an evaluation of the asthma intervention of the new york state healthy neighborhoods program
TRANSCRIPT
JOURNAL OF ASTHMA
Vol 41 No 5 pp 583ndash595 2004
ORIGINAL ARTICLE
An Evaluation of the Asthma Intervention of the New York StateHealthy Neighborhoods Program
Shao Lin PhD1 Marta I Gomez MS1 Syni-An Hwang PhD1
Eileen M Franko DrPH2 and Joan K Bobier BS2
1Bureau of Environmental and Occupational Epidemiology and2Bureau of Community Sanitation and Food Protection New York State
Department of Health Troy New York USA
ABSTRACT
Background The Healthy Neighborhoods Programs (HNP) are funded by the Federal
Preventive Health and Health Services block grants and administered by the New
State Department of Health (NYSDOH) Eight county and local health departments
are funded for 3 years for a total of $125 million per year to target households at risk
for environmental health and safety hazards The HNP asthma intervention uses home
visits to identify asthmatics assess asthma morbidity and management and identify
environmental asthma triggers Outreach workers provide education about asthma
referrals and controls for asthma triggers The purpose of this evaluation was to assess
the impact of the HNP asthma intervention for the 1997ndash1999 funding cycle and for
the first year of the 2000ndash2002 funding cycle Because of changes in reporting
requirements across the funding cycles the findings for 1997ndash1999 and 2000 were
analyzed separately Methods We analyzed one final outcome measure the rate of
self-reported hospitalizations (admissions and emergency room visits) and three
intermediate outcome measures (the percent of homes with cockroaches the percent
of asthmatics with a written management plan and the percent of asthmatics using a
peak flow meter) We also estimated the net savings resulting from a reduction in
hospital admissions due to asthma Results For the 1997ndash1999 funding cycle the
average hospitalization rate was 86 hospitalizations per 100 asthmatics per year at the
intervention visit (ie the baseline rate) and 445 at the 1-year follow-up a decrease
of 48 This was a larger decrease than the 24 average annual decrease in the
baseline rates during the 3 years In 2000 there were 96 hospitalizations per 100
asthmatics per year at the intervention visit and 25 at the one-year follow-up a
Correspondence Shao Lin PhD Bureau of Environmental and Occupational Epidemiology New York State Department of
Health Troy NY 12180 USA E-mail sxl05healthstatenyus
583
DOI 101081JAS-120033992 0277-0903 (Print) 1532-4303 (Online)
Copyright D 2004 by Marcel Dekker Inc wwwdekkercom
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decrease of 74 In 2000 there were about 110 fewer hospital admissions thought to
be due to the net effects of the HNP intervention resulting in an estimated gross
savings of $905300 (110$8230) After subtracting the estimated cost of the asthma
intervention ($624683) the net savings were $280617 Conclusion New Yorkrsquos
HNP seems to be succeeding in reducing asthma morbidity as measured by the
hospitalization rates among asthmatics who have received the intervention The HNP
was successful in decreasing cockroach infestation in HNP homes A standardized
evaluation methodology and instrument are necessary to conduct a more rigorous
evaluation of the HNP
Key Words Asthma Healthy neighborhoods programs (HNP) New York State
Department of Health (NYSDOH) Safety hazards
INTRODUCTION
Since 1992 the Federal Preventive Health and
Health Services block grants have funded the Healthy
NeighborhoodsndashPreventive Health Cornerstones pro-
grams The Healthy Neighborhoods Program (HNP)
was designed to provide preventive health services to
targeted populations with a high rate of unmet
environmental health needs that can result in adverse
health outcomes The aim of these programs is to have
a positive impact on the target populations by
improving sanitation safety and health care and by
establishing communication networks that facilitate the
allocation of neighborhood services
The goals of the HNP are based on Healthy People
2000 The 1993ndash1996 programs focused on deaths due
to home fires and falls In 1997ndash1999 the program
was expanded to include additional environmental
health problems including asthma and carbon monox-
ide poisoning Since 2000 the goals of the program
focus on four main environmental health and safety
problems asthma morbidity lead poisoning in children
younger than 6 years of age fire injuries and deaths
and carbon monoxide poisoning
Thirty-six full-service county health departments
and the New York City Health Department are eligible
to compete for the HNP grants administered by the New
York State Department of Health (NYSDOH) Appli-
cations are submitted to and granted by the Bureau of
Community Sanitation and Food Protection (BCSFP)
Center for Environmental Health NYSDOH Eight
health departments were funded for each 3-year grant
cycle The health departments that apply for the funding
must demonstrate that they serve neighborhoods with
high levels of environmental risk factors that can lead
to asthma morbidity and mortality residential fire
injuries and death carbon monoxide poisoning and
childhood lead poisoning The programs must identify
populations at risk including households with minor-
ities children under 14 residents with less than a high
school education or with an annual income less than
$16452 In addition neighborhoods with inadequate
physical environments are identified such as those with
substandard housing older housing that may have lead
paint neighborhoods with rodent or garbage com-
plaints or households in remote rural areas
The prevalence of asthma has increased in the
general population over the last 15ndash20 years One
national survey found that between 1980 and 1994 the
prevalence of self-reported asthma increased 75 the
largest increase was among infants and children up to
4 years of age (1) Moreover hospitalization rates for
asthma have increased steadily in states in the Northeast
and among blacks Between 1990 and 1995 in New York
State the death rate due to asthma among blacks was
49 per million people compared to 17 per million in
the general population of New York State (1) These
populations and others are at increased risk for asth-
ma morbidity and mortality and may benefit from
asthma intervention
In addition to targeting at-risk populations the HNP
focuses on the indoor environment as an important
factor in the increased exacerbation of asthma and
morbidity associated with asthma Many although not
all people with asthma are sensitive to agents found
in the indoor environment including dust mites
cockroaches other animals (eg rodents and cats)
fungi chemicals (eg nitrogen dioxide) and cigarette
smoke (2)
Programs and Interventions
The health departments that have been funded
range from large central metropolitan to nonmetropol-
itan counties Each program provides environmental
and educational assistance unique to its population and
geography The HNP asthma interventions use home
visits to identify asthmatics assess asthma morbidity
584 Lin et al
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and management and identify environmental asthma
triggers In addition the programs provide a variety of
controls for asthma triggers and education to change
behavior and improve asthma management These
programs also enhance the local public health infra-
structure by funding outreach workers who are trained
to work with asthmatics and to address the cultural and
linguistic needs of the target households
Prior to initiating contact with households out-
reach workers visit a targeted neighborhood and leave
door hangers announcing the programrsquos arrival The
HNP intervention visits are then initiated at a sub-
sequent visit to the neighborhood In homes where no
adult resident is available two additional attempts are
made at other times of the day or on different days of
the week If there is no response on the third visit to a
residence a door hanger is left with a short summary
of the program and a telephone number to call to
schedule an appointment
Once a household agrees to participate in the
program an adult resident is interviewed to determine
the individual needs of the residents including
children and the asthma status of each resident A
room-by-room visual inspection of the dwelling is then
conducted which includes identifying asthma triggers
deteriorating paint sources of carbon monoxide and
fire safety hazards Program interventions include
providing education various environmental controls
and referrals to other agencies related to the goals of
the HNP Education about asthma management
community services and reducing asthma triggers
including the risks of cigarette smoke is conducted
during the home visit with residents who have asthma
Environmental controls are provided and may include
mattress and pillow covers furnace filters rodent baits
cleaning equipment and vacuums Demonstrations of
their proper use are also conducted If a child does not
have a physician the program will make a referral to
Child Health Plus (CHPlus) a health insurance
program for children younger than 19 years of age
from low-income families The coverage is provided by
private health insurance companies and subsidized by
the state government
The programs are required to revisit a sample of
households at least 90 days after the initial HNP visit
During the 1997ndash1999 cycle the goal was to revisit
25 of all households in the program During the
2000ndash2002 cycle the programs were expected to revisit
all asthmatics and target other high-risk households
with the goal of revisiting a total of 25 of the
households seen in one fiscal quarter selected by the
individual programs during each funding year This
results in fewer revisits than in the previous funding
cycle but prioritizes revisits on needier and higher risk
households During both funding cycles the purpose of
the 90-day revisits is to determine if safety products
and environmental controls were still in use to assess
the outcome of referrals to other agencies and to
determine if educational materials were used and
resulted in a change in behavior In addition the
programs are required to attempt to revisit all house-
holds with an asthmatic member 1 year after the initial
visit The purpose of these 1-year revisits is to de-
termine if there was improvement in asthma morbidity
(ie fewer hospital admissions and emergency room
visits) and medical management of asthma (ie use of
a written management plan and a peak flow meter)
and to assess the reduction in asthma triggers present
in the home
Data Collection
Each program must collect baseline information on
asthma morbidity (eg hospital admissions due to
asthma) childhood lead poisoning carbon monoxide
poisoning and residential fires in their target commu-
nities as well as a description of the target area based
on census data such as the age of housing median
annual family income the percentage of households
with children under the age of 14 years and the
percent of minority households This information is
used to evaluate the efficacy of the interventions and
ensure that at-risk populations are being targeted
During the initial HNP visit the outreach workers
complete a survey form that includes the findings from
the interview and home assessment For each resident
with asthma an additional survey form is completed
with information specific to asthma morbidity severity
asthma triggers and medical management
Through the 90-day revisits the programs ascer-
tain the effectiveness of the home visit educational
materials and environmental controls Information is
collected on the use of safety products (eg smoke
detectors products to reduce household allergens) and
the result of any referrals made to other agencies An
assessment is made of whether sources of allergens
were reduced or eliminated in each dwelling Residents
are interviewed to determine if they read any of the
educational materials provided and if they changed
their behavior as a result Residents are asked if they
are satisfied with the program and if they think the
program is worthwhile in their community
At the 1-year revisit to households with a resident
with asthma information is collected on the number of
hospital admissions emergency room (ER) visits and
school or work days lost due to asthma Information is
Asthma Intervention of NY State HNP 585
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also collected on the number of persons with asthma who
have a written management plan from their physician
who know the early warning signs of an asthma at-
tack and who monitor their peak expiratory flow daily
The programs maintain data from the initial visits
90-day revisits and 1-year asthma revisits Summary
data are reported quarterly and again at the end of the
funding year to the BCSFP (NYSDOH) Staff from
BCSFP also assist in the development of the regional
programs and conduct regular site visits to evaluate
the programs
PROGRAM EVALUATION
Purpose
The purpose of this evaluation is to assess the
impact of the HNP asthma intervention on the
populations targeted by the program to identify the
nature and scope of the problems with the programs
funded during the 2000ndash2002 cycle and to improve
HNP in future funding cycles This evaluation was
done by analyzing the change in measures of asthma
morbidity environmental exposures and asthma-relat-
ed behaviors In this report we present data from the
1997ndash1999 funding cycle and for federal funding year
(FFY) 2000 of the 2000ndash2002 funding cycle Because
of changes in reporting requirements across funding
cycles this report presents the findings for 1997ndash1999
and 2000 separately
Outcome Variables
Two types of outcome variables were used in this
evaluation final (or direct) outcomes and intermediate
(or indirect) outcomes Due to data limitations only
one final outcome variable the rate of self-reported
hospitalizations (hospital admissions and ER visits)
per person with asthma per year was used in this
report to measure the direct impact on asthma by
the HNP
Three intermediate outcome variables were used to
measure steps toward reaching the program goals
percent of homes with cockroaches percent of
asthmatics with a written management plan and
percent of asthmatics using a peak flow meter The
percent of homes with cockroaches is one indicator of
the presence of indoor asthma triggers in the home A
written management plan is considered an important
part of effective asthma treatment For asthmatics
taking daily medical therapy using a peak flow meter
to measure their peak expiratory flow is a way to
recognize the onset and severity of an asthma attack
Multiple intermediate indicators were used to attempt
to capture the effect of the programs and to allow the
strengths of one measure to compensate for the
weaknesses of another
The change in the percentage of asthmatics with a
written asthma management plan and the percentage
using a peak flow meter could not be calculated
directly given the data that were collected First the
programs were only asked to report the percentage of
households with a written management plan at the
initial visit This is only an estimate of the percentage
of asthmatics with a written management plan because
there can be more than one asthmatic in a household
Second the data collected at the revisit was the
percentage of asthmatics without a written plan at the
initial visit who had a written plan at the revisit In
addition only some of the asthmatics were revisited
after 1 year For these reasons an estimate of the total
percentage of asthmatics with a written plan 1 year
after the asthma intervention was calculated as follows
given a=the proportion with a written plan at the initial
visit and b=proportion without a written plan at the
initial visit who had a written plan at the revisit then
the total percentage with a written plan one year after
the intervention is [a+(1 - a)b]100 For peak flow
meter use the data collected at the revisit was the
percentage of asthmatics who had not used a peak flow
meter at the initial visit who were using one at the
revisit Therefore the estimate of the total percentage
of asthmatics using a peak flow meter 1 year after the
intervention was calculated by using the same formula
as for the written management plan
For 1997ndash1999 two outcome variables are pre-
sented the average rate of self-reported hospitalizations
per person with asthma per year and the average
percentage of participating households with cockroach
infestation Given the way that the data were collected
it was not possible to separate hospital admissions and
ER visits before 2000 Data on cockroach infestation
could only be analyzed for all households and not
separately for households with asthmatics
For 2000 three outcome variables are presented
the rate of self-reported hospitalizations per person
with asthma per year the percentage of asthmatics
using a written management plan and the percentage
of asthmatics using a peak flow meter Even though
hospital admissions and ER visits were reported sep-
arately in 2000 they were combined so that the rates
were comparable to the 1997ndash1999 hospitalization
586 Lin et al
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rates During the 2000ndash2002 funding cycle informa-
tion on cockroach infestation is not being collected at
revisits and therefore is not presented
Evaluation Methods
Pre- vs Postintervention Comparison
The effects of the HNP measured with the final or
intermediate outcome variables were assessed by
comparing the pre-HNP rates (baseline at the initial
HNP visit) to the post-HNP rates (HNP revisit rates)
using the percent change in the average rate or
percentage for the 1997ndash1999 funding cycle For
1997ndash1999 the 3-year average hospitalization rate
and percent of homes with cockroaches were computed
for the initial visits and revisits for each program with
complete data and for all programs combined For
2000 the 1-year hospitalization rate was computed for
the initial visits and revisits for each program with
complete data and for all programs combined These
rates were compared across all programs In addition
the percent change in the hospitalization rate (or
percent of homes with cockroaches) from the initial
visit (ie pre-HNP) to the revisit (ie post-HNP) was
calculated as [(post-HNP ratepre-HNP rate)(pre-
HNP rate)]100 A negative change indicates a
decrease (or improvement) in the rate or percentage
after the program intervention and a positive change
indicates an increase (or worsening) after the program
intervention This change does not take into account
other factors such as media campaigns or community
interventions that may have influenced the change in
the same period of time
The programs reported the total number of
persons hospital admissions etc for each funding
year rather than data at the individual or household
level Because there were only aggregated data it was
not possible to perform statistical tests such as the chi-
square test to determine if the change in an outcome
variable was significant In addition it is difficult to
calculate the standard error (SE) of the mean percent
change therefore we used the computer-intensive
bootstrap resampling method to estimate the SE of
the mean (3) This method uses the observed sample
itself to mimic the original sampling from the unknown
population that resulted in the observed sample In the
current analysis this was done by randomly drawing a
large number of samples (10000 in the current
analysis) from the observed sample For example from
the percent change in the hospitalization rates (1997ndash
1999) that we observed for six programs we drew
10000 random samples each with six observations
The mean and SE of the 10000 samples were then
computed For a one-sided test (because wersquore in-
terested in improvement after the intervention) if the
mean percent change was beyond 165SE (ie
more negative) then the improvement was considered
statistically different from zero with plt005 The
resampling and calculations of the mean and SE were
performed by using SAS statistical software (4)
Analysis of Trends over Time
Natural variations (increases or decreases) in the
rates of asthma hospitalizations and the other interme-
diate outcomes may have occurred independently of the
HNP intervention This can result from trends over time
in asthma prevalence media health education other
intervention programs changes in the prevalence of
asthma triggers in ambient air and other unknown
factors Design effects (eg reliability and validity) can
also affect the measurement of the outcome variables In
other words the gross effect is a combination of the
effects of intervention (net effect) and the effects of other
processes (confounding factors) To control for these
effects the change in the initial (or baseline) rates across
the program years was computed For 1997ndash1999 the
trend in the hospitalization rates for the regional
programs combined was estimated by computing the
change in the initial rates from 1997 to 1998 and from
