QUALITY ASSURANCE/QUALITY IMPROVEMENT PROGRAM EVALUATION

Transcription

1 QUALITY ASSURANCE/QUALITY IMPROVEMENT PROGRAM EVALUATION SFY: July 1 st -June 30 th Report Completion Date: August 20, QIC Approval Date: September 1, Regulatory References: URAC Core v. 3.0 Standard 20

2 TABLE OF CONTENTS EXECUTIVE SUMMARY ACCESS TO SERVICES POPULATION CHARACTERISTICS Persons Served Access to Care Telephone Accessibility SERVICE AVAILABILITY Network Composition Credentialing and Re-credentialing Network Availability CONSUMER SATISFACTION GRIEVANCE MANAGEMENT PROVIDER DISPUTES SATISFACTION SURVEYS Community Relationship Survey Consumer Perception of Care Survey Provider Satisfaction Survey Client Satisfaction Survey CONSUMER SAFETY ADVERSE INCIDENT REPORTING & REVIEW INNOVATIONS WAIVER HEALTH & SAFETY MEASURES PERFORMANCE MEASURES SERVICE UTILIZATION- TARGETED SERVICES FINANCIAL PERFORMANCE PROGRAM MEASURES QUALITY IMPROVEMENT PROJECTS (QIP) QIP 1: REDUCING THE UTILIZATION RATE OF EMERGENCY DEPARTMENT VISITS QIP 2: TIMELY FOLLOW-UP AFTER COMMUNITY HOSPITAL DISCHARGES QIP 3: REDUCING THE AVERAGE LENGTH OF STAY IN PSYCHIATRIC RESIDENTIAL TREATMENT FACILITIES (PRTF) QIP 4: TIMELY SUBMISSION OF NC-TOPPS UPDATE ASSESSMENTS QUALITY ASSURANCE/QUALITY IMPROVEMENT ACTIVITIES ACCREDITATION/CERTIFICATION/EXTERNAL REVIEWS ORGANIZATIONAL QUALITY ACTIVITIES PLAN (OQAP) AUDITS CLINICAL STAFF PERFORMANCE MONITORING INFORMATION CONFIDENTIALITY & SECURITY MONITORING

3 EXECUTIVE SUMMARY Partners Behavioral Health Management (Partners BHM) is dedicated to assuring that the highest quality services are rendered by those providers who receive oversight by Partners BHM. Partners BHM s mission is as follows: Our mission is to manage a publicly funded healthcare system which addresses the mental health, substance abuse and intellectual/developmental disabilities needs of citizens in our service area through a comprehensive network of community service providers. Partners BHM ensures access to appropriate and individualized treatment which results in positive outcomes and ensures good stewardship of public funds. As the Local Management Entity (LME) and Managed Care Organization (MCO), Partners BHM oversees and manages consumer-centered local services for mental illness, intellectual and developmental disabilities and substance abuse. These services include, but may not be limited to, a 24 hour customer services call center, provider network and utilization management services. Partners BHM covers the economically and culturally diverse region of Burke, Catawba, Cleveland, Gaston, Iredell, Lincoln, Surry, and Yadkin counties of North Carolina. The Partners BHM Quality Assurance/Quality Improvement (QA/QI) Program helps to ensure that Partners BHM meets its regulatory and contractual responsibilities through continuous and systematic measurement and improvement of program systems and processes. The QA/QI program is the vehicle through which Partners BHM analyzes and responds to data collected by its consumer health information system, claims data, operational performance monitoring and other program measurement processes. The objective of the QA/QI program is to systematically use performance information and data to drive improved consumer outcomes, training and support. The functional structure of the program not only guides and supports business decisions but creates a system of continual integrity and readiness for external review agents such as the Department of Health and Human Services (DHHS) Intra-departmental Monitoring Team (IMT), External Quality Review (EQR) Organization, national accrediting bodies and other agents. The clinical operation of the QA/QI program is overseen by the Chief Medical Officer, who is a board certified physician. The Quality Improvement Committee (QIC), who is granted authority by the Partners BHM Board of Directors, meets no less than quarterly with the purpose of improving services by monitoring processes, implementing interventions, and evaluating the effectiveness of those intervention. It is also for guiding the QA/QI program including the annual review and approval of the QA/QI Plan and Program Description. The committee membership includes senior clinical staff, management and staff representatives of the organization as well as representatives from the provider network and consumer/family members. This report presents a summary of QA/QI program activities accomplished during the state fiscal year July 1, through June 30,. Page 2

4 Partners BHM Key Accomplishments SFY - Partners BHM has met its strategic goal of ensuring stability as a managed care organization. Partners BHM met the Division of MH/DD/SAS contract Performance standard of 90% of the expected NCTOPPS Update forms are received within the required time frames for three of four quarters (1 st Quarter, 3 rd Quarter, and 4 th Quarter) SFY -. Partners BHM applied for and received re-certification as a Quality Improvement Organization (QIO)-like entity from the Centers of Medicare and Medicaid Services (CMS). The certification is good for 5 years and will expire January Partners BHM, in partnership with local providers, opened two Integrated Health Center (IHC) hubs during SFY -, which provide consumers with access to same day services within 30 minutes or 30 miles of where they reside. Work is underway to open additional hubs in Iredell and Cleveland counties during SFY Partners BHM achieved its strategic goal of increasing enrollee education contacts, with a total of 7807 contacts for the entire organization as of June. Page 3

