throughout the healthcare system.

Introducing ISO and ISO 9001

“ISO is just quality on steroids.”
(Director of the QMS in a 700-bed hospital working with DNV Healthcare)

ISO can refer to the International Organization for Standardization or to the standards it produces. The organization has its roots in mechanical engineering. It was founded as the International Federation of the National Standardizing Associations in 1926, disbanded in 1942, and reformed under the current name in 1946, after the dust from World War II had settled. Then and now it was an international organization made up of its member nations’ standards organizations (the U.S. representative being the American National Standards Institute, or ANSI), and its sole purpose is to develop standards for an expanding variety of industries. In addition to standards, it publishes technical reports, specifications, and related documents, most of which are developed by a network of 2,700 committees, subcommittees, and working groups.

ISO 9001 began life in 1959 in the form of a quality/inspection-based standard for the U.S. Defense Department. With much revision and expansion, it became an ISO standard in 1979. In 1987, a new revision emerged as ISO 9000, which continued to evolve, being republished in 2000 as a management system standard suitable for both manufacturing and service industries. ISO 9000 specifies the fundamentals and vocabulary underpinning ISO 9001, a quality system standard, which evolved in parallel with ISO 9000. The latest revision is ISO 9001:2008.

ISO 9001 is a respected and widely accepted framework already used to improve quality, improve value delivered to customers, and reduce costs by:

  • CMS, which is rated as the most effective healthcare payer in the U.S.
  • The American Society for Quality (ASQ)
  • The automotive industry, which has continually and dramatically improved quality over the past 50 years in its race with Japanese and German manufacturers
  • The aeronautics industry, where good quality controls have made aircraft safer and where bad quality controls produced the Dreamliner
  • Manufacturing in general
  • Franchises, which use ISO 9001 to replicate operational improvements
  • Multinationals, which use ISO to replicate their successes, while still allowing for flexibility across different regions
  • And now healthcare

What is ISO 9001?

ISO 9001 is often referred to as a quality system, but technically it is not. As stated above, it is a quality system standard. It has also been described as a meta-management system. This is a fine point to argue, but keeping it mind can help avoid confusion over what ISO 9001 offers.

ISO 9001 does not describe a specific quality tool, like Lean or Six Sigma. Instead, it specifies the types of components a quality system must have in order to improve processes and increase value. For example, one of its requirements it to create a Quality Manual, but it does not provide a rigid outline or table of contents. Instead, it states eight principles that underlie effective quality management and then defines the processes required to incorporate those principles into a quality management system. ISO 9001 leaves it up to each organization to develop the Quality Manual that is most appropriate to its own operations. It is not a how-to book; it shows you how to write your own how-to book.

The eight principles in ISO 9001 are:

  • Customer focus
  • Leadership
  • Involvement of people
  • Process approach
  • System approach to management
  • Continual improvement
  • Factual approach to decision making
  • Mutually beneficial supplier relationships

Customer Focus refers to patients, of course, but also to their families and all the other stakeholders involved in healthcare delivery. That includes outside providers to whom you refer patients, payers, vendors, and your own staff. Each of these groups has its own set of (sometimes conflicting) expectations and needs. ISO 9001 makes customer focus the first requirement under Management Responsibility:

Top management shall ensure that customer requirements are determined and are met with the aim of enhancing customer satisfaction. (Section 5.2, page 4, ISO 9001:2008(E))

Note that the standard specifies determining the customers’ requirements and also, by implication, determining if they were satisfied by the services they received. The exact methods used to discover and document this information are left to the quality team to define.

Leadership refers to a firm commitment from management to adopt the ISO 9001 standard for quality improvement. The principles and processes described provide a framework for the quality system, but the strategy, objectives, and leadership role models must come from within the organization.

Involvement of people means just that: Everyone in the organization needs to be involved in developing the quality system and making it work. This requires another commitment from management: to provide training and resources. In the complex network of processes that is healthcare delivery, it’s also important to ask and to listen to employees at every level in every department, not only because they will have information you need to know, but also so they realize the important part they play in the development, implementation, and ongoing improvement of the quality system.

The Process Approach applies to the processes of healthcare – from clinical pathways to housekeeping to buildings and grounds – and to the processes of administration and quality management. Every key process will need to be defined and managed.

A Systems Approach to Management means viewing the entire operation as a system of interrelated processes. Knowing how the processes flow and understanding how they interact to achieve specified objectives allows managers to improve effectiveness throughout the organization.

Continual Improvement is a key component in the standards. Many quality tools provide a method to improve processes, but don’t provide a system for maintaining that level of quality over time. Throughout the quality process, ISO 9001 does a very good job of asking questions and then forcing you to not only write down the answers but also follow up on delivery. This drives the process of continual improvement.

A Factual Approach to Decision Making could be stated simply as monitor, measure, and document, but ISO 9001 goes farther, to require documentation at almost every step in the quality process. At its core, a dedication to fact-based decision making means the use of impartial and auditable data. It begins with the definition of the processes in your operations and in your quality management systems, because “you can’t control a process you can’t describe.” Documentation continues throughout the implementation of your quality management system, and afterward as you monitor the daily workings of your healthcare delivery system. Documentation continues as you identify what works well and what falls short, allowing you to analyze how to adopt strengths as standard operating procedures (SOPs), and to find solutions for problems that arise in the future. Documentation still continues as you monitor the results of your solutions to guarantee they are implemented as designed and that they work.

Mutually Beneficial Supplier Relationships includes treating each other as customers, learning each other’s requirements, and verifying that both sides are satisfied with the results. In an ISO-based system, suppliers are valued partners, with the inescapable reality of shared success. Quality is not a zero sum game. ISO 9001 also requires a process in your quality system to insure that your suppliers are working at the same level of quality you are, hopefully with their own IS0 9001 certification.

Nuts and Bolts

Each of eight principles applies to the entire quality process, and they are referred to throughout the ISO 9001 document. After three brief chapters that describe the document’s scope, normative references, and terms and definitions, the document’s table of contents covers:

4)      Quality management system

5)      Management responsibility

6)      Resource management

7)      Product/Service realization

8)      Measurement, analysis and improvement

To quote from ISO’s website, the standard:

…covers all aspects of an organization’s activities, including; identifying its key processes, defining roles and responsibilities, policies and objectives, documentation requirements, the importance of understanding and meeting customer requirements, communication, resource requirements, training, product and process planning, design processes, purchasing, production and service, monitoring and measurement of products and processes, customer satisfaction, internal audit, management review, and improvement processes.

                       ISO SYstem Diagram

The second white paper will go into these processes in more detail. It’s important to realize, however, that ISO 9001 doesn’t expect you to reinvent the quality management wheel. In fact, it assumes organizations will use the standard in conjunction with other quality management tools. In our 2011 white paper, Medical Quality Systems: The Elusive Goal of Quality in Complex Systems (http://pcdsys.com/medical-quality-systems-the-elusive-goal-of-quality-in-complex-medical-systems/), we outline a system that we believe to be very effective in the complex environment of healthcare delivery. This system combines ISO 9001 with checklists and elements of the Lean and Six Sigma quality toolsets (commonly referred to jointly as “LSS”).