1998 to 1999 The average percent change was (
change 1997 to 1998+ change 1998 to 1999)2
Comparison of Different Programs
A cross-sectional comparison (ie comparing
outcome variables across programs) was used to
evaluate the impact of different interventions imple-
mented by the regional programs and to identify which
programs were more effective than others in terms of
the outcome evaluation Because no standardized
intervention program was required by the NYSDOH
the programs developed their own intervention pro-
grams and components In this report the percent
change from the initial visit to the revisit for the final
outcome variable (hospitalization rates) and the inter-
mediate outcome variables (percent of homes with
cockroaches in 1997ndash1999 percent of homes with
asthmatics with a written management plan in 2000
and percent of asthmatics using a peak flow meter in
2000) were compared among the eight programs The
differences in percent change across the programs
could be due to differences in the effectiveness of the
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intervention programs how well the interventions were
implemented by the individual programs and differ-
ences in baseline rates
Cost Analysis
Although a typical cost-benefit analysis could not
be performed due to limitations in the data the monies
encumbered by each program are presented in this
report along with the total number of household visits
(initial HNP visits 90-day revisits and 1-year asthma
revisits) and the cost per visit The cost of a visit also
includes other costs incurred by the program that are
not directly related to a household visit including
operating expenses (eg training and supplies) and
monies spent on other types of interventions (eg
educational meetings in the community)
Using the monies encumbered by the HNP we
estimated the savings resulting from a reduction in
hospital admissions after the HNP intervention Of the
four program goals (asthma lead poisoning fire
injuries prevention and carbon monoxide poisoning)
the asthma intervention is the largest component of the
program We assumed therefore that one-half of the
annual funds went toward the asthma intervention
Although this may be a rough overestimate of the
cost it may provide evidence regarding the net cost of
the program
RESULTS
Direct Outcomes
For the 1997ndash1999 cycle the average hospitaliza-
tion rate reported by asthmatics at the initial visits and
asthma revisits are presented in Table 1 for the six
programs that reported complete data (Oneida and
Orange Counties reported incomplete data and were
excluded from this portion of the evaluation) The
initial hospitalization rates varied greatly among the six
programs The programs in the highly urbanized
regions of the state (Erie County New York City
and Westchester County) had substantially higher
initial hospitalization rates than the other three
programs The average hospitalization rate at the initial
visit for the six programs combined was 860 hospital-
izations per 100 persons with asthma per year At the
1-year asthma revisit the average hospitalization rate
was 445 a decrease of 483 The average percent
change for the six programs was 612 a significant
decrease after the HNP intervention (plt005)
The trend over time for the six programs combined
was determined by examining the annual hospitaliza-
tion rates reported by participants at the time of initial
HNP visits From data not presented the rates for
1997 1998 and 1999 were 1095 864 and 622
hospitalizations per 100 persons with asthma per year
respectively This represents a decrease over the study
period in the baseline hospitalization rate of 212
from 1997 to 1998 and a decrease of 280 from 1998
to 1999 for an average decrease of 245 This
indicates that there was a decrease in the baseline
hospitalization rate independent of the HNP interven-
tion in the range of 21 and 28 which is lower than
the apparent decrease from the initial visits to the
revisits of 483
Four programs showed decreases in their hospital-
ization rates ranging from 97 to 73 during the
1997ndash1999 cycle For example Erie Countyrsquos average
hospitalization rate decreased from 2330 to 59
hospitalizations per 100 persons with asthma per year
Table 1 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention) (programs with complete data) 1997ndash1999
Initial HNP visits One-year HNP revisitsPercent change in average rate
initial to revisitbProgram Asthmatics Average rate Asthmatics Average rate
Clinton Co 227 465 24 28 940
Erie Co 253 2330 24 59 975
New York City 632 1021 214 1308 281
Niagara Co 781 385 201 222 423
Onondaga Co 1009 576 211 157 727
Westchester Co 326 1680 127 188 888
All programs 3228 860c 801 445 483
aReported as hospital visits which include hospital admissions and ER visits
bThe decrease in the percent change in the six programs was statistically significant (plt005)cBased on six counties with complete data the initial rate decreased 212 from 1997 to 1998 and 280 from 1998 to 1999 an
average decrease of 245 (data not shown)
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and Clinton Countyrsquos rate decreased from 465 to 28
hospitalizations per 100 persons with asthma per year
the two largest reductions among the regional pro-
grams Niagara County reported a more modest
decrease of 423 from 385 to 222 hospitalizations
per 100 persons with asthma per year similar to the
decrease observed without the intervention On the
other hand New York City had an increase of 281
in the hospitalization rate from 1021 to 1308
hospitalizations per 100 persons with asthma per year
The hospitalization rates among asthmatics at the
initial visits and 1-year asthma revisits for FFY 2000 of
the 2000ndash2002 cycle are presented in Table 2 for the
five programs that reported complete data The two
programs that began in 1999 and were new to the
HNP Cayuga and Rockland Counties did not conduct
asthma revisits in FFY 2000 and Onondaga County
was unsuccessful in its attempts to conduct asthma
revisits therefore these programs could not be
included in this portion of the evaluation The
hospitalization rate at the initial visit for the five
programs combined was 956 hospitalizations per 100
persons per year and at the 1-year asthma revisits was
249 a decrease of 739 These five programs all
showed decreases in their rates ranging from 100 to
33 The average percent change for the five programs
was 681 a significant decrease after the HNP
intervention (plt005) The largest decreases were in
Clinton County (100 from 512 to 00 hospital-
izations per 100 persons with asthma per year) and
Niagara County (81 from 612 to 113 hospital-
izations per 100 persons with asthma per year) The
rate for New York City decreased by 586
Intermediate Outcomes
Information on cockroach infestation was collected
at both the initial visits and 90-day revisits during the
1997ndash1999 cycle (Table 3) For the seven programs
with complete data 102 of homes had cockroaches
at the initial visit After implementing controls during
the initial visit or making referrals immediately after
Table 3 Percent of homes with cockroaches at the initial HNP visits and 90-day HNP revisits (ie before and after the HNP
intervention) (programs with complete data) 1997ndash1999
Program
Initial HNP visits 90-day HNP revisits
Homes Average percentage Homes Average percentage Percent change
initial to revisita
Clinton Co 869 08 66 00 1000
Erie Co 2575 84 74 88 48
Niagara Co 2729 44 330 05 886
Oneida Co 1439 32 668 10 688
Onondaga Co 3159 217 566 144 336
Orange Co 901 139 525 56 597
Westchester Co 2951 97 238 99 21
All programs 14623 102b 2467 58 431
aThe decrease in the percent change in the seven programs was statistically significant (plt005)
Table 2 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and one-year HNP Revisits
(ie Before and After the HNP intervention) (programs with complete data) 2000
Program
Initial HNP visits One-year HNP revisitsPercent change in rate
initial to revisitbAsthmatics Rate Asthmatics Rate
Clinton Co 86 512 13 00 1000
Erie Co 46 391 38 263 327
New York City 260 1681 46 696 586
Niagara Co 369 612 221 113 815
Westchester Co 74 986 175 320 676
All programs 835 956 493 249 739
aHospitalizations include hospital admissions and ER visits
bThe decrease in the percent change in the five programs was statistically significant (plt005)
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the visit the overall percentage of homes with
cockroaches dropped to 58 a reduction of 431
The average percent change for the seven programs
was 491 a significant decrease (plt005) The
initial rate decreased 250 from 1997 to 1998 and
156 from 1998 to 1999 an average decrease of
203 This decreasing trend was smaller than the
decrease observed after the intervention The largest
percent decreases were by the Clinton Niagara and
Oneida programs (100 886 and 688 respec-
tively) in which the initial rates were relatively low
(08 44 and 32 of households respectively)
The two programs with highest percentage of homes
with cockroaches Onondaga and Orange Counties also
showed large improvements (336 and 597
respectively) Two programs Erie and Westchester
Counties showed no improvement In New York City
this information was not collected at all visits
Information collected during the 2000ndash2002 cycle
about the percent of asthmatics using a written plan for
managing asthma and using a peak flow meter are
presented in Tables 4 and 5 for FFY 2000 At the initial
visits the percentage of households with an asthmatic
who already had a written management plan ranged from
18 in Westchester County to 778 in Clinton
County with an average of 331 Five programs
Table 4 Percent of households with asthmatics with a written management plan at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention 2000
Asthma households with
a written management plan
at the initial visit
Asthmatics who did not
have plan initially with a
written management plan
at the revisit
Total with a written
management plan at
initial and revisit
Program Homes Percent Asthmatics Percent Percent
Cayuga Co 26 269 NAa mdash mdash
Clinton Co 63 778 NAb mdash 778
Erie Co 34 618 38 368 759
New York City 231 82 46 174 242
Niagara Co 297 559 221 95 601
Onondaga Co 180 272 NAa mdash mdash
Rockland Co 21 48 NAa mdash mdash
Westchester Co 56 18 175 46 63
aHad not completed any revisitsbAll households with asthmatics at the initial visit had written management plans therefore there were no additional asthmatics with
a plan at the revisit
Table 5 Percent of asthmatics using daily therapy using a peak flowmeter at the initial HNP visits and 1-year HNP revisits (ie
before and after the HNP intervention) 2000
ProgramAsthmatics using peak flow
meter at the initial visit
Asthmatics who had not
used a peak flow meter and
were using one at the revisit
Total using a peak flow meter
at the initial visit and revisit
Cayuga Co 33 NAa mdash
Clinton Co 00 NAb mdash
Erie Co 140 132 253
New York City 650 326 764
Niagara Co 230 41 262
Onondaga Co 150 NAa mdash
Rockland Co 00 NAa mdash
Westchester Co 46 NAb mdash
aHad not completed any revisits
bDid not collect this information at the revisits
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collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
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After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
592 Lin et al
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asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
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absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
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For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
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decrease of 74 In 2000 there were about 110 fewer hospital admissions thought to
be due to the net effects of the HNP intervention resulting in an estimated gross
savings of $905300 (110$8230) After subtracting the estimated cost of the asthma
intervention ($624683) the net savings were $280617 Conclusion New Yorkrsquos
HNP seems to be succeeding in reducing asthma morbidity as measured by the
hospitalization rates among asthmatics who have received the intervention The HNP
was successful in decreasing cockroach infestation in HNP homes A standardized
evaluation methodology and instrument are necessary to conduct a more rigorous
evaluation of the HNP
Key Words Asthma Healthy neighborhoods programs (HNP) New York State
Department of Health (NYSDOH) Safety hazards
INTRODUCTION
Since 1992 the Federal Preventive Health and
Health Services block grants have funded the Healthy
NeighborhoodsndashPreventive Health Cornerstones pro-
grams The Healthy Neighborhoods Program (HNP)
was designed to provide preventive health services to
targeted populations with a high rate of unmet
environmental health needs that can result in adverse
health outcomes The aim of these programs is to have
a positive impact on the target populations by
improving sanitation safety and health care and by
establishing communication networks that facilitate the
allocation of neighborhood services
The goals of the HNP are based on Healthy People
2000 The 1993ndash1996 programs focused on deaths due
to home fires and falls In 1997ndash1999 the program
was expanded to include additional environmental
health problems including asthma and carbon monox-
ide poisoning Since 2000 the goals of the program
focus on four main environmental health and safety
problems asthma morbidity lead poisoning in children
younger than 6 years of age fire injuries and deaths
and carbon monoxide poisoning
Thirty-six full-service county health departments
and the New York City Health Department are eligible
to compete for the HNP grants administered by the New
York State Department of Health (NYSDOH) Appli-
cations are submitted to and granted by the Bureau of
Community Sanitation and Food Protection (BCSFP)
Center for Environmental Health NYSDOH Eight
health departments were funded for each 3-year grant
cycle The health departments that apply for the funding
must demonstrate that they serve neighborhoods with
high levels of environmental risk factors that can lead
to asthma morbidity and mortality residential fire
injuries and death carbon monoxide poisoning and
childhood lead poisoning The programs must identify
populations at risk including households with minor-
ities children under 14 residents with less than a high
school education or with an annual income less than
$16452 In addition neighborhoods with inadequate
physical environments are identified such as those with
substandard housing older housing that may have lead
paint neighborhoods with rodent or garbage com-
plaints or households in remote rural areas
The prevalence of asthma has increased in the
general population over the last 15ndash20 years One
national survey found that between 1980 and 1994 the
prevalence of self-reported asthma increased 75 the
largest increase was among infants and children up to
4 years of age (1) Moreover hospitalization rates for
asthma have increased steadily in states in the Northeast
and among blacks Between 1990 and 1995 in New York
State the death rate due to asthma among blacks was
49 per million people compared to 17 per million in
the general population of New York State (1) These
populations and others are at increased risk for asth-
ma morbidity and mortality and may benefit from
asthma intervention
In addition to targeting at-risk populations the HNP
focuses on the indoor environment as an important
factor in the increased exacerbation of asthma and
morbidity associated with asthma Many although not
all people with asthma are sensitive to agents found
in the indoor environment including dust mites
cockroaches other animals (eg rodents and cats)
fungi chemicals (eg nitrogen dioxide) and cigarette
smoke (2)
Programs and Interventions
The health departments that have been funded
range from large central metropolitan to nonmetropol-
itan counties Each program provides environmental
and educational assistance unique to its population and
geography The HNP asthma interventions use home
visits to identify asthmatics assess asthma morbidity
584 Lin et al
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and management and identify environmental asthma
triggers In addition the programs provide a variety of
controls for asthma triggers and education to change
behavior and improve asthma management These
programs also enhance the local public health infra-
structure by funding outreach workers who are trained
to work with asthmatics and to address the cultural and
linguistic needs of the target households
Prior to initiating contact with households out-
reach workers visit a targeted neighborhood and leave
door hangers announcing the programrsquos arrival The
HNP intervention visits are then initiated at a sub-
sequent visit to the neighborhood In homes where no
adult resident is available two additional attempts are
made at other times of the day or on different days of
the week If there is no response on the third visit to a
residence a door hanger is left with a short summary
of the program and a telephone number to call to
schedule an appointment
Once a household agrees to participate in the
program an adult resident is interviewed to determine
the individual needs of the residents including
children and the asthma status of each resident A
room-by-room visual inspection of the dwelling is then
conducted which includes identifying asthma triggers
deteriorating paint sources of carbon monoxide and
fire safety hazards Program interventions include
providing education various environmental controls
and referrals to other agencies related to the goals of
the HNP Education about asthma management
community services and reducing asthma triggers
including the risks of cigarette smoke is conducted
during the home visit with residents who have asthma
Environmental controls are provided and may include
mattress and pillow covers furnace filters rodent baits
cleaning equipment and vacuums Demonstrations of
their proper use are also conducted If a child does not
have a physician the program will make a referral to
Child Health Plus (CHPlus) a health insurance
program for children younger than 19 years of age
from low-income families The coverage is provided by
private health insurance companies and subsidized by
the state government
The programs are required to revisit a sample of
households at least 90 days after the initial HNP visit
During the 1997ndash1999 cycle the goal was to revisit
25 of all households in the program During the
2000ndash2002 cycle the programs were expected to revisit
all asthmatics and target other high-risk households
with the goal of revisiting a total of 25 of the
households seen in one fiscal quarter selected by the
individual programs during each funding year This
results in fewer revisits than in the previous funding
cycle but prioritizes revisits on needier and higher risk
households During both funding cycles the purpose of
the 90-day revisits is to determine if safety products
and environmental controls were still in use to assess
the outcome of referrals to other agencies and to
determine if educational materials were used and
resulted in a change in behavior In addition the
programs are required to attempt to revisit all house-
holds with an asthmatic member 1 year after the initial
visit The purpose of these 1-year revisits is to de-
termine if there was improvement in asthma morbidity
(ie fewer hospital admissions and emergency room
visits) and medical management of asthma (ie use of
a written management plan and a peak flow meter)
and to assess the reduction in asthma triggers present
in the home
Data Collection
Each program must collect baseline information on
asthma morbidity (eg hospital admissions due to
asthma) childhood lead poisoning carbon monoxide
poisoning and residential fires in their target commu-
nities as well as a description of the target area based
on census data such as the age of housing median
annual family income the percentage of households
with children under the age of 14 years and the
percent of minority households This information is
used to evaluate the efficacy of the interventions and
ensure that at-risk populations are being targeted
During the initial HNP visit the outreach workers
complete a survey form that includes the findings from
the interview and home assessment For each resident
with asthma an additional survey form is completed
with information specific to asthma morbidity severity
asthma triggers and medical management
Through the 90-day revisits the programs ascer-
tain the effectiveness of the home visit educational
materials and environmental controls Information is
collected on the use of safety products (eg smoke
detectors products to reduce household allergens) and
the result of any referrals made to other agencies An
assessment is made of whether sources of allergens
were reduced or eliminated in each dwelling Residents
are interviewed to determine if they read any of the
educational materials provided and if they changed