5 POPULATION CHARACTERISTICS ACCESS TO SERVICES PERSONS SERVED Medicaid Unduplicated Count of Medicaid Members 132, ,106 % Members Receiving MH Services 6.2% 6.1% % Receiving SA Services 1.1% 1.1% % Members Receiving DD Services 1.6% 1.5% *Data from MCO Monthly Report SFY - Uninsured (State/Block Grant Funding) Estimated Number of Uninsured in Catchment Area 121, ,782 % Uninsured Receiving MH Services 2.2% 1.5% % Uninsured Receiving SA Services 0.7% 0.7% % Uninsured Receiving DD Services 0.6% 0.5% *Data from MCO Monthly Report SFY - ACCESS TO CARE Partners Behavioral Health Management (Partners BHM) has responsibilities in offering consumers 24/7/365 access to services. Partners BHM serves the residents of eight counties in North Carolina who need behavioral health services; during non-business hours, including weekends and holidays. Customer Services serves residents of other counties throughout North Carolina as defined in contractual relationships with other N.C. Local Management Entities. Partners BHM fulfills these responsibilities with a call-center operation. The Call- Center fields various calls and performs screening, triage and referral. Partners BHM Call-Center does not perform health education, except in the context of screening, triage and referral when personnel are assisting the consumer with provider choice Partners BHM strives to provide timely access to routine, urgent and emergent behavioral health care for its consumers. URAC Health Call Center guidelines and the Division of Health and Human Services (DHHS) contracts provide specific requirements for ensuring that timely appointments are provided to consumers. Page 4

6 Emergent Goal: 95% of Emergent calls are scheduled to be seen by a provider within two [2] hours (URAC Standard: HCC 16) Emergent Calls Scheduled Within 2 Hours Benchmark: 95% 105% 100% 95% 90% 100% 100% 100% 100% 1st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) *Data from Quarterly URAC Performance Dashboard SFY - % Calls Scheduled Benchmark Partners BHM met the benchmark of 95% of Emergent calls are scheduled to be seen by a provider within two [2] hours for all four quarters of SFY -. The 100% scores for all quarters is an improvement from SFY when Partners was below the benchmark for 1 st and 2 nd quarter. Will continue to meet or exceed the 95% benchmark. Urgent Goal: 85% of Urgent calls are scheduled to be seen by a provider within 48 hours (URAC Standard: HCC 16) 90.00% 85.00% 89.00% Urgent Calls Scheduled Within 48 hours Benchmark: 85% 86.15% 85.44% 85.30% 80.00% 1st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) *Data from Quarterly URAC Performance Dashboard SFY: - % Calls Scheduled Benchmark Partners BHM met the benchmark 85% of Urgent calls are schedule to be seen by a provider within 48 hours for all quarters of SFY -. Although the overall compliance score did decrease slightly each quarter of the fiscal year, it still remained at or slightly above the benchmark. Will continue to meet or exceed the 85% benchmark. Page 5

7 Routine Goal: 85% of Routine calls are scheduled to be seen by a provider within fourteen [14] calendar days (URAC Standard: HCC 16) Routine Calls Scheduled Within 14 Calendar Days Benchmark: 85% % % 95.00% 90.00% 85.00% 80.00% 75.00% 99.00% 99.39% 99.05% 99.60% 1st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) * Data from Quarterly URAC Performance Dashboard SFY: - % Calls Scheduled Benchmark Partners BHM exceeded the benchmark of 85% of Routine calls are scheduled to be seen by a provider within 14 days for all quarters of SFY -. The benchmark for Routine calls was also exceeded for all quarters of SFY: Will continue to meet or exceed the 85% benchmark. TELEPHONE ACCESSIBILITY Partners BHM has set specific objectives, based on URAC standards and contractual requirements, for telephone performance indicators and therefore measures actual performance against those objectives in real-time and on at least a monthly basis. Partners BHM utilizes a sophisticated telephone system [ShoreTel] that includes call management reporting. Call management reporting is able to track and record individual and aggregate telephone data. Call management reporting also provides Partners BHM staff with a variety of reports and historical data as well as providing the Customer Services Director with the ability to view real time departmental call activity on his/her PC desktop. Abandonment Rate Abandonment Rate (AR) is the percentage of calls offered to the automatic call distribution (ACD) system, that are terminated by the caller prior to being answered by a live staff person. The abandonment rate is calculated separately for the Customer Services (CS) Call Center and Utilization Management (UM) department. Goal: Customer Services and Utilization Management will maintain an abandonment rate of 5% or less. (URAC Standard: HCC 11c) Page 6

8 6% 5% 4% 3% 2% 1% 0% Call Abandonment Rate- Customer Services Benchmark: 5% or Less % % % % 1st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Mar) Benchmark % AR *Data from Quarterly URAC Performance Dashboard SFY - Call Abandonment Rate- Utilization Management Benchmark: 5% or Less 6% 5% 4% 3% 2% 1% 0% 1% 0% 0% 0% 1st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) % AR Benchmark * Data from Quarterly URAC Performance Dashboard SFY: - Partners BHM has met the goal of maintaining abandonment rate of 5% or less for the Customer Services and Utilization Management call queues for SFY -. Will continue to maintain an abandonment rate of 5% or less. Average Speed to Answer Average Speed to Answer (ASA) is the average delay in minutes and seconds that inbound telephone calls encounter waiting in the telephone queue before being answered by a live staff person. The average speed to answer is calculated separately for the Customer Services Call Center and Utilization Management department. Goal: Customer Services and Utilization Management will maintain an average speed to answer of 30 seconds or less. (URAC Standard: HCC 11b) Page 7

9 Seconds Seconds Average Speed To Answer- Customer Services Benchmark: 30 Seconds or Less st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) ASA Benchmark *Data from Quarterly URAC Performance Dashboard SFY: - Average Speed To Answer- Utilization Management Benchmark: 30 Seconds or Less st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) ASA Benchmark * Data from Quarterly URAC Performance Dashboard SFY: - Partners BHM has met the goal of an average speed to answer of 30 seconds or less for both the Customer Services and Utilization Management call queues for SFY - Will continue to maintain an average speed to answer of 30 seconds or less. Blockage Rate Blockage Rate (BR) is the number of times a consumer calling into the Call Center experiences a busy signal. Goal: The Customer Services Call Center will maintain a blockage rate of 5% or less. (URAC Standard: HCC 11a) 10% Blockage Rate Benchmark: 5% 5% 0% 0% 0% 0% 0% 1st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) Benchmark BR *Data from Quarterly URAC Performance Dashboard SFY: - Page 8

