Total quality management and continuous quality improvement
Introduction
The technological breakthroughs of modern medicine have also created a growing unease about quality, especially in primary care. It is hard to understand why a profession that can transplant hearts cannot provide higher rates of preventive services or control more hypertension. Consequently, interest in applying the concepts and tools of Total Quality Management (TQM) and Continuous Quality Improvement (CQI), adapted from industry, has grown rapidly in health care.
The terms TQM and CQI are used here interchangeably and refer to a comprehensive, organization-wide, systematic effort to coordinate, monitor and improve quality, with a focus that includes patient satisfaction, cost reduction, process efficiency, clinical outcomes, and (in some public health settings) societal impact.(1,2 and 3) While individual improvement projects begin and end, TQM/CQI is an ongoing effort to improve the whole organization. It is related to the discipline of systems thinking(4) in that it is holistic in its approach, recognizing that for an organization to be truly effective, each part of it must work properly together. The World Association of Family Doctors (WONCA) recently concluded ‘Quality work in health care is increasingly heading towards quality systemsâ€.(5)
Despite the seeming logic of this approach and many anecdotal reports of success, TQM/CQI has not yet demonstrated effectiveness in randomized trials in health care.(6,7) We will describe the somewhat disappointing current evidence for TQM/CQI and suggest that this experience is due primarily to the challenge associated with the effort required to actually implement a total quality system. Next, we will provide a description of basic principles and models, followed by a brief description of what is needed to adapt these principles to primary care. Since TQM requires that primary care practices understand the organizational aspects of quality that have traditionally not been a part of clinical training, we will then describe this critical new way of thinking. Finally, we will describe some encouraging trends and conclude that TQM/CQI does hold promise for dramatic improvements in primary care, provided that leaders rise to the challenge its implementation presents. (Note: we will simply use the term TQM to refer to TQM/CQI.)
Disappointing evidence for TQM in primary care
Total quality management efforts in primary care began in the mid-1990s with a number of observational and before/after studies suggesting that this methodology was likely to be effective.(8,9,10,11,12,13 and 14) However, each of these studies only partially addressed the issue of the general effectiveness of TQM.
For example, Carlin et al.( provided a case report of 19 clinics in the United States using QI teams to improve 2-year-old immunization rates from 53.5 to 86.5 per cent. Many similar reports describe improvement in a single topic area. While these are certainly a benefit to the patients and clinics involved, it is not the comprehensive, organization-wide effort envisioned by true TQM, and the changes may not persist without such an effort. Goebers et al.(12) describe a study involving 20 small practices in the Netherlands who were provided with trained TQM facilitators, and then compared to 19 control practices after 18 months. While all practices accepted the TQM model, and 33 projects on a variety of topics were completed during the study period, this did not result in sustainable changes in practice and physician performance. Hearnshaw et al.(14) describe an observational study of primary care teams in England participating in education on organization-wide TQM in which follow-up evaluations indicated that changes were still in place 3 years after the education. Unfortunately, this was true for only three of the six teams who participated in the education, and these six were self-selected from among 147 teams that were invited.
The first scientific trials of TQM in health care took place in primary care. Goldberg et al. describe an effort to implement guidelines for depression and hypertension that involved 15 teams in four clinics, with five teams randomized to add TQM to academic detailing.(15) The net impact on care of this addition was no greater than in control teams.
A second, larger trial involving 44 private primary care clinics was designed to test whether systems changes could improve the delivery of a broad range of important preventive services in the half of the clinics randomly assigned to a TQM-based training and facilitation intervention.(16) Each intervention clinic identified an internal team, whose leader and facilitator were then trained in both systems content and change management through a collaborative multisession process that was contiguous with their teams' actions. Most of the teams were enthusiastic, worked hard, and most (but not all) eventually implemented a common system to more consistently provide for mammography, Pap smears, immunizations, and screening for smoking, hypertension, and hypercholesterolaemia in adults. Optimism was fuelled by anecdotes of clinic change efforts and by early studies showing a doubling of system elements in the intervention clinics only.(17) Unfortunately, when the results of patient surveys and chart audits were finally analysed, only one preventive service had a small statistically significantly greater change in the intervention clinics over the course of 2 years.(18) The investigators suggested that there were multiple causes for this failure, including ‘inadequate tension for change, limited organizational change experience, mixed leadership support, a sub-optimal CQI improvement model, inadequate content, enormous environmental turmoil, inexperienced team leadership, and insufficient time pressures and calendar timeâ€.(19)
Since these problems seemed potentially solvable, the principal investigator went on to test a revised approach for depression management.(20) This time, three primary care clinics whose leaders had chosen to work on this problem used more modern ‘rapid cycle†methods in a combined CQI team with an experienced leader and facilitator facing a 7-month deadline. An explicit goal was set by clinic leaders to improve follow-up care of depressed patients by creating a nurse care-manager role with systems support to provide periodic phone calls. Unfortunately, despite similar team enthusiasm and hard work, no overall changes could be demonstrated in either the process or outcome of care as compared to six matched control clinics in the same medical group. The principal cause for this failure appeared to be inadequate perceived necessity for change and a related lack of leadership pressure to truly implement the change in care processes.