their behavior as a result Residents are asked if they
are satisfied with the program and if they think the
program is worthwhile in their community
At the 1-year revisit to households with a resident
with asthma information is collected on the number of
hospital admissions emergency room (ER) visits and
school or work days lost due to asthma Information is
Asthma Intervention of NY State HNP 585
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also collected on the number of persons with asthma who
have a written management plan from their physician
who know the early warning signs of an asthma at-
tack and who monitor their peak expiratory flow daily
The programs maintain data from the initial visits
90-day revisits and 1-year asthma revisits Summary
data are reported quarterly and again at the end of the
funding year to the BCSFP (NYSDOH) Staff from
BCSFP also assist in the development of the regional
programs and conduct regular site visits to evaluate
the programs
PROGRAM EVALUATION
Purpose
The purpose of this evaluation is to assess the
impact of the HNP asthma intervention on the
populations targeted by the program to identify the
nature and scope of the problems with the programs
funded during the 2000ndash2002 cycle and to improve
HNP in future funding cycles This evaluation was
done by analyzing the change in measures of asthma
morbidity environmental exposures and asthma-relat-
ed behaviors In this report we present data from the
1997ndash1999 funding cycle and for federal funding year
(FFY) 2000 of the 2000ndash2002 funding cycle Because
of changes in reporting requirements across funding
cycles this report presents the findings for 1997ndash1999
and 2000 separately
Outcome Variables
Two types of outcome variables were used in this
evaluation final (or direct) outcomes and intermediate
(or indirect) outcomes Due to data limitations only
one final outcome variable the rate of self-reported
hospitalizations (hospital admissions and ER visits)
per person with asthma per year was used in this
report to measure the direct impact on asthma by
the HNP
Three intermediate outcome variables were used to
measure steps toward reaching the program goals
percent of homes with cockroaches percent of
asthmatics with a written management plan and
percent of asthmatics using a peak flow meter The
percent of homes with cockroaches is one indicator of
the presence of indoor asthma triggers in the home A
written management plan is considered an important
part of effective asthma treatment For asthmatics
taking daily medical therapy using a peak flow meter
to measure their peak expiratory flow is a way to
recognize the onset and severity of an asthma attack
Multiple intermediate indicators were used to attempt
to capture the effect of the programs and to allow the
strengths of one measure to compensate for the
weaknesses of another
The change in the percentage of asthmatics with a
written asthma management plan and the percentage
using a peak flow meter could not be calculated
directly given the data that were collected First the
programs were only asked to report the percentage of
households with a written management plan at the
initial visit This is only an estimate of the percentage
of asthmatics with a written management plan because
there can be more than one asthmatic in a household
Second the data collected at the revisit was the
percentage of asthmatics without a written plan at the
initial visit who had a written plan at the revisit In
addition only some of the asthmatics were revisited
after 1 year For these reasons an estimate of the total
percentage of asthmatics with a written plan 1 year
after the asthma intervention was calculated as follows
given a=the proportion with a written plan at the initial
visit and b=proportion without a written plan at the
initial visit who had a written plan at the revisit then
the total percentage with a written plan one year after
the intervention is [a+(1 - a)b]100 For peak flow
meter use the data collected at the revisit was the
percentage of asthmatics who had not used a peak flow
meter at the initial visit who were using one at the
revisit Therefore the estimate of the total percentage
of asthmatics using a peak flow meter 1 year after the
intervention was calculated by using the same formula
as for the written management plan
For 1997ndash1999 two outcome variables are pre-
sented the average rate of self-reported hospitalizations
per person with asthma per year and the average
percentage of participating households with cockroach
infestation Given the way that the data were collected
it was not possible to separate hospital admissions and
ER visits before 2000 Data on cockroach infestation
could only be analyzed for all households and not
separately for households with asthmatics
For 2000 three outcome variables are presented
the rate of self-reported hospitalizations per person
with asthma per year the percentage of asthmatics
using a written management plan and the percentage
of asthmatics using a peak flow meter Even though
hospital admissions and ER visits were reported sep-
arately in 2000 they were combined so that the rates
were comparable to the 1997ndash1999 hospitalization
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rates During the 2000ndash2002 funding cycle informa-
tion on cockroach infestation is not being collected at
revisits and therefore is not presented
Evaluation Methods
Pre- vs Postintervention Comparison
The effects of the HNP measured with the final or
intermediate outcome variables were assessed by
comparing the pre-HNP rates (baseline at the initial
HNP visit) to the post-HNP rates (HNP revisit rates)
using the percent change in the average rate or
percentage for the 1997ndash1999 funding cycle For
1997ndash1999 the 3-year average hospitalization rate
and percent of homes with cockroaches were computed
for the initial visits and revisits for each program with
complete data and for all programs combined For
2000 the 1-year hospitalization rate was computed for
the initial visits and revisits for each program with
complete data and for all programs combined These
rates were compared across all programs In addition
the percent change in the hospitalization rate (or
percent of homes with cockroaches) from the initial
visit (ie pre-HNP) to the revisit (ie post-HNP) was
calculated as [(post-HNP ratepre-HNP rate)(pre-
HNP rate)]100 A negative change indicates a
decrease (or improvement) in the rate or percentage
after the program intervention and a positive change
indicates an increase (or worsening) after the program
intervention This change does not take into account
other factors such as media campaigns or community
interventions that may have influenced the change in
the same period of time
The programs reported the total number of
persons hospital admissions etc for each funding
year rather than data at the individual or household
level Because there were only aggregated data it was
not possible to perform statistical tests such as the chi-
square test to determine if the change in an outcome
variable was significant In addition it is difficult to
calculate the standard error (SE) of the mean percent
change therefore we used the computer-intensive
bootstrap resampling method to estimate the SE of
the mean (3) This method uses the observed sample
itself to mimic the original sampling from the unknown
population that resulted in the observed sample In the
current analysis this was done by randomly drawing a
large number of samples (10000 in the current
analysis) from the observed sample For example from
the percent change in the hospitalization rates (1997ndash
1999) that we observed for six programs we drew
10000 random samples each with six observations
The mean and SE of the 10000 samples were then
computed For a one-sided test (because wersquore in-
terested in improvement after the intervention) if the
mean percent change was beyond 165SE (ie
more negative) then the improvement was considered
statistically different from zero with plt005 The
resampling and calculations of the mean and SE were
performed by using SAS statistical software (4)
Analysis of Trends over Time
Natural variations (increases or decreases) in the
rates of asthma hospitalizations and the other interme-
diate outcomes may have occurred independently of the
HNP intervention This can result from trends over time
in asthma prevalence media health education other
intervention programs changes in the prevalence of
asthma triggers in ambient air and other unknown
factors Design effects (eg reliability and validity) can
also affect the measurement of the outcome variables In
other words the gross effect is a combination of the
effects of intervention (net effect) and the effects of other
processes (confounding factors) To control for these
effects the change in the initial (or baseline) rates across
the program years was computed For 1997ndash1999 the
trend in the hospitalization rates for the regional
programs combined was estimated by computing the
change in the initial rates from 1997 to 1998 and from
1998 to 1999 The average percent change was (
change 1997 to 1998+ change 1998 to 1999)2
Comparison of Different Programs
A cross-sectional comparison (ie comparing
outcome variables across programs) was used to
evaluate the impact of different interventions imple-
mented by the regional programs and to identify which
programs were more effective than others in terms of
the outcome evaluation Because no standardized
intervention program was required by the NYSDOH
the programs developed their own intervention pro-
grams and components In this report the percent
change from the initial visit to the revisit for the final
outcome variable (hospitalization rates) and the inter-
mediate outcome variables (percent of homes with
cockroaches in 1997ndash1999 percent of homes with
asthmatics with a written management plan in 2000
and percent of asthmatics using a peak flow meter in
2000) were compared among the eight programs The
differences in percent change across the programs
could be due to differences in the effectiveness of the
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intervention programs how well the interventions were
implemented by the individual programs and differ-
ences in baseline rates
Cost Analysis
Although a typical cost-benefit analysis could not
be performed due to limitations in the data the monies
encumbered by each program are presented in this
report along with the total number of household visits
(initial HNP visits 90-day revisits and 1-year asthma
revisits) and the cost per visit The cost of a visit also
includes other costs incurred by the program that are
not directly related to a household visit including
operating expenses (eg training and supplies) and
monies spent on other types of interventions (eg
educational meetings in the community)
Using the monies encumbered by the HNP we
estimated the savings resulting from a reduction in
hospital admissions after the HNP intervention Of the
four program goals (asthma lead poisoning fire
injuries prevention and carbon monoxide poisoning)
the asthma intervention is the largest component of the
program We assumed therefore that one-half of the
annual funds went toward the asthma intervention
Although this may be a rough overestimate of the
cost it may provide evidence regarding the net cost of
the program
RESULTS
Direct Outcomes
For the 1997ndash1999 cycle the average hospitaliza-
tion rate reported by asthmatics at the initial visits and
asthma revisits are presented in Table 1 for the six
programs that reported complete data (Oneida and
Orange Counties reported incomplete data and were
excluded from this portion of the evaluation) The
initial hospitalization rates varied greatly among the six
programs The programs in the highly urbanized
regions of the state (Erie County New York City
and Westchester County) had substantially higher
initial hospitalization rates than the other three
programs The average hospitalization rate at the initial
visit for the six programs combined was 860 hospital-
izations per 100 persons with asthma per year At the
1-year asthma revisit the average hospitalization rate
was 445 a decrease of 483 The average percent
change for the six programs was 612 a significant
decrease after the HNP intervention (plt005)
The trend over time for the six programs combined
was determined by examining the annual hospitaliza-
tion rates reported by participants at the time of initial
HNP visits From data not presented the rates for
1997 1998 and 1999 were 1095 864 and 622
hospitalizations per 100 persons with asthma per year
respectively This represents a decrease over the study
period in the baseline hospitalization rate of 212
from 1997 to 1998 and a decrease of 280 from 1998
to 1999 for an average decrease of 245 This
indicates that there was a decrease in the baseline
hospitalization rate independent of the HNP interven-
tion in the range of 21 and 28 which is lower than
the apparent decrease from the initial visits to the
revisits of 483
Four programs showed decreases in their hospital-
ization rates ranging from 97 to 73 during the
1997ndash1999 cycle For example Erie Countyrsquos average
hospitalization rate decreased from 2330 to 59
hospitalizations per 100 persons with asthma per year
Table 1 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention) (programs with complete data) 1997ndash1999
Initial HNP visits One-year HNP revisitsPercent change in average rate
initial to revisitbProgram Asthmatics Average rate Asthmatics Average rate
Clinton Co 227 465 24 28 940
Erie Co 253 2330 24 59 975
New York City 632 1021 214 1308 281
Niagara Co 781 385 201 222 423
Onondaga Co 1009 576 211 157 727
Westchester Co 326 1680 127 188 888
All programs 3228 860c 801 445 483
aReported as hospital visits which include hospital admissions and ER visits
bThe decrease in the percent change in the six programs was statistically significant (plt005)cBased on six counties with complete data the initial rate decreased 212 from 1997 to 1998 and 280 from 1998 to 1999 an
average decrease of 245 (data not shown)
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and Clinton Countyrsquos rate decreased from 465 to 28
hospitalizations per 100 persons with asthma per year
the two largest reductions among the regional pro-
grams Niagara County reported a more modest
decrease of 423 from 385 to 222 hospitalizations
per 100 persons with asthma per year similar to the
decrease observed without the intervention On the
other hand New York City had an increase of 281
in the hospitalization rate from 1021 to 1308
hospitalizations per 100 persons with asthma per year
The hospitalization rates among asthmatics at the
initial visits and 1-year asthma revisits for FFY 2000 of
the 2000ndash2002 cycle are presented in Table 2 for the
five programs that reported complete data The two
programs that began in 1999 and were new to the
HNP Cayuga and Rockland Counties did not conduct
asthma revisits in FFY 2000 and Onondaga County
was unsuccessful in its attempts to conduct asthma
revisits therefore these programs could not be
included in this portion of the evaluation The
hospitalization rate at the initial visit for the five
programs combined was 956 hospitalizations per 100
persons per year and at the 1-year asthma revisits was
249 a decrease of 739 These five programs all
showed decreases in their rates ranging from 100 to
33 The average percent change for the five programs
was 681 a significant decrease after the HNP
intervention (plt005) The largest decreases were in
Clinton County (100 from 512 to 00 hospital-
izations per 100 persons with asthma per year) and
Niagara County (81 from 612 to 113 hospital-
izations per 100 persons with asthma per year) The
rate for New York City decreased by 586
Intermediate Outcomes
Information on cockroach infestation was collected
at both the initial visits and 90-day revisits during the
1997ndash1999 cycle (Table 3) For the seven programs
with complete data 102 of homes had cockroaches
at the initial visit After implementing controls during
the initial visit or making referrals immediately after
Table 3 Percent of homes with cockroaches at the initial HNP visits and 90-day HNP revisits (ie before and after the HNP
intervention) (programs with complete data) 1997ndash1999
Program
Initial HNP visits 90-day HNP revisits
Homes Average percentage Homes Average percentage Percent change
initial to revisita
Clinton Co 869 08 66 00 1000
Erie Co 2575 84 74 88 48
Niagara Co 2729 44 330 05 886
Oneida Co 1439 32 668 10 688
Onondaga Co 3159 217 566 144 336
Orange Co 901 139 525 56 597
Westchester Co 2951 97 238 99 21
All programs 14623 102b 2467 58 431
aThe decrease in the percent change in the seven programs was statistically significant (plt005)
Table 2 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and one-year HNP Revisits
(ie Before and After the HNP intervention) (programs with complete data) 2000
Program
Initial HNP visits One-year HNP revisitsPercent change in rate
initial to revisitbAsthmatics Rate Asthmatics Rate
Clinton Co 86 512 13 00 1000
Erie Co 46 391 38 263 327
New York City 260 1681 46 696 586
Niagara Co 369 612 221 113 815
Westchester Co 74 986 175 320 676
All programs 835 956 493 249 739
aHospitalizations include hospital admissions and ER visits
bThe decrease in the percent change in the five programs was statistically significant (plt005)
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the visit the overall percentage of homes with
cockroaches dropped to 58 a reduction of 431
The average percent change for the seven programs
was 491 a significant decrease (plt005) The
initial rate decreased 250 from 1997 to 1998 and
156 from 1998 to 1999 an average decrease of
203 This decreasing trend was smaller than the
decrease observed after the intervention The largest
percent decreases were by the Clinton Niagara and
Oneida programs (100 886 and 688 respec-
tively) in which the initial rates were relatively low
(08 44 and 32 of households respectively)
The two programs with highest percentage of homes
with cockroaches Onondaga and Orange Counties also
showed large improvements (336 and 597
respectively) Two programs Erie and Westchester
Counties showed no improvement In New York City
this information was not collected at all visits
Information collected during the 2000ndash2002 cycle
about the percent of asthmatics using a written plan for
managing asthma and using a peak flow meter are
presented in Tables 4 and 5 for FFY 2000 At the initial
visits the percentage of households with an asthmatic
who already had a written management plan ranged from
18 in Westchester County to 778 in Clinton
County with an average of 331 Five programs
Table 4 Percent of households with asthmatics with a written management plan at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention 2000
Asthma households with
a written management plan
at the initial visit
Asthmatics who did not
have plan initially with a
written management plan
at the revisit
Total with a written
management plan at
initial and revisit
Program Homes Percent Asthmatics Percent Percent
Cayuga Co 26 269 NAa mdash mdash
Clinton Co 63 778 NAb mdash 778
Erie Co 34 618 38 368 759
New York City 231 82 46 174 242
Niagara Co 297 559 221 95 601
Onondaga Co 180 272 NAa mdash mdash
Rockland Co 21 48 NAa mdash mdash
Westchester Co 56 18 175 46 63
aHad not completed any revisitsbAll households with asthmatics at the initial visit had written management plans therefore there were no additional asthmatics with
a plan at the revisit
Table 5 Percent of asthmatics using daily therapy using a peak flowmeter at the initial HNP visits and 1-year HNP revisits (ie
before and after the HNP intervention) 2000
ProgramAsthmatics using peak flow
meter at the initial visit
Asthmatics who had not
used a peak flow meter and
were using one at the revisit
Total using a peak flow meter
at the initial visit and revisit
Cayuga Co 33 NAa mdash
Clinton Co 00 NAb mdash
Erie Co 140 132 253
New York City 650 326 764
Niagara Co 230 41 262
Onondaga Co 150 NAa mdash
Rockland Co 00 NAa mdash
Westchester Co 46 NAb mdash
aHad not completed any revisits
bDid not collect this information at the revisits
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collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
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After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
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asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
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absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
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For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
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and management and identify environmental asthma
triggers In addition the programs provide a variety of
controls for asthma triggers and education to change
behavior and improve asthma management These
programs also enhance the local public health infra-
