what evidence do i need to show nursing home is not providing care

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Observational Evidence of For-Profit Commitment and Junior Nursing Habitation Care: When Is There Enough Show for Policy Change?

  • Lisa A. Ronald,
  • Margaret J. McGregor,
  • Charlene Harrington,
  • Allyson Pollock,
  • Joel Lexchin

PLOS

x

  • Published: April 19, 2016
  • https://doi.org/10.1371/journal.pmed.1001995

Summary Points

  • Nursing home residents are a highly vulnerable population, and nursing domicile care quality has been a persistent focus of public business concern.
  • There is considerable evidence from observational studies that public funding of care delivered in for-profit facilities is inferior to care delivered in public or nonprofit facilities.
  • The by decade has seen many industrialized countries increasing governmental payment for intendance of frail seniors in for-profit nursing homes, leading to questions about whether this leads to inferior care.
  • Many of Bradford Hill's guidelines for causation can be found in published studies supporting a causal link betwixt for-turn a profit buying and inferior care.
  • The precautionary principle should be practical when developing policy for this fragile and vulnerable population.

Introduction

Nursing homes, also called residential long-term care facilities or aged care homes, are regulated institutions providing effectually-the-clock medical and social care to (mainly) older people who are unable to alive independently due to physical and/or mental disability. Because of the vulnerability of this population and frequent media reports of scandals beyond many industrialized countries [1], nursing home care quality has been a persistent focus of public concern.

Inserted into the discourse on quality has been a trend in many countries to contract care to for-profit–endemic facilities, and there has been considerable endeavor by researchers to empathise the affect of for-turn a profit ownership on care quality. Inquiry into this expanse is not new [2]. O'Brien and colleagues asked the question in a 1983 review in which they included several U.s. studies going back to 1968 [iii]. All the same, recent examples such as the 2011 failure of the largest United Kingdom private disinterestedness nursing home chain, Southern Cross [4], and a report in 2000 that the 5 largest US nursing domicile chains operated under bankruptcy protection [5], have brought this policy question to the forefront.

The result has particular relevance at this time every bit jurisdictions are challenged to intendance for an increasing number of very fragile people over the next two decades [6]. Fifty-fifty with policies to aggrandize care at habitation, it is likely that many countries will require the construction of new nursing home beds [7].

In this paper, we evaluate the prove for an association betwixt for-profit ownership and inferior care, using Bradford Colina's framework for examining causation in observational inquiry. We further frame the issue in terms of the precautionary principle, request, "At what betoken is it is time to shift policy direction based on the bachelor evidence?"

Trends in Nursing Dwelling Ownership and Care Delivery in Industrialized Countries

Nursing homes can exist owned and operated by public (regime or quasi-governmental), nonprofit, or for-turn a profit entities, with differences among countries in financing, regulation, and mix of ownership. Box 1 describes a taxonomy of unlike ownership types. Regardless of the buying and commitment of nursing home intendance, the majority of funding for nursing domicile intendance in industrialized countries comes from public sources [8].

Box 1. Taxonomy of Nursing Dwelling house Ownership

Public ownership: facilities endemic by authorities or quasi-governmental bodies. Municipal governments, health regions, and Veterans Diplomacy would be examples of public and quasi-public owners.

Nonprofit ownership: nongovernmental ownership past religious or community groups or agencies, in which the facilities they operate are run as nonprofit societies. A nonprofit order or entity is constituted with the assumption that any revenue in excess of expenses volition be used to benefit its clients.

For-profit facilities: owned and operated every bit businesses. Here it is assumed that revenue in backlog of expenses can be directed to the owners—or, in the case of shareholder-endemic companies, to shareholders. They include both small provider-owned facilities and large corporate chains whose headquarters are not necessarily in the province, or even the state, where they operate. The stardom between provider ownership and corporate ownership tin be important: when facility owners are also care providers, it is fair to expect that—at to the lowest degree theoretically—their professional person obligation balances the sometimes conflicting motivations of generating profit and providing good-quality care.