10 Partners BHM has met the goal of maintaining a blockage rate of 5% or less for SFY -. Goal for will be to maintain a blockage rate of 0% Answering Service Factor Answering Service Factor (ASF) is the percentage of calls offered to the automatic call distribution (ACD) system that are answered by the Call Center. Goal: The Customer Services Call Center will maintain an answering service factor of 95% or above. (DMH Requirement) Answering Service Factor Benchmark: 95% 99% 98% 97% 96% 95% 94% 93% 98% 98% 97% 97% 1st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) ASF Benchmark *Data from Monthly Phone Performance Report (presented to QIC) Partners BHM has met the goal of maintaining an answering service factor of 95% or above for SFY -. Will continue to maintain an answering service factor of 95% or above for SFY Telephone Service Factor Telephone Service Factor (TSF) is the percentage of all calls answered by the Call Center that were answered in 30 seconds or less. Goal: The Customer Services Call Center will maintain a telephone service factor of 95% or above. (DMH Requirement) Page 9

11 100% 95% 90% 91% Telephone Service Factor Benchmark: 95% 97% 97% 97% 85% 1st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar 4th Qtr (Apr-Jun) TSF Benchmark *Data from Monthly Phone Performance Report (Presented to QIC) Partners BHM met the goal of maintaining a telephone service factor of 95% or above for three of fourth quarters for SFY -. The telephone service factor was below 95% for the first quarter but was maintained at 97% for the rest of the fiscal year. Will continue to maintain a telephone service factor of 95% or above for Live Call Response All calls to the Call Center are to be answered live by a Customer Services Call Center staff person. The telephone call distribution system is designed to search for an available Call Center employee. In the unlikely event that there is no Call Center employee available to answer the call, the call will roll over to Customer Services support staff, Customer Services Supervisors or the Customer Services Director. The Customer Services Director and Supervisors monitor calls to ensure that the performance expectations of all calls answered live are met. Goal: The Customer Services Call Center will maintain a live call response of 100% (URAC Standard: HCC 13a) Live Call Responce for SFY - Benchmark: 100% 150% 100% 100% 100% 100% 50% 0% SFY SFY SFY *Data from Monthly Phone Performance Report (presented to QIC) % Compliance Benchmark Partners BHM has met the goal of maintaining a live call response of 100% for SFY -. Page 10

12 Minutes Will continue to maintain goal of a 100% live call response for During SFY - Partners BHM entered into a delegation agreement with Smoky Mountain LME/MCO and CenterPoint Human Services to take any over-flow calls to ensure all calls are answered by a live person. Clinical Staff Response Requirement Goal: In the event the Call Center voic system is utilized, Customer Services staff are required to return the call within thirty [30] minutes of being received. (URAC Standard: HCC 13c) Call Center Voic s Return in 30 Minutes or Less Benchmark: 30 Minutes st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) Benchmark Call Return Time * Data from Quarterly URAC Performance Dashboard SFY: - The telephone system for the Call Center is designed for calls to roll over to the next available clinician in the queue if the initial clinician is on another call so no caller has to utilize the voic system. Will continue to ensure voic will not be utilized for the call center SERVICE AVAILABILITY Partners BHM has developed and maintains a network of providers to serve citizens of Burke, Catawba, Cleveland, Gaston, Iredell, Lincoln, Surry and Yadkin counties in North Carolina. The types of healthcare services offered within the Partners BHM network include those specialty services designed for the treatment of individuals with mental health, developmental disability, and/or substance abuse services. The specific array of services offered within the provider network is set forth by the DHHS through the Division of Mental Health, Development Disability and Substance Abuse Services (DMH/DD/SAS) and the Division of Medical Assistance (DMA). Partners BHM network consists of enough providers sufficient to provide adequate access to cover community capacity. This is assured by monitoring the availability of service providers, existence of waiting lists, availability of resources and overall need determined in part by the Partners BHM Gap Analysis/Community Needs Assessment as well as intra-department communication. Page 11

13 NETWORK COMPOSITION Network Providers by Organization Type- SFY =15 Type Totals Agency/Integrated Care 5 Agencies 305 Hospitals 49 Licensed Independent Practitioners (LIP) and Professional Practice Groups 170 Facilities 10 *Data from Provider Information Report found on SQL Report Manager CREDENTIALING AND RE-CREDENTIALING Partners Behavioral Health Management (Partners BHM) is required to credential and re-credential all Applicants for participation in the closed Provider Network of Partners, including but not limited to Licensed Practitioners, Licensed Independent Practitioners, Agencies (including Group Practices and Licensed Facilities such as Psychiatric Residential Treatment Facilities) and Hospitals and/or Health Systems. Primary source verification for Partners BHM is currently delegated to Smoky Mountain LME/MCO as part of the Western Regional Partnership between Partners, Smoky Mountain and CenterPoint, which was created to promote standardization in the credentialing process within the western region of North Carolina. The Delegate is responsible for processing all applications submitted by Applicants seeking to participate in Partners BHM s Provider Network. The Delegate conducts the pre-screens, criminal records check, and all Primary Source Verifications on each Provider application prior to sending it back to Partners BHM for Credentialing Committee review and approval. Credentialing Status for SFY - Initial Credentialing Re-credentialing Agency Licensed Independent Practitioner *Data from Monthly Health Care Network Report (Presented to QIC) Goals: Written notification of credentialing decision is sent within 10 business days of the credentialing determination 95% of the time. (URAC Standard: HNM-CR 13) The delegated entity will maintain compliance with the standards outlined in the delegation agreement as evidenced by 95% or greater score for the delegation oversight audits completed by Partners BHM. (Credentialing Delegation Contract Standard) The contractual standards include: 1. All initial or re-credentialing files shall have PSV completed within 30 days from receipt of a clean application, excluding delays caused by non-responsiveness from the primary sources and any other factors clearly outside of Delegate s control. 2. All applications must be presented to the applicable LME/MCO Credentialing Committee within 180 days of signed application attestation date, including any re-attestation permitted by URAC. 3. All applications must show that the following information was verified and/or current prior to date of presentation to the LME/MCO Credentialing Committee, as applicable to the Provider type: Page 12