structure by funding outreach workers who are trained
to work with asthmatics and to address the cultural and
linguistic needs of the target households
Prior to initiating contact with households out-
reach workers visit a targeted neighborhood and leave
door hangers announcing the programrsquos arrival The
HNP intervention visits are then initiated at a sub-
sequent visit to the neighborhood In homes where no
adult resident is available two additional attempts are
made at other times of the day or on different days of
the week If there is no response on the third visit to a
residence a door hanger is left with a short summary
of the program and a telephone number to call to
schedule an appointment
Once a household agrees to participate in the
program an adult resident is interviewed to determine
the individual needs of the residents including
children and the asthma status of each resident A
room-by-room visual inspection of the dwelling is then
conducted which includes identifying asthma triggers
deteriorating paint sources of carbon monoxide and
fire safety hazards Program interventions include
providing education various environmental controls
and referrals to other agencies related to the goals of
the HNP Education about asthma management
community services and reducing asthma triggers
including the risks of cigarette smoke is conducted
during the home visit with residents who have asthma
Environmental controls are provided and may include
mattress and pillow covers furnace filters rodent baits
cleaning equipment and vacuums Demonstrations of
their proper use are also conducted If a child does not
have a physician the program will make a referral to
Child Health Plus (CHPlus) a health insurance
program for children younger than 19 years of age
from low-income families The coverage is provided by
private health insurance companies and subsidized by
the state government
The programs are required to revisit a sample of
households at least 90 days after the initial HNP visit
During the 1997ndash1999 cycle the goal was to revisit
25 of all households in the program During the
2000ndash2002 cycle the programs were expected to revisit
all asthmatics and target other high-risk households
with the goal of revisiting a total of 25 of the
households seen in one fiscal quarter selected by the
individual programs during each funding year This
results in fewer revisits than in the previous funding
cycle but prioritizes revisits on needier and higher risk
households During both funding cycles the purpose of
the 90-day revisits is to determine if safety products
and environmental controls were still in use to assess
the outcome of referrals to other agencies and to
determine if educational materials were used and
resulted in a change in behavior In addition the
programs are required to attempt to revisit all house-
holds with an asthmatic member 1 year after the initial
visit The purpose of these 1-year revisits is to de-
termine if there was improvement in asthma morbidity
(ie fewer hospital admissions and emergency room
visits) and medical management of asthma (ie use of
a written management plan and a peak flow meter)
and to assess the reduction in asthma triggers present
in the home
Data Collection
Each program must collect baseline information on
asthma morbidity (eg hospital admissions due to
asthma) childhood lead poisoning carbon monoxide
poisoning and residential fires in their target commu-
nities as well as a description of the target area based
on census data such as the age of housing median
annual family income the percentage of households
with children under the age of 14 years and the
percent of minority households This information is
used to evaluate the efficacy of the interventions and
ensure that at-risk populations are being targeted
During the initial HNP visit the outreach workers
complete a survey form that includes the findings from
the interview and home assessment For each resident
with asthma an additional survey form is completed
with information specific to asthma morbidity severity
asthma triggers and medical management
Through the 90-day revisits the programs ascer-
tain the effectiveness of the home visit educational
materials and environmental controls Information is
collected on the use of safety products (eg smoke
detectors products to reduce household allergens) and
the result of any referrals made to other agencies An
assessment is made of whether sources of allergens
were reduced or eliminated in each dwelling Residents
are interviewed to determine if they read any of the
educational materials provided and if they changed
their behavior as a result Residents are asked if they
are satisfied with the program and if they think the
program is worthwhile in their community
At the 1-year revisit to households with a resident
with asthma information is collected on the number of
hospital admissions emergency room (ER) visits and
school or work days lost due to asthma Information is
Asthma Intervention of NY State HNP 585
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also collected on the number of persons with asthma who
have a written management plan from their physician
who know the early warning signs of an asthma at-
tack and who monitor their peak expiratory flow daily
The programs maintain data from the initial visits
90-day revisits and 1-year asthma revisits Summary
data are reported quarterly and again at the end of the
funding year to the BCSFP (NYSDOH) Staff from
BCSFP also assist in the development of the regional
programs and conduct regular site visits to evaluate
the programs
PROGRAM EVALUATION
Purpose
The purpose of this evaluation is to assess the
impact of the HNP asthma intervention on the
populations targeted by the program to identify the
nature and scope of the problems with the programs
funded during the 2000ndash2002 cycle and to improve
HNP in future funding cycles This evaluation was
done by analyzing the change in measures of asthma
morbidity environmental exposures and asthma-relat-
ed behaviors In this report we present data from the
1997ndash1999 funding cycle and for federal funding year
(FFY) 2000 of the 2000ndash2002 funding cycle Because
of changes in reporting requirements across funding
cycles this report presents the findings for 1997ndash1999
and 2000 separately
Outcome Variables
Two types of outcome variables were used in this
evaluation final (or direct) outcomes and intermediate
(or indirect) outcomes Due to data limitations only
one final outcome variable the rate of self-reported
hospitalizations (hospital admissions and ER visits)
per person with asthma per year was used in this
report to measure the direct impact on asthma by
the HNP
Three intermediate outcome variables were used to
measure steps toward reaching the program goals
percent of homes with cockroaches percent of
asthmatics with a written management plan and
percent of asthmatics using a peak flow meter The
percent of homes with cockroaches is one indicator of
the presence of indoor asthma triggers in the home A
written management plan is considered an important
part of effective asthma treatment For asthmatics
taking daily medical therapy using a peak flow meter
to measure their peak expiratory flow is a way to
recognize the onset and severity of an asthma attack
Multiple intermediate indicators were used to attempt
to capture the effect of the programs and to allow the
strengths of one measure to compensate for the
weaknesses of another
The change in the percentage of asthmatics with a
written asthma management plan and the percentage
using a peak flow meter could not be calculated
directly given the data that were collected First the
programs were only asked to report the percentage of
households with a written management plan at the
initial visit This is only an estimate of the percentage
of asthmatics with a written management plan because
there can be more than one asthmatic in a household
Second the data collected at the revisit was the
percentage of asthmatics without a written plan at the
initial visit who had a written plan at the revisit In
addition only some of the asthmatics were revisited
after 1 year For these reasons an estimate of the total
percentage of asthmatics with a written plan 1 year
after the asthma intervention was calculated as follows
given a=the proportion with a written plan at the initial
visit and b=proportion without a written plan at the
initial visit who had a written plan at the revisit then
the total percentage with a written plan one year after
the intervention is [a+(1 - a)b]100 For peak flow
meter use the data collected at the revisit was the
percentage of asthmatics who had not used a peak flow
meter at the initial visit who were using one at the
revisit Therefore the estimate of the total percentage
of asthmatics using a peak flow meter 1 year after the
intervention was calculated by using the same formula
as for the written management plan
For 1997ndash1999 two outcome variables are pre-
sented the average rate of self-reported hospitalizations
per person with asthma per year and the average
percentage of participating households with cockroach
infestation Given the way that the data were collected
it was not possible to separate hospital admissions and
ER visits before 2000 Data on cockroach infestation
could only be analyzed for all households and not
separately for households with asthmatics
For 2000 three outcome variables are presented
the rate of self-reported hospitalizations per person
with asthma per year the percentage of asthmatics
using a written management plan and the percentage
of asthmatics using a peak flow meter Even though
hospital admissions and ER visits were reported sep-
arately in 2000 they were combined so that the rates
were comparable to the 1997ndash1999 hospitalization
586 Lin et al
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rates During the 2000ndash2002 funding cycle informa-
tion on cockroach infestation is not being collected at
revisits and therefore is not presented
Evaluation Methods
Pre- vs Postintervention Comparison
The effects of the HNP measured with the final or
intermediate outcome variables were assessed by
comparing the pre-HNP rates (baseline at the initial
HNP visit) to the post-HNP rates (HNP revisit rates)
using the percent change in the average rate or
percentage for the 1997ndash1999 funding cycle For
1997ndash1999 the 3-year average hospitalization rate
and percent of homes with cockroaches were computed
for the initial visits and revisits for each program with
complete data and for all programs combined For
2000 the 1-year hospitalization rate was computed for
the initial visits and revisits for each program with
complete data and for all programs combined These
rates were compared across all programs In addition
the percent change in the hospitalization rate (or
percent of homes with cockroaches) from the initial
visit (ie pre-HNP) to the revisit (ie post-HNP) was
calculated as [(post-HNP ratepre-HNP rate)(pre-
HNP rate)]100 A negative change indicates a
decrease (or improvement) in the rate or percentage
after the program intervention and a positive change
indicates an increase (or worsening) after the program
intervention This change does not take into account
other factors such as media campaigns or community
interventions that may have influenced the change in
the same period of time
The programs reported the total number of
persons hospital admissions etc for each funding
year rather than data at the individual or household
level Because there were only aggregated data it was
not possible to perform statistical tests such as the chi-
square test to determine if the change in an outcome
variable was significant In addition it is difficult to
calculate the standard error (SE) of the mean percent
change therefore we used the computer-intensive
bootstrap resampling method to estimate the SE of
the mean (3) This method uses the observed sample
itself to mimic the original sampling from the unknown
population that resulted in the observed sample In the
current analysis this was done by randomly drawing a
large number of samples (10000 in the current
analysis) from the observed sample For example from
the percent change in the hospitalization rates (1997ndash
1999) that we observed for six programs we drew
10000 random samples each with six observations
The mean and SE of the 10000 samples were then
computed For a one-sided test (because wersquore in-
terested in improvement after the intervention) if the
mean percent change was beyond 165SE (ie
more negative) then the improvement was considered
statistically different from zero with plt005 The
resampling and calculations of the mean and SE were
performed by using SAS statistical software (4)
Analysis of Trends over Time
Natural variations (increases or decreases) in the
rates of asthma hospitalizations and the other interme-
diate outcomes may have occurred independently of the
HNP intervention This can result from trends over time
in asthma prevalence media health education other
intervention programs changes in the prevalence of
asthma triggers in ambient air and other unknown
factors Design effects (eg reliability and validity) can
also affect the measurement of the outcome variables In
other words the gross effect is a combination of the
effects of intervention (net effect) and the effects of other
processes (confounding factors) To control for these
effects the change in the initial (or baseline) rates across
the program years was computed For 1997ndash1999 the
trend in the hospitalization rates for the regional
programs combined was estimated by computing the
change in the initial rates from 1997 to 1998 and from
1998 to 1999 The average percent change was (
change 1997 to 1998+ change 1998 to 1999)2
Comparison of Different Programs
A cross-sectional comparison (ie comparing
outcome variables across programs) was used to
evaluate the impact of different interventions imple-
mented by the regional programs and to identify which
programs were more effective than others in terms of
the outcome evaluation Because no standardized
intervention program was required by the NYSDOH
the programs developed their own intervention pro-
grams and components In this report the percent
change from the initial visit to the revisit for the final
outcome variable (hospitalization rates) and the inter-
mediate outcome variables (percent of homes with
cockroaches in 1997ndash1999 percent of homes with
asthmatics with a written management plan in 2000
and percent of asthmatics using a peak flow meter in
2000) were compared among the eight programs The
differences in percent change across the programs
could be due to differences in the effectiveness of the
Asthma Intervention of NY State HNP 587
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intervention programs how well the interventions were
implemented by the individual programs and differ-
ences in baseline rates
Cost Analysis
Although a typical cost-benefit analysis could not
be performed due to limitations in the data the monies
encumbered by each program are presented in this
report along with the total number of household visits
(initial HNP visits 90-day revisits and 1-year asthma
revisits) and the cost per visit The cost of a visit also
includes other costs incurred by the program that are
not directly related to a household visit including
operating expenses (eg training and supplies) and
monies spent on other types of interventions (eg
educational meetings in the community)
Using the monies encumbered by the HNP we
estimated the savings resulting from a reduction in
hospital admissions after the HNP intervention Of the
four program goals (asthma lead poisoning fire
injuries prevention and carbon monoxide poisoning)
the asthma intervention is the largest component of the
program We assumed therefore that one-half of the
annual funds went toward the asthma intervention
Although this may be a rough overestimate of the
cost it may provide evidence regarding the net cost of
the program
RESULTS
Direct Outcomes
For the 1997ndash1999 cycle the average hospitaliza-
tion rate reported by asthmatics at the initial visits and
asthma revisits are presented in Table 1 for the six
programs that reported complete data (Oneida and
Orange Counties reported incomplete data and were
excluded from this portion of the evaluation) The
initial hospitalization rates varied greatly among the six
programs The programs in the highly urbanized
regions of the state (Erie County New York City
and Westchester County) had substantially higher
initial hospitalization rates than the other three
programs The average hospitalization rate at the initial
visit for the six programs combined was 860 hospital-
izations per 100 persons with asthma per year At the
1-year asthma revisit the average hospitalization rate
was 445 a decrease of 483 The average percent
change for the six programs was 612 a significant
decrease after the HNP intervention (plt005)
The trend over time for the six programs combined
was determined by examining the annual hospitaliza-
tion rates reported by participants at the time of initial
HNP visits From data not presented the rates for
1997 1998 and 1999 were 1095 864 and 622
hospitalizations per 100 persons with asthma per year
respectively This represents a decrease over the study
period in the baseline hospitalization rate of 212
from 1997 to 1998 and a decrease of 280 from 1998
to 1999 for an average decrease of 245 This
indicates that there was a decrease in the baseline
hospitalization rate independent of the HNP interven-
tion in the range of 21 and 28 which is lower than
the apparent decrease from the initial visits to the
revisits of 483
Four programs showed decreases in their hospital-
ization rates ranging from 97 to 73 during the
1997ndash1999 cycle For example Erie Countyrsquos average
hospitalization rate decreased from 2330 to 59
hospitalizations per 100 persons with asthma per year
Table 1 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention) (programs with complete data) 1997ndash1999
Initial HNP visits One-year HNP revisitsPercent change in average rate
initial to revisitbProgram Asthmatics Average rate Asthmatics Average rate
Clinton Co 227 465 24 28 940
Erie Co 253 2330 24 59 975
New York City 632 1021 214 1308 281
Niagara Co 781 385 201 222 423
Onondaga Co 1009 576 211 157 727
Westchester Co 326 1680 127 188 888
All programs 3228 860c 801 445 483
aReported as hospital visits which include hospital admissions and ER visits
bThe decrease in the percent change in the six programs was statistically significant (plt005)cBased on six counties with complete data the initial rate decreased 212 from 1997 to 1998 and 280 from 1998 to 1999 an
average decrease of 245 (data not shown)
588 Lin et al
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and Clinton Countyrsquos rate decreased from 465 to 28
hospitalizations per 100 persons with asthma per year
the two largest reductions among the regional pro-
grams Niagara County reported a more modest
decrease of 423 from 385 to 222 hospitalizations
per 100 persons with asthma per year similar to the
decrease observed without the intervention On the
other hand New York City had an increase of 281
in the hospitalization rate from 1021 to 1308
hospitalizations per 100 persons with asthma per year
The hospitalization rates among asthmatics at the
initial visits and 1-year asthma revisits for FFY 2000 of
the 2000ndash2002 cycle are presented in Table 2 for the
five programs that reported complete data The two
programs that began in 1999 and were new to the
HNP Cayuga and Rockland Counties did not conduct
asthma revisits in FFY 2000 and Onondaga County
was unsuccessful in its attempts to conduct asthma
revisits therefore these programs could not be
included in this portion of the evaluation The
hospitalization rate at the initial visit for the five
programs combined was 956 hospitalizations per 100
persons per year and at the 1-year asthma revisits was
249 a decrease of 739 These five programs all
showed decreases in their rates ranging from 100 to
33 The average percent change for the five programs
was 681 a significant decrease after the HNP
intervention (plt005) The largest decreases were in
Clinton County (100 from 512 to 00 hospital-
izations per 100 persons with asthma per year) and
Niagara County (81 from 612 to 113 hospital-
izations per 100 persons with asthma per year) The
rate for New York City decreased by 586
Intermediate Outcomes
Information on cockroach infestation was collected
at both the initial visits and 90-day revisits during the
1997ndash1999 cycle (Table 3) For the seven programs
with complete data 102 of homes had cockroaches
at the initial visit After implementing controls during
the initial visit or making referrals immediately after
Table 3 Percent of homes with cockroaches at the initial HNP visits and 90-day HNP revisits (ie before and after the HNP
intervention) (programs with complete data) 1997ndash1999
Program
Initial HNP visits 90-day HNP revisits
Homes Average percentage Homes Average percentage Percent change
