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Original Article

Clinical Risk
2014, Vol. 20(4) 8289
! The Author(s) 2014
Securing patient safety through quality Reprints and permissions:
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assurance in a mixed economy of DOI: 10.1177/1356262214542520
cri.sagepub.com
healthcare: The role of accreditation

David Cochrane

Abstract
Independent accreditation is the third component of comprehensive regulatory systems of countries with a mixed
economy of healthcare provision such as the United States and Australia. Now that the Health and Social Care Act
2013 is fueling more pluralistic provider and commissioner models in England, this article explores the case for requiring
all suppliers of publicly funded healthcare to be formally accredited. In doing so, it sets out the benefits of independent
accreditation, describes the international market including the UK-based accreditation bodies, lists some NHS providers
who have already opted to be accredited and sets out a proposed way forward based on the recent experience of
South Africa.

Keywords
Patient safety, quality assurance

Development Association highlighted the following


Introduction
early learning points2:
The Health and Social Care (HSC) Act 2013 has estab-
lished the principle of any qualied provider giving new . A lack of transparency and openness as core operat-
momentum in England to the development of a mixed ing principles necessary to promote condence in the
economy in healthcare provision and assumedly com- regulatory body and the processes it follows.
missioning. As new market entrants successfully com- . Variations in performance and levels of public
pete with NHS providers for large contracts, the Care condence.
Quality Commission (CQC) has the role of scrutinizing . Insucient awareness of the role of quality manage-
the tness of providers, whether NHS or private, with a ment systems to drive continuous and sustained
view to formal designation as qualied under the improvement, including the need to measure and
terms of the Act. This is a function key to ensuring respond to customer satisfaction and handle com-
quality and value for money on behalf of the public. plaints satisfactorily.
At the same time in the wake of the Francis and
Berwick Reports, patient safety re-emerged as a central Since the Berwick Report, the CQC has done much
concern in the NHS. Key themes include movement to to improve public condence. However, as more pro-
a culture of transparency along with a duty of candour viders enter the healthcare market in England, it is
which, as in the airline industry, would embrace intel- timely to review how quality assurance, encompassing
ligence on performance deciencies in order to prevent patient safety, is managed in more mature, mixed
further future occurrences. The case for minimum economies of healthcare provision such as the
standards such as nurse stang levels and competences
is once more on the agenda.
The NHS regulatory system is still relatively young Director, Conrane Consulting, London, UK
so teething troubles may be seen as inevitable.1 Indeed,
Corresponding author:
there are evident parallels with the early days of regu- David Cochrane, Conrane Consulting 76 Corbyn Street, London,
lation in other industry sectors in other parts of the N43BZ, UK.
world. For example, the United National Industrial Email: david@conrane.com
Cochrane 83

United States or Australia.3 America is seen by many universal independent accreditation of publicly funded
policy analysts as a model for the UK Governments healthcare organizations both providers and commis-
market reforms, as well as integrated care design, long- sioners. This would follow the model in more mature
term condition management, and payment system mixed economies of healthcare.
reform. So it can be similarly instructive to look to
the experience of the US and other OECD countries Accreditation definition, approach and
where independent accreditation is a central component
in the model of choice for quality assurance and
standards
improvement. In looking for denitions, there is no better place to
start than United Kingdom Accreditation Service
Whole system approach to quality (UKAS) itself, the sole national accreditation body
recognized by the British government.6 UKAS denes
assurance and improvement
accreditation as a formal, third party recognition of
Accreditation can be seen as one tier of a virtuous competence to perform specic tasks. It provides a
trinity or whole-system approach to patient safety, means to identify a proven, competent evaluator so
quality assurance, and improvement (Figure 1).4 that the selection of a (provider) becomes an informed
The UK has an established tradition of accreditation choice.7 For Argawal, it is A self-assessment and
as described in a later section. However, in terms of this external peer assessment process used by healthcare
three-tier framework, the NHS has only two of the organizations to accurately assess their level of per-
three elements fully in place, and consistent with inter- formance in relation to established (evidence-based)
national practice these two are vested with quasi- standards and to implement ways to continuously
governmental agencies.5 As the mixed economy gathers improve.8
pace, so the case becomes persuasive to incentivise Accreditation can be framed by the classic
Donabedian S.P.O. typology for the denition and
measurement of healthcare quality or in terms of
three parameters.

