CAI completed baseline readiness assessments for 87 of 89 (98%) Part D grantees: 19 in Year 1 (September 2008 to August 2009), 40 in Year 2 (September 2009 to August 2010), and 28 in Year 3 (September 2010 to August 2011). Two grantees declined to participate.
Baseline readiness scores were calculated as the percentage of grantees that responded affirmatively to a series of statements related to four organizational domains. Unadjusted readiness scores (on a scale from 0 to 100%) were highest for Staffing (83%), followed by Culture (82%), Systems (79%), and Infrastructure (77%). Scores increased with each subsequent cohort for all domains except Staffing, which rose in Year 2, but declined slightly in Year 3.
According to readiness assessment findings, overall 40 (45%) of Part D grantees were "Ready" at the time they completed the baseline assessment, 42 (47%) were "Transitioning", and 6 (7%) were "Not Ready". The proportion of Part D grantees assessed as "Ready" at baseline was lower for Year 1 grantees (26%) compared to Year 2 (55%) and Year 3 grantees (43%).
When analyzed as a composite group, the most common factors related to an overall assessment of "Ready" for grantees were related to the domain of Organizational Culture. Commonly cited strengths in this domain included:
- engaging in close collaboration with providers (i.e., communicating with partners on a regular basis, providing support to partners in the collection and management of CLD); and
- having provider partners that consider data collection/management as a meaningful activity.
The most common factors related to an overall assessment of "Not Ready" or "Transitioning" were related to the domain of Organizational Infrastructure. Commonly cited weaknesses in this domain included:
- utilization of a data system that did not collect the required data elements for the RSR;
- difficulties associated with the utilization of multiple data systems; and
- inability to delegate appropriately trained staff to collect/report data (for both the grantee organization and provider partners).
Note that many of the commonly cited weaknesses in the domain of Organizational Infrastructure were related to grantees having several (more than 5) provider partners, and multiple (more than 3) funding sources. For these grantees, the difficulties inherent in coordinating data collection and reporting efforts across providers and trying to satisfy multiple funding requirements contributed to them receiving an assessment of "Not Ready" or "Transitioning." In some cases, the use of multiple data systems was linked to having to satisfy multiple funding requirements.
Analysis of 2009 RSR outcomes indicate that Ryan White grantees and providers were overwhelmingly successful in satisfying the basic requirements for client level data submission in the first year, with almost all (98%) of Part D providers submitting client level data in the required XML format by the deadline. Six of the 89 Part D grantees had at least one provider that was unable to provide data in the XML format, but successfully participated in a test upload prior to the 2010 Annual RSR (along with providers that were not required to report CLD in 2009).