initial to revisita
Clinton Co 869 08 66 00 1000
Erie Co 2575 84 74 88 48
Niagara Co 2729 44 330 05 886
Oneida Co 1439 32 668 10 688
Onondaga Co 3159 217 566 144 336
Orange Co 901 139 525 56 597
Westchester Co 2951 97 238 99 21
All programs 14623 102b 2467 58 431
aThe decrease in the percent change in the seven programs was statistically significant (plt005)
Table 2 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and one-year HNP Revisits
(ie Before and After the HNP intervention) (programs with complete data) 2000
Program
Initial HNP visits One-year HNP revisitsPercent change in rate
initial to revisitbAsthmatics Rate Asthmatics Rate
Clinton Co 86 512 13 00 1000
Erie Co 46 391 38 263 327
New York City 260 1681 46 696 586
Niagara Co 369 612 221 113 815
Westchester Co 74 986 175 320 676
All programs 835 956 493 249 739
aHospitalizations include hospital admissions and ER visits
bThe decrease in the percent change in the five programs was statistically significant (plt005)
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the visit the overall percentage of homes with
cockroaches dropped to 58 a reduction of 431
The average percent change for the seven programs
was 491 a significant decrease (plt005) The
initial rate decreased 250 from 1997 to 1998 and
156 from 1998 to 1999 an average decrease of
203 This decreasing trend was smaller than the
decrease observed after the intervention The largest
percent decreases were by the Clinton Niagara and
Oneida programs (100 886 and 688 respec-
tively) in which the initial rates were relatively low
(08 44 and 32 of households respectively)
The two programs with highest percentage of homes
with cockroaches Onondaga and Orange Counties also
showed large improvements (336 and 597
respectively) Two programs Erie and Westchester
Counties showed no improvement In New York City
this information was not collected at all visits
Information collected during the 2000ndash2002 cycle
about the percent of asthmatics using a written plan for
managing asthma and using a peak flow meter are
presented in Tables 4 and 5 for FFY 2000 At the initial
visits the percentage of households with an asthmatic
who already had a written management plan ranged from
18 in Westchester County to 778 in Clinton
County with an average of 331 Five programs
Table 4 Percent of households with asthmatics with a written management plan at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention 2000
Asthma households with
a written management plan
at the initial visit
Asthmatics who did not
have plan initially with a
written management plan
at the revisit
Total with a written
management plan at
initial and revisit
Program Homes Percent Asthmatics Percent Percent
Cayuga Co 26 269 NAa mdash mdash
Clinton Co 63 778 NAb mdash 778
Erie Co 34 618 38 368 759
New York City 231 82 46 174 242
Niagara Co 297 559 221 95 601
Onondaga Co 180 272 NAa mdash mdash
Rockland Co 21 48 NAa mdash mdash
Westchester Co 56 18 175 46 63
aHad not completed any revisitsbAll households with asthmatics at the initial visit had written management plans therefore there were no additional asthmatics with
a plan at the revisit
Table 5 Percent of asthmatics using daily therapy using a peak flowmeter at the initial HNP visits and 1-year HNP revisits (ie
before and after the HNP intervention) 2000
ProgramAsthmatics using peak flow
meter at the initial visit
Asthmatics who had not
used a peak flow meter and
were using one at the revisit
Total using a peak flow meter
at the initial visit and revisit
Cayuga Co 33 NAa mdash
Clinton Co 00 NAb mdash
Erie Co 140 132 253
New York City 650 326 764
Niagara Co 230 41 262
Onondaga Co 150 NAa mdash
Rockland Co 00 NAa mdash
Westchester Co 46 NAb mdash
aHad not completed any revisits
bDid not collect this information at the revisits
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collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
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After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
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asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
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absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
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of
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ches
ter
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For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
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on 1
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14
For
pers
onal
use
onl
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also collected on the number of persons with asthma who
have a written management plan from their physician
who know the early warning signs of an asthma at-
tack and who monitor their peak expiratory flow daily
The programs maintain data from the initial visits
90-day revisits and 1-year asthma revisits Summary
data are reported quarterly and again at the end of the
funding year to the BCSFP (NYSDOH) Staff from
BCSFP also assist in the development of the regional
programs and conduct regular site visits to evaluate
the programs
PROGRAM EVALUATION
Purpose
The purpose of this evaluation is to assess the
impact of the HNP asthma intervention on the
populations targeted by the program to identify the
nature and scope of the problems with the programs
funded during the 2000ndash2002 cycle and to improve
HNP in future funding cycles This evaluation was
done by analyzing the change in measures of asthma
morbidity environmental exposures and asthma-relat-
ed behaviors In this report we present data from the
1997ndash1999 funding cycle and for federal funding year
(FFY) 2000 of the 2000ndash2002 funding cycle Because
of changes in reporting requirements across funding
cycles this report presents the findings for 1997ndash1999
and 2000 separately
Outcome Variables
Two types of outcome variables were used in this
evaluation final (or direct) outcomes and intermediate
(or indirect) outcomes Due to data limitations only
one final outcome variable the rate of self-reported
hospitalizations (hospital admissions and ER visits)
per person with asthma per year was used in this
report to measure the direct impact on asthma by
the HNP
Three intermediate outcome variables were used to
measure steps toward reaching the program goals
percent of homes with cockroaches percent of
asthmatics with a written management plan and
percent of asthmatics using a peak flow meter The
percent of homes with cockroaches is one indicator of
the presence of indoor asthma triggers in the home A
written management plan is considered an important
part of effective asthma treatment For asthmatics
taking daily medical therapy using a peak flow meter
to measure their peak expiratory flow is a way to
recognize the onset and severity of an asthma attack
Multiple intermediate indicators were used to attempt
to capture the effect of the programs and to allow the
strengths of one measure to compensate for the
weaknesses of another
The change in the percentage of asthmatics with a
written asthma management plan and the percentage
using a peak flow meter could not be calculated
directly given the data that were collected First the
programs were only asked to report the percentage of
households with a written management plan at the
initial visit This is only an estimate of the percentage
of asthmatics with a written management plan because
there can be more than one asthmatic in a household
Second the data collected at the revisit was the
percentage of asthmatics without a written plan at the
initial visit who had a written plan at the revisit In
addition only some of the asthmatics were revisited
after 1 year For these reasons an estimate of the total
percentage of asthmatics with a written plan 1 year
after the asthma intervention was calculated as follows
given a=the proportion with a written plan at the initial
visit and b=proportion without a written plan at the
initial visit who had a written plan at the revisit then
the total percentage with a written plan one year after
the intervention is [a+(1 - a)b]100 For peak flow
meter use the data collected at the revisit was the
percentage of asthmatics who had not used a peak flow
meter at the initial visit who were using one at the
revisit Therefore the estimate of the total percentage
of asthmatics using a peak flow meter 1 year after the
intervention was calculated by using the same formula
as for the written management plan
For 1997ndash1999 two outcome variables are pre-
sented the average rate of self-reported hospitalizations
per person with asthma per year and the average
percentage of participating households with cockroach
infestation Given the way that the data were collected
it was not possible to separate hospital admissions and
ER visits before 2000 Data on cockroach infestation
could only be analyzed for all households and not
separately for households with asthmatics
For 2000 three outcome variables are presented
the rate of self-reported hospitalizations per person
with asthma per year the percentage of asthmatics
using a written management plan and the percentage
of asthmatics using a peak flow meter Even though
hospital admissions and ER visits were reported sep-
arately in 2000 they were combined so that the rates
were comparable to the 1997ndash1999 hospitalization
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rates During the 2000ndash2002 funding cycle informa-
tion on cockroach infestation is not being collected at
revisits and therefore is not presented
Evaluation Methods
Pre- vs Postintervention Comparison
The effects of the HNP measured with the final or
intermediate outcome variables were assessed by
comparing the pre-HNP rates (baseline at the initial
HNP visit) to the post-HNP rates (HNP revisit rates)
using the percent change in the average rate or
percentage for the 1997ndash1999 funding cycle For
1997ndash1999 the 3-year average hospitalization rate
and percent of homes with cockroaches were computed
for the initial visits and revisits for each program with
complete data and for all programs combined For
2000 the 1-year hospitalization rate was computed for
the initial visits and revisits for each program with
complete data and for all programs combined These
rates were compared across all programs In addition
the percent change in the hospitalization rate (or
percent of homes with cockroaches) from the initial
visit (ie pre-HNP) to the revisit (ie post-HNP) was
calculated as [(post-HNP ratepre-HNP rate)(pre-
HNP rate)]100 A negative change indicates a
decrease (or improvement) in the rate or percentage
after the program intervention and a positive change
indicates an increase (or worsening) after the program
intervention This change does not take into account
other factors such as media campaigns or community
interventions that may have influenced the change in
the same period of time
The programs reported the total number of
persons hospital admissions etc for each funding
year rather than data at the individual or household
level Because there were only aggregated data it was
not possible to perform statistical tests such as the chi-
square test to determine if the change in an outcome
variable was significant In addition it is difficult to
calculate the standard error (SE) of the mean percent
change therefore we used the computer-intensive
bootstrap resampling method to estimate the SE of
the mean (3) This method uses the observed sample
itself to mimic the original sampling from the unknown
population that resulted in the observed sample In the
current analysis this was done by randomly drawing a
large number of samples (10000 in the current
analysis) from the observed sample For example from
the percent change in the hospitalization rates (1997ndash
1999) that we observed for six programs we drew
10000 random samples each with six observations
The mean and SE of the 10000 samples were then
computed For a one-sided test (because wersquore in-
terested in improvement after the intervention) if the
mean percent change was beyond 165SE (ie
more negative) then the improvement was considered
statistically different from zero with plt005 The
resampling and calculations of the mean and SE were
performed by using SAS statistical software (4)
Analysis of Trends over Time
Natural variations (increases or decreases) in the
rates of asthma hospitalizations and the other interme-
diate outcomes may have occurred independently of the
HNP intervention This can result from trends over time
in asthma prevalence media health education other
intervention programs changes in the prevalence of
asthma triggers in ambient air and other unknown
factors Design effects (eg reliability and validity) can
also affect the measurement of the outcome variables In
other words the gross effect is a combination of the
effects of intervention (net effect) and the effects of other
processes (confounding factors) To control for these
effects the change in the initial (or baseline) rates across
the program years was computed For 1997ndash1999 the
trend in the hospitalization rates for the regional
programs combined was estimated by computing the
change in the initial rates from 1997 to 1998 and from
1998 to 1999 The average percent change was (
change 1997 to 1998+ change 1998 to 1999)2
Comparison of Different Programs
A cross-sectional comparison (ie comparing
outcome variables across programs) was used to
evaluate the impact of different interventions imple-
mented by the regional programs and to identify which
programs were more effective than others in terms of
the outcome evaluation Because no standardized
intervention program was required by the NYSDOH
the programs developed their own intervention pro-
grams and components In this report the percent
change from the initial visit to the revisit for the final
outcome variable (hospitalization rates) and the inter-
mediate outcome variables (percent of homes with
cockroaches in 1997ndash1999 percent of homes with
asthmatics with a written management plan in 2000
and percent of asthmatics using a peak flow meter in
2000) were compared among the eight programs The
differences in percent change across the programs
could be due to differences in the effectiveness of the
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intervention programs how well the interventions were
implemented by the individual programs and differ-
ences in baseline rates
Cost Analysis
Although a typical cost-benefit analysis could not
be performed due to limitations in the data the monies
encumbered by each program are presented in this
report along with the total number of household visits
(initial HNP visits 90-day revisits and 1-year asthma
revisits) and the cost per visit The cost of a visit also
includes other costs incurred by the program that are
not directly related to a household visit including
operating expenses (eg training and supplies) and
monies spent on other types of interventions (eg
educational meetings in the community)
Using the monies encumbered by the HNP we
estimated the savings resulting from a reduction in
hospital admissions after the HNP intervention Of the
four program goals (asthma lead poisoning fire
injuries prevention and carbon monoxide poisoning)
the asthma intervention is the largest component of the
program We assumed therefore that one-half of the
annual funds went toward the asthma intervention
Although this may be a rough overestimate of the
cost it may provide evidence regarding the net cost of
the program
RESULTS
Direct Outcomes
For the 1997ndash1999 cycle the average hospitaliza-
tion rate reported by asthmatics at the initial visits and
asthma revisits are presented in Table 1 for the six
programs that reported complete data (Oneida and
Orange Counties reported incomplete data and were
excluded from this portion of the evaluation) The
initial hospitalization rates varied greatly among the six
programs The programs in the highly urbanized
regions of the state (Erie County New York City
and Westchester County) had substantially higher
initial hospitalization rates than the other three
programs The average hospitalization rate at the initial
visit for the six programs combined was 860 hospital-
izations per 100 persons with asthma per year At the
1-year asthma revisit the average hospitalization rate
was 445 a decrease of 483 The average percent
change for the six programs was 612 a significant
decrease after the HNP intervention (plt005)
The trend over time for the six programs combined
was determined by examining the annual hospitaliza-
tion rates reported by participants at the time of initial
HNP visits From data not presented the rates for
1997 1998 and 1999 were 1095 864 and 622
hospitalizations per 100 persons with asthma per year
respectively This represents a decrease over the study
period in the baseline hospitalization rate of 212
from 1997 to 1998 and a decrease of 280 from 1998
to 1999 for an average decrease of 245 This
indicates that there was a decrease in the baseline
hospitalization rate independent of the HNP interven-
tion in the range of 21 and 28 which is lower than
the apparent decrease from the initial visits to the
revisits of 483
Four programs showed decreases in their hospital-
ization rates ranging from 97 to 73 during the
1997ndash1999 cycle For example Erie Countyrsquos average
hospitalization rate decreased from 2330 to 59
hospitalizations per 100 persons with asthma per year
Table 1 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention) (programs with complete data) 1997ndash1999
Initial HNP visits One-year HNP revisitsPercent change in average rate
initial to revisitbProgram Asthmatics Average rate Asthmatics Average rate
Clinton Co 227 465 24 28 940
Erie Co 253 2330 24 59 975
New York City 632 1021 214 1308 281
Niagara Co 781 385 201 222 423
Onondaga Co 1009 576 211 157 727
Westchester Co 326 1680 127 188 888
All programs 3228 860c 801 445 483
aReported as hospital visits which include hospital admissions and ER visits
bThe decrease in the percent change in the six programs was statistically significant (plt005)cBased on six counties with complete data the initial rate decreased 212 from 1997 to 1998 and 280 from 1998 to 1999 an
average decrease of 245 (data not shown)
588 Lin et al
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and Clinton Countyrsquos rate decreased from 465 to 28
hospitalizations per 100 persons with asthma per year
the two largest reductions among the regional pro-
grams Niagara County reported a more modest
decrease of 423 from 385 to 222 hospitalizations
per 100 persons with asthma per year similar to the
decrease observed without the intervention On the
other hand New York City had an increase of 281
in the hospitalization rate from 1021 to 1308
hospitalizations per 100 persons with asthma per year
The hospitalization rates among asthmatics at the
initial visits and 1-year asthma revisits for FFY 2000 of
the 2000ndash2002 cycle are presented in Table 2 for the
five programs that reported complete data The two
programs that began in 1999 and were new to the
HNP Cayuga and Rockland Counties did not conduct
asthma revisits in FFY 2000 and Onondaga County
was unsuccessful in its attempts to conduct asthma
revisits therefore these programs could not be
included in this portion of the evaluation The
hospitalization rate at the initial visit for the five
programs combined was 956 hospitalizations per 100
persons per year and at the 1-year asthma revisits was
249 a decrease of 739 These five programs all
showed decreases in their rates ranging from 100 to
33 The average percent change for the five programs
was 681 a significant decrease after the HNP
intervention (plt005) The largest decreases were in
Clinton County (100 from 512 to 00 hospital-
izations per 100 persons with asthma per year) and
Niagara County (81 from 612 to 113 hospital-
izations per 100 persons with asthma per year) The
rate for New York City decreased by 586
Intermediate Outcomes
Information on cockroach infestation was collected
at both the initial visits and 90-day revisits during the
1997ndash1999 cycle (Table 3) For the seven programs
with complete data 102 of homes had cockroaches
at the initial visit After implementing controls during
the initial visit or making referrals immediately after
Table 3 Percent of homes with cockroaches at the initial HNP visits and 90-day HNP revisits (ie before and after the HNP
intervention) (programs with complete data) 1997ndash1999
Program
Initial HNP visits 90-day HNP revisits
Homes Average percentage Homes Average percentage Percent change
initial to revisita
Clinton Co 869 08 66 00 1000
Erie Co 2575 84 74 88 48
Niagara Co 2729 44 330 05 886
Oneida Co 1439 32 668 10 688
Onondaga Co 3159 217 566 144 336
Orange Co 901 139 525 56 597
Westchester Co 2951 97 238 99 21
All programs 14623 102b 2467 58 431
aThe decrease in the percent change in the seven programs was statistically significant (plt005)
Table 2 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and one-year HNP Revisits