Table ane summarizes trends in nursing dwelling ownership beyond a range of years and countries. In the Uk in 2012, 78% of residential care beds were in for-profit–endemic facilities, a ten% increment from 2007 [9]. In Australia, roughly 1-third of nursing home beds are owned by private for-profit companies [ten]. In New Zealand, a survey of New Zealand Care Association members reported that approximately two-thirds of nursing homes were for-turn a profit, a tendency that was increasing [eleven]. In the United states, more than ii-thirds of beds are for-turn a profit, with more than than half owned past corporate chains [12,xiii].

The past decade has besides seen the movement of private equity and other investor-owned firms into the nursing home sector, in both the US and other industrialized countries [4,thirteen,16]. Some accept termed this a "caretelization" of the nursing habitation industry, whereby large corporate providers have gained greater market share through the process of mergers, acquisitions, and takeovers [4].

Evaluating the Observational Evidence Using Bradford Hill'due south Guidelines

In that location are challenges to measuring care quality (Box 2). Still, three systematic reviews have concluded that for-turn a profit nursing homes had poorer care quality than nonprofit-owned homes [17–xix]. A big meta-analysis found that two of four outcomes were significantly superior in nonprofit compared to for-profit homes [17]: more than or college quality staffing (ratio of outcome 1.xi, 95% confidence interval [CI]: ane.07 to 1.xiv), and lower pressure ulcer prevalence (0.91, 95% CI: 0.83 to 0.98). Non-pregnant results were found for the ii other outcomes: fewer deficiencies in governmental regulatory assessments (0.ninety, 95% CI: 0.78 to 1.04) and lower physical restraint use (0.93, 95% CI: 0.82 to 1.05). The authors estimated that residents would receive 42,000 and 500,000 additional hours of nursing care per year, and have 600 and 7,000 fewer pressure ulcers in Canada and the U.s., respectively, if these services were provided solely past nonprofit facilities [17]. In forty of the 82 studies reviewed, all statistically significant measures of quality favored nonprofit facilities, compared to only three studies in which all measures favored for-turn a profit facilities [17].

Box ii. How Is Care Quality Measured in Nursing Homes?

Measurement of care quality in nursing homes is multidimensional, with numerous definitions, a vast range of indicators, and no aureate standard for measurement [20,21]. Examples of different quality indicators include structural (such equally staffing levels and training), procedure (such as inspection violations, continuity of intendance, prevalence of daily physical restraints, and indwelling catheters), and outcome indicators (such equally prevalence of pressure sores, urinary tract infections, avoidable hospital admissions and dehydration) [20]. There is also growing recognition that, beyond staffing measures, in that location has been fiddling progress in measuring resident- and family-reported experience of care [22,23], which is arguably one of the most meaningful measures in this population [23].

While no unmarried indicator represents the overall quality of a nursing domicile, a disadvantage of using multiple quality indicators is that findings can be inconsistent [24]. A detection bias tin besides occur whereby rates of adverse outcomes may exist higher in nursing homes or jurisdictions that actively "look for" problems [24]. Pocket-size numbers of events and small-scale average facility size can limit the power of statistical analyses to find an effect [24]. This can lead to wide confidence intervals around estimates and conclusions that observed trends are not statistically pregnant [24]. Confounding can as well consequence when comparing indicators between facilities, since patient case mix can vary between facilities [24]. Finally, many nursing homes are measured on self-reported indicators, leading to potential reporting bias for some indicators.

An editorial accompanying the above-described meta-analysis implied that the observational evidence is too weak for policy decisions, and that because of the impossibility of conducting randomized controlled trials of turn a profit versus nonprofit status, causation cannot be proven [25]. This brings us to a theoretical debate nearly how nosotros determine a link is causal when all nosotros have, and all nosotros are ever likely to have, is evidence from observational studies.