. Structure standards and processes are concerned


with the systems inputs, such as human resources,
the design of a building, the availability of and the
availability and quality of facilities, equipment and
supplies;
. Process addresses the activities or interventions car-
ried out in the care of patients or in the management
of the organization areas, such as patient assessment,
patient education, medication administration, equip-
ment maintenance, or sta supervision. Key criteria
will include compliance with clinical guidelines
based on evidence-based practice;
. Outcome focuses on the clinical eect of the inter-
ventions employed for a specic health problem.
They also span patient safety indicators such as mor-
tality rates, hospital-acquired infection rates, and
Figure 1. A virtuous trinity. Licensing is the process by which a complication rates for births and surgical proced-
government authority grants permission, usually following ures, as well as patient experience in terms of satis-
inspection against minimum statutory standards, to an individual faction and involvement in care decisions all of
practitioner or healthcare organization to operate or to engage which need to be recorded and reported.9
in an occupation or profession. This is the role of Monitor in
England in relation to foundation trusts. Certification or formal
In parallel with regulation, accreditation involves
recognition of compliance with a set of minimum standards (e.g.
regular formal surveys. However, perhaps more
the ISO 9000 series for quality systems) validated by inspection
a function vested with the CQC. Accreditation or public con- importantly, organizations are required to have proced-
firmation by an internationally recognized agency of the ures and processes in place for continual quality meas-
achievement by healthcare organizations of standards and quality urement and improvement. Indeed, it is key role of
assurance procedures, demonstrated through independent, accreditation to support capacity building so these
external peer assessment. activities are fully operational. The survey also
84 Clinical Risk 20(4)

systematically gathers data on conformity to standards, supports informed consumer choice. According to
conrms that they routinely updated, made available to Monitor, a key function of a regulatory regime is
clinicians and managers, and thus integral to day-to- to enable patients to make choices about their
day service delivery, operational management, planning healthcare.14 Unfortunately, the potential for infor-
and development. Formal surveys are generally unan- mation gaps between consumers and the healthcare
nounced as an incentive to keep data and procedures system is manifestly great. By making all data and
concurrent. The schedule is unpredictable; thus in the reports publicly available, accreditation narrows
US, the Joint Commission (see below) can arrive at any knowledge and business intelligence disparities
time between 18 and 39 months after their previous between consumers and their health system.
visit. Also a key outcome is the quality assurance and . Not least this obviates any temptation for providers
improvement action plan. Implementation of this is to hide information from regulators.15 In this way,
monitored by the agency through regular progress transparency is guaranteed as quality assurance is
reports required from the organization. The standards not just done it is seen to be done.
are publicly available although some agencies charge a
fee, whilst the stages of the process are explained in For the organization
detail on the various agency websites.10
In 2003, the World Health Organization reviewed . The published comparative databases enable bench-
quality management systems in 50 countries and then marking of healthcare organizations which they may
published research evidence. Its conclusions highlight a use internally or in marketing their services to
key distinction between regulation and the added value consumers.
of accreditation. . In addition to compliance with minimum standards
and other regulatory requirements, accreditation
There is ample evidence that quality cannot be conrms peer-reviewable achievement of excellence
inspected into healthcare systems and that success or best practice and promotes continuous learning
requires a quality culture to be shared by managers and improvement. The end-to-end process incorpor-
and sta . . . there is little evidence that regulatory sys- ates capacity building to secure sustainability.
tems have adopted continuous quality improvement . The process provides education and consultancy to
principles, but Australia and the United States (both managers, and health professionals on quality
mixed economies in healthcare provision) seem to agree improvement strategies and current best practices
that both approaches need to co-exist.11,12 in healthcare delivery, patient involvement and busi-
ness operations.
Hence in these countries, accreditation has by no . Accreditation also provides a market advantage
means replaced statutory licensing and certication, within a competitive, mixed-economy, healthcare
rather it is a voluntary, additional tier of regulation sector for which the HSC Act has provided both
which promotes continual quality improvement from blueprint and impetus.
the bottom-up. In the US publicly funded sector, how-
ever, accreditation by an approved agency is deemed as For sta
compliance with statutory licensing thus exempting
them from the requisite routine inspections.13 . Accreditation can create a culture of excellence
where motivation is founded in pride in their service
as distinct from negatives such as avoiding blame
Advantages of accreditation and fear of adverse inspection reports. For as
If regulation is always mandatory and carries the threat Sarah Wollaston, a former GP and now
of sanctions, accreditation is voluntary and oers sub- Conservative MP said recently, the best way to
stantial benets to all stakeholders. These include: improve safety in the health service is to make the
For consumers sta proud of what they do16;
. It can thus enhance risk management, job satisfac-
. It is an independent and authoritative kite mark tion, recruitment and retention.
informing patients about the level and quality of
healthcare services that they should receive at speci- There are also major benets for the regulators
ed facilities and hence strengthens the publics over- themselves. In the US, accreditation agencies collabor-
all condence in the safety and quality of the local ate closely with regulators to facilitate their role by
healthcare system. ensuring the information they need to support licensing
. It thereby not only enhances the credibility and and certication is incorporated into the overall process
reputation of an organization, accreditation including their approved standard sets. Advocates
Cochrane 85