(ie Before and After the HNP intervention) (programs with complete data) 2000
Program
Initial HNP visits One-year HNP revisitsPercent change in rate
initial to revisitbAsthmatics Rate Asthmatics Rate
Clinton Co 86 512 13 00 1000
Erie Co 46 391 38 263 327
New York City 260 1681 46 696 586
Niagara Co 369 612 221 113 815
Westchester Co 74 986 175 320 676
All programs 835 956 493 249 739
aHospitalizations include hospital admissions and ER visits
bThe decrease in the percent change in the five programs was statistically significant (plt005)
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the visit the overall percentage of homes with
cockroaches dropped to 58 a reduction of 431
The average percent change for the seven programs
was 491 a significant decrease (plt005) The
initial rate decreased 250 from 1997 to 1998 and
156 from 1998 to 1999 an average decrease of
203 This decreasing trend was smaller than the
decrease observed after the intervention The largest
percent decreases were by the Clinton Niagara and
Oneida programs (100 886 and 688 respec-
tively) in which the initial rates were relatively low
(08 44 and 32 of households respectively)
The two programs with highest percentage of homes
with cockroaches Onondaga and Orange Counties also
showed large improvements (336 and 597
respectively) Two programs Erie and Westchester
Counties showed no improvement In New York City
this information was not collected at all visits
Information collected during the 2000ndash2002 cycle
about the percent of asthmatics using a written plan for
managing asthma and using a peak flow meter are
presented in Tables 4 and 5 for FFY 2000 At the initial
visits the percentage of households with an asthmatic
who already had a written management plan ranged from
18 in Westchester County to 778 in Clinton
County with an average of 331 Five programs
Table 4 Percent of households with asthmatics with a written management plan at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention 2000
Asthma households with
a written management plan
at the initial visit
Asthmatics who did not
have plan initially with a
written management plan
at the revisit
Total with a written
management plan at
initial and revisit
Program Homes Percent Asthmatics Percent Percent
Cayuga Co 26 269 NAa mdash mdash
Clinton Co 63 778 NAb mdash 778
Erie Co 34 618 38 368 759
New York City 231 82 46 174 242
Niagara Co 297 559 221 95 601
Onondaga Co 180 272 NAa mdash mdash
Rockland Co 21 48 NAa mdash mdash
Westchester Co 56 18 175 46 63
aHad not completed any revisitsbAll households with asthmatics at the initial visit had written management plans therefore there were no additional asthmatics with
a plan at the revisit
Table 5 Percent of asthmatics using daily therapy using a peak flowmeter at the initial HNP visits and 1-year HNP revisits (ie
before and after the HNP intervention) 2000
ProgramAsthmatics using peak flow
meter at the initial visit
Asthmatics who had not
used a peak flow meter and
were using one at the revisit
Total using a peak flow meter
at the initial visit and revisit
Cayuga Co 33 NAa mdash
Clinton Co 00 NAb mdash
Erie Co 140 132 253
New York City 650 326 764
Niagara Co 230 41 262
Onondaga Co 150 NAa mdash
Rockland Co 00 NAa mdash
Westchester Co 46 NAb mdash
aHad not completed any revisits
bDid not collect this information at the revisits
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collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
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After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
592 Lin et al
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asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
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absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
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onal
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and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
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rates During the 2000ndash2002 funding cycle informa-
tion on cockroach infestation is not being collected at
revisits and therefore is not presented
Evaluation Methods
Pre- vs Postintervention Comparison
The effects of the HNP measured with the final or
intermediate outcome variables were assessed by
comparing the pre-HNP rates (baseline at the initial
HNP visit) to the post-HNP rates (HNP revisit rates)
using the percent change in the average rate or
percentage for the 1997ndash1999 funding cycle For
1997ndash1999 the 3-year average hospitalization rate
and percent of homes with cockroaches were computed
for the initial visits and revisits for each program with
complete data and for all programs combined For
2000 the 1-year hospitalization rate was computed for
the initial visits and revisits for each program with
complete data and for all programs combined These
rates were compared across all programs In addition
the percent change in the hospitalization rate (or
percent of homes with cockroaches) from the initial
visit (ie pre-HNP) to the revisit (ie post-HNP) was
calculated as [(post-HNP ratepre-HNP rate)(pre-
HNP rate)]100 A negative change indicates a
decrease (or improvement) in the rate or percentage
after the program intervention and a positive change
indicates an increase (or worsening) after the program
intervention This change does not take into account
other factors such as media campaigns or community
interventions that may have influenced the change in
the same period of time
The programs reported the total number of
persons hospital admissions etc for each funding
year rather than data at the individual or household
level Because there were only aggregated data it was
not possible to perform statistical tests such as the chi-
square test to determine if the change in an outcome
variable was significant In addition it is difficult to
calculate the standard error (SE) of the mean percent
change therefore we used the computer-intensive
bootstrap resampling method to estimate the SE of
the mean (3) This method uses the observed sample
itself to mimic the original sampling from the unknown
population that resulted in the observed sample In the
current analysis this was done by randomly drawing a
large number of samples (10000 in the current
analysis) from the observed sample For example from
the percent change in the hospitalization rates (1997ndash
1999) that we observed for six programs we drew
10000 random samples each with six observations
The mean and SE of the 10000 samples were then
computed For a one-sided test (because wersquore in-
terested in improvement after the intervention) if the
mean percent change was beyond 165SE (ie
more negative) then the improvement was considered
statistically different from zero with plt005 The
resampling and calculations of the mean and SE were
performed by using SAS statistical software (4)
Analysis of Trends over Time
Natural variations (increases or decreases) in the
rates of asthma hospitalizations and the other interme-
diate outcomes may have occurred independently of the
HNP intervention This can result from trends over time
in asthma prevalence media health education other
intervention programs changes in the prevalence of
asthma triggers in ambient air and other unknown
factors Design effects (eg reliability and validity) can
also affect the measurement of the outcome variables In
other words the gross effect is a combination of the
effects of intervention (net effect) and the effects of other
processes (confounding factors) To control for these
effects the change in the initial (or baseline) rates across
the program years was computed For 1997ndash1999 the
trend in the hospitalization rates for the regional
programs combined was estimated by computing the
change in the initial rates from 1997 to 1998 and from
1998 to 1999 The average percent change was (
change 1997 to 1998+ change 1998 to 1999)2
Comparison of Different Programs
A cross-sectional comparison (ie comparing
outcome variables across programs) was used to
evaluate the impact of different interventions imple-
mented by the regional programs and to identify which
programs were more effective than others in terms of
the outcome evaluation Because no standardized
intervention program was required by the NYSDOH
the programs developed their own intervention pro-
grams and components In this report the percent
change from the initial visit to the revisit for the final
outcome variable (hospitalization rates) and the inter-
mediate outcome variables (percent of homes with
cockroaches in 1997ndash1999 percent of homes with
asthmatics with a written management plan in 2000
and percent of asthmatics using a peak flow meter in
2000) were compared among the eight programs The
differences in percent change across the programs
could be due to differences in the effectiveness of the
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intervention programs how well the interventions were
implemented by the individual programs and differ-
ences in baseline rates
Cost Analysis
Although a typical cost-benefit analysis could not
be performed due to limitations in the data the monies
encumbered by each program are presented in this
report along with the total number of household visits
(initial HNP visits 90-day revisits and 1-year asthma
revisits) and the cost per visit The cost of a visit also
includes other costs incurred by the program that are
not directly related to a household visit including
operating expenses (eg training and supplies) and
monies spent on other types of interventions (eg
educational meetings in the community)
Using the monies encumbered by the HNP we
estimated the savings resulting from a reduction in
hospital admissions after the HNP intervention Of the
four program goals (asthma lead poisoning fire
injuries prevention and carbon monoxide poisoning)
the asthma intervention is the largest component of the
program We assumed therefore that one-half of the
annual funds went toward the asthma intervention
Although this may be a rough overestimate of the
cost it may provide evidence regarding the net cost of
the program
RESULTS
Direct Outcomes
For the 1997ndash1999 cycle the average hospitaliza-
tion rate reported by asthmatics at the initial visits and
asthma revisits are presented in Table 1 for the six
programs that reported complete data (Oneida and
Orange Counties reported incomplete data and were
excluded from this portion of the evaluation) The
initial hospitalization rates varied greatly among the six
programs The programs in the highly urbanized
regions of the state (Erie County New York City
and Westchester County) had substantially higher
initial hospitalization rates than the other three
programs The average hospitalization rate at the initial
visit for the six programs combined was 860 hospital-
izations per 100 persons with asthma per year At the
1-year asthma revisit the average hospitalization rate
was 445 a decrease of 483 The average percent
change for the six programs was 612 a significant
decrease after the HNP intervention (plt005)
The trend over time for the six programs combined
was determined by examining the annual hospitaliza-
tion rates reported by participants at the time of initial
HNP visits From data not presented the rates for
1997 1998 and 1999 were 1095 864 and 622
hospitalizations per 100 persons with asthma per year
respectively This represents a decrease over the study
period in the baseline hospitalization rate of 212
from 1997 to 1998 and a decrease of 280 from 1998
to 1999 for an average decrease of 245 This
indicates that there was a decrease in the baseline
hospitalization rate independent of the HNP interven-
tion in the range of 21 and 28 which is lower than
the apparent decrease from the initial visits to the
revisits of 483
Four programs showed decreases in their hospital-
ization rates ranging from 97 to 73 during the
1997ndash1999 cycle For example Erie Countyrsquos average
hospitalization rate decreased from 2330 to 59
hospitalizations per 100 persons with asthma per year
Table 1 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention) (programs with complete data) 1997ndash1999
Initial HNP visits One-year HNP revisitsPercent change in average rate
initial to revisitbProgram Asthmatics Average rate Asthmatics Average rate
Clinton Co 227 465 24 28 940
Erie Co 253 2330 24 59 975
New York City 632 1021 214 1308 281
Niagara Co 781 385 201 222 423
Onondaga Co 1009 576 211 157 727
Westchester Co 326 1680 127 188 888
All programs 3228 860c 801 445 483
aReported as hospital visits which include hospital admissions and ER visits
bThe decrease in the percent change in the six programs was statistically significant (plt005)cBased on six counties with complete data the initial rate decreased 212 from 1997 to 1998 and 280 from 1998 to 1999 an
average decrease of 245 (data not shown)
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and Clinton Countyrsquos rate decreased from 465 to 28
hospitalizations per 100 persons with asthma per year
the two largest reductions among the regional pro-
grams Niagara County reported a more modest
decrease of 423 from 385 to 222 hospitalizations
per 100 persons with asthma per year similar to the
decrease observed without the intervention On the
other hand New York City had an increase of 281
in the hospitalization rate from 1021 to 1308
hospitalizations per 100 persons with asthma per year
The hospitalization rates among asthmatics at the
initial visits and 1-year asthma revisits for FFY 2000 of
the 2000ndash2002 cycle are presented in Table 2 for the
five programs that reported complete data The two
programs that began in 1999 and were new to the
HNP Cayuga and Rockland Counties did not conduct
asthma revisits in FFY 2000 and Onondaga County
was unsuccessful in its attempts to conduct asthma
revisits therefore these programs could not be
included in this portion of the evaluation The
hospitalization rate at the initial visit for the five
programs combined was 956 hospitalizations per 100
persons per year and at the 1-year asthma revisits was
249 a decrease of 739 These five programs all
showed decreases in their rates ranging from 100 to
33 The average percent change for the five programs
was 681 a significant decrease after the HNP
intervention (plt005) The largest decreases were in
Clinton County (100 from 512 to 00 hospital-
izations per 100 persons with asthma per year) and
Niagara County (81 from 612 to 113 hospital-
izations per 100 persons with asthma per year) The
rate for New York City decreased by 586
Intermediate Outcomes
Information on cockroach infestation was collected
at both the initial visits and 90-day revisits during the
1997ndash1999 cycle (Table 3) For the seven programs
with complete data 102 of homes had cockroaches
at the initial visit After implementing controls during
the initial visit or making referrals immediately after
Table 3 Percent of homes with cockroaches at the initial HNP visits and 90-day HNP revisits (ie before and after the HNP
intervention) (programs with complete data) 1997ndash1999
Program
Initial HNP visits 90-day HNP revisits
Homes Average percentage Homes Average percentage Percent change
initial to revisita
Clinton Co 869 08 66 00 1000
Erie Co 2575 84 74 88 48
Niagara Co 2729 44 330 05 886
Oneida Co 1439 32 668 10 688
Onondaga Co 3159 217 566 144 336
Orange Co 901 139 525 56 597
Westchester Co 2951 97 238 99 21
All programs 14623 102b 2467 58 431
aThe decrease in the percent change in the seven programs was statistically significant (plt005)
Table 2 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and one-year HNP Revisits
(ie Before and After the HNP intervention) (programs with complete data) 2000
Program
Initial HNP visits One-year HNP revisitsPercent change in rate
initial to revisitbAsthmatics Rate Asthmatics Rate
Clinton Co 86 512 13 00 1000
Erie Co 46 391 38 263 327
New York City 260 1681 46 696 586
Niagara Co 369 612 221 113 815
Westchester Co 74 986 175 320 676
All programs 835 956 493 249 739
aHospitalizations include hospital admissions and ER visits
bThe decrease in the percent change in the five programs was statistically significant (plt005)
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the visit the overall percentage of homes with
cockroaches dropped to 58 a reduction of 431
The average percent change for the seven programs
was 491 a significant decrease (plt005) The
initial rate decreased 250 from 1997 to 1998 and
156 from 1998 to 1999 an average decrease of
203 This decreasing trend was smaller than the
decrease observed after the intervention The largest
percent decreases were by the Clinton Niagara and
Oneida programs (100 886 and 688 respec-
tively) in which the initial rates were relatively low
(08 44 and 32 of households respectively)
The two programs with highest percentage of homes
with cockroaches Onondaga and Orange Counties also
showed large improvements (336 and 597
respectively) Two programs Erie and Westchester
Counties showed no improvement In New York City
this information was not collected at all visits
Information collected during the 2000ndash2002 cycle
about the percent of asthmatics using a written plan for
managing asthma and using a peak flow meter are
presented in Tables 4 and 5 for FFY 2000 At the initial
visits the percentage of households with an asthmatic
who already had a written management plan ranged from
18 in Westchester County to 778 in Clinton
County with an average of 331 Five programs
Table 4 Percent of households with asthmatics with a written management plan at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention 2000
Asthma households with
a written management plan
at the initial visit
Asthmatics who did not
have plan initially with a
written management plan
at the revisit
Total with a written
management plan at
initial and revisit
Program Homes Percent Asthmatics Percent Percent
Cayuga Co 26 269 NAa mdash mdash
Clinton Co 63 778 NAb mdash 778
Erie Co 34 618 38 368 759
New York City 231 82 46 174 242
Niagara Co 297 559 221 95 601
Onondaga Co 180 272 NAa mdash mdash
Rockland Co 21 48 NAa mdash mdash
Westchester Co 56 18 175 46 63
aHad not completed any revisitsbAll households with asthmatics at the initial visit had written management plans therefore there were no additional asthmatics with
a plan at the revisit
Table 5 Percent of asthmatics using daily therapy using a peak flowmeter at the initial HNP visits and 1-year HNP revisits (ie
before and after the HNP intervention) 2000
ProgramAsthmatics using peak flow
meter at the initial visit
Asthmatics who had not
used a peak flow meter and
were using one at the revisit
Total using a peak flow meter
at the initial visit and revisit
Cayuga Co 33 NAa mdash
Clinton Co 00 NAb mdash
Erie Co 140 132 253
New York City 650 326 764
Niagara Co 230 41 262
Onondaga Co 150 NAa mdash
Rockland Co 00 NAa mdash
Westchester Co 46 NAb mdash
aHad not completed any revisits
bDid not collect this information at the revisits
590 Lin et al
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collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
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After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
592 Lin et al
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asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
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absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
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For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
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intervention programs how well the interventions were
implemented by the individual programs and differ-
ences in baseline rates
Cost Analysis
Although a typical cost-benefit analysis could not
be performed due to limitations in the data the monies
encumbered by each program are presented in this
report along with the total number of household visits
(initial HNP visits 90-day revisits and 1-year asthma
revisits) and the cost per visit The cost of a visit also
includes other costs incurred by the program that are
not directly related to a household visit including
operating expenses (eg training and supplies) and
monies spent on other types of interventions (eg
educational meetings in the community)
Using the monies encumbered by the HNP we
estimated the savings resulting from a reduction in
hospital admissions after the HNP intervention Of the
four program goals (asthma lead poisoning fire
injuries prevention and carbon monoxide poisoning)
the asthma intervention is the largest component of the
program We assumed therefore that one-half of the
annual funds went toward the asthma intervention
Although this may be a rough overestimate of the
cost it may provide evidence regarding the net cost of
the program
RESULTS
Direct Outcomes
For the 1997ndash1999 cycle the average hospitaliza-
tion rate reported by asthmatics at the initial visits and
asthma revisits are presented in Table 1 for the six
programs that reported complete data (Oneida and
Orange Counties reported incomplete data and were