ISO 9001 can easily incorporate medical standards, not only those in CoPs but also clinical guidelines. We have written earlier about the importance of defining and adhering to best practice customer-related processes (i.e., clinical pathways and metrics: see A Taxonomy of Leading Oncology Organizations, http://pcdsys.com/taxonomy-of-leading-oncology-organizations/) and of using patient-reported outcomes (PROs: see Choosing Appropriate Metrics From a Still-Evolving Toolset, http://pcdsys.com/patient-reported-outcomes-choosing-appropriate-metrics-from-a-still-evolving-toolset/). In our most recent white paper, we discuss the importance of patient education and shared decision-making (Palliative Medicine and Patient Involvement: The Heart of Patient-Centric Care, http://pcdsys.com/palliative-medicine-and-patient-involvement-the-heart-of-patient-centric-care/). ISO 9001 goes beyond endorsing practices like these as key tools for managing and improving the quality of your healthcare delivery system – it requires them.

Properly implemented, ISO 9001 guarantees that the other tools are being used correctly and are being continually monitored to identify existing weak points that should be corrected, and to catch new problems that creep in over time. ISO 9001 will keep the system working well and improve it over time.

What Can Go Wrong with ISO 9001?

One stumbling block for healthcare providers when they first encounter ISO 9001 is the language used. There are no healthcare-specific terms. That is actually a benefit of the standard: It is flexible across and within industries. As you define your processes for daily operations and quality management and then create your Quality Manual, you use the terms that suit each process. When the standard talks about “product realization,” for example, it means “healthcare delivery.” Its “customers” are your patients and anyone else who derives value from your work.

Some common misperceptions include:

  • Failing to recognize what is not appropriate, not needed, or not required. In the complex environment of healthcare delivery, too many layers of complexity, sign-off, and documentation detail can overwhelm staff and management.
  • Trying to implement the entire system at once, rather than identifying and starting with the processes where improvement will provide the greatest benefit. An “all-or-nothing” policy puts such demands on resources that it, too, can overwhelm you. Typically, implementing ISO 9001 will require two to three years.
  • Failing to explain the process of change, and its benefits, to the entire organization. Everyone must understand how they, too, will benefit and why they must be involved. (The buzz word here is “buy-in”.) And senior management must be the first to buy in.
  • Assuming that “audit” is a once-a-year process by someone else, and that “follow-up” only means reading an audit report. Regular internal audits, continuous monitoring, timely analysis of problems, and rigorous follow-through are essential to the quality process.
  • Making the auditor God. In ISO 9001, one size does not fit all. The standard’s flexibility makes it your right and your duty to develop a quality system specific to your operations. Unfortunately, some auditors are too rigid in their interpretations, or are trying to create an easier job for themselves, and will insist that all of their clients use the same forms. In such a case, your response should be, “Where in the standard or my procedures am I asked to do that?”
  • Failing to recognize the importance of a robust document management system that will simplify data entry and retrieval and still be easy to change, with excellent version control so that users never see outdated forms or guidelines. Implementing ISO 9001would be a labor-intensive challenge in a paper-based world.
  • Failing to start and end with the customer’s perception of quality.

What’s Good About ISO 9001 is Good for Healthcare

ISO 9001’s eight principles outline what is needed for a good (if not great) quality management system. Several of them bear repeating.

In Medical Quality Systems: The Elusive Goal of Quality in Complex Systems, referenced above, we present the modern definition of quality:

Quality is the ability to deliver, through a consistent and efficient system, a product or service that meets or exceeds a customer’s rational value expectations. … This is a critical concept for healthcare. In industrial systems, it is possible (although not desirable) to operate with a very high scrap rate and utilize only product that meets specifications. In healthcare, each of these pieces of ‘scrap’ is a failure to treat a patient properly, resulting in waste, pain, injury, and even death.

In other words, there is no industry that should be more involved with its customers’ rational value expectations than healthcare.

We also quote W. Edwards Deming: “In God we trust; all others must bring data.” (Deming developed the Plan-Do-Check-Act quality tool and also introduced modern quality methods to Japan in the 1950s.) ISO 9001’s seventh principle restates this requirement as, “Factual approach to decision making.”

Then there is the fact that healthcare delivery is a complex, non-linear system of interacting processes. ISO 9001 specifies a systemic approach to managing such a system. It is the only way to achieve the broad oversight necessary to monitor both the individual processes and the interactions. With this systemic approach comes the flexibility to develop a system that incorporates healthcare-specific standards, guidelines, and metrics.

Finally, there is the requirement for continuous improvement. In addition to periodic audits by an outside registrar, ISO 9001 requires regular internal audits by employees who have been trained for the task. On top of that, it requires continual monitoring of your processes, followed by review and analysis of each problem and timely follow-up in the form of a corrective action that is then monitored to make sure it worked. If the outside auditor does find non-conformities, the mechanisms are in place to discover the root cause quickly, correct it, test the correction, and then report back to the auditor that the problem has been fixed. With ISO 9001, you have a meta-management system that gives you constant visibility into your performance so that you can quickly repair problems and know how you are doing at all times.

Compare this process with the typical accreditation process that takes place currently in most hospitals: a periodic inspection at annual intervals (at best), a bulky audit report, and little or no insight into the root cause and related effects of the issues that led to your failing the survey and possibly losing your accreditation.

What to Prepare For

Pay for Quality, Pay for Performance, ACOs, bundled payments, and other initiatives are here and growing. To succeed in a paradigm shift that drives healthcare delivery toward quality, hospitals need a framework that works and is easily understood. ISO 9001 provides that framework. By incorporating ISO 9001 into the CoPs accreditation process, DNV has made the standard a part of the expanding quality glossary in healthcare. The argument is hard to ignore: Succeeding with ISO 9001 gives you the best chance of being paid. This realization will ensure that hospital managers look hard at ISO 9001 and its potential for improving quality in their healthcare delivery system. By taking the next step and offering full ISO 9001 certification, DNV has also raised the bar for healthcare quality. The TJC/SGS partnership only adds weight to the argument. But, however important, this is only the first impulse in the quality revolution.

ISO 9001 requires quality control along the entire chain of processes involved in providing healthcare services, a chain that includes verifying the quality of every subsidiary service, from housekeeping and laundry to purchased supplies to the services of outside clinical service providers. This could very well intensify the drive toward mergers and the absorption of private provider groups into hospital environments. At the very least, outside providers will feel the pressure to become certified themselves, and will be required to adhere to ISO-based systems while in hospital facilities. Either way, the quality of clinical care and the operations of the departments that provide it will both be affected.

ISO 9001, with its focus on customer requirements and perception of satisfaction, will also speed the drive for transparency in reporting patient outcomes. The standard doesn’t require management to announce its quality goals or achievements, but patients will notice the PROs, surveys, and other metrics and will begin to wonder. Wise hospital managers will make public the data behind their seals of approval. Eventually, the general public will know what to look for (both the seal and the data); if they don’t see it, they’ll demand to know why. Even providers who don’t serve Medicare/Medicaid patients will find they need to be certified in order to attract and keep patients.

Hospital managers and the quality experts on staff face two contradictory pitfalls: waiting too long to implement ISO and rushing in before they fully understand the purpose, principles, and processes of the standard. When the time comes, everyone in the organization must understand the purpose, the goal, and the part they play in succeeding. Getting the right training for management and staff will be key to the process. And every hospital will find it must strengthen and maintain its focus on customer need, perceived satisfaction, and “rational value expectation.” Luckily, ISO 9001, in its principles and requirements, clearly outlines the quality process, from the initial definition of processes through the documented follow-through on every correction made to improve on the improvements.