also claim accreditation can reduce healthcare costs by most of the large employers will entrust their employee
focusing on increased eciency and eectiveness of ser- healthcare benets only to accredited health plans. Both
vices although this is perhaps more controversial and the federal healthcare funding agency Centre for
is discussed in more detail below. Medicare and Medicaid Services (CMMS)19 and the
state regulators maintain lists of approved accreditation
suppliers. These are independently funded, and managed
Features of accreditations agencies agencies mostly, though not exclusively, based in the
Key characteristics of the accreditation agencies them- North America but with clients in many other countries.
selves include: If a healthcare organisation is formally accredited by one
of these approved suppliers, CMMS will deem it compli-
. They are non-statutory and independent of govern- ant with its conditions of participation and coverage or
ment in terms of governance and sources of nance. its formal, mandatory licensing procedures.
. They generate revenue through fees charged to the In the US, the market for provider accreditation has
organizations they accredit and sales of other prod- been steadily diversifying from a largely single provider
ucts such as standards, guidelines, etc. model based on the Joint Commission (see below) 20
. Their governing bodies include expertise drawn from years ago. This trend has created healthy competition
the healthcare professions and healthcare executives and the emergence of specialist agencies for specic ser-
including corporate membership from professional vices and new healthcare priorities. CMMS approves
colleges, medical associations and national represen- seven agencies20 having in 2008 added the rst non-
tative bodies for healthcare organizations. American body, Norways Det Norske Veritas (DNV
. They are typically not-for-prot. Healthcare) which now boasts 1300 clients across 100
. Their remit is international so their clients span mul- countries and a busy oce in Milford, Ohio.21 The
tiple countries. Joint Commission International (JCI) remains the lar-
. Their processes and standards are managed by gest and evaluates and accredits more than 15,000
expert advisory panels so they constitute inter- healthcare organizations and programs in the United
national benchmarks for current, best and/or evi- States alone. It is not-for-prot and governed by a
dence-based practice clinically, in terms of Board of Commissioners that includes physicians,
customer or member services and in organizational administrators, nurses, employers, a labour/union rep-
management. resentative, health plan leaders, quality experts, ethi-
cists, a consumer advocate and educators. Corporate
members include the American College of Physicians,
Comparing healthcare accreditation in the American College of Surgeons, the American
Dental Association, the American Hospital
the US and UK Association, and the American Medical Association.
The US central and local government spends more on It provides accreditation services for basically all
healthcare per head of population than the NHS in types of healthcare providers, physician practices, nur-
England. In 2014, American taxpayers are funding sing homes, and other long-term care facilities. It also
over 20% more federal (central) government per awards Disease Specic Care Certication to health
capita healthcare spending than their British counter- plans, disease management and chronic care services
parts. In the US, 18% of GDP is now devoted to a role shared with NCQA (see below). The JCI also has
healthcare; free healthcare is a universal benet for a Health Care Stang Services Certication Program.
over-65s via Medicare, and there are similar pro- There are specialist agencies for ambulatory, com-
grammes for the non-working poor and chronically ill munity and primary care. Across the world, rehabilita-
people via Medicaid, whilst Obamacare is subsidizing tion services, including Stoke Mandeville in the UK,
access to healthcare for uninsured working citizens and look to the Council for the Accreditation of
college students.17 To secure value for this money, Rehabilitation Facilities (CARF) to dene and imple-
public sector payers in the US encourage voluntary, ment standards. Furthermore, new agencies are emer-
accreditation as a layer of guarantees of patient safety ging for the case management and care coordination
through quality assurance. services central to the new Medical Homes or
Voluntary may be something of a misnomer, since it Accountable Care Organizations focusing on patients
has become eectively impossible for providers and with complex needs and chronic co-morbidities. The
payers/commissioners (health plans) to qualify for aim here is to proselytize and standardize best practice
public sector contracts without being formally accredited aligned to the missions of these new structures to rede-
by an independent body.18 For adults of working age sign delivery systems thereby to improve quality of
healthcare is a corporate welfare benet, so accordingly care, patient experience and to reduce costs.
86 Clinical Risk 20(4)