14 a. Accreditation, b. License, c. DEA certificate, d. Board certification, e. Criminal background check, f. OIG check, and g. Healthcare Personnel Registry check. Performance Results for Credentialing Program SFY - 1 st Qtr. (Jul-Sep) 2 nd Qtr. (Oct-Dec) 3 rd Qtr. (Jan-Mar) 4 th Qtr. (Apr-Jun) % of Written Notifications within 10 Business Days 100% 100% 100% 98% (Benchmark: 95%) % Compliance of Delegated CVO Files with Delegation Agreement Standards (Benchmark: 95%) 93% 93% 98% 98% *Data from Quarterly URAC Performance Dashboard Report SFY - Partners BHM met the goal of having written credentialing notifications sent to the provider within 10 of the credentialing decision 95% of the time. The delegated entity maintained compliance with the standards outlined in the delegation agreement as evidenced by 95% or greater score for the delegation oversight audits completed by Partners BHM for two of four quarters for SFY -. The quarters below the benchmark are when Medversant was still the delegated entity for primary source verification Corrective Action Implemented: Due to failing to meet the benchmark Medversant was required to credit Partners BHM three percent [3%] of the total monthly invoice fees in accordance to the delegation agreement. Beginning 11/1/14 Partners BHM implemented a delegation agreement with Smoky Mountain LME/MCO to provide review of credentialing application review and primary source verification. Will ensure the delegated entity will maintain an audit score of 95% for all four quarters of NETWORK AVAILABILITY Geo ACCESS Mapping Partners BHM annually evaluates the location of Providers and types of services in its capacity study, and determines the need for additional Providers. A Provider mapping program is maintained which allows Partners to associate location of Providers in relation to where individuals live within the catchment area. Goals: Partners BHM will ensure there are inpatient providers within a 60 mile radius for 95% of Partners consumers. (URAC Standard HNM 1b) Page 13

15 Partners BHM will ensure there are outpatient providers within a 30 mile radius for 90% of Partners consumers. (URAC Standard HNM 1b) Partners BHM met the benchmark of having inpatient providers within a 60 mile radius for 95% of Partners consumers Partners BHM met the benchmark of having outpatient providers within a 30 mile radius for 90% of Partners consumers Will continue to ensure there are an adequate number of providers in the network. Needs Assessment Study The Provider Capacity, Community Needs Assessment and Gaps Analysis was conducted by Total Care Solutions LLC. It addresses the requirements of the North Carolina Department of Health and Human Services and builds upon the Needs Assessment and Gaps Analysis also conducted by Total Care Solution. Progress in Addressing Priorities from Needs Assessment & Gaps Analysis Partners BHM currently has two hubs operating in the catchment area. The Lincoln Wellness Center at McBee Street, the Hub in Lincoln County, is operating and is a collaboration between Alexander Youth Network, Monarch, Phoenix Counseling, and Support, Inc. The Hub in Burke County, called Burke Integrated Health, opened in May and features the integration of primary and behavioral healthcare. Burke Integrated Health is a result of the expanded services of A Caring Alternative, Burke Primary Care, Catawba Valley Behavioral Healthcare and The Cognitive Connection. Development efforts are underway in the remaining counties. Partners BHM has worked to improve community re-entry for high need individuals being discharged from adult care homes and state facilities. As of February, 336 individuals in adult care homes are receiving In Reach placement and coordination services. Additionally 150 people have been diverted from adult care homes. People in state hospitals are receiving In-Reach services, and three are currently in process. Twenty-four individuals are in supported housing and 36 individuals are in the transition process through the Transitions to Community Living (TCL) Initiative. Fifteen individuals are currently receiving care coordination after their transition to supported housing. Partners BHM conducted a rate study in and developed rate setting models for several Medicaid and state funded services. As a result of the rate study, most service rates were increased. Along with the recently established provider performance measures that will go into effect July 1,, we believe this will support providers to be more competitive in attracting qualified, professional staff, and will improve service outcomes. Partners BHM has also streamlined the provider application and credentialing process, cleaned up and improved data that both providers and consumers can access, issued Request for Proposals (RFPs) for B3 services in the areas of peer support and respite and expanded B3 services for Page 14