We employ the Bradford Hill framework to appraise whether there is sufficient evidence to suggest causation [26]: the presence of plausibility, temporality, experiment, dose-response, coherence, analogy, consistency, magnitude of effect, and specificity (Box 3):

Box three. Bradford Colina's Guidelines for Assessing Causation

Information technology is unremarkably accepted that high-quality randomized controlled trials (RCTs) are able to overcome bias and confounding and, therefore, superlative the evidence bureaucracy to provide sufficient evidence to establish a causal link betwixt exposure and issue [27]. However, properly conducted RCTs in many areas are rare—trials can be underpowered, unsuccessfully blinded, and suffer from undetected biases [27]. Furthermore, not all research questions tin be investigated using RCTs. In the case of nursing homes, information technology would exist neither ethical nor viable to randomly assign facility buying or care delivery to for-profit versus public or nonprofit status. Thus, we rely on observational studies to evaluate the relationships between quality of intendance and ownership, in which we observe rather than assign exposures. Criticisms of observational studies, however, are that they are more prone to bias and confounding.

Some suggest that guidelines for causation can be a useful tool for assessing if at that place is sufficient evidence before concluding causation [27]. The British epidemiologist, Sir Austin Bradford Hill, developed guidelines to evaluate evidence for a causal event [26]. These guidelines, offset published in 1965, in part to address the link betwixt tobacco and lung disease, provide a useful framework for assessing evidence for a causal effect. Specifically, Bradford Hill suggested that nine relevant factors should be considered before concluding causation [26]:

Plausibility: The crusade-and-effect interpretation of an clan should fit with the known facts of the natural history and biology of the disease.

Temporality: A necessary criterion for a causal association is that the exposure must precede the outcome.

Experiment: Causation is more probable if evidence is based on randomized experiments.

Biological gradient or dose-response: The likelihood of a causal association is increased if a dose-response bend tin be demonstrated.

Coherence: A causal determination should not contradict nowadays noun knowledge.

Analogy: For coordinating exposures and outcomes, an issue has already been shown.

Consistency: A relationship is observed repeatedly, prospectively and retrospectively, in different populations.

Forcefulness of the association: Strong associations are more probable to be causal than weak associations.

Specificity: If an association is limited to specific groups with a particular environmental exposure or is greatly increased in these groups, then the instance for a causal association is strengthened.

Plausibility

All nursing homes must balance their revenues and expenses in gild to survive. For-profit organizations operate on the principle that profits or net income (acquirement in excess of expenses) is directed to the owners, investors, or shareholders [28]. In nonprofit organizations and publicly owned facilities, net income is used to do good clients [28].

O'Neill describes the merchandise-off between turn a profit and quality: "If increasing quality raises costs more than apace than it does revenues, profits must autumn as quality improves" [29]. In order to generate profits, for-profit homes tend to have lower costs and lower staff-to-patient ratios than nonprofit facilities [30]. Money diverted to shareholders and investors leaves less money to pay for staff, and in turn, having fewer or untrained staff is associated with lower quality [31–34].

The lower level of staffing with for-profit buying [17,18] stands in contrast to the well-established association betwixt college levels of total nursing and registered nursing staff and better care outcomes [31–34]. Nurse staffing levels take a positive impact on both the process and the outcomes of nursing home care, such as reduced resident time in bed, improved feeding assistance, incontinence care, exercise and repositioning [33], fewer regulatory deficiencies [35], and lower rates of force per unit area ulcers [17]. College staffing levels are associated with lower staff turnover [36]—a pre-status for good relational care, which in turn is associated with improved quality of life [23] (i.east., relational care embraces the unabridged relationship between caregiver and intendance recipient, encompassing the concrete, social, emotional, and spiritual dimensions of human connection [37,38]). In a The states study, the largest ten for-turn a profit chains had lower registered nurse and full nurse staffing hours and a 41% higher number of serious deficiencies than government facilities, controlling for other factors [30].

A second plausible machinery proposed for the "for-turn a profit" result of inferior outcomes is that for-profit facilities have a lower threshold for transferring acutely ill residents to acute intendance facilities [39–42]. This higher rate of apply of acute services (emergency department visits and hospital admissions) among residents in for-profit facilities has been a consistent finding and is thought to exist in part related to avoidance of the college costs associated with caring for acutely ill residents [39–42]. Hospital admission for nursing home residents is considered a poor outcome considering information technology puts these residents at risk of iatrogenic infections [43], falls, delirium, and turn down in functional condition and quality of life [44]. Furthermore, there is at present some evidence that illnesses such as pneumonia can be equally well managed within the facility [45].