Secondary care has a similar disappointing story to tell with regard to randomized trials of TQM in that many early efforts tended to view quality improvement in terms of specific projects rather than in its organizational context. However, since secondary care typically occurs in large institutions with clearer administrative leadership and systems, these shortcomings were recognized more quickly.
These remain the only scientific trials of TQM methods in primary care and they force the thoughtful practitioner embarking on such efforts to pay more attention to the organizational aspects of change. We remain convinced that some version of this approach to quality improvement is essential and will work; the anecdotal, observational, and before/after evidence is highly suggestive. What the above examples illustrate is that TQM is more than tools and individual projects; it requires truly committed effective leadership and the right mix of contextual and organizational factors.
TQM principles and models
While tools and projects are the place to start in any effort to improve quality in a primary care setting, successful implementation of TQM in primary care must be built upon a realization of what is meant by a comprehensive, organization-wide effort to improve quality. Various authors, both in general industry and health care, and various national and international bodies, have described the basic principles of TQM.(1,2,21,22,23 and 24) Typically cited principles include the following.
Understanding of processes and systems: All work involves the execution of processes. An organization effectively practicing TQM explicitly defines its processes in order to continuously redesign them to improve output and service, while reducing waste and unnecessary complexity.(25) For example, a practice might follow the flow of a laboratory order and then eliminate several transcription and handling steps by redesigning the order form and having it printed on paper that automatically produces multiple copies as the order is written. Organizations practicing TQM also understand that processes are further embedded within one another and linked in complex ways.
Patient- (or customer-) centred focus: Processes and systems exist to produce outputs and services that provide a benefit to, or meet the needs of, patients, families, and society.(26) These customers can be external to the organization (e.g. the patient is the customer of the drug prescribing system) or internal (e.g. the lab technician is a customer of the physician who writes the order for a test). It follows, therefore, that if an organization is going to carry out a process, it should seek to provide the greatest benefit to the customers of that process. TQM encourages such ‘customer thinking†throughout the organization.
Understanding of variation: The outcomes of processes and systems are naturally variable.(27) For example, patients will not always take their medications as prescribed, and physicians will not always provide all of the preventive services that are needed by individual patients. This variation in outcome is due to both the intended and unintended variation in the people, machines, materials, methods, and measurements that make up the process.(2) Some of this variation is desirable, and some is undesirable or harmful. TQM tries to remove the undesirable variation while preserving what is needed to best meet the needs of individuals and situations.
Pursuit of continuous improvement: Organizations that implement TQM seek to push the performance of systems beyond existing standards and norms. The goal is to achieve and maintain a never-before-achieved level of performance. An effective total quality system should facilitate continuous improvements and redesigns by encouraging alternating cycles of change, followed by relative stability, followed by more change.(28)
Management by facts and continuous learning: Fundamental to TQM is the commitment to use data and a logical process to build knowledge, make decisions, and promote ongoing learning.(29) Systematic building of knowledge through disciplined data collection, evidence-based practice, and deliberate experimentation lies at the foundation of all effective TQM efforts.
Positive view of people: While some see people as the ultimate cause of all problems and inefficiencies, TQM views the people who work in the process as the ultimate source of knowledge about how to improve it.(30,31) TQM seeks to engage the people who actually do the work in efforts designed to improve that work. In keeping with an understanding of processes and systems, this also typically requires an unprecedented level of multidisciplinary teamwork.
Key role of leadership: The need for effective and visionary leadership is a central theme in TQM.(2,12,31) Without strong leadership and an organizational infrastructure to support quality efforts, improvement may not happen; or, if it does happen, may quickly dissipate because of neglect and lack of integration with other activities in the organization.
To facilitate attention to these principles, several ‘frameworks†for TQM have emerged. These frameworks are all simply formalizations of the principles described above; often captured in the form of questions that can be used to plan for and assess the quality system in an organization.