Implementing ISO 9001 is not a task you can delegate to a single manager or subcommittee. It is a strategic decision that affects the entire organization, top to bottom and, hopefully, for the rest of its existence. ISO 9001 – used correctly – is a transformational tool.

The Opportunity of Oncology ACOs – Strategic Considerations & Challenges – A Return to the Elusive Promise of Capitation

The Opportunity of Oncology ACOs

Strategic Considerations & Challenges:

A Return to the Elusive Promise of Capitation

 

January 24, 2013

Wes Chapman

The Imperative for Strategic Change

         Bobby Fischer & Boris Spassky

Fischer Beats Spassky (again) in their Rematch

 

 

An Oncology ACO

 

Accountable care organizations sprang into the popular parlance in 2006, introduced by Dr. Elliot Fischer of the Dartmouth Institute as a provider driven organization to anchor the push for the “Triple Aim” originally espoused by Dr. Don Berwick;

  1. Better patient care,
  2. Better population health, and
  3. Reduced costs.

ACOs differed from the HMOs from which they were seemingly born by three important characteristics:

1) The organizations were grounded in improved primary care – not just “gatekeepers,”

2) Patient choice was putatively retained, and

3) Continuously improved care – as demonstrated by transparent quality metrics – would drive down costs even as care improved.

 

What was, in fact, clever and demonstrably different about ACOs was the payment mechanism for goods and services. The payment mechanism currently in use allows for a gradual shift: 1) from fee-for-service (FFS) payments, to 2) FFS based payments with risk sharing models and some type of shared savings, and finally to 3) capitated payments based on populations, with significant premiums and penalties for attainment of quality goals. It is important to note that all ACOs models to date use historical costs (provider revenues) – in some fashion – as the baseline for the evaluation of payments in the future; typically for periods of 3-5 years. It is important to note that all ACOs formed to date by Medicare (CMS) are quite idiosyncratic in design, and all are focused on primary care. There have been a few oncology ACOs formed to date – all by private payers and providers.

 

As a result of this payment model, clinical areas which can effectively reduce costs – actual cost from a provider’s perspective, not just utilization – while simultaneously improving care (based on established metrics) can benefit enormously from ACO payment reform. For a variety of reasons, oncology care – particularly medical oncology – is structurally well positioned to benefit financially from the ACO model.

 

There are two major catches in the ACO payment system from a provider perspective: 1) prospective payments always involve some form of a discount from historical levels, and 2) adherence to and attainment of quality metric goals may be difficult or impossible to achieve, and if achieved may not reduce costs or actually improve clinical outcomes.

 

As with any new payment model, ACOs were designed to offer financial incentives for providers to adopt new organization structures and clinical innovations to achieve the Practical Triple Aim: 1) improve patient satisfaction, 2) reduce payer’s outlays, and 3) improve provider financial performance.

 

The high variable cost structure of medical oncology, combined with the care innovation afforded by the emerging areas of palliative care, patient education and informed patient choice (see Palliative Care) offer a unique opportunity for successful ACO formation.

 

Costs, sharing savings, coordinating care, medical homes and dealing with complexity

 

From a practical perspective, oncology care is delivered by numerous clinical specialties – including medical oncology, radiation oncology, surgical oncology, radiology, pathology, primary care and palliation – all too frequently operating without any central care plan or even effective care coordination (see Oncology Care). Based on our work in several different environments, a population of over 250,000 people incurs cancer at a rate of just less than 1%, with a typical cost per patient between $80,000-120,000. Costs for such a population typically are incurred (based on payment) along the following lines:

 

Cost Element

% of Total

Potential Savings

Medical Oncology

35.0%

5-10%

Radiation Oncology

17.5

2.5-5%

Surgical Intervention

22.5

2.5-5%

Radiology and Diagnostic

7.5

2.5%

Other

17.5

5-10%

Total

100.0%

17.5- 32.5%

 

In order to coordinate care and reduce total costs, it is critical to include total patient care in an oncology ACO. As further highlighted below, the cost structure of each of these areas is very different, and simple reduction of utilization may not accomplish actual cost reduction from a provider’s perspective.

 

Cost Element

Description of cost structure

Medical Oncology

Medical   oncology has some of the highest variable costs found in medicine (40-50%).   Capitated payments correspond directly to greater profits because of the   elimination of purchased drugs. The use of clinical pathways and bundles is   becoming widespread – reducing variability and cost. This is also the area of   greatest risk due to high priced medications. This area also has the greatest   level of pathways, process metrics and patient reported outcomes ( Pathways and   metrics,   Patient   reported outcomes)   to ensure quality and best practice adherence.

Radiation Oncology

Radiation   oncology is a very high fixed cost business, and has been under constant   assault from pricing. Extremely expensive equipment and specialized   facilities require high utilization for payback and profit.

Surgical Intervention

Surgical   costs combine the relatively high fixed costs of hospitals, together with the   professional fees, which may be fixed or variable based on employment model.

Radiology and Diagnostic

Radiology   and diagnostic testing is an area of high fixed costs, and dramatic   over-utilization in many circumstances. Over utilization results from poor   care coordination, poor IT systems and patient preference.

Other Costs

Up   to half of other costs are clearly identified as unnecessary care for   therapies which neither extend nor improve life. This is the single easiest   area to target savings, as it does not impact revenue anywhere in the   provider system.

Total

The   ability to translate lower utilization into lower actual incurred cost varies   tremendously by therapy. Lower utilization is necessary, but not sufficient   to achieve cost reduction at the provider level – it will also require   facilities rationalization for capacity requirements.

Another way to consider provider cost rationalization is based on the relative value and efficacy of the care provided – regardless of type of care. A good example is care generally regarded as futile, e.g. any late stage cancer death in the ICU or chemotherapy in the last 24 days of life. Cancer is frequently predictably fatal, and presents cancer patients with certain stark choices regarding tradeoffs of the certain negative impacts of treatment with the possible benefits in terms of marginal extension of life. There are certain operational risks in controlling these costs, as well as a number of key operational considerations as outlined below.

 

Cost Category

Best Payment Model for Cost Control

Risks

Operational Considerations

Overtreatment   Relative to Patient Wishes ACO Limited   risk of reduced access Requires   highly empowered PCP’s, strong medical homes, and excellent data
Pointless   End-of-Life Oncology Care ACO Limited   risk of reduced access Requires   Highly empowered PCP’s, strong medical homes, and excellent data
Pointless   End-of-Life Other Care ACO Limited   risk of reduced access Requires   Highly empowered PCP’s, strong medical homes, and excellent data
High   Variability & “High Price” selection bias in Medical Oncology ACO/Bundles Limited   risk of reduced access Requires   capitation in some form and excellent pathway/bundle definition
Excess   diagnostic testing and radiographic imaging ACO Limited   risk of “under-diagnosis” This   requires excellent IT systems and empowered PCPs

 

The delivery of clinical care in the US is complicated by our fee for service payment system – economics drive care towards a revenue optimization model which maximizes revenue by maximizing the number of touches and the relative value unit (RVU or payment value) per touch. Oncology care further complicates matters by spreading care over three completely separate clinical specialties – medical, surgical and radiation oncology – with little or no coordination between them being the norm. This results in a wildly inconsistent and complex system, operationally opaque to patients, providers and payers alike.

