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BMJ 2007;334:1357 (30 June), doi:10.1136/bmj.39238.890810.BE (published 19 June 2007)
Ruth McDonald, research fellow, Stephen Harrison, professor, Kath Checkland, research fellow, Stephen M Campbell, research fellow, Martin Roland, director
National Primary Care Research and Development Centre, University of Manchester, Manchester M13 9PL
Correspondence to: R McDonald ruth.mcdonald{at}manchester.ac.uk
Design Ethnographic case study.
Setting Two English general practices.
Participants 12 general practitioners, nine nurses, four healthcare assistants, and four administrative staff.
Main outcome measure Observation of practices over a five month period after the introduction of financial incentives for quality of care introduced in the 2004 general practitioner contract.
Results After the introduction of the quality and outcomes framework there was an increase in the use of templates to collect data on quality of care. New regimens of surveillance were adopted, with clinicians seen as "chasers" or the "chased," depending on their individual responsibility for delivering quality targets. Attitudes towards the contract were largely positive, although discontent was higher in the practice with a more intensive surveillance regimen. Nurses expressed more concern than doctors about changes to their clinical practice but also appreciated being given responsibility for delivering on targets in particular disease areas. Most doctors did not question the quality targets that existed at the time or the implications of the targets for their own clinical autonomy.
Conclusions Implementation of financial incentives for quality of care did not seem to have damaged the internal motivation of the general practitioners studied, although more concern was expressed by nurses.
Financial incentives may, however, have unpredicted effects.5 6 These include effects on motivation and morale. Many professional activities are intrinsically motivatedthat is, they are carried out because the activity is inherently satisfying not because it carries an external reward, and there is evidence that internal motivation can be undermined by externally imposed incentives.7 8 This is potentially of great importance as intrinsic motivation has traditionally been regarded as a key attribute of high quality professional practice.9 We studied the effect of the financial incentives on practice organisation and the consequences for internal motivation in primary care clinicians. We particularly studied how practices organised themselves internally to achieve high contract scores, as surveillance and checking mechanisms in practices could potentially undermine motivation by producing internal conflict within primary care teams.10
The research was aimed at exploring individual and group attitudes and patterns of behaviour. We therefore used observation of staff within their milieu, together with interviews and some analysis of documentation (for example, clinical incident reports, letters of complaint, job descriptions). We observed the clinics, general practitioner and nurse consultations, working patterns in the office and reception area, and practice meetings. We also carried out informal conversations and interviews with staff in the reception area and in the kitchen where they eat lunch, take breaks, and prepare drinks. We collected data from November 2005 to May 2006. This period of five months (allowing for holidays) enabled us to examine the impact of the contract in the run-up to the end of the target year (end of March 2006) and the immediate aftermath, including preparations for the new contract indicators introduced from April 2006.
As we aimed to explore the workings of the practice in the context of the new general practitioner contract we made no prior assumptions about relevant and non-relevant activities so that data collection was relatively open ended. Data were collected by two of the researchers, neither of whom had connections with the practices: one is a general practitioner (KC) and the other (RM) an ethnographer. These levels of experience in general practice allowed the ethnographer to ask naïve questions whereas the other researcher's years of socialisation in similar settings proved a useful source of information. Also the longitudinal nature of the study was intended to reduce the problem of "reactivity"the extent to which participants modify behaviour as a result of a heightened awareness of the observer. We used contemporaneous notes of proceedings at meetings for the construction of detailed notes. For conversations held in corridors, or other informal exchanges, and for one meeting held in a general practitioner's home, where note taking was impractical or would have inhibited candour, we made notes as soon as possible afterwards.
We carried out formal interviews with all but one of the doctors (12 general practitioners, two of whom were salaried), all nurses (nine), all healthcare assistants (four), and one practice manager and one senior receptionist in each practice. Participants were asked to describe their role and to comment on the new contract and its impact on their work.
Much of the data included here relates to interviews. However, observations and immersion in the practice informed the content of the interviews and enabled us to compare accounts with observed behaviours and to place accounts within context. It may also be that staff were less guarded in responses to interview questions because they were aware that the researchers had spent several months observing events and had a more rounded view of the practice than would otherwise have been the case.
From our observations we became aware of problems often not raised spontaneously in interviews, such as the tensions caused by the perception of free riding in one practice and the top-down surveillance processes in both practices. We were also able to draw on observational data to explore areas where informal accounts diverged from our observations. For example, we learnt that a general practitioner who had expressed his support for computerisation and the changes to working practices after the introduction of the quality and outcomes framework was actively resisting some of these practices in the consultation. This enabled us to examine the apparent contradiction in a taped interview during which this doctor admitted some degree of disaffection with and resistance to revised ways of working.