For example, The Baldrige Award in the United States provides a seven-element framework of what constitutes a total quality management system (see Box 1).(23) Note that while individual quality improvement efforts in primary care answer somewhat narrower questions—Did the care match the relevant guidelines? or How can we lower HbA1c values in persons with diabetes?—the Baldrige framework for TQM pertains to much larger, more all-encompassing questions about how the organization runs in general. McFarland et al. report on their use of the Baldrige framework in a community mental health facility in the United States with 120 staff and 1300 outpatients.(32) However, their report describes plans and early efforts only; no specific results.
Box 1 USA Malcolm Baldrige Award framework
Leadership:
How do senior leaders address values, performance expectations, a focus on patients and other key customers and stakeholders, empowerment, innovation, learning, organizational direction, and responsibility to the public?
Strategic planning:
What is the organization's strategic development process? By what means does it set, deploy, and track strategic objectives, action plans, and related financial and staffing plans?
Focus on patients, other customers, and communities: How does the organization determine the requirements and expectations of patients, other customers and the community in which it is embedded? How does it build ongoing relationships and determine satisfaction?
Information and analysis: What is the organization's performance measures system and how does it analyse and act upon information?
Staff focus: What does the organization do to enable all staff to develop and utilize their full potential, in a way that is aligned with the organization's objectives? How does it build and constantly improve the work environment and staff support climate to make it conducive to performance excellence, full participation, and personal and organizational growth?
Process management: How does the organization design and deliver processes that are aligned with customer expectations and waste-free? How does it work to involve suppliers and staff in all departments to produce smooth-flowing systems of work?
Organizational performance results management: How does the organization measure and feed back into the system its results on clinical outcomes; satisfaction of patients, staff, and public financial performance; and operational performance? How does the organization compare itself to other organizations?
The European Framework for Quality Management (EFQM) is another high-level model for a total quality system based on the principles described above. It has been used to assess a primary health care centre in Spain.(33) Further initiatives to make the EFQM model applicable in primary care are underway in the Netherlands. Similarly, the International Standards Organization ISO-9000 framework forms the basis for the total quality management systems in Finnish primary care and social services centres in Espoonlahti, Finland (population of 41 000). Results cited in the Finnish case include winning local awards for quality, easing a merger, building cooperation, improving service orientation, and enhancing patient focus; but no quantitative outcomes have been reported.(34)
Continued Below......
Introduction
The technological breakthroughs of modern medicine have also created a growing unease about quality, especially in primary care. It is hard to understand why a profession that can transplant hearts cannot provide higher rates of preventive services or control more hypertension. Consequently, interest in applying the concepts and tools of Total Quality Management (TQM) and Continuous Quality Improvement (CQI), adapted from industry, has grown rapidly in health care.
The terms TQM and CQI are used here interchangeably and refer to a comprehensive, organization-wide, systematic effort to coordinate, monitor and improve quality, with a focus that includes patient satisfaction, cost reduction, process efficiency, clinical outcomes, and (in some public health settings) societal impact.(1,2 and 3) While individual improvement projects begin and end, TQM/CQI is an ongoing effort to improve the whole organization. It is related to the discipline of systems thinking(4) in that it is holistic in its approach, recognizing that for an organization to be truly effective, each part of it must work properly together. The World Association of Family Doctors (WONCA) recently concluded ‘Quality work in health care is increasingly heading towards quality systemsâ€.(5)
Despite the seeming logic of this approach and many anecdotal reports of success, TQM/CQI has not yet demonstrated effectiveness in randomized trials in health care.(6,7) We will describe the somewhat disappointing current evidence for TQM/CQI and suggest that this experience is due primarily to the challenge associated with the effort required to actually implement a total quality system. Next, we will provide a description of basic principles and models, followed by a brief description of what is needed to adapt these principles to primary care. Since TQM requires that primary care practices understand the organizational aspects of quality that have traditionally not been a part of clinical training, we will then describe this critical new way of thinking. Finally, we will describe some encouraging trends and conclude that TQM/CQI does hold promise for dramatic improvements in primary care, provided that leaders rise to the challenge its implementation presents. (Note: we will simply use the term TQM to refer to TQM/CQI.)
Disappointing evidence for TQM in primary care
Total quality management efforts in primary care began in the mid-1990s with a number of observational and before/after studies suggesting that this methodology was likely to be effective.(8,9,10,11,12,13 and 14) However, each of these studies only partially addressed the issue of the general effectiveness of TQM.