 

An effective medical home – particularly an oncology medical home – with an effective primary care physician is a first and necessary step in providing leadership to untangle the “balls of snakes” that is frequently the flow chart of oncology care delivery. From a patient’s perspective, oncology care is their personal Superbowl – a game with very high stakes. An oncology medical home and oncology PCP affords the patient both a game plan and a quarterback – dramatically improving the odds of victory. From a financial perspective, an oncology medical home and PCP – providing the related planning, palliation and patient education functions – are the only methods to ensure that unnecessary, duplicative and futile care can be identified and eliminated; and the financial benefits of the oncology ACO are realized. The oncology medical home and PCP are absolutely essential elements in achieving the patient satisfaction and financial goals of the Practical Triple Aim.

 

 complex oncology slide

Complex oncology care delivery system – uncoordinated care & uncontrolled costs

Second Slide Simplicity

Planned and coordinated care with rational economic incentives

Critical Management Control Issues in Oncology ACOs

Effective management of a comprehensive oncology ACO requires the integration of 6 fundamental process steps across at least 3 clinical specialties: 1) education of the patient and the determination of patient preferences and goals, 2) planning care for the patient based on best practice pathways, 3) executing the plans with the greatest sharing of resources and diagnostics, 4) integrating palliative care as required, 5) verifying compliance, and 6) updating all of the above as required based on disease condition. There are only a small number of entities in the US capable of managing planned, integrated cancer care in the US, and tiny number capable of effectively managing planned, integrated total patient care including oncology.

 

Most of the 41 NCI designated comprehensive cancer centers are capable of effective care pathway design and selection – development of an effective individual care plan. Most of these are capable of tracking care plan compliance, and a fairly robust suite of process and efficiency metrics. There is one noteworthy for profit player in the area – Cancer Treatment Centers of America – which has really done a terrific job in driving patient satisfaction based on reported diagnostic and care planning, coupled with documented care plan compliance. Finally, there are three noteworthy rural based health systems that stand head and shoulders above the rest in total care planning and documented compliance – Mayo Clinic, Geisinger Health System and Intermountain Healthcare.

 

It is important to note that in virtually every case, the existing operating control systems are integrated into revenue cycle management (RCM) software to a large degree (see Inverted System Requirements), dramatically complicating the ability to move swiftly to a capitated system, rewarding savings.

 

Issues with Shared Savings, Beginnings, Transaction Intensity

 

Oncology ACOs need to be fairly broad to realize their full benefit, but a medical-oncology-only ACO is a good place to start, and really simplifies the ability to identify and capture savings. Most ACOs to date use fee for service billing with a gross up at the end of the year to reflect savings. In any multimodality ACO, this would encourage disparate provider groups to maximize their own billing, while pushing for reduced service levels and savings in other clinical areas. This “best-of-both-worlds” incentive could only be limited by contentious battles refereed by the PCP, and would be destructive and a waste of time. Furthermore, reductions in utilization of high fixed cost operations such as radiation oncology do nothing to reduce actual costs. In these areas, costs can only be reduced by the elimination of capacity – and that requires that somebody take an economic hit.

 

Efficient economic formation of oncology ACOs will benefit from multiple transactions of several types (Transaction Types & Motivations) – targeted at goals including control of operating assets, achieving 340B drug pricing, aligning provider incentives, optimizing pre-ACO reimbursement, forming and engaging provider groups, and controlling assets for rationalization based on projected use. To a very large degree, the operating potential of an oncology ACO depends on factors dependant on well structured and targeted transactions combined with operating management, clinical leadership and IT control systems that allow the economic potential of medical oncology ACOs – potentially reaching 10-30% of margin improvement – to be realized.

The Brave New World of Oncology ACO’s – Inverted Incentives & Inverted IT System Requirements

The Brave New World of Oncology ACO’s

Inverted Incentives & Inverted IT System Requirements

January 15, 2013

Wes Chapman & Steve Maker

           Inverted incentives

Are your oncology IT systems rated for Inverted Flight?

Reality came crashing in yesterday: 106 new accountable care organizations (ACOs) were approved by Medicare (CMS), including a 1-million+ person ACO formed and operated by Walgreen’s. That’s right, Walgreen’s the pharmacy chain.

The wave of primary care ACOs is turning into a tsunami. These CMS-endorsed primary care ACOs are the first step in moving to capitated payment models, driven by quality metrics to ensure patient satisfaction and high quality. Blessedly, only 33 metrics are required for the first couple of years as these organizations get moving – with the vast majority of the metrics already being captured in patient surveys and existing EMRs.

Not waiting for Medicare to figure out the metrics and operating formulas for specialty ACOs, two oncology-specific ACOs have been formed by private payers in Florida, with 6 more being formed in other venues. These oncology ACOs offer unique opportunities for care improvement and cost reduction, but demand vastly more complex data gathering and management systems to function – not to mention meet their full potential for cost savings and care improvement.

Clinical and financial success in oncology ACOs depend on the same three key factors:

1)      Expanded patient education, involvement and shared decision making,

2)      Dramatically expanded palliative care, and

3)      The use of and documented adherence to best practice clinical pathways and multi-modality care plans – increasingly paid as “bundled payments”.

From an IT system perspective, the fundamental problem is that none of these three factors is adequately captured in any oncology setting today, and many are not captured at all. Some of the more advanced “oncology tuned” electronic medical records (EMRs) capture some of the more popular oncology oriented metrics – such as the core QOPI metric package promulgated by the American Society of Clinical Oncology (ASCO) – but none even begins to adequately capture the detail necessary to verify compliance with best practice guidelines.

How did this happen? The answer is pretty simple. Like most hospital IT environments, oncology clinical data systems are a patchwork quilt of interconnected systems – all pointed at the financial goal of revenue maximization. Data flows are dictated by revenue cycle management software systems designed to maximize revenue through coding optimization. Best practice pathway compliance and related quality/cost improvement systems are antithetical to the fundamental design precepts of existing oncology data systems.

Compounding the problem, most private payers are currently encouraging pilot projects (and in some cases the full implementation) of bundled payments for medical oncology. We have seen these in a large variety of shapes and sizes, but in all cases either requires: 1) the use of proprietary payer-sponsored external IT systems (always requiring double sign-on and data entry), or 2) manually documented internal compliance systems. Not too surprisingly, the resistance to the use of external data systems and duplicate data entry is enormous, and documented internal compliance currently means monthly “hair-on-fire” chart reviews – neither accurate nor sustainable.

Oncology ACOs have the potential to be uniquely profitable while simultaneously dramatically improving care quality and patient satisfaction – but only if the data required for operation is readily available on nearly a real-time basis.

PCD is building an oncology-specific quality and management system to address these issues immediately, but more importantly, to allow the full benefit in both cost and quality to oncology ACO operators. Our market research and work with current clients have revealed myriad obstacles for providers trying to create a sustainable system on their own. Here’s a sample of the user issues:

  • We have no good means to collect data to support our claims for payment under bundles.
  • We have no way of keeping up with the evolving requirements (particularly bundles) for the multitude of payers we deal with.
  • We have no way to calculate metrics against targets to guarantee payments.
  • We use bundles, but have no way to determine whether our clinicians have picked the approved bundle, let alone are following it.
  • We are a multi-organization ACO, and have no way to link all the systems needed for reporting.
  • The data we do collect doesn’t have enough detail to let us manage performance or tell us whether we’re improving.
  • We have no way of knowing whether we’re on track for success. We have to guess until we finally pull it all together right before deadline—which is too late to make adjustments.
  • We have no capital to put a big system in place. We need a solution that’s both fast to set up and has realistic ongoing costs for which we can budget.