Two researchers (KC and RM) independently coded transcribed interviews to identify emerging themes. Analytical themes and observational notes were discussed with members of the research team at regular meetings throughout the study to test assumptions and to identify areas for further investigation. Because of possible differences in responses between profit sharing partners and salaried general practitioners (who might not participate in the financial rewards), we identify salaried doctors separately in the transcriptions.
Alignment of financial incentives with professional values
Support for the financial incentive scheme was broad. Doctors and nurses generally reported that the quality and outcomes framework helped them provide what they regarded as high quality clinical care (box 1).
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Concern about changes to clinical practice
Some concern was expressed that care might suffer from the introduction of targets that required respondents to do things that they did not regard as routine good clinical practice:
Despite overall support for the incentives, doctors and nurses in both practices described examples where the need to collect information affected the quality of individual consultations, with concern that the targets led to patients being treated "as a condition and not as the person that they really are:"
This view was particularly prevalent among nurses, who were aware that much of the box ticking had been delegated to them. Templates in the electronic medical records were valued by staff as reminders of what to do but were considered as particularly constraining by nurses, who had less discretion than the doctors over their use. Some general practitioners were quite explicit that the process of following protocols was delegated to nurses, one doctor commenting that protocols didn't "float my boat" (box 2). However, this doctor was initially reluctant to voice criticism and did so only after we observed him avoiding completing templates in consultations. Although critical of the processes involved ("I hate it"), this doctor also expressed general support for the aims of the quality and outcomes framework. Some respondents described potential distortions of clinical practice through neglect of non-incentivised aspects of care, although they described these as occurring in other practices rather than their own:
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Surveillance of colleagues within practices
The practices had different approaches to monitoring clinicians' performance. In the larger practice individual staff were identified to lead on each area of the quality and outcomes framework, so that five nurses and three general practitioners had lead responsibility for one or more target areas. Each lead was free to decide how to organise the effort to achieve high performance levels and accepted responsibility for delivering targets. For nurses this delegated responsibility generally acted as a source of motivation. Clinical leads communicated areas of underperformance directly to their colleagues:
This approach sometimes caused frustration however:
General practitioners who were not clinical leads sometimes waited until they were found out, rather than proactively pursuing contract targets:
The implementation of the quality and outcomes framework was not initially perceived as controlling by these general practitioners, who were, by and large, content to let others take responsibility and to respond to prompts from colleagues:
The small number of general practitioners who did complain about surveillance by colleagues also qualified this by expressing support for the quality and outcomes framework. Among general practitioners with direct responsibility for targets there was discontent at doctors perceived as "free riders." As a result new written policies were developed in the practice to guide general practitioners' behaviour. The timing of our study did not enable us to follow up the impact of this change in policy.
The smaller practice had a different style of implementation. The senior partner was a vigorous enthusiast for quality and outcomes framework targets, at times proposing clinical targets that were more stringent than those set out:
This general practitioner monitored how other staff performed in their clinical work and acted on the findings on a day to day basis. As a result some of the staff felt that they were under constant surveillance. Despite this level of scrutiny, doctors and nurses in this practice still generally voiced positive attitudes to the quality and outcomes framework, although compared with the other practice overall critical comments were more common among nurses and those general practitioners who were "chased up."
Limitations of the study
The study has several limitations. The practices were a small convenience sample and do not provide representative views of those working in general practice. Moreover, motivation cannot be observed directly but must be inferred from the behaviour or reports of participants. The research also describes only the early stages of a process that is evolving and further research is needed to examine the longer term impact of the incentives. Concerns about observer bias may arise in a context where one of the authors (MR) was among a small group of academics that helped to develop the original quality and outcomes framework in 2002. Data collection was, however, carried out by researchers who had no involvement in this development, whereas interpretation of the data evolved during discussions among a research team whose normative views towards the quality and outcomes framework were broad, from largely supportive to sceptical. This range of opinion meant that emerging interpretations were subject to ongoing scrutiny and challenge, which is likely to have reduced the extent of bias. The strength of the study design lies in the in-depth ethnographic approach to examine some fundamental underlying changes that may be taking place in practice. The generalisability of the results arises not from representativeness of the sample but from concepts that are likely to be relevant in other settings.11
Changes in practice organisation
Our previous research12 predicted that financial incentives to improve quality of care will result in major internal reorganisation of practice, and we found this in both practices we studied. The most obvious change was the increased use of templates in electronic medical records to collect data on quality of care.13 Work from our centre has previously suggested that general practice risks becoming reduced to a set of biomedical tasks14 and that the imposition of external guidelines will result in a "Fordist" or production line approach to clinical practice.15 The nurses in our study were more sensitive to this matter than the general practitioners. The general practitioners maintained their claim to providing broader, less mechanistic care by explicitly or implicitly describing much of the work related to completion of clinical templates as a job for nurses.