For example, Carlin et al.( provided a case report of 19 clinics in the United States using QI teams to improve 2-year-old immunization rates from 53.5 to 86.5 per cent. Many similar reports describe improvement in a single topic area. While these are certainly a benefit to the patients and clinics involved, it is not the comprehensive, organization-wide effort envisioned by true TQM, and the changes may not persist without such an effort. Goebers et al.(12) describe a study involving 20 small practices in the Netherlands who were provided with trained TQM facilitators, and then compared to 19 control practices after 18 months. While all practices accepted the TQM model, and 33 projects on a variety of topics were completed during the study period, this did not result in sustainable changes in practice and physician performance. Hearnshaw et al.(14) describe an observational study of primary care teams in England participating in education on organization-wide TQM in which follow-up evaluations indicated that changes were still in place 3 years after the education. Unfortunately, this was true for only three of the six teams who participated in the education, and these six were self-selected from among 147 teams that were invited.
The first scientific trials of TQM in health care took place in primary care. Goldberg et al. describe an effort to implement guidelines for depression and hypertension that involved 15 teams in four clinics, with five teams randomized to add TQM to academic detailing.(15) The net impact on care of this addition was no greater than in control teams.
A second, larger trial involving 44 private primary care clinics was designed to test whether systems changes could improve the delivery of a broad range of important preventive services in the half of the clinics randomly assigned to a TQM-based training and facilitation intervention.(16) Each intervention clinic identified an internal team, whose leader and facilitator were then trained in both systems content and change management through a collaborative multisession process that was contiguous with their teams' actions. Most of the teams were enthusiastic, worked hard, and most (but not all) eventually implemented a common system to more consistently provide for mammography, Pap smears, immunizations, and screening for smoking, hypertension, and hypercholesterolaemia in adults. Optimism was fuelled by anecdotes of clinic change efforts and by early studies showing a doubling of system elements in the intervention clinics only.(17) Unfortunately, when the results of patient surveys and chart audits were finally analysed, only one preventive service had a small statistically significantly greater change in the intervention clinics over the course of 2 years.(18) The investigators suggested that there were multiple causes for this failure, including ‘inadequate tension for change, limited organizational change experience, mixed leadership support, a sub-optimal CQI improvement model, inadequate content, enormous environmental turmoil, inexperienced team leadership, and insufficient time pressures and calendar timeâ€.(19)
Since these problems seemed potentially solvable, the principal investigator went on to test a revised approach for depression management.(20) This time, three primary care clinics whose leaders had chosen to work on this problem used more modern ‘rapid cycle†methods in a combined CQI team with an experienced leader and facilitator facing a 7-month deadline. An explicit goal was set by clinic leaders to improve follow-up care of depressed patients by creating a nurse care-manager role with systems support to provide periodic phone calls. Unfortunately, despite similar team enthusiasm and hard work, no overall changes could be demonstrated in either the process or outcome of care as compared to six matched control clinics in the same medical group. The principal cause for this failure appeared to be inadequate perceived necessity for change and a related lack of leadership pressure to truly implement the change in care processes.
Secondary care has a similar disappointing story to tell with regard to randomized trials of TQM in that many early efforts tended to view quality improvement in terms of specific projects rather than in its organizational context. However, since secondary care typically occurs in large institutions with clearer administrative leadership and systems, these shortcomings were recognized more quickly.
These remain the only scientific trials of TQM methods in primary care and they force the thoughtful practitioner embarking on such efforts to pay more attention to the organizational aspects of change. We remain convinced that some version of this approach to quality improvement is essential and will work; the anecdotal, observational, and before/after evidence is highly suggestive. What the above examples illustrate is that TQM is more than tools and individual projects; it requires truly committed effective leadership and the right mix of contextual and organizational factors.
TQM principles and models
While tools and projects are the place to start in any effort to improve quality in a primary care setting, successful implementation of TQM in primary care must be built upon a realization of what is meant by a comprehensive, organization-wide effort to improve quality. Various authors, both in general industry and health care, and various national and international bodies, have described the basic principles of TQM.(1,2,21,22,23 and 24) Typically cited principles include the following.
Understanding of processes and systems: All work involves the execution of processes. An organization effectively practicing TQM explicitly defines its processes in order to continuously redesign them to improve output and service, while reducing waste and unnecessary complexity.(25) For example, a practice might follow the flow of a laboratory order and then eliminate several transcription and handling steps by redesigning the order form and having it printed on paper that automatically produces multiple copies as the order is written. Organizations practicing TQM also understand that processes are further embedded within one another and linked in complex ways.