A third plausible mechanism for the association of nonprofit and/or public facilities with improved quality of care may exist related to their ability to go charitable foundations. In many jurisdictions, this status provides tax breaks and makes them better positioned to mobilize volunteers and solicit donations for equipment [46].

In ideal market place conditions, residents' should exist able to "go out" (leaving the facility) or use "phonation" (complaining) [47]. However, the loftier degree of vulnerability of the nursing dwelling house population and the information asymmetry required for meaningful choice brand these ineffective as counterbalances to behaviors that sacrifice quality [48,49].

Temporality

Temporality has been investigated in several studies by examining conversions between ownership types. Longitudinal observational research from the US [50] and Sweden [51] has institute that nursing homes converting to for-profit ownership demonstrated a subsequent decline in some quality measures. Nursing homes converting from for-profit to nonprofit status more often than not exhibit comeback both before and after conversion [52]. A major challenge to such research is the potentially confounding consequence of unmeasured differences in nursing homes that choose to convert [l] compared to those who do non.

Experiment

While information technology is unlikely that experimental evidence from randomized trials will always exist available to compare nursing habitation ownership and quality, two US studies [39,xl] have recently used a method (instrumental variables analysis) that mimics randomization. This approach tin estimate causal relationships when it is not possible to conduct a randomized trial.

The two studies examined a national cohort of newly admitted residents to curt- [39] and long-stay facilities [twoscore], including almost fourteen,000 United states of america nursing homes. Data were drawn from national standardized clinical information (Minimum Data Set up, MDS) linked to Medicare claims over an 18-month period betwixt 2004 and 2005. Authors mimicked randomization of residents into more or less "exposure" to nonprofit homes by using "differential altitude" to the nearest nonprofit nursing abode relative to the nearest for-profit nursing home. Both studies found higher rates of infirmary admissions and 1 study [39] demonstrated inferior outcomes for mobility, hurting, and part measures among residents living in for-profit facilities compared to nonprofit facilities. The authors ended that the observed effects were likely causal and could not be explained by unmeasured differences in case mix between facilities with different ownership structures.

Dose-Response Outcome

A gradient effect betwixt profit margins and United states of america nursing home inspection violations has been reported [29]. O'Neill and colleagues examined 952 for-turn a profit facilities in California to assess the relationship between profit and the number of full and serious deficiencies reported past regulatory inspectors. Authors divided facilities into four profit categories from the lowest to the highest turn a profit group. After controlling for resident case mix and other facility and market characteristics, the authors found the highest turn a profit group had significantly more total deficiencies than those in the second-highest profit grouping. They likewise constitute that facilities in the highest profit group had significantly more serious deficiencies than the three lower turn a profit groups, suggesting an changed gradient (dose-response) issue of profit on quality [29].

Coherence, Analogy, and Consistency

Parallel studies have found for-profit services in sectors other than residential long-term intendance to be of junior quality, including hemodialysis centers [53] and Health Maintenance Organizations (HMOs) [54]. Outside of the health sector, studies looking at the daycare sector in Canada [55,56] accept plant a like quality gap between for-profit and nonprofit ownership.

The majority of studies evaluating nursing dwelling house ownership and care quality have used US data [17], where the distinction is typically between private for-turn a profit and nonprofit. Studies have too reported the association between for-profit status and junior intendance when compared to either nonprofit or public models in other countries, including Canada [57–60], Israel [61], and Australia [62]. While nearly studies are from industrialized, high-income countries, nosotros detect no reason to expect that testify from low- and heart-income countries would be different.

Forcefulness of the Association

The differences reported in observational studies associated with for-profit condition have generally not been big (with reported relative risks between 1 and 2) [17]. However, the magnitudes of effect are often small in studies of health intendance interventions, reflecting the implementation of interventions within complex systems [63].

Specificity

This term refers to the causative agent resulting in very specific furnishings. This criterion is more relevant to a biomedical (versus a health systems or policy) paradigm—for instance, the assumption that mesothelioma, a very specific type of lung cancer, is simply seen when an individual has been exposed to asbestos [64]. While the concept is of limited application in the health policy arena, the strongest empirical evidence exists for the association of for-turn a profit status and lower staffing levels. Since the number of staff hired is as well the almost costly line detail with the greatest likelihood of affecting profit, 1 might argue that there is some degree of specificity to the association.