Our system design contemplates 6 fundamental design requirements to address these salient issues:

1)      All data must come via push or pull from existing clinical data systems – double entry simply won’t work,

2)      Data must be available on customizable dashboards rapidly enough to be clinically actionable,

3)      All relevant quality metrics, standard care plans and clinical pathways must be maintained in the system, with data extracted from the clinical environment used for compliance validation

4)      The system must function in a HIPAA compliant cloud environment, with no additional infrastructure investment required at the customer site

5)      All data access is roles and permission based

6)      Day-to-day operation and configuration is controlled at the customer site

If you have any thoughts about the design of IT systems for oncology ACOs, let us know your thoughts below – we’re all ears on these design requirements.

Palliative Medicine and Patient Involvement:The Heart of Patient-Centric Care

Palliative Medicine and Patient Involvement:The Heart of Patient-Centric Care

By Wes Chapman, Mike Choukas, Charles Hutchinson PhD, and Steve Maker

November, 2012

Preface

This is the final white paper on treatment issues in a series addressing quality improvement and patient focus in healthcare, specifically in oncology treatment pathways as they evolve under pressure from the Medicare Shared Savings Program and other outcomes of the Affordable Care Act.

Background

In the previous white papers in this series, we have dealt with several key components of an effective cancer treatment plan: care plan redesign, quality improvement,  payment alignment initiatives for a complete episode of care, best practice clinical pathways and quality metrics, and the use of patient-reported outcomes (PROs) to measure the patient experience during treatment. In this paper, we look at two other necessary components: palliative care and patient involvement in  decision-making. These elements complete the treatment pathway and bring the focus where it belongs: on the patient. They are also inextricably linked.

In order to make rational decisions about their own healthcare, patients must be fully informed about all of the treatment options open to them. They must also be in a mental and emotional state that allows them to think clearly. The first requirement assumes a commitment from the healthcare provider (physician, nurse, administration, and staff) to be  honest and realistic about the risks and outcomes associated with every treatment option. The second requirement assumes a similar commitment to palliative medicine as an equal partner to curative medicine – palliation that treats not only the body, but also the patient’s functional, mental, and emotional states. If either of these requirements isn’t met, the decision-making is not truly shared, and the treatment is not patient-centric, it reflects only the desires and priorities of the people and institutions providing care.

Unfortunately, despite great progress in recent years, many if not most patients in oncology are not benefiting  from  advancements in palliative care. According to a recent study from the Dartmouth Atlas of Health Care, the average number of terminally ill patients who were admitted to hospice in the last six months of life was only 45.1% (2010 data). This was the practice at 23 notable academic medical centers, including those rated by U.S. News and World Report as being among the best hospitals for clinical excellence in 2012-13. The range was 59.1% for the highest referral rate, down to 23.1% for the lowest – less than one-quarter. (What Kind of Physician Will You Be? Variation in Health Care and Its Importance for Residency Training, Anita Arora and Alicia True, Dartmouth Atlas of Health Care, 10/30/12)  Palliative care is the core of hospice, and it has been a part of our language since 1525. If, indeed, it takes an average of 17 years for at least half of American patients to receive benefits from major discoveries (E.A. Balas and S.A. Boren, 2000), palliative care and its partner, shared decision-making, are lagging way behind schedule.

A Brief History of Palliative Care

Palliation has spent most of its career under a shroud of negativity. The verb “palliate” first appears in English in the mid sixteenth century with the same meaning as its Latin root: to cloak, to clothe. By 1598, it had picked up the negative figurative meanings of “to cover up an offense, make excuses for, extenuate.” The medical sense followed a similar trajectory from good to bad. In 1525, Francis Bacon wrote:

A wise physician will consider whether a disease be incurable … if he find it to be such, let him resort to palliation; and alleviate the symptoms. (Sylva, §61)

Less than twenty years later, however, the word was being used in reference to mountebanks, whose “cures break out again, being never soundly but superficially healed” (Tho. Fuller, The Cause and Cure of a Wounded Conscience). In 1714, even a recognized doctor could be insulted by the term: “He is but half a physician, he hath palliated our sores and diseases, but he hath not removed them.” (Abp. Sharp, Sermons)

By the 1930s, the dictionary meaning of medical palliation – still in third position after the now archaic “cloak” and the still pejorative “cover-up” – had moderated to the relatively neutral “mediate.” However, the physician perspective was two hundred years behind the public understanding. In the 1950s, a Boston surgeon wrote:

If there is a persistent pain which cannot be relieved by direct surgical attack on the pathological lesion itself …, relief can be obtained only by surgical interruption of sensory pathways … if surgery is withheld, the sufferer is doomed to opiate addiction, physical deterioration or even suicide. (Quoted in The Emperor of All Maladies, Siddhartha Mukherjee, M.D., Scribner, 2010)

As Dr. Mukherjee points out, the response to a failed surgery was more surgery; all other relief was to be withheld. However, a trend toward positive change had begun.

In the late 1940s, the modern palliative care movement began to grow in Europe, led by Dr. Cecily Saunders, an American nurse who had retrained as a physician in England. Her experience treating cancer patients in London’s East End ghettos made her realize how the needs of patients who had not responded to treatment were being almost completely ignored, with all attention focused on those who showed the slightest sign of improvement. In a triage of the cruelest sort, incurable patients were simply abandoned to back rooms. Saunders responded by, in Mukherjee’s words, “resurrecting a counter-discipline—palliative medicine.” And she deliberately avoided the term palliative care because it was her stated opinion that care was a “soft word” that would never be respected by the medical community.

Whether or not that opinion was correct, her movement crossed the water to the U.S. in the 1960s and eventually led to the modern hospice movement. In 1970, the unabridged Random House dictionary defined palliate (now the second definition) as, “to relieve without curing; mitigate; alleviate.” We are back to the meaning of Francis Bacon, though without the wise intent he asked of his era’s physicians.

In 1974, the first hospice in the U.S. opened at Yale. In the 1980s and on, research in the form of clinical trials began to show a wide range of benefits from palliative medicine: better quality of life, better self-reported health, better physical functioning, better mental and emotional health, lower treatment costs, a chance for both patient and family to say good-bye, and a longer life. This is a key point: Patients who stop curative care and move to hospice, whether at home or in a facility, often live longer than patients who continue aggressive treatments.

The hospice movement has become widespread and the public perception has moved even farther. The 2005 edition of the New Oxford American Dictionary puts the medical definition of palliate in the first position, and it is, “make (a disease or its symptoms) less severe or unpleasant without removing the cause.” We are no longer expected merely to mitigate or even alleviate; we are to make the disease less unpleasant, to address both physical symptoms and emotions. This is a definition a patient can easily understand.