16 community guide, supported employment, individual support, and one time transition. Partners worked with providers to assess barriers and also developed mechanisms to improve access to Multi Systemic Treatment (MST) for consumers through the Utilization Management process and are assessing an alternative payment mechanism to continue expansion of this service through the eight country area. Recommendations Continued from Needs Assessment While most of the other recommendations from last year s analysis have been actively addressed, the following recommendations will continue to receive attention and focus by Partners BHM in : Improve transportation options Increase housing options Facilitate more support groups for key constituencies Case Management Develop Provider Networks Improve service integration with acute/primary care Improve recovery-oriented systems of care for persons with substance abuse Newly Identified Needs/Gaps in Stigma and Drop-in Centers: While consumers who responded to the consumer survey were the most satisfied stakeholder group with current services, they did indicate a sense of embarrassment and stigma as the recipient of behavioral health services. They also identified a desire to have a safe place to go and hang out with peers who understand their situation and can provide support in a non-judgmental fashion. Child and Adolescent Continuum of Care: Input from the provider focus group and an analysis of service utilization data indicate a need to strengthen the continuum for children and adolescents. The outpatient services make up 70% of the Medicaid services for children. Additional data indicates important evidence based practices such as Medicaid funded Multi-Systemic Therapy is potentially underutilized as evidenced by only.03% of children and.79% for adolescents receiving these services. Supported Employment: An important barrier to services emphasized by community members/stakeholders, family members/caregivers, and consumers is lack of employment. This is a difficult barrier to resolve due to the poverty issues identified in the demographic section of this report suggesting jobs may be difficult to obtain in many of the Partners BHM catchment counties. One of the associated barriers indicated in the survey was lack of insurance and inability to pay for medications and services likely due to lack of employment. Page 15

17 CUSTOMER SATISFACTION GRIEVANCE MANAGEMENT Partners BHM provides and encourages any person or organization the right and ability to bring any complaint or grievance to the attention of Partners BHM in compliance with accreditation requirements; federal and state laws and regulations; state contracts; and any other controlling authorities. Grievances and complaints are accepted by all staff, in all forms and formats, including oral, written, and anonymous. Grievances will be processed formally or informally as appropriate. Partners BHM will comply with all regulatory expectations regarding timeframes for investigation, resolution and notification. Through appropriate committees and staffing, Partners BHM routinely tracks and analyzes complaint/grievance information to improve quality of care and service delivery GRIEVANCE CATEGORIES Abuse, Neglect and Exploitation: Any allegation regarding the abuse, neglect and/or exploitation of a child or adult as defined in APSM 95-2 (Client Rights Rules in Community Mental Health). Any suspicion must be immediately reported to the local Department of Social Services and reported into IRIS (as applicable). Access to Services: Any complaint where an individual is reporting that he/she has had difficulty or not been able to obtain services Administrative Issues: Any complaint regarding a Provider s managerial or organizational issues, deadlines, payroll, staffing, facilities, etc. Authorization/Payment Issues/Billing: Any complaint regarding the payment/financial arrangement, insurance, and/or billing practices regarding providers. Basic Needs: Any complaint regarding the ability to obtain food, shelter, support, SSI, medication, transportation, etc. Client Rights Issue: Any allegation regarding the violation of the rights of any consumer of mental health/developmental disabilities/substance abuse services. Clients Rights include the rights and privileges as defined in APSM 95-2 (Client Rights Rules in Community Mental Health) Confidentiality/ HIPAA: Any breach of a consumer s confidentiality and/or HIPAA regulations. LME/MCO Functions: Any complaint regarding LME functions such as Governance/ Administration, Care Coordination, Utilization Management, Customer Services, etc. Provider Choice: Any Complaint that a consumer or legally responsible person was not given information regarding available service providers. Quality of Care: Any complaint regarding inappropriate and/or inadequate provision of services, customer services and services including medication issues regarding the administration or prescribing of medication, including the wrong time, side effects, overmedication, refills, etc. Service Coordination Between Providers: Any complaint regarding the ability of providers to coordinate services in the best interest of the consumer. Other: Indicates a complaint that has no designated category in Alpha system (i.e. disagreements with changes regarding Relative As Direct Support Employee (RADSE), changes in Innovations services, reduction in service hours Page 16

18 SUMMARY OF GRIEVANCES Total Grievances for SFY st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) Total Grievances By or On Behalf of Consumer Not By or On Behalf of Consumer *Data from DMH/DD/SAS Quarterly Complaints Report SFY - Primary Nature of Complaint SFY - 1 st Qtr. (Jul-Sep) 2 nd Qtr. (Oct-Dec) 3 rd Qtr. (Jan-Mar) 4 th Qtr. (Apr-Jun) Abuse, Neglect, Exploitation Access to Services (difficulty or inability to obtain services) Administrative Issues by Provider Basic Needs Authorization/Payment/Billing (provider only) Confidentiality/HIPAA Consumer Rights LME/MCO Functions Provider Choice Quality of Care by Providers Service Coordination Between Providers Other *Data from DM/DD/SAS Quarterly Complaints Report SFY - A total of 292 grievances were received during SFY -. The highest number of grievances occurred during the 2 nd quarter with a total of 94 grievances. 92% of the grievances received were made by or on behalf of a consumer. Of the 292 grievances, 7.4% were categorized as abuse, neglect, or exploitation. Of the 292 grievances, 45.9% were categorized as quality of care. SUMMARY OF ACTIONS TAKEN Grievance Investigation Data for SFY: - 1 st Qtr. (Jul-Sep) 2 nd Qtr. (Oct-Dec) 3 rd Qtr. (Jan-Mar) 4 th Qtr. (Apr-Jun) Grievances that resulted in an investigation Grievances that did not result in an investigation *Data from DM/DD/SAS Quarterly Complaints Report SFY - Page 17