Nursing Homes Are Complex Adaptive Systems and Context "Matters"

Nursing homes are complex adaptive systems [65], and wellness policy research, unlike biomedical inquiry, is unlikely to observe one causal link to any system-level outcome. The clan between for-profit ownership and inferior care is not a simple one.

In predominantly for-profit environments, some not-for-profit groups, despite their mandate, operate more every bit competitive market entities, with the focus oftentimes shifting towards increasing revenues at the expense of quality. Conversely, in jurisdictions dominated by the nonprofit or public sector, overall quality for the whole region is generally establish to be ameliorate, including care delivered in for-profit nursing homes [66]. One interpretation is that the predominantly public sector raises the bar for all facilities, thus mitigating the effect of profit-making on quality. Such findings, rather than refuting the plausibility of the observed association, speak to various predisposing and mitigating contextual factors.

Additionally, where comparisons of quality take subdivided nonprofit ownership into governmental (publicly owned) and nonprofit groups, in that location is often a bureaucracy of outcomes, whereby public models are superior to both for-turn a profit and nonprofit models and for-profit models are junior to public and nonprofit owned organizations [58,67,68].

When Is There Sufficient Evidence for Policy Change?

Bradford Hill did not prescribe these guidelines equally rules that must exist fulfilled before an association can be judged every bit causal, but every bit a way of examining if cause and outcome is the reasonable inference [69]. In the current instance, some of the Bradford Hill criteria are clearly met, while others are less clear.

At the very to the lowest degree, the precautionary principle should apply to this highly vulnerable nursing domicile population. The precautionary principle shifts the fence by calling for preventive action, fifty-fifty when there is dubiousness but credible testify of potentially meaning impacts. This shift in brunt of proof is based on the obvious premise that harms to the public'due south health should be avoided and that gild should not have to look for conclusive evidence before acting to protect itself [70]. Taking a precautionary approach emphasizes our responsibility to enquire, when do nosotros know plenty to act equally if something is causal? [71]

What Are the Policy Challenges?

The policy response to the show on facility ownership clearly depends on jurisdictional context. In jurisdictions contemplating construction of new nursing habitation beds, policy makers need to support public and nonprofit facility ownership. Possible policy approaches include the sale of government savings bonds to raise public funds for upper-case letter construction [72], providing back up to nonprofit societies with the necessary expertise for them to brand competitive bids on requests for proposals, and valuing social capital and links with the community in the bidding process [seven].

All jurisdictions should require public funding be earmarked and spent on mandated minimum direct intendance staffing levels consistent with the evidence, with no discretion for facilities to re-directly this money to other monetary items (including profit generation). In countries where a majority of facilities are endemic by big for-profit chains, proposed "downstream" policy approaches include improved fiscal transparency of how public resources are spent and the adoption of cost controls on assistants [73]. Unfortunately, these approaches are costly to implement [74].

Decision-makers accept a responsibility to ensure nursing home public policy is most consistent with the bachelor bear witness and least likely to cause harm. The majority of funding to operate and evangelize intendance in nursing homes is derived from public, taxpayer-funded sources. When provided past the for-turn a profit sector, the prove suggests there is a greater likelihood of inferior care. It is fourth dimension to re-marshal policy with evidence. Our seniors deserve meliorate.

Supporting Information

Acknowledgments

This inquiry was role of the collaborative research initiative "Re-imagining Long-Term Residential Intendance: An International Report of Promising Practices," with Chief Investigator Pat Armstrong. We would similar to admit Louise O'Neill and Ning Ping Yu for translating the Summary Points section to French and Chinese, respectively. We thank Michelle Cox for administrative assistance.

Author Contributions

Wrote the first draft of the manuscript: LAR MJM. Contributed to the writing of the manuscript: LAR MJM. Agree with the manuscript'due south results and conclusions: LAR MJM CH AP JL. Provided feedback and comments on all drafts: CH AP JL. All authors accept read, and confirm that they meet, ICMJE criteria for authorship.

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