Shared Decision-Making: Tarred by the Same Brush

Clinicians have also been slow to accept the practice of shared decision-making in its complete form. As a concept, it has a shorter history than palliation, so it has had less time to penetrate the public mind, let alone the medical establishment. Admittedly, shared decision-making is not an easy practice to implement, particularly in oncology. It can be difficult to fully inform patients and their families about life-threatening illnesses and complicated treatments without overwhelming them, and even more difficult to alleviate their emotional distress when they are overwhelmed. It takes time to present the information so that it can be understood, and to give patients tools that can help them make what could well be the hardest decisions they will ever face in their lives. Shared decision-making also demands a very personal involvement by the physician:

Shared decision-making requires the physician to make recommendations with the values and outcomes as defined by the patient. (italics ours; from The Best Care for Cancer Patients, Max Vergo, M.D., Assistant Professor, Geisel School of Medicine, DHMC, Section of Palliative Care, in a 10/11/2012 presentation.)

The long history of medical practice has always placed the physician in the role of expert, director, and commander-in-chief. In that respect, shared decision-making has always faced a stubborn resistance that stems from a philosophical tenet  of modern medicine: the imperative to fight disease to the death. Here again, there has been change, and it follows the same trajectory as palliative medicine. The term shared decision-making begins to appear in the literature in the mid to late 1950s, with a steady increase in references, followed by a surge in the 1990s. A major review of the subject in 1997 lists 63 citations (Shared Decision-Making in the Medical Encounter: What Does It Mean? (Or It Takes at Least Two to Tango), Cathy Charles, Amiram Gafni, and Tim Whelan; Soc. Sci. Med. Vol. 44, No. 5, pp. 681-692). Today, there is both an Informed Medical Decisions Foundation and a Foundation for Informed Medical Decision Making, and the websites of most major cancer centers have sections on patient education.

Still, less than 50% of terminally ill patients in our major teaching hospitals were referred to hospice in 2010. Somehow, that decision is not being made nearly often enough.

Extending Our Definitions

Hospice: A home providing care for the sick, especially the terminally ill.

Cecily Saunders made palliative medicine the core of hospice care. This was only right; the terminally ill deserve relief from their symptoms, and also from the fear and anguish with which our culture faces dying. We can now find hospice programs in many communities, caring for people at home and, more and more, in independent facilities or dedicated wards in hospitals and cancer centers. Hospice is the most established way to deliver palliative care in the U.S.

Unfortunately, that practice equates palliation with hospice, and limits it to just the second half of the definition. Palliative care is understood as only for the terminally ill, only in hospice, and only in the last days or week of life. This has serious negative consequences. It delays palliation too long and it reaches far too few patients who need the medical and non-medical benefits that palliation provides. It also denigrates the very concept. Palliative care may now mean “death with dignity,” but it has also come to signify that the end is at hand and all hope is lost. Physicians tend to reject it as a white flag, while the unprepared patient reacts with shock, denial, and even anger – all the usual stages of mourning, with no time left to resolve them.

Palliation has also been politicized. The term death panel was applied to palliative care teams because they would counsel dying patients about the actual risks and benefits of proposed treatments, including the option of refusing futile treatments in favor of supportive palliative care to ease their final days. Ironically, this “death panel” advice often leads to longer lives.

Any seriously ill patient can benefit from palliative care, whatever the prognosis for survival. This is particularly true in oncology, where the symptoms and treatments can be so harsh. There is an emotional component that must be addressed as well. The very word cancer has a heavy resonance. The media has bombarded us with stories of its dire treatments and outcomes, its rare miracles. We are all aware of the constant “War on Cancer,” and its ever-receding victory. And most of us know at least one family member or friend who has died of cancer. Dr. Mukherjee called it “The Emperor of Diseases” for a good reason, not least its place in the public perception. A typical patient receiving a diagnosis of cancer reacts with panic. Even the news of a good prognosis is met with underlying doubt. From day one, the cancer patient is in a mental state guaranteed to reduce the effectiveness of treatment and the patient’s quality of life.

This is why palliation must treat mental, emotional, and spiritual symptoms, along with the pain, nausea, and loss of physical function. Dr. Vergo, quoted already above, names two critical components of palliative care: realistic hope and compassionate discussion at end of life. But these are critical at any stage of treatment. Palliation has been shown to improve outcomes. It is as much a part of healing as it is of easing death for the incurable. In fact, it is not about death – it is about living well while dying.

The Parallel Palliative Treatment Path

Palliative care is specialized team-based medical care focused on providing relief from uncontrolled pain, overwhelming suffering, and the stresses that accompany serious illness. It helps patients live a meaningful life. It is appropriate at any stage of a serious illness and is provided in conjunction with disease modifying, curative, and life-prolonging therapies. (Supportive Care Innovation 2012; Vermont Assn of Hospitals and Health Systems, with the Vermont Visiting Nurse Assn)

Once they understand what palliative medicine is, the general public accepts the concept whole-heartedly. In a 2011 poll that used the above definition, 90% of the respondents said they want access to palliative care services for themselves and their family members (2011 Public Opinion Research on Palliative Care, Center to Advance Palliative Care).

With any disease, a complete episode of treatment runs from diagnosis to end of care and encompasses all related treatments and specialists involved with the patient. In this view, palliative care is not an alternative to curative care; it is a partner, a supportive pathway running in parallel to the clinical oncology pathway. It is a clinical specialty that treats physical symptoms brought on by the illness and the treatment. It also treats symptoms in the emotional dimensions, from the shock of the diagnosis all the way through to follow-up therapy or counseling, whichever is required. In the case of an incurable disease, this would include survivorship counseling for the family.

In the case of remission, it would include survivorship counseling of a different sort for the patient facing the specter of relapse. During the course of treatment, emphasis would continually shift lanes between curative care and palliative care, depending on frequent reappraisal of the patient’s prognosis and – for want of a better word – palliative state, which includes the mental, emotional, and spiritual dimensions of a person’s functionality and sense of well-being.

Just as curative treatments require teams of specialists in chemotherapy, surgery, and radiation, supportive treatment requires a team of specialists in the tools, techniques, and treatment pathways of palliative medicine. In addition to doctors and nurses trained in treating the physical symptoms and side-effects, palliation frequently includes  psychotherapists, social workers, counselors, and chaplains. In the fullest implementation, the palliative care team can include healing arts practitioners versed in massage therapy, music therapy, guided imagery, relaxation techniques, and so on.

Following the typical trend in specialization, palliation teams have been isolated in their own specialty silo, often overlooked or disregarded by the clinicians trapped in their own silos. To be fully effective, the silos must be removed. Under Accountable Care Organization and Bundled Payment models, this has begun to happen in curative treatment specialties, and it must now happen in palliative treatment. A team of French researchers found that frequent meetings between palliative care teams (PCTs) and oncology staff committed to collaborative decision-making are the most significant factors for improving end-of-life care. Weekly cross-team meetings resulted in a 50% drop in the administration of chemotherapy within the last two weeks of life, and a 70% reduction in the odds that the patient would die in an acute care setting rather than hospice or home. The researchers concluded:

This suggests that, in addition to early clinical intervention by the PCT, the quality of collaboration and the structuring of discussion may be necessary for integrating palliative care into oncology. (Effect of integrated palliative care on the quality of end-of-life care: retrospective analysis of 521 cancer patients, Colombet et al; BMJ Supportive and Palliative Care, 2012;2:239-247)

It also suggests that too many patients are still receiving futile or even harmful care.