19 Grievance Investigation Results 1 st Qtr. (Jul-Sep) 2 nd Qtr. (Oct-Dec) 3 rd Qtr. (Jan-Mar) Substantiated Not Substantiated Partially Substantiated Not Resolved At Time of Quarterly Report th Qtr. (Apr-Jun) *Data from DM/DD/SAS Quarterly Complaints Report SFY - **Please note that a grievance not being resolved at the time of the quarterly report does not mean it was not resolved within the 30 day time frame. It is feasible that a grievance received during the latter half of the last month of a quarter may have a resolution date that falls within the next quarter. Resolution for Grievances Not Requiring Investigation 1 st Qtr. (Jul-Sep) 2 nd Qtr. (Oct-Dec) 3 rd Qtr. (Jan-Mar) 4 th Qtr. (Apr-Jun) Resolved by Working with Provider Referral to Community Resource and/or Advocacy Group Provided Information or Technical Assistance to Complainant Referral to External Licensing or State Agency Pending At Time of Quarterly Report *Data from DM/DD/SAS Quarterly Complaints Report SFY - **Please note that a grievance not being resolved at the time of the quarterly report does not mean it was not resolved within the 30 day time frame. It is feasible that a grievance received during the latter half of the last month of a quarter may have a resolution date that falls within the next quarter Of the 292 grievances received 46 (15.5%) resulted in an investigation. Of the 46 grievance investigations 4 (8.7%) were substantiated. Five of the 46 investigations (11%) resulted in recommendations to the provider. Four of the 46 investigations (8.7%) resulted in the provider submitting a plan of correction. Of the 250 non-investigations 49.6% were resolved by Partners BHM working with the provider. Of the 250 non-investigations 48% were resolved by Partners BHM by providing information and or technical assistance to the complainant. Of the 250 non-investigations 1.6% were resolved by referral to an external licensing or State agency. Page 18

20 GRIEVANCE RESOLUTION TIME FRAMES Goal: At least 90% of all grievances are resolved within 30 calendar days of receipt. (URAC Standard: Core 35d) Grievances Resolved within 30 Day Time Frame Benchmark: 90% 105% 100% 95% 90% 85% 100% 100% 100% 100% 1st Quarter (Jul-Sep) 2nd Quarter (Oct-Dec) 3rd Quarter (Jan-Mar) 4th Quarter (Apr-Jun) *Data from Quarterly URAC Performance Dashboard Report SFY - % Compliance Benchmark Partners BHM exceeded the goal of resolving at least 90% of all grievances within 30 calendar days for all quarter of SFY -. Will continue to ensure that all grievances are resolved within 30 days. PROVIDER DISPUTES In order to respect providers rights while simultaneously protecting consumers, Partners Behavioral Health Management (Partners BHM) maintains a formal process consistent with its written agreements to address alleged violations of the agreement by participating providers. This Dispute Resolution Process is available to any participating provider who wishes to initiate it. However, only certain types of disputes are subject to the process. The types of disputes that are subject to the dispute resolution process are those: Clinical Disputes: Involving professional competence or conduct issues. Administrative Disputes: Involving administrative issues. Provider Disputes for SFY - Clinical Disputes Administrative Disputes # received for SFY # Disputes Resolved 7 25 # Unresolved 0 0 # In Process 0 0 *Data from Provider Network Page 19

21 Days Goal: Provider disputes are resolved within 30 days of the provider s initiation of the dispute. (URAC Standard: HNM 14e) Disputes Resolution Time Frames- SFY: -15 Benchmark: 30 Days st Qtr (Jul-Sep) 2nd Qtr (Oct-Dec) 3rd Qtr (Jan-Mar) 4th Qtr (Apr-Jun) Average # Days to Resolve Disputes Benchmark *Data from Monthly Health Care Network Report (Presented to QIC) Partners BHM did not meet the time frame benchmark for provider dispute resolution in the month of May. Based on the information provided by Provider Network the main issue appears to be timely delivery of the dispute resolution request to the designated staff responsible for provider disputes. Corrective Action Implemented: Providers are now directed to provider dispute resolution requests to the provider disputes distribution list. Provider Network has put measures in place to monitor the designated address to ensure the 30 day time frame is met. SATISFACTION SURVEYS COMMUNITY RELATIONSHIP SURVEY On October 27 th, Partners BHM sent out the Community Relationship Survey to our partner agencies and community stakeholders. This survey was designed to provide information on the level of satisfaction our partners and stakeholders have with Partners BHM and its role in the community. The survey was closed on November 10 th,. A total of 330 partners/stakeholders responded to this survey. Satisfaction with Partners BHM s Management of Services Answer Choices Responses Very Satisfied or Satisfied 58% Neither Satisfied or Dissatisfied 17% Highly Dissatisfied or Dissatisfied 20% Not Sure 5% *Data from Community Relationship Survey Results Page 20

22 Experience with Partners BHM Staff Answer Choices Responses Very Satisfied or Satisfied 80.5% Neither Satisfied or Dissatisfied 9.5% Highly Dissatisfied or Dissatisfied 10% *Data from Community Relationship Survey Results Report Do you feel that Partners is meeting its mission as outlined in the mission statement? Answer Choices Responses Yes 65.06% No 20.48% No Sure 14.46% *Data from Community Relationship Survey Results Report Partners received generally positive responses to the satisfaction of the community/stakeholders in regard to Partners BHM s role in the community CONSUMER PERCEPTION OF CARE SURVEY The North Carolina Mental Health and Substance Abuse Consumer Perception of Care Survey provides information on the quality of care in each LME/MCO catchment area, based on the perceptions of individuals and families who have received Medicaid or state-funded mental health and/or substance abuse services. The NC Division of MH/DD/SAS and LME/MCOs gather this information annually through consumer surveys. Samples of adult consumers ages 18 years and over, youth ages 12 to 17 years, and families/parents of children under 12 years of age complete the confidential surveys, in English or Spanish, at their provider agencies during a specified time period each year. The survey was administered between June 30, and July 28,. Partners BHM Required Survey Sample Size & Actual Survey Respondents Adult Survey Youth Survey Parent Survey Required Sample Size Number of Respondents *Data from Consumer Perception of Care Survey Results Report Page 21