US health plans or commissioners look to the demonstrable in the manufacturing and commercial
National Council for Quality Assurance (NCQA). service sectors that the eective implementation and
This body was originally founded to generate relevant certication of quality management systems bring
quality data to counter accusations leveled by the fee- major economic benets.27 Certainly, no one to-date
for-service sector that managed care plans such as has proven healthcare to be immune from this general
Kaiser Permanente sacriced quality and choice to truism. That said and as Sack et al.28 point out, while
save money. NCQA later became the administrators cost containment in hospitals is an issue in many coun-
of the H.E.D.I.S22 standards originally commissioned tries, there is an obvious need properly to establish
by the larger health employers. Healthcare is in the top costs and benets of accreditation. They report that
three cost categories for both public and private sector the process of accreditation requires resources and
enterprises in the US (alongside salaries and raw mater- time illustrating the process of an ISO accreditation
ials) so employers sought objective evidence that their of a small Swiss hospital. For this accreditation three
increasingly expensive investments were oering their years work of three full time sta members was requir-
sta quality and value for money. NCQA accreditation ed . . . the implementation also requires substantial
is all-but essential if a health plan is to market its ser- input from physicians and nursing sta. Similarly,
vices to beneciaries of Medicare and Medicaid and/or the cost to a moderately-sized health plan in the US
employers of signicant size. Its reports, league tables of achieving accreditation by NCQA was over $2 mil-
and awards for best practice are publicly available and, lion ten years ago.29
unsurprisingly, highly rated plans employ these jeal- Frustratingly, recent research ndings on the value
ously to dierentiate their services to consumers on of accreditation can be inconclusive. Sack et al.30 found
quality. NCQA also accredits Accountable Care that although accreditation was a market advantage in
Organizations, case management and disease manage- terms of perceived reputation and access to certain con-
ment programmes.23 tracts, there was no signicant variation in levels of
The market in the UK is less well developed and customer satisfaction or recommendation rates for
focused mainly on providers. UKAS is an independent, accredited hospitals versus non-accredited institutions
non-prot-distributing private company, operating in in the US. Like all such meta-analyses the conclusions
the public interest as a company limited by guarantee. can only be as good as the component studies and Sack
It encompasses major health sector expertise and acknowledges these are limited. In addition, the study
experience and foresees this sector as a major growth did not explore whether competition led to all hospitals
area. In 2010, UKAS acquired the CPA (Clinical meeting higher standards, with those accredited driving
Pathology Accreditation) from the Royal Colleges up performance in the others. Hinchcli et al.31 also
including ISAS (Imaging Services Accreditation identify a lack of peer reviewable evidence and are seek-
Scheme) from the Royal College of Radiologists and ing to redress this in relation to the impact of accredit-
the College of Radiographers. Indeed, UKAS is recog- ation in Australia which hopefully should add to our
nized and frequently commissioned as a leading inter- knowledge base.
national agency in the elds of laboratories and Since the costs of poor-quality healthcare are con-
radiology. The largest assurance and accreditation ser- siderable to both the individual and society, there is
vice devoted to healthcare is CHKS in turn accredited scope for improved quality management to deliver eco-
by UKAS. CHKS has been in operation for almost 20 nomic benets. Such costs in England can arise from
years and includes its own Accreditation Council and preventable and avoidable acute hospital admissions,
Awards Panel comprising independent volunteers with high rates of re-admissions, and extended lengths of
a breadth of healthcare expertise. CHKS programmes stay particularly for people in later life. For vulnerable
cover UK and international hospitals, care homes, and older people in particular, avoidable hospital admis-
include specialist services such as maternity and neo- sions can lead to premature physical and cognitive
natal care, mental health, addiction and oncology.24 impairment32 bringing forward the need for NHS nur-
The recently formed QHA Trent Accreditation service sing or residential home placement funded either pub-
is advising hospitals bidding for health tourism to licly or via the individuals personal means. Not least
engage its services to enhance their market proles.25,26 the damage inicted by reports of performance failure
can be considerable to both institutional reputations,
and sta morale, whilst communities need to trust the
Value for money safety and quality of the services upon which they are
Accreditation requires investment so a key question in a reliant at times of urgent need. Since parts of the NHS
resource-constrained healthcare sector is does it oer hospital sector in England have attracted adverse pub-
value for money? In some respects this seems a curious licity in 2013, the value of addressing collateral public
question since it is has long been axiomatic and concerns should not be underestimated.
Cochrane 87