Like any clinical practice, palliative care is growing and evolving as new research uncovers better techniques and outlines better treatment pathways. The incorporation of parallel palliative care into the overall oncology treatment plan requires a similar insistence on best practices and quality metrics to document fidelity, point out needed improvements, and inform treatment choices. Such metrics include objective assessments by members of the palliative care team, of course, but must also rely heavily on patient-reported outcomes (PROs). These self-assessment tools are the only way to measure the patient’s experience and ascertain their sense of well-being in all of the palliative dimensions.

There is another growing set of assessment tools vital for effective palliative care: prognostication tools that can accurately forecast how long a patient can be expected to live. It turns out that doctors are not very good at predicting when their patients will die. They tend to overestimate, by over 500%. (Bias and asymmetric loss in expert forecasts: A study of physician prognostic behavior with respect to patient survival, Marcus Alexander and Nicholas Christakis, Journal of Health Economics, 27 (2008) 1095–1108) It’s a complex mistake, too: they overestimate when they calculate the survival range, when they pick what they think will be the most likely point of death, and again when they tell the patient. And the better they know the patient, the more they tend to overestimate. There are serious consequences to this, because it means that futile curative care may be continued too long, and palliation may be offered – or accepted – too late.

There are a number of metrics medical teams  can use to measure symptom load and overall functionality. Functionality is important; it integrates the patient’s physical, emotional, and social capabilities. And it turns out to be a better predictor of approaching death than the stage of the patient’s cancer. The graph below, from Dr. Vergo’s presentation, shows functionality measured by the Palliative Performance Scale, or PPS (the blue line). As long as functionality remains above 60%, the patient is in a reasonably good state. The falling curve between 60% and 50% predicts a faster decline and a higher probability that the patient will be too overwhelmed by symptoms to deal well with the emotional demands of dying – saying good-bye, resolving personal issues, dealing with the stress and fear. And there may not be enough time, either. When functionality drops below 10%, the probability of the patient making it to the next day drops to 34%. (Use of Palliative Performance Scale (PPS) in Prognostication, G. Michael Downing, MD, VIHA Research Rounds, Nov. 26, 2009: Link to the paper)

Death Analysis

Prediction tools like the PPS underscore the need to start palliative treatment as early as possible. Combined with PROs and other palliation metrics, they can also be key components in shared decision-making, by alerting the clinical treatment teams when it is time to shift lanes.

Moving Choice from Patriarch to Patient

The standard model for decision-making in medicine has been described as the Paternalistic model – the basic Father Knows Best scripted in a medical setting. The model assumes that the physician shares some information with the patient, but, as described by Emanuel and Emanuel (1992), “the physician authoritatively informs the patient when the intervention will be initiated.” Less patriarchal doctors provide selected information and “encourage the patient to consent to what the physician considers best.” The model makes an assumption that requires omniscience  – that the physician always knows what is best for the patient:

The role of physician depicted in this model is guardian of the patient’s best interest. The physician does what he thinks is best for the patient, without eliciting the latter’s preferences. Patient involvement (if there is any) is limited to providing consent to the treatment advocated by the physician. (Shared Decision-Making in the Medical Encounter…, Charles et al, op cit)

This model often leads to a preference misdiagnosis, which relies on another false assumption by the physician: that he knows what the patient wants. Preference misdiagnosis has been defined clearly by Dr. Al Mulley and his colleagues:

We define a preference diagnosis as a doctor’s inference of what a patient would choose if he or she were fully informed. It is an inference because no patient – save perhaps the patient who is also a doctor and world-renowned specialist in the very disease with which he or she is afflicted – is fully informed.  Preference diagnosis, like medical diagnosis, is often a best estimate based on imperfect information. (Patients’ Preferences Matter: Stop the silent misdiagnosis; Al Mulley, Chris Trimble, and Glyn Elwyn, 2012, The King’s Fund)

The authors then state what should be obvious: Patients can suffer just as much from a preference misdiagnosis as a medical misdiagnosis.

As an example, they compare the case histories of two women diagnosed with breast cancer. The first readily agrees with the doctor’s recommendation to undergo a mastectomy. Only afterward does she learn that she has been misdiagnosed and did not have breast cancer at all. The second does not want to have a mastectomy, but agrees because it is the only option described to her. Only afterward does she learn that there was another option, probably more suited to a person of her age and condition, but more preferable to her in any case. Had she been told about it, she would never have agreed to the mastectomy. In the first case, the mastectomy was completely unnecessary. In the second case, the mastectomy was an appropriate medical treatment, but was not the patient’s preference. And she regrets it for the rest of her life. Who has suffered most?

This story, and all the others like it, leads to another dangerous assumption: that full information-sharing by itself will solve the problem of preference misdiagnosis. As Mulley et al point out, no patient is fully informed. Just as important, no patient dealing with a life-threatening illness is equipped to make such critical decisions alone. Along with good information, they need effective decision-making tools to help them weigh all of the options and outcomes. Many also need moral and emotional support to express their preference in the face of M.D.s and well-meaning family members who might not agree. Finally, many are simply overwhelmed. As Clark et al put it, they “feel extreme psychological and/or physiological vulnerability, which may make it difficult for them to participate in treatment decision-making no matter how well informed they may feel.” Someone needs to share the burden.

This is where the palliative care team can make a significant difference to the course of treatment. We mentioned above the findings of Colombet et al. In addition to regular, collaborative meetings, one member must play the role of counselor and advocate for the patient. This role can sometimes be played by a family member, but family members are often too emotionally involved to make a clear decision. They are dealing with the awful sight of their spouse, parent, or sibling being racked by illness and treatment; they fear losing their loved one; they have their own opinions on whether this is a war or a passage. Which of them is willing to pull the plug? They need palliative counseling as much as the patient. And what of the patient’s preference here? Do they want the family involved? If yes, which ones?

Shared decision-making, then, involves the patient, the doctor, all family members named by the patient, a full disclosure of information about the treatment options and outcomes, an accurate tool for predicting the approach of death, decision-making tools, and a counselor versed in those tools to serve as advocate for the patient.

And it requires time, often a scarce commodity in the last few days or weeks of life, particularly for patients undergoing last-minute interventions and so medicated against pain as to be semi-conscious. Shared decision-making must begin at the very moment of diagnosis, must be fully integrated into both the curative and palliative treatment pathways, and must be documented and measured as rigorously as any clinical pathways to insure fidelity and highlight areas of improvement.

What Has Taken Us So Long?

It has taken sixty years and more to reach the current state of palliative medicine and shared decision-making. Some of that lag is due to institutional inertia, that 17-year, 50%-penetration gap uncovered by Balas and Boren. Some of it is due to preconceived notions: to resistance by physicians educated in medicine as a war to be won at any cost; to the inferences of physicians who think they know what the patient wants; to the resistance of patients who equate palliation with hospice and hospice with death, and to the passive resistance of patients who do not consider themselves educated enough, smart enough, or wise enough to make their own decisions, or who are simply too exhausted by disease to do so. But there are other barriers that are equally challenging to overcome.