23 Combined Survey Results Domain Adult Survey Results Youth Survey Results Parent Survey Results NC Aggregate Score Partners BHM Score NC Aggregate Score Partners BHM Score NC Aggregate Score Partners BHM Score Access 89% 91% 75% 78% 90% 93% Quality/Appropriateness 93% 95% N/A N/A N/A N/A General Satisfaction 91% 91% 81% 80% 92% 99% Outcomes 74% 74% 66% 65% 68% 81% Treatment Planning 84% 87% 71% 73% 93% 94% Cultural sensitivity N/A N/A 91% 89% 98% 98% Social Connectedness 74% 75% N/A N/A 87% 88% Functioning 74% 72% N/A N/A 69% 80% *Data from Consumer Perception of Care Survey Results Report For the Adult Survey, Partners BHM met or exceeded the State aggregate score for six of seven survey domains (Access, Quality/Appropriateness, General Satisfaction, Outcomes, Treatment Planning and Social Connectedness). Partners fell two percentage points below the State aggregate score for the Functioning domain. For the Youth Survey, Partners BHM met the State aggregate score for two of five survey domains (Access and Treatment Planning). Partners BHM fell one percentage point below the State aggregate score for the General Satisfaction domain and two percentage points below for the Treatment Planning and Cultural Sensitivity domains. For the Parent Survey, Partners BHM met or exceeded the State aggregate score for seven of seven survey domains. PROVIDER SATISFACTION SURVEY The DHHS Provider Satisfaction Survey was conducted on behalf of the North Carolina Department of Health and Human Services (DHHS), Division of Medical Assistance (DMA) by the Carolinas Center for Medical Excellence (CCME) of the providers participating in the 1915(b) (c) Medicaid Waiver program. The purpose of the survey was to assess provider perceptions of the nine LME/MCOs in North Carolina. The results from this survey allowed DMA to assess the LME/MCOs ability in the following three areas: 1. Interacting with their network providers 2. Providing training and support to their providers 3. Providing Medicaid Waiver materials to help their providers strengthen their practice The survey was initially sent out on August 20 th, with an initial collection period from August 20 th, to August 26 th, and a second collection period from August 27 th, to September 3 rd,. The survey was closed on September 4 th,. Page 22

24 A total of 411 providers who participate in Partners BHM s provider network were invited to participate in the survey. A total of 173 surveys were collected for a response rate of 42.1%, which was the fourth highest response rate for the nine LME/MCOs. Provider Satisfaction Survey Results Survey Question 2013 Score Score Comparison to 2013 Scores LME/MCO Staff Accessible 68% 79.8% Exceeded LME/MCO Staff Make Appropriate Referrals 53% 61.3% Exceeded LME/MCO Staff Responsive to Provider Needs 70% 79.2% Exceeded Customer Service Responsive to Stakeholders 53% 59% Exceeded Provides Consistent & Accurate Claims Information 60% 70.5% Exceeded Claims Training Meets Provider Needs. 61% 63% Exceeded Claims Processing Timely & Accurate 68% 83.8% Exceeded IT Training Informative & Meets Provider Need 60% 72.8% Exceeded Provider Network Meetings Informative & Helpful 56% 62.4% Exceeded Provider Network Keeps Providers Informed 82% 80.9% Below Provider Network Staff Knowledgeable 73% 75.7% Exceeded Provider Council Adequately Addresses Provider Interests 49% 58.4% Exceeded Overall Satisfaction With Provider Network 80% 78.6% Below LME/MCO Investigations Are Fair & Thorough 46% 63% Exceeded Requests For Corrective Action Plans Fair & Reasonable 44% 64.7% Exceeded Technical Assistance/Information Accurate & Helpful 68% 74.6% Exceeded Trainings Informative & Meet Provider Need 64% 66.5% Exceeded Authorizations Processed Within Required Time Frames 75% 82.1% Exceeded Denials for Treatment/Services Are Explained 57% 66.5% Exceeded Authorizations Are Accurate 75% 80.3% Exceeded Satisfied With Appeals Process 38% 48% Exceeded Partners BHM s Website Is Useful Tool 65% 64.7% Met Overall Satisfaction with Partners BHM 73% 80.3% Exceeded *Pink highlight indicates Partner BHM below NC Aggregate Score for 2013 survey *Red highlight indicates Partners BHM below NC Aggregate Score for survey *Green highlight indicates Partners BHM had highest LME/MCO score or tied with another LME/MCO for highest score for survey CLIENT SATISFACTION SURVEY The Client Satisfaction Survey was distributed to Partner BHM clients (DHHS, DMA) through Survey Monkey on 8/11/14. The survey asks five key questions regarding Partner BHM s contractual performance. Client Satisfaction Survey Results Survey Question Yes No Not Applicable Has Partners BHM met DMH contract standards? 66.67% 0% 33.33% Has Partners BHM met DMA contract standards? 66.67% 0% 33.33% Partners BHM Staff treated client with courtesy and respect? 100% 0% 0% Page 23

25 Partners BHM Staff Responsive to client s questions and/or needs? 100% 0% 0% Extremely Pleased Overall Satisfaction With Partners BHM Contractual Performance Responses: 3 Pleased Neutral Dissatisfied Extremely Dissatisfied Not Interacted with Partners BHM 0% 100% 0% 0% 0% 0% Page 24