In both practices the new contract led to increased surveillance of the clinicians. We have previously described the emergence of a new type of medical manager (restratification) at primary care trust level.16 17 18 In the present study we describe new regimens of surveillance emerging within practices in response to the quality incentives. The clinician-patient interaction, traditionally beyond the observation of the outsider, has been opened up to scrutiny both indirectly (by the development of clinical templates) and directly (by "nagging" and reminders). New strata are being created within practices of "chasers" and the "chased."
Although some general practitioners were able to resist attempts at control this gave rise to tensions in both practices. In the larger of the two practices, responsibility for delivering on quality incentives was more broadly spread across the clinicians, although even in this practice systems were being developed to deal with general practitioners who were perceived as not pulling their weight, and the practice was moving towards more centralised arrangements for the management of the quality and outcomes framework for the future. Nurses were less content with top-down surveillance as they were much less able than the doctors to resist attempts at scrutiny and control.
Alignment of external incentives with professional values
In a previous study we argued that participation by English general practitioners in a quality improvement scheme, to their apparent financial disadvantage, could be explained by the coherence of internal and external goals.19 In general the respondents in the present study thought that the quality indicators in the quality and outcomes framework acted as an incentive to provide what clinicians themselves regarded as good clinical care. Despite tensions we found little evidence that the quality and outcomes framework was a threat to the internal motivation or core values of the general practitioners or evidence of crowding out of internal motivation that may result from imposed external incentives.7 20 Greater concern was expressed about new quality indicators that had not previously been part of routine practice (for example, use of questionnaires for patients with depression and management of chronic renal disease). Nurses reported more conflict arising from the new style of work: some were positive about the quality and outcomes framework but others reflected views similar to another study, where nurses reported that the new contact had damaged nurse-patient relationships and decreased job satisfaction.21
Conclusion
The United Kingdom, as with other countries, has introduced a series of measures in recent years to improve quality of care.22 Quantitative studies suggest that these changes have produced significant improvements in some aspects of care.3 4 23 Although adverse impacts on motivation are a potential drawback of financial incentives, all participants in our study expressed support for the quality and outcomes framework. This may in part be because, firstly, quality related incentives examined in this study build incrementally on the more modest incentives for particular procedures offered by earlier general practitioner contracts and are therefore already part of the social context of primary care. Secondly, participants generally equated pursuit of points on the quality and outcomes framework with quality of care, allowing them to perceive the incentives as aligned with pre-existing professional values. Thirdly, the general practice organisational and information technology changes that we have described embed the pursuit of points on the quality and outcomes framework into the everyday routines of general practices, thereby helping them to become features of primary care work that are taken for granted. Indeed, ambivalence and reluctant criticism in a small number of our study doctors may be indicative of the extent to which high performance on quality and outcomes framework targets is becoming accepted by doctors as synonymous with the delivery of high quality care. In such circumstances general practitioners may be reluctant to express dissent that renders them out of step with colleagues in their practice and wider. However, it is also possible that criticism voiced by a small number of doctors in this study relates not to incentives as such but to the manner in which they were implemented. The organisational changes associated with the implementation of the quality and outcomes framework in our study setting have the potential to fundamentally change the way clinicians relate to one another, and the long term consequences of these changes are hard to predict.
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Contributors: RMcD and KC carried out the fieldwork. RMcD, SH, KC, and SMC designed the study, undertook data analysis, and wrote the paper. MR contributed to the analysis and writing the paper. RM was principal investigator and is the guarantor.
Funding: This work was done at the National Primary Care Research and Development Centre, which receives funding from the Department of Health. The views expressed are those of the authors and not necessarily those of the Department of Health.
Competing interests: MR was one of a small group of academic advisers to the BMA and NHS Confederation negotiating teams, which developed the original quality and outcomes framework in 2002.
Ethical approval: South Cheshire local research ethics committee.
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