excluded from this portion of the evaluation) The
initial hospitalization rates varied greatly among the six
programs The programs in the highly urbanized
regions of the state (Erie County New York City
and Westchester County) had substantially higher
initial hospitalization rates than the other three
programs The average hospitalization rate at the initial
visit for the six programs combined was 860 hospital-
izations per 100 persons with asthma per year At the
1-year asthma revisit the average hospitalization rate
was 445 a decrease of 483 The average percent
change for the six programs was 612 a significant
decrease after the HNP intervention (plt005)
The trend over time for the six programs combined
was determined by examining the annual hospitaliza-
tion rates reported by participants at the time of initial
HNP visits From data not presented the rates for
1997 1998 and 1999 were 1095 864 and 622
hospitalizations per 100 persons with asthma per year
respectively This represents a decrease over the study
period in the baseline hospitalization rate of 212
from 1997 to 1998 and a decrease of 280 from 1998
to 1999 for an average decrease of 245 This
indicates that there was a decrease in the baseline
hospitalization rate independent of the HNP interven-
tion in the range of 21 and 28 which is lower than
the apparent decrease from the initial visits to the
revisits of 483
Four programs showed decreases in their hospital-
ization rates ranging from 97 to 73 during the
1997ndash1999 cycle For example Erie Countyrsquos average
hospitalization rate decreased from 2330 to 59
hospitalizations per 100 persons with asthma per year
Table 1 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention) (programs with complete data) 1997ndash1999
Initial HNP visits One-year HNP revisitsPercent change in average rate
initial to revisitbProgram Asthmatics Average rate Asthmatics Average rate
Clinton Co 227 465 24 28 940
Erie Co 253 2330 24 59 975
New York City 632 1021 214 1308 281
Niagara Co 781 385 201 222 423
Onondaga Co 1009 576 211 157 727
Westchester Co 326 1680 127 188 888
All programs 3228 860c 801 445 483
aReported as hospital visits which include hospital admissions and ER visits
bThe decrease in the percent change in the six programs was statistically significant (plt005)cBased on six counties with complete data the initial rate decreased 212 from 1997 to 1998 and 280 from 1998 to 1999 an
average decrease of 245 (data not shown)
588 Lin et al
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and Clinton Countyrsquos rate decreased from 465 to 28
hospitalizations per 100 persons with asthma per year
the two largest reductions among the regional pro-
grams Niagara County reported a more modest
decrease of 423 from 385 to 222 hospitalizations
per 100 persons with asthma per year similar to the
decrease observed without the intervention On the
other hand New York City had an increase of 281
in the hospitalization rate from 1021 to 1308
hospitalizations per 100 persons with asthma per year
The hospitalization rates among asthmatics at the
initial visits and 1-year asthma revisits for FFY 2000 of
the 2000ndash2002 cycle are presented in Table 2 for the
five programs that reported complete data The two
programs that began in 1999 and were new to the
HNP Cayuga and Rockland Counties did not conduct
asthma revisits in FFY 2000 and Onondaga County
was unsuccessful in its attempts to conduct asthma
revisits therefore these programs could not be
included in this portion of the evaluation The
hospitalization rate at the initial visit for the five
programs combined was 956 hospitalizations per 100
persons per year and at the 1-year asthma revisits was
249 a decrease of 739 These five programs all
showed decreases in their rates ranging from 100 to
33 The average percent change for the five programs
was 681 a significant decrease after the HNP
intervention (plt005) The largest decreases were in
Clinton County (100 from 512 to 00 hospital-
izations per 100 persons with asthma per year) and
Niagara County (81 from 612 to 113 hospital-
izations per 100 persons with asthma per year) The
rate for New York City decreased by 586
Intermediate Outcomes
Information on cockroach infestation was collected
at both the initial visits and 90-day revisits during the
1997ndash1999 cycle (Table 3) For the seven programs
with complete data 102 of homes had cockroaches
at the initial visit After implementing controls during
the initial visit or making referrals immediately after
Table 3 Percent of homes with cockroaches at the initial HNP visits and 90-day HNP revisits (ie before and after the HNP
intervention) (programs with complete data) 1997ndash1999
Program
Initial HNP visits 90-day HNP revisits
Homes Average percentage Homes Average percentage Percent change
initial to revisita
Clinton Co 869 08 66 00 1000
Erie Co 2575 84 74 88 48
Niagara Co 2729 44 330 05 886
Oneida Co 1439 32 668 10 688
Onondaga Co 3159 217 566 144 336
Orange Co 901 139 525 56 597
Westchester Co 2951 97 238 99 21
All programs 14623 102b 2467 58 431
aThe decrease in the percent change in the seven programs was statistically significant (plt005)
Table 2 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and one-year HNP Revisits
(ie Before and After the HNP intervention) (programs with complete data) 2000
Program
Initial HNP visits One-year HNP revisitsPercent change in rate
initial to revisitbAsthmatics Rate Asthmatics Rate
Clinton Co 86 512 13 00 1000
Erie Co 46 391 38 263 327
New York City 260 1681 46 696 586
Niagara Co 369 612 221 113 815
Westchester Co 74 986 175 320 676
All programs 835 956 493 249 739
aHospitalizations include hospital admissions and ER visits
bThe decrease in the percent change in the five programs was statistically significant (plt005)
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the visit the overall percentage of homes with
cockroaches dropped to 58 a reduction of 431
The average percent change for the seven programs
was 491 a significant decrease (plt005) The
initial rate decreased 250 from 1997 to 1998 and
156 from 1998 to 1999 an average decrease of
203 This decreasing trend was smaller than the
decrease observed after the intervention The largest
percent decreases were by the Clinton Niagara and
Oneida programs (100 886 and 688 respec-
tively) in which the initial rates were relatively low
(08 44 and 32 of households respectively)
The two programs with highest percentage of homes
with cockroaches Onondaga and Orange Counties also
showed large improvements (336 and 597
respectively) Two programs Erie and Westchester
Counties showed no improvement In New York City
this information was not collected at all visits
Information collected during the 2000ndash2002 cycle
about the percent of asthmatics using a written plan for
managing asthma and using a peak flow meter are
presented in Tables 4 and 5 for FFY 2000 At the initial
visits the percentage of households with an asthmatic
who already had a written management plan ranged from
18 in Westchester County to 778 in Clinton
County with an average of 331 Five programs
Table 4 Percent of households with asthmatics with a written management plan at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention 2000
Asthma households with
a written management plan
at the initial visit
Asthmatics who did not
have plan initially with a
written management plan
at the revisit
Total with a written
management plan at
initial and revisit
Program Homes Percent Asthmatics Percent Percent
Cayuga Co 26 269 NAa mdash mdash
Clinton Co 63 778 NAb mdash 778
Erie Co 34 618 38 368 759
New York City 231 82 46 174 242
Niagara Co 297 559 221 95 601
Onondaga Co 180 272 NAa mdash mdash
Rockland Co 21 48 NAa mdash mdash
Westchester Co 56 18 175 46 63
aHad not completed any revisitsbAll households with asthmatics at the initial visit had written management plans therefore there were no additional asthmatics with
a plan at the revisit
Table 5 Percent of asthmatics using daily therapy using a peak flowmeter at the initial HNP visits and 1-year HNP revisits (ie
before and after the HNP intervention) 2000
ProgramAsthmatics using peak flow
meter at the initial visit
Asthmatics who had not
used a peak flow meter and
were using one at the revisit
Total using a peak flow meter
at the initial visit and revisit
Cayuga Co 33 NAa mdash
Clinton Co 00 NAb mdash
Erie Co 140 132 253
New York City 650 326 764
Niagara Co 230 41 262
Onondaga Co 150 NAa mdash
Rockland Co 00 NAa mdash
Westchester Co 46 NAb mdash
aHad not completed any revisits
bDid not collect this information at the revisits
590 Lin et al
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pers
onal
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collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
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After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
592 Lin et al
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onal
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asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
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For
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onal
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absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
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ter
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For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
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For
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onal
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and Clinton Countyrsquos rate decreased from 465 to 28
hospitalizations per 100 persons with asthma per year
the two largest reductions among the regional pro-
grams Niagara County reported a more modest
decrease of 423 from 385 to 222 hospitalizations
per 100 persons with asthma per year similar to the
decrease observed without the intervention On the
other hand New York City had an increase of 281
in the hospitalization rate from 1021 to 1308
hospitalizations per 100 persons with asthma per year
The hospitalization rates among asthmatics at the
initial visits and 1-year asthma revisits for FFY 2000 of
the 2000ndash2002 cycle are presented in Table 2 for the
five programs that reported complete data The two
programs that began in 1999 and were new to the
HNP Cayuga and Rockland Counties did not conduct
asthma revisits in FFY 2000 and Onondaga County
was unsuccessful in its attempts to conduct asthma
revisits therefore these programs could not be
included in this portion of the evaluation The
hospitalization rate at the initial visit for the five
programs combined was 956 hospitalizations per 100
persons per year and at the 1-year asthma revisits was
249 a decrease of 739 These five programs all
showed decreases in their rates ranging from 100 to
33 The average percent change for the five programs
was 681 a significant decrease after the HNP
intervention (plt005) The largest decreases were in
Clinton County (100 from 512 to 00 hospital-
izations per 100 persons with asthma per year) and
Niagara County (81 from 612 to 113 hospital-
izations per 100 persons with asthma per year) The
rate for New York City decreased by 586
Intermediate Outcomes
Information on cockroach infestation was collected
at both the initial visits and 90-day revisits during the
1997ndash1999 cycle (Table 3) For the seven programs
with complete data 102 of homes had cockroaches
at the initial visit After implementing controls during
the initial visit or making referrals immediately after
Table 3 Percent of homes with cockroaches at the initial HNP visits and 90-day HNP revisits (ie before and after the HNP
intervention) (programs with complete data) 1997ndash1999
Program
Initial HNP visits 90-day HNP revisits
Homes Average percentage Homes Average percentage Percent change
initial to revisita
Clinton Co 869 08 66 00 1000
Erie Co 2575 84 74 88 48
Niagara Co 2729 44 330 05 886
Oneida Co 1439 32 668 10 688
Onondaga Co 3159 217 566 144 336
Orange Co 901 139 525 56 597
Westchester Co 2951 97 238 99 21
All programs 14623 102b 2467 58 431
aThe decrease in the percent change in the seven programs was statistically significant (plt005)
Table 2 Hospitalization rates (hospitalizationsa per 100 diagnosed asthmatics) at the initial HNP visits and one-year HNP Revisits
(ie Before and After the HNP intervention) (programs with complete data) 2000
Program
Initial HNP visits One-year HNP revisitsPercent change in rate
initial to revisitbAsthmatics Rate Asthmatics Rate
Clinton Co 86 512 13 00 1000
Erie Co 46 391 38 263 327
New York City 260 1681 46 696 586
Niagara Co 369 612 221 113 815
Westchester Co 74 986 175 320 676
All programs 835 956 493 249 739
aHospitalizations include hospital admissions and ER visits
bThe decrease in the percent change in the five programs was statistically significant (plt005)
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For
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the visit the overall percentage of homes with
cockroaches dropped to 58 a reduction of 431
The average percent change for the seven programs
was 491 a significant decrease (plt005) The
initial rate decreased 250 from 1997 to 1998 and
156 from 1998 to 1999 an average decrease of
203 This decreasing trend was smaller than the
decrease observed after the intervention The largest
percent decreases were by the Clinton Niagara and
Oneida programs (100 886 and 688 respec-
tively) in which the initial rates were relatively low
(08 44 and 32 of households respectively)
The two programs with highest percentage of homes
with cockroaches Onondaga and Orange Counties also
showed large improvements (336 and 597
respectively) Two programs Erie and Westchester
Counties showed no improvement In New York City
this information was not collected at all visits
Information collected during the 2000ndash2002 cycle
about the percent of asthmatics using a written plan for
managing asthma and using a peak flow meter are
presented in Tables 4 and 5 for FFY 2000 At the initial
visits the percentage of households with an asthmatic
who already had a written management plan ranged from
18 in Westchester County to 778 in Clinton
County with an average of 331 Five programs
Table 4 Percent of households with asthmatics with a written management plan at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention 2000
Asthma households with
a written management plan
at the initial visit
Asthmatics who did not
have plan initially with a
written management plan
at the revisit
Total with a written
management plan at
initial and revisit
Program Homes Percent Asthmatics Percent Percent
Cayuga Co 26 269 NAa mdash mdash
Clinton Co 63 778 NAb mdash 778
Erie Co 34 618 38 368 759
New York City 231 82 46 174 242
Niagara Co 297 559 221 95 601
Onondaga Co 180 272 NAa mdash mdash
Rockland Co 21 48 NAa mdash mdash
Westchester Co 56 18 175 46 63
aHad not completed any revisitsbAll households with asthmatics at the initial visit had written management plans therefore there were no additional asthmatics with
a plan at the revisit
Table 5 Percent of asthmatics using daily therapy using a peak flowmeter at the initial HNP visits and 1-year HNP revisits (ie
before and after the HNP intervention) 2000
ProgramAsthmatics using peak flow
meter at the initial visit
Asthmatics who had not
used a peak flow meter and
were using one at the revisit
Total using a peak flow meter
at the initial visit and revisit
Cayuga Co 33 NAa mdash
Clinton Co 00 NAb mdash
Erie Co 140 132 253
New York City 650 326 764
Niagara Co 230 41 262
Onondaga Co 150 NAa mdash
Rockland Co 00 NAa mdash
Westchester Co 46 NAb mdash
aHad not completed any revisits
bDid not collect this information at the revisits
590 Lin et al
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For
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onal
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collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
Asthma Intervention of NY State HNP 591
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For
pers
onal
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After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
592 Lin et al
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ter
on 1
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14
For
pers
onal
use
onl
y
asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
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For
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onal
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onl
y
absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
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om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
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ter
on 1
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14
For
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onal
use
onl
y
the visit the overall percentage of homes with
cockroaches dropped to 58 a reduction of 431
The average percent change for the seven programs
was 491 a significant decrease (plt005) The
initial rate decreased 250 from 1997 to 1998 and
156 from 1998 to 1999 an average decrease of
203 This decreasing trend was smaller than the
decrease observed after the intervention The largest
percent decreases were by the Clinton Niagara and
Oneida programs (100 886 and 688 respec-
tively) in which the initial rates were relatively low
(08 44 and 32 of households respectively)
The two programs with highest percentage of homes
with cockroaches Onondaga and Orange Counties also
showed large improvements (336 and 597
respectively) Two programs Erie and Westchester
Counties showed no improvement In New York City
this information was not collected at all visits
Information collected during the 2000ndash2002 cycle
about the percent of asthmatics using a written plan for
managing asthma and using a peak flow meter are
presented in Tables 4 and 5 for FFY 2000 At the initial
visits the percentage of households with an asthmatic
who already had a written management plan ranged from
18 in Westchester County to 778 in Clinton
County with an average of 331 Five programs
Table 4 Percent of households with asthmatics with a written management plan at the initial HNP visits and 1-year HNP revisits
(ie before and after the HNP intervention 2000
Asthma households with
a written management plan
at the initial visit
Asthmatics who did not
have plan initially with a
written management plan
at the revisit
Total with a written
management plan at
initial and revisit
Program Homes Percent Asthmatics Percent Percent
Cayuga Co 26 269 NAa mdash mdash
Clinton Co 63 778 NAb mdash 778
Erie Co 34 618 38 368 759
New York City 231 82 46 174 242
Niagara Co 297 559 221 95 601
Onondaga Co 180 272 NAa mdash mdash
Rockland Co 21 48 NAa mdash mdash
Westchester Co 56 18 175 46 63
aHad not completed any revisitsbAll households with asthmatics at the initial visit had written management plans therefore there were no additional asthmatics with
a plan at the revisit
Table 5 Percent of asthmatics using daily therapy using a peak flowmeter at the initial HNP visits and 1-year HNP revisits (ie
before and after the HNP intervention) 2000
ProgramAsthmatics using peak flow
meter at the initial visit
Asthmatics who had not
used a peak flow meter and
were using one at the revisit
Total using a peak flow meter
at the initial visit and revisit
Cayuga Co 33 NAa mdash
Clinton Co 00 NAb mdash
Erie Co 140 132 253
New York City 650 326 764
Niagara Co 230 41 262
Onondaga Co 150 NAa mdash
Rockland Co 00 NAa mdash
Westchester Co 46 NAb mdash
aHad not completed any revisits
bDid not collect this information at the revisits
590 Lin et al
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For
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onal
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collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
Asthma Intervention of NY State HNP 591
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After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
592 Lin et al
J A
sthm
a D
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oade
d fr
om in
form
ahea
lthca
rec
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he U
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rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
collected comparable information at the revisits In Erie
County 618 had a written management plan at the
initial visit and 368 without a plan had one at the
asthma revisit giving an estimated total of 759
[(0618 + 0368 (10618))100] of participating
asthmatics who had a written plan 1 year after the
HNP intervention Niagara County reached 601 with
a written management plan after 1 year New York City
had 242 and Westchester County had 63 Clinton
County remained unchanged from the initial visits at
778 On average 489 of HNP asthmatics had a
written management plan 1 year after the intervention
At the initial visit the percentage of persons with