Going forward
Whatever the external evidence, a growing group of
NHS providers is convinced of the benets to their
patients sta and reputations. Accordingly, and at
their own initiative and costs, these providers are pur-
suing and attaining independent accreditation. Recent
examples include:

. Stoke Mandeville achieving C.A.R.F. accreditation


for its spinal injury services.33
. Kings College Hospital services for patients with
Parkinsons disease which recently became one of
one of 11 international Centres of Excellence follow-
ing accreditation by the (US based) National
Parkinson Foundation.34
. Aintree University Hospital which recently achieved
Royal College of Physicians and UKAS accredit-
ation under the Improving Quality in Physiological
diagnostic Services (IQIPS) programme.35
. Calderdale and Hudderseld NHS Foundation Figure 2. Home run of accreditation.
Trust has become one of six diagnostic imaging ser-
vice providers to be accredited by the United
Kingdom Accreditation Service (UKAS) to the
Imaging Service Accreditation Scheme (ISAS) stand- This would establish a culture of safety management
ard guaranteeing the quality of imaging across two through performance improvement which could
hospitals serving 436,000 people.36 spread to other services, and not least mitigate any
negative reputation accruing to the organization as a
In the private sector, the international competition whole. More generally, nancial incentives could be
for health tourism can be a powerful motivator. For oered as a quality component within the NHS pay-
example, the King Edward VIIs Hospital in London ment system which is currently under review. For
was recently accredited by DNV Healthcare, and is commercial companies winning NHS contracts,
therefore able to reassure prospective overseas patients accreditation would allay any public fears that since
that its services comply with international best extracting prot ostensibly reduce nances available
practice.37 for front-line services quality could be compromised.
Those who consider UK healthcare to be unduly More positively, those companies with experience of
inuenced by the US may have misgivings; however, other business operations where safety and quality man-
they can be reassured that accreditation is also in agement are paramount from day one (such as airlines)
place in France, Canada, Australia and is under devel- should be bringing this knowledge and experience to bear
opment in South Africa. It is also a primary activity for as they expand their healthcare operations.
health system development and modernization pro- Finally, the above list of accredited NHS services is
grammes in other countries supported by international only snap-shot. Hence, as a rst step, a register of all
donor agencies.38 Arguably therefore the NHS lags NHS accredited services and the agencies they have
behind in this important eld of healthcare reform. engaged would be a useful addition to our intelli-
South Africa is an interesting comparator since it has gence-base on patient safety and quality assurance
launched a ve-year national but phased programme at within the NHS. The participating organizations
the end of which all providers should be formally could then be exempted from any general reputational
accredited. damage to services which reports of adverse events may
A similar progressive approach could be adopted for cause. Accredited services could also act as beacons to
NHS-funded commissioners and providers. To begin share their learning, discuss the costs and benets and
with, where the regulators nd performance inadequa- thus inspire parallel quality improvement in other simi-
cies these providers could be encouraged to embark on lar services and organizations. At the very least this
accreditation. Performance is rarely uniform and even would be a welcome contribution to the current
so-called failing organizations will have some higher debate on promoting quality assurance and sustaining
quality services, which could instigate the process. public condence in our healthcare system.
88 Clinical Risk 20(4)