Patient- (or customer-) centred focus: Processes and systems exist to produce outputs and services that provide a benefit to, or meet the needs of, patients, families, and society.(26) These customers can be external to the organization (e.g. the patient is the customer of the drug prescribing system) or internal (e.g. the lab technician is a customer of the physician who writes the order for a test). It follows, therefore, that if an organization is going to carry out a process, it should seek to provide the greatest benefit to the customers of that process. TQM encourages such ‘customer thinking†throughout the organization.
Understanding of variation: The outcomes of processes and systems are naturally variable.(27) For example, patients will not always take their medications as prescribed, and physicians will not always provide all of the preventive services that are needed by individual patients. This variation in outcome is due to both the intended and unintended variation in the people, machines, materials, methods, and measurements that make up the process.(2) Some of this variation is desirable, and some is undesirable or harmful. TQM tries to remove the undesirable variation while preserving what is needed to best meet the needs of individuals and situations.
Pursuit of continuous improvement: Organizations that implement TQM seek to push the performance of systems beyond existing standards and norms. The goal is to achieve and maintain a never-before-achieved level of performance. An effective total quality system should facilitate continuous improvements and redesigns by encouraging alternating cycles of change, followed by relative stability, followed by more change.(28)
Management by facts and continuous learning: Fundamental to TQM is the commitment to use data and a logical process to build knowledge, make decisions, and promote ongoing learning.(29) Systematic building of knowledge through disciplined data collection, evidence-based practice, and deliberate experimentation lies at the foundation of all effective TQM efforts.
Positive view of people: While some see people as the ultimate cause of all problems and inefficiencies, TQM views the people who work in the process as the ultimate source of knowledge about how to improve it.(30,31) TQM seeks to engage the people who actually do the work in efforts designed to improve that work. In keeping with an understanding of processes and systems, this also typically requires an unprecedented level of multidisciplinary teamwork.
Key role of leadership: The need for effective and visionary leadership is a central theme in TQM.(2,12,31) Without strong leadership and an organizational infrastructure to support quality efforts, improvement may not happen; or, if it does happen, may quickly dissipate because of neglect and lack of integration with other activities in the organization.
To facilitate attention to these principles, several ‘frameworks†for TQM have emerged. These frameworks are all simply formalizations of the principles described above; often captured in the form of questions that can be used to plan for and assess the quality system in an organization.
For example, The Baldrige Award in the United States provides a seven-element framework of what constitutes a total quality management system (see Box 1).(23) Note that while individual quality improvement efforts in primary care answer somewhat narrower questions—Did the care match the relevant guidelines? or How can we lower HbA1c values in persons with diabetes?—the Baldrige framework for TQM pertains to much larger, more all-encompassing questions about how the organization runs in general. McFarland et al. report on their use of the Baldrige framework in a community mental health facility in the United States with 120 staff and 1300 outpatients.(32) However, their report describes plans and early efforts only; no specific results.
Box 1 USA Malcolm Baldrige Award framework
Leadership:
How do senior leaders address values, performance expectations, a focus on patients and other key customers and stakeholders, empowerment, innovation, learning, organizational direction, and responsibility to the public?
Strategic planning:
What is the organization's strategic development process? By what means does it set, deploy, and track strategic objectives, action plans, and related financial and staffing plans?
Focus on patients, other customers, and communities: How does the organization determine the requirements and expectations of patients, other customers and the community in which it is embedded? How does it build ongoing relationships and determine satisfaction?
Information and analysis: What is the organization's performance measures system and how does it analyse and act upon information?
Staff focus: What does the organization do to enable all staff to develop and utilize their full potential, in a way that is aligned with the organization's objectives? How does it build and constantly improve the work environment and staff support climate to make it conducive to performance excellence, full participation, and personal and organizational growth?
Process management: How does the organization design and deliver processes that are aligned with customer expectations and waste-free? How does it work to involve suppliers and staff in all departments to produce smooth-flowing systems of work?
Organizational performance results management: How does the organization measure and feed back into the system its results on clinical outcomes; satisfaction of patients, staff, and public financial performance; and operational performance? How does the organization compare itself to other organizations?
The European Framework for Quality Management (EFQM) is another high-level model for a total quality system based on the principles described above. It has been used to assess a primary health care centre in Spain.(33) Further initiatives to make the EFQM model applicable in primary care are underway in the Netherlands. Similarly, the International Standards Organization ISO-9000 framework forms the basis for the total quality management systems in Finnish primary care and social services centres in Espoonlahti, Finland (population of 41 000). Results cited in the Finnish case include winning local awards for quality, easing a merger, building cooperation, improving service orientation, and enhancing patient focus; but no quantitative outcomes have been reported.(34)
Continued Below......
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