26 CONSUMER SAFETY ADVERSE INCIDENT REPORTING & REVIEW Partners BHM seeks to ensure consumer safety and implements policies and procedures to ensure that staff understands how to manage consumer interactions or adverse incidents where consumers may be at risk. Additionally, Partners BHM tracks all reports of adverse incidents to ensure that interactions are handled appropriately and followed up in order to help ensure safety. Incident Review Committee (IRC) reviews and analyzes these reports to identify trends and opportunities for improvement. DEFINITIONS OF ADVERSE INCIDENTS Incident: An incident, as defined in 10A NCAC 27G.0103(b)(32), is any happening which is not consistent with the routine operation of a facility or service or the routine care of a consumer and that is likely to lead to adverse effects upon a consumer. Level I: Includes any incident, as defined above, which does not meet the definition of a Level II or III incident. Level I incidents are events that, in isolated numbers, do not significantly threaten the health or safety of an individual, but could indicate systematic problems if they occur frequently. Level II: Includes any incident, as defined in 10A NCAC 27G.0602, which involves a consumer death due to natural causes or terminal illness, or results in a threat to a consumer s health or safety or a threat to the health or safety of others due to consumer behavior. Level III: Includes any incident, as defined in 10A NCAC 27G.0602, that results in (1) a death, sexual assault or permanent physical or psychological impairment to a consumer, (2) a substantial risk of death, or permanent physical or psychological impairment to a consumer, (3) a death, sexual assault or permanent physical or psychological impairment caused by a consumer, (4) a substantial risk of death or permanent physical or psychological impairment caused by a consumer or (5) a threat caused by a consumer to a person's safety. INCIDENT REPORTING DATA Adverse Incident Reporting for SFY July -June 1 st Qtr. (Jul-Sep) 2 nd Qtr. (Oct-Dec) 3 rd Qtr. (Jan-Mar) 4 th Qtr. (Apr-Jun) Level 2 Critical Incident Reports received Level 3 Critical Incident Reports received Level II and Level III Incidents that resulted in Partners BHM on-site investigation Level II and Level III Incidents that resulted in DHSR Investigation *Data from the Consumer Relations Monthly Operating Report, June Results and Analysis: There were a total of 1830 incident reports submitted into IRIS for Partners BHM consumers for SFY -. 91% of the incidents reported were Level II incidents. 1% of the incidents reported resulted in Partners BHM on-site investigation. 3.4% of the incident reported resulted in DHSR investigation. Page 25

27 INNOVATIONS WAIVER HEALTH & SAFETY MEASURES Health & Safety Measures Reported Quarterly SFY - Performance Standard 1 st Qtr. (Jul-Sep) 2 nd Qtr. (Oct-Dec) 3 rd Qtr. (Jan-Mar) 4 th Qtr. (Apr-Jun) % Incidents in which action was taken to > 86% 87.76% 90.63% 100% 92.16% protect the consumer % Level II and Level III incidents reported within > 86% 94.23% 94.12% 100% 82.35% required timeframes % Incidents referred to the Division of Social <14% 0% 0.29% 0.73% 0.15% Services or the Division of Health Service Regulation. % of Level II and Level III incidents that received required follow-up from Partners BHM > 86% 100% 100% 94.34% 92.16% *Data from Innovations Waiver Performance Measures Report SFY: - Health & Safety Measures Reported Semi-Annually SFY - Performance Semi-Annual Standard Outcome (Jul-Dec) % Individual Support Plans (ISP) that address strategies to address health and safety risks *Data from Innovations Waiver Performance Measures Report SFY: - Semi-Annual Outcome (Jan-Jun) >86% 100% 100% Partners BHM met or exceeded the performance standard for all measures except for the Level II and Level III reports submission time frames during 4 th quarter SFY -. Documentation from the PBHM -15 Innovations Waiver Overview Report indicates that one specific provider s late report submissions caused Partners BHM to fall below the performance standard for 4 th quarter. This provider also had late submissions during 4 th quarter of SFY This provider was put on a plan of correction Page 26

28 SERVICE UTILIZATION- TARGETED SERVICES PERFORMANCE MEASURES COMMUNITY PSYCHIATRIC HOSPITALIZATION Inpatient Admission Statistics for SFY - 1 st Qtr. 2 nd Qtr. (Jul-Sep) (Oct-Dec) Mental Health Admissions Medicaid Non-Medicaid Substance Abuse Admissions Medicaid Non-Medicaid *Data from MCO Monthly Monitoring Report SFY - Mental Health Readmissions Medicaid 3 rd Qtr. (Jan-Mar) 4 th Qtr. (Apr-Jun) Percentage of Readmissions in 30 Days for SFY - 1 st Qtr. 2 nd Qtr. (Jul-Sep) (Oct-Dec) Non-Medicaid Substance Abuse Readmissions Medicaid Non-Medicaid *Data from MCO Monthly Monitoring Report SFY - Mental Health Substance Abuse 3 rd Qtr. (Jan-Mar) 4 th Qtr. (Apr-Jun) 13% 17% 12% 13% 8% 6% 6% 5% 10% 3% 15% 15% 9% 10% 5% 11% Average Length of Stay for Inpatient Admissions SFY - 1 st Qtr. (Jul-Sep) 2 nd Qtr. (Oct-Dec) 3 rd Qtr. (Jan-Mar) Medicaid Non-Medicaid Medicaid Non-Medicaid *Data from MCO Monthly Monitoring Report SFY - 4 th Qtr. (Apr-Jun) Page 27

29 Number of Bed Days Jul *Data from Executive Dashboard Report April **Bed day utilzation based on physical counts- not paid claims Inpatient Bed Utilization- July -April Aug Sep Oct Nov Dec Jan Feb Mar 3-way hospital beds Non-Medicaid Medicaid Apr The highest utilization of three-way hospital bed days occurred in October. The highest utilization of Non-Medicaid bed days occurred in August. The highest utilization of Medicaid bed occurred in August. CHILD/ADOLESCENT SERVICES Goal: Maintain a bed day benchmark of 2400 or less. 3,000 Psychiatric Residential Treatment Facility Bed Day Utilization- Mediciad Benchmark: ,000 1,000 1,514 1,592 1,607 1,503 1,546 1,645 1,586 1,226 1,314 1,305 0 Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr Medicaid PRTF bed day benchmark *Data from Executive Dashboard Report April **Bed day utilzation based on physical counts- not paid claims Partners BHM has maintained a bed utilization of less than 2400 bed days. The highest utilization of bed days occurred in December. Page 28