At a summit in 2009, involving Kings Fund and the 9. Accreditation of healthcare providers: Econex, Health
NHS Chief Executive the then UKAS Chairman struck Reform Note 2, RSA, July 2010, www.econex.co.za/
a positive note: images/stories/ECONEX_Health%20Reform%20Note_
2.pdf (2010, accessed 23 June 2014).
Everyone is in agreement that we need to deliver the 10. See for example, www.carf.org/Accreditation/
AccreditationProcess/StepstoAccreditation and
highest possible levels of patient care, and it is encoura-
www.jointcommission.org/ (accessed 23 June 2014).
ging that people from every side of the debate agree
11. World Health Organisation. Quality and accreditation in
that there is a vital role that accreditation can play in health services: a global review. Geneva: WHO, 2003, p.41.
enabling this.39 12. In their review of the literature on accreditation,
Tabrizi et al. concord with WHO that the US predomin-
At its best, accreditation oers additional safe- antly and Australia and Canada lead the OECD in the
guards on patient safety as a part of a comprehensive implementation of accreditation in the healthcare area.
framework which includes best practice and continual (Tabrizi RS, et al. Advantages and disadvantages of
quality improvement. Hence, to borrow an American health care accreditation models. Health Prom Perspect
sporting analogy, patient safety is the rst base in the 2011; 1: 131.
home-run that is independent accreditation 13. Centre for Medicare and Medicaid Services, Section
(Figure 2). 1865 (a) exemption from otherwise mandatory state
inspections and surveys, www.cms.gov/medicare/provi-
der-enrollment-and-certification/surveycertificationte-
Acknowledgement ninfo/accreditation.html (accessed 23 June 2014).
I would like to thank Rita Lewis for her support in my deci- 14. www.monitor-nhsft.gov.uk/home/news-events-publica-
sion to write this piece, and helpful comments on the rst, tions/our-publications/browse-category/about-monitor/
pre-review draft. what-we-do/-introduction (accessed 23 June 2014).
15. Sharing of information, lack of transparency and the
temptation for providers to withhold information from
Conflict of interest
regulators being key issues identified in the Grant
The author declares that there is no conict of interest. Thorton Report: The Care Quality Commission re:
Project Ambrose, dated 14 June 2013 p.7 para 1.21.
Funding 16. www.telegraph.co.uk/news/politics/10228052/Why-a-cul-
ture-of-fear-and-blame-wont-fix-the-NHS.html (accessed
This research received no specic grant from any funding
23 June 2014).
agency in the public, commercial, or not-for-prot sectors.
17. The projected US federal government healthcare expend-
iture alone for 2014 is $1012 bn for a population of 314
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