asthma using a peak flow meter was zero in Clinton
and Rockland Counties 65 in New York City and
less than 25 in all other counties with an average of
156 For the revisits this information was only
available for three of the programs Among asthmatics
who were revisited and did not use a peak flow meter
at the initial visit 326 in New York City started
using one after the initial visit 132 in Erie County
and 41 in Niagara County One year after the initial
visit the estimated percentage of asthmatics using a
peak flow meter in these three counties was 764 in
New York City 253 in Erie County and 262 in
Niagara County (average percentage 426)
Cost Analysis
Table 6 presents the monies encumbered by New
York State for each program and the cost per program
visit by program year The total monies granted were
$1248011 per year for the 1997ndash1999 cycle and
$1249367 per year for the 2000ndash2002 cycle For
1997ndash1999 the annual funds ranged from $49370 per
year to Oneida County to $353508 to New York City
For the 2000ndash2002 funding cycle the annual funds
ranged from $49370 per year to Cayuga County to
$325000 to New York City The average cost per visit
for all of the programs combined was $148 per visit in
1997 $161 in 1998 $111 in 1999 and $171 in 2000
The average cost per visit varied widely across
programs and from year to year within programs In
2000 the two new programs had relatively high costs
per visit In four of the six programs that had
participated since 1997 the cost per visit was highest
in 2000 compared to 1997ndash1999
An analysis of savings resulting from the asthma
intervention was conducted for FFY 2000 only the
first year that hospital admissions were distinguished
from ER visits in the HNP data The hospital
admission rate among asthmatics in the HNP fell from
272 to 97 (data not shown) a reduction of about
146 hospital admissions Assuming a 25 annual
decrease in the baseline hospitalization rate similar
to 1997ndash1999 (146025=36 admissions) there
were about 110 fewer hospital admissions due to
the net effect of the HNP We estimated that of the
$1249367 funds granted in 2000 approximately one-
half ($624683 a conservative estimate) was spent on
the asthma component of the program Based on
hospital discharge data collected by New York State
the cost of a single asthma hospitalization in calendar
year 2000 averaged $8230 (5) Therefore the re-
duction in hospital admissions due to the HNP re-
presents gross savings of $905300 (110$8230)
Table 6 Monies encumbered and cost per visit for 1997ndash2000 healthy neighborhoods programs
Program
Monies encumbered (dollarsyear) Average cost per visit (dollars)
1997ndash1999a 2000b 1997a 1998a 1999a 2000b
Cayuga Co ndash 49369 ndash ndash ndash 437
Clinton Co 53862 65000 163 144 211 262
Erie Co 205500 204221 232 425 157 524
New York City 353508 325000 94 169 95 134
Niagara Co 118000 125000 227 88 85 59
Oneida Co 49370 ndash 297 55 47 ndash
Onondaga Co 166467 170000 128 148 110 209
Orange Co 73000 ndash 329 144 84 ndash
Rockland Co ndash 78777 ndash ndash ndash 847
Westchester Co 228304 232000 184 250 196 208
All programs 1248011 1249367 148 161 111 171
aCayuga and Rockland Counties were added in 2000
bOneida and Orange Counties were dropped in 2000
Asthma Intervention of NY State HNP 591
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ter
on 1
029
14
For
pers
onal
use
onl
y
After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
592 Lin et al
J A
sthm
a D
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oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
After subtracting $624683 (the estimate of the cost
of the asthma intervention) from the gross savings
the net savings resulting from a reduction in asthma
hospitalizations was approximately $280617
DISCUSSION
Asthma still affects many Americans producing an
enormous impact on the quality of life of persons with
asthma and their families and placing a strain on the
medical care system In 1998 an estimated 106 million
people (39 per 1000 persons) had an asthma attack in
the previous 12 months including 68 million adults and
38 million children (6) In the same year there were
139 million outpatient visits 2 million emergency
department visits 423000 hospitalizations for asthma
and 5348 deaths due to asthma It is estimated that the
indirect and direct costs of asthma totaled $113 billion
in 1998 and hospitalizations for asthma accounted for
the largest portion of this cost (7)
Based on the National Health Interview Survey
(NHIS) the prevalence of self-reported asthma in-
creased 75 between 1980 and 1994 (1) Although the
annual age-adjusted hospital admission rates for asthma
remained stable during this period the rates increased
in states in the Northeast and were consistently higher
among blacks In 1996 and 1997 the New York State
Behavioral Risk Factor Surveillance System (NYS
BRFSS) surveyed a sample of New York adults about
asthma emergency room use for asthma and counsel-
ing on asthma management (8) At the time of the
survey approximately 87000 adults (64 of the
population) had asthma The prevalence of asthma for
women was almost twice as high as for men (81 vs
46 respectively) There was a decreasing trend in
asthma prevalence as income increased 10 for adults
with a household income below $15000 compared to
5 for adults with a household income above $50000
The prevalence of asthma among non-Hispanic whites
was 6 among non-Hispanic blacks was 8 and
among Hispanics was 10 with a significant differ-
ence between non-Hispanic whites and Hispanics
Baseline Asthma Prevalence
Based on the number of asthmatics visited in 1997
by all of the HNP regional programs the prevalence of
asthma (defined as ever diagnosed with asthma by a
physician) was about 13 This is similar to the
prevalence of asthma among non-white and Hispanic
adults (99) and children (116) from the New York
State Minority Health Survey conducted in 1997
(unpublished report) The prevalence of asthma from
the HNP (13) was also comparable to the prevalence
of 116 among minorities from the NYS BRFSS
(unpublished report 1997) These facts suggest that the
study population targeted by our HNP is similar to
other minority surveys and that the baseline prevalence
of asthma between minority groups in New York is
probably similar to that of minorities based on other
sources of data
Direct Outcomes
There is evidence that the overall HNP sponsored
by the NYSDOH resulted in improvement in asthma
morbidity Between 1997 and 1999 the average
hospitalization rate dropped 48 1 year after the
intervention (Table 1) After accounting for the decrease
in baseline rates of about 25 over this period the
decrease attributable to the program was about 23 We
found that there are large variations among the
programs in the amount of improvement in the rates
of asthma hospitalizations before and after the inter-
vention In addition the programs with a high initial
hospitalization rate showed a greater improvement after
the intervention based on the percent change from the
initial rate This variation among the programs may be
due to differences in reporting implementation of their
interventions and underlying differences in their target
populations and baseline rates In addition the initial
hospitalization rates for 1997ndash1999 were notably higher
among the programs in urban regions namely Erie
County New York City and Westchester County
(Table 1) This may indicate an urbanrural disparity
in baseline hospitalization rates
DrsquoSouza et al evaluated asthma morbidity in 69
adults from a rural Maori community in New Zealand
who participated in an asthma self-management
program (9) Six years after completing the program
the percentage of participants who made an emergency
visit to a general practitioner fell from 41 to 18 a
56 reduction without considering decreases over time
that might have occurred independently of the program
Although a reduction in asthma morbidity was
observed after 6 years the reduction was less than
that observed after 2 years The authors believe that
these findings suggest that underrecognition of asthma
symptoms and undertreatment of asthma with inhaled
steroids is a major problem contributing to asthma
morbidity in this indigenous population and that
continued reinforcement of asthma self-management
skills is necessary to maintain any benefits In a trial of
a written self-management plan for children with
592 Lin et al
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
asthma in a New Zealand community (N=110) Gillies
et al reported that after introducing the plan the
percentage of nights that children woke due to asthma
fell from 182 to 121 a 33 reduction (plt0001)
and the number of days children reported being lsquolsquoout of
actionrsquorsquo due to asthma fell from 64 to 41 a 36
reduction (plt0001) (10) The need for acute medical
treatment also fell during the intervention period with
a reduction in visits to a general practitioner of 67
In a prospective randomized controlled trial in
Canada Cote et al evaluated the effectiveness of an
asthma education program on morbidity knowledge
and compliance with inhaled corticosteroid treatment
(11) One hundred eighty-eight adult patients with
asthma needing anti-inflammatory treatment were
randomly assigned to one of three intervention groups
1) education and action plan based on peak flow
monitoring 2) education and action plan based on
monitoring of asthma symptoms or 3) control group
with no formal education This study found that asthma
morbidity decreased significantly in all groups after
1 year Although all asthma morbidity indicators in the
first group showed a larger reduction (70 for
unscheduled medical visits 83 for hospitalizations
and 75 for absenteeism from workschool) than in the
control group (67 81 and 46 respectively)
these differences were not statistically significant
Nonetheless the authors indicated that the study results
do not refute the possibility of a benefit of educational
interventions aimed at improving asthma-related mor-
bidity over a long period of time or in patients with
less optimal care or with high-risk factors In another
analysis the same researchers found that among the
patients receiving the educational interventions there
was a significant increase in the number of days per
month without daytime asthma symptoms after 1 year
(p=003) (12) In addition asthma daily symptom
scores decreased significantly in the intervention group
compared to the control group (p=0006)
In summary the available literature regarding the
evaluation of asthma interventions were conducted in
New Zealand and Canada Most of these studies found
favorable reductions in asthma indicators ranging from
33 to 83 However these studies involved popula-
tions that are not directly comparable to the HNP target
population In addition reductions due to secular trends
or other factors were not adjusted for in any of these
studies as they were in the current evaluation
Intermediate Outcomes
The intermediate indicators of asthma management
and asthma triggers showed possible improvement after
the HNP intervention although less definitive than the
improvement in the direct measures of asthma morbid-
ity For example we found that 156 of asthmatics
used peak flow meters at the initial HNP visit which is
similar to the weighted percentage of 159 from the
New York State Minority Health Survey (unpublished
report) However these baseline rates of peak flow
meter use for the HNP population are lower than those
reported by two other studies Mendenhall and Tsien
reported that 44 of 54 asthmatic study volunteers used
a peak flow meter and DrsquoSouza et al reported use by
54 of their participants (913) One year after the HNP
intervention the percentage of asthmatics using a peak
flow meter increased to 43 which is similar to the
baseline rate reported by these other studies
The average percentage of participants in the HNP
with a written asthma management plan rose increased
by 48 (Table 4) There was no literature with
comparable data by which to judge this change The
percentage of asthmatics with a written management
plan ranged widely across programs that collected
these data It is not possible to say if the HNP
intervention had an immediate effect on asthma
management As indicated by these findings this
component of the HNP intervention needs to be
monitored carefully over time to determine if the use
of peak flow meters is adequate and if it results in
improved asthma management
Other studies on the daily use of peak flow meters
have shown limited compliance and possibly a decrease
in compliance over time In a study in the United States
of 65 minority children who were instructed in the
use of peak flowmeters Redline et al found that the
percentage of days with missing diary entries increased
from the first to the third week after instruction
(plt0004) (14) Cote et al studied 26 adult asthma
patients who were instructed to monitor their peak
expiratory flow twice a day (15) They found that 63
of measurements were recorded in the first month and
50 after 12 months
During the 1997ndash1999 cycle most programs
succeeded in reducing the percentage of homes with
cockroaches (Table 3) Overall 10 of homes had
cockroaches at the initial visit and 6 had cockroaches
90 days after the intervention The initial rate is much
lower than the 366 observed in the New York State
Minority Health Survey and therefore cockroach
infestation may have been underreported in the HNP
A study of innercity children that assessed the
effectiveness of housecleaning and extermination by
measuring cockroach antigen levels found that antigen
levels were at least as high as baseline levels after 12
months (16) Because the HNP recorded only the
Asthma Intervention of NY State HNP 593
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
REFERENCES
1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
absence or presence of cockroaches in homes im-
provement was based on eliminating cockroaches
rather than reducing infestations or antigen levels in
individual homes This may have made it difficult to
detect an improvement In addition eliminating
cockroaches may be difficult and follow-up beyond
90 days may be needed to maintain improvement
Cost Analysis
Our cost analysis is limited in scope and the cost
per program visit ranged widely across regional
programs and funding years No patterns of increasing
or decreasing cost per visit emerged The cost per visit
in 2000 was relatively high for the two new programs
presumably due to start-up costs in their first year The
higher cost per visit in four of the programs may be
explained in part by the expanded goals of the 2000ndash
2002 funding cycle
We found that the HNP asthma intervention may
have resulted in a cost savings by reducing hospital
admissions due to asthma The cost of the HNP may
have been underestimated becuase in-kind support by
the local health departments was not added to the cost
based on the grant funds On the other hand if we
overestimated the cost of the asthma intervention (half
of the annual funds spent on all four interventions) the
net savings would have been even greater We also
believe that the actual net savings due to the HNP is
greater than the cost savings described above because
the savings from reductions in ER visits deaths
unplanned physician visits and work or school
absenteeism due to asthma have not been computed
in this analysis Unfortunately there are no data to
which to compare our cost analysis findings
Limitations
This evaluation has several limitations First
although a large amount of data have been collected
they have not been collected in a consistent and
standardized manner across programs and across funding
years Some outcome measures could not be compared
among all programs for all years and before and after
the intervention For this reason trends over time or
intervention effects could only be computed for some
indicators and for the program overall In addition
denominator data were not collected for some outcome
indicators Second because only aggregated data were
collected for each program improvement after the
interventions within households and specific individual
groups such as the young or elderly subpopulations
could not be assessed Third definitions of asthma
outcomes were not standardized or not consistent across
programs making it difficult to compare the effects
among them Fourth the lack of complete and reliable
data for the 2000ndash2002 funding cycle was a critical
problem For some outcome variables about half of the
programs had missing data Finally a more detailed cost
evaluation will be necessary to identify spending patterns
and expenditures for specific interventions Subsequent
cost evaluations should attempt to estimate the total cost
of each intervention of the HNP including in-kind
support from the local health departments
To better evaluate the asthma component of the
HNP information on measures of asthma morbidity
environmental triggers and asthma management need
to be collected more consistently before and after the
intervention across different programs and over time
Based on this evaluation we recommended that the
core data collected for evaluation purposes should be
standardized by NYSDOH rather than by the individual
programs This would enable us to calculate percen-
tages and rates that can be compared before and after
the intervention and across programs and program
years Since this evaluation was completed the
NYSDOH has defined the outcome measures necessary
to effectively evaluate the HNP and the programs are
using a standardized data collection instrument and
guidelines Sociodemographic and environmental data
will be gathered on all households and asthma data will
be collected for asthmatics
CONCLUSION
In summary New Yorkrsquos HNP seems to be
succeeding in reducing asthma morbidity as measured
by hospitalization rates among asthmatics who have
received the intervention The HNP was also successful
in decreasing cockroach infestation in HNP homes
although data are not complete It is not possible to say
if the programs are succeeding in educating asthmatics
in asthma management techniques due to large
proportion of incomplete data A standardized evalua-
tion methodology and instrument are necessary to
conduct a more rigorous evaluation of the HNP
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1 Centers for Disease Control and Prevention Surveil-
lance for asthmamdashUnited States 1960 ndash 1995
MMWR CDC Surveillance Summaries 199847(SS-1)30 pp
2 Institute of Medicine Clearing the Air Asthma
594 Lin et al
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y
and Indoor Air Exposure Washington DC
National Academy Press 2000 438 pp
3 Efron B Tibshirani RJ An Introduction to the
Bootstrap Boca Raton Chapman amp HallCRC
1993 436 pp
4 The SAS System for Windows Release 802 Cary
NC SAS Institute Inc 1999ndash2001
5 New York State Department of Health State-
wide Planning and Research Cooperative System
(SPARCS)Table13A 2000 Top 50 Federal
DRGs httpwwwhealthstatenyusnysdoh
sparcsannual t2000_13htm (accessed March
2002)
6 National Center for Health Statistics New Esti-
mates for Asthma Tracked News Release October
5 2001 httpwwwcdcgovnchsreleases01facts
asthmahtm (accessed January 2002)
7 National Heart Lung and Blood Institute Data
Fact Sheet Asthma Statistics Bethesda Na-
tional Institutes of Health US Department of
Health and Human Services MD January 1999
4 pp
8 Fritz PM Recer G Luttinger D Asthma among
adult New Yorkers Behav Risk Factor Surv Syst
1999 7(1)1ndash49 DrsquoSouza WJ Slater T Fox C Fox B Te Karu H
Gemmell T Ratima MM Pearce NE Beasley RB
Asthma morbidity 6 yrs after an effective asthma
self-management programme in a Maori communi-
ty Eur Respir J 2000 15464ndash469
10 Gillies J Barry D Crane J Jones D MacLennan
L Pearce N Reid J Toop L A community trial
of a written self management plan for children
with asthma N Z Med J 1996 109(1015)30ndash33
11 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Fillion A Lavallee M Krusky M
Boulet L Influence on asthma morbidity of asthma
education programs based on self-management
plans following treatment optimization Am J
Respir Crit Care Med 1997 1551509ndash151412 Cote J Cartier A Robichaud P Boutin H Malo J
Rouleau M Boulet L Influence of asthma educa-
tion on asthma severity quality of life and en-
vironmental control Can Respir J 2000 7(5)395ndash400
13 Mendenhall AB Tsien AY Evaluation of physi-
cian and patient compliance with the use of peak
flow meters in commercial insurance and Oregon
health plan asthmatic populations Ann Allergy
Asthma amp Immun 2000 84(5)523ndash52714 Redline S Wright EC Kattan M Kercsmar C
Weiss K Short-term compliance with peak flow
monitoring results from a study of inner city
children with asthma Pediatr Pulmonol 199621(4)203ndash210
15 Cote J Cartier A Malo J Rouleau M Boulet L
Compliance with peak expiratory flow monitoring
in home management of asthma Chest 1998113(4)968ndash972
Asthma Intervention of NY State HNP 595
J A
sthm
a D
ownl
oade
d fr
om in
form
ahea
lthca
rec
om b
y T
he U
nive
rsity
of
Man
ches
ter
on 1
029
14
For
pers
onal
use
onl
y