First, palliative treatment pathways are complex. They involve specialists in the treatment of physical symptoms and side effects, but also in non-medical fields such as psychotherapy and social work, not to mention such practices as massage therapy and guided imagery. And they are still evolving:

…here evidence-based medicine struggles to untangle which components, if any, of the complex interventions are important. (Evidence-based medicine: What is the evidence that it has made a difference?!, Henry McQuay, U of Oxford, UK; Palliative Medicine 25(5) 2011 394–397)

This is also true of metrics, including PROs and prognostics. They are out there, but few best-practice tools have been recognized. We need them, not only to document fidelity to endorsed palliative pathways, but also to provide important evidence to support best practices in the field. The public, when given the full definition of palliative medicine, fully accepts the concept, but administrators, regulators, payers, politicians, and many clinicians have yet to be convinced all this is needed or useful.

Second, there is a lack of trained personnel in all of the palliative specialties listed. This was one of three barriers named by national cancer center administrators in a survey reported in the Journal of the American Medical Association in 2010. Medical schools for doctors and nurses are struggling to restructure their curricula not only to offer palliation as a focus, but also to provide more than the usual hour or two in the general requirements.

Third, institutional budgets are not sufficient to cover the full set of requirements for effective palliative treatment plans. This was another barrier listed by cancer center executives in the JAMA 2010 survey. There are a variety of reasons for this, including all of the barriers listed above. Hospital budgets are tight and fiercely contended. Palliative medicine does not have the foothold that longevity and status provide to other specialties.

Fourth, and directly related to number three, the current reimbursement models in health care do not support effective palliative medicine. The regulations surrounding Medicare and Medicaid, set over 30 years ago in 1981, specifically limit reimbursement to non-curative end-of-life care in a hospice program. Though some private insurers will also pay for concurrent curative treatment, others will not. And not all will pay for non-medical components, such as collaborative meetings and counseling. This will not change until palliative treatment pathways have been fully endorsed as best practices, and the patient benefits and costs savings due to palliation are supported by more hard data.

The high costs of oncology care, particularly the costs of new drugs and diagnostics, contribute to the challenge. In the United States, the sales of anticancer drugs are now second only to heart disease drugs. Over two-thirds of them are new within the past decade and therefore much more expensive.

In Bending the Cost Curve in Cancer Care (Thomas J. Smith, M.D., and Bruce E. Hillner, M.D.; N Engl J Med 2011), Smith and Hillner discuss a number of changes that could be made to the practice of oncology to reduce costs, including the adoption of better and earlier palliative care. On the subject of reimbursement strategies, they suggest paying all oncologists a fixed fee per unit of cognitive care. The practice would be compensated separately for support services such as nurses, psychologists, chaplains, and so on, similar to the system used for the technical component of medical imaging. They also suggest shifting to monitored-care pathways, as proposed here.

Finally, our culture needs to get over its fear of dying. We have to get to the point where we can all talk about it with each other, and take the time to resolve our fears and regrets as the end of life approaches. This is the fear fed by death-panel rhetoric. We also need to get over our “suck it up and man it out” attitude when it comes to suffering in general. There is no reason why someone dealing with the pain, nausea, sleep deprivation, drug allergies, opportunistic infections, and myriad other side effects of chemo, surgery, and radiation should have to suck up to anything. The job of getting well is hard enough as it is.

Conclusion: Signs of Realistic Hope

Palliative care should be initiated by the primary oncology team and then augmented by collaboration with an interdisciplinary team of palliative care experts. (From the NCCN Guidelines)

Palliative care is focused on the relief of suffering, in all of its dimensions, throughout the course of a patient’s illness. (The Integration of Palliative Care into Standard Oncology Care, ASCO Provisional Opinion)

The past decade has seen palliative medicine grow from its long childhood in the arms of the hospice movement into a promising adolescence, accepted by the general public if not its clinical peers in the healthcare establishment. But even that is changing. In 2006, palliative medicine was formally recognized as a medical subspecialty. Since then, the National Cancer Center Network (NCCN), American Society of Clinical Oncologists (ASCO), Commission on Cancer of the American College of Surgeons (CoC), and the National Quality Foundation (NQF) have all endorsed some combination of policy statements, treatment guidelines, and quality metrics for palliative medicine. Significantly, all of these organizations, and more have stated clearly that palliative care should be integrated with curative care from the time of diagnosis.

ASCO and the CoC have gone so far as to set deadlines. Starting in 2015, the CoC will require providers to meet a new standard to evaluate all patients for emotional distress and refer them to palliative programs for help. ASCO has called for “…full integration of palliative care as a routine part of comprehensive cancer care in the United States” by 2020. (Ferris FD, Bruera E, Cherny N, et al. Palliative cancer care a decade later: accomplishments, the need, next steps — from the American Society of Clinical Oncology. J Clin Oncol. 2009;27(18):3052-3058)

Palliation’s partner, shared decision-making, has also been strongly endorsed. In December 2010 a Salzburg Global Seminar brought together 58 participants from 18 countries to discuss The Greatest Untapped Resource in Healthcare? Informing and Involving Patients in Decisions about Their Medical Care. They concluded that it is ethically right that patients should be involved more closely in decisions about their own medical care, it is practical (through careful presentation of information and the use of decision aids and pathways), and it brings down costs.

These endorsements are key to bringing down the barriers to adoption. They will drive new research to more firmly establish the value of palliative medicine. This, in turn, will lead the Centers for Medicare and Medicaid Services and private insurers to revise their reimbursement models. The shift from fee-for-service to pay-for-performance should support this trend. There is plenty of evidence already that palliative medicine improves patient outcomes and reduces costs, key components of the P4P model.

Some progressive healthcare providers are not waiting for the regulators and payers to catch up. They are already establishing the principles and practices of palliation in their hospitals and cancer centers. The Dartmouth-Hitchcock Medical Center (DHMC), for example, houses a palliation team that grew out of the 1998 Robert Wood Johnson-funded Project ENABLE, directed by Marie Bakitas (DNSc, ARNP, FAAN), an Assistant Professor at Dartmouth’s Geisel School of Medicine, a leading researcher/clinician in palliative medicine, and an Adult Nurse Practitioner in palliative care. Now under the direction of Dr. Ira Byock – himself the author of three popular books on hospice and palliative care and a former president of the American Academy of Hospice and Palliative Medicine – the team has grown to include 17 core members from the medical specialties, plus two full-time administrative support staff, a healing arts practitioner (who is also a nurse), and three artists: a creative writer, a visual artist, and a musician. In his latest book, The best Care Possible (2012, Avery/Penguin), Dr. Byock describes it as “…team-based ‘full-dose’ palliative care.”

The DHMC is home to the Norris Cotton Cancer Center, and so the palliation team sees many oncology patients, but they serve all seriously ill patients. Patients with certain diagnoses are automatically referred to the team, and other patients are referred based on assessments of their palliative needs throughout the course of treatment. Shared decision-making is a core component of the team’s palliation treatment pathway. Often, the referral meets resistance from the patient and family. Many people still equate palliation with dying. The team respects that, and focuses on physical symptom relief mixed with suitable counseling.

The medical staff at DHMC, however, has fully accepted the palliative care team. That acceptance – in fact, the very existence of this diversified team of specialists and its highly qualified leaders – shows that, with the right blend of knowledge, credibility, and will, the changes proposed in this paper are not only possible, but well within reach, perhaps even sooner than the 2020 date proposed by ASCO.

Transitioning to Value Based Oncology: Strategies to Survive & Thrive

I spoke last week at the 2012 Cancer Center Business Summit.  Click on the link for the PowerPoint Slides given at the Summit: Cancer Business Summit v6.

All the Best, Wes

complex oncology slide