Building A High Value Health System Rifat Atun Full Chapter
Building A High Value Health System Rifat Atun Full Chapter
Rifat Atun
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Building a High-Value Health System
ii
Building a High-V alue
Health System
Rifat Atun and Gordon Moore
1
iv
1
Oxford University Press is a department of the University of Oxford. It furthers
the University’s objective of excellence in research, scholarship, and education
by publishing worldwide. Oxford is a registered trade mark of Oxford University
Press in the UK and certain other countries.
DOI: 10.1093/med/9780197528549.001.0001
This material is not intended to be, and should not be considered, a substitute for medical or
other professional advice. Treatment for the conditions described in this material is highly
dependent on the individual circumstances. And, while this material is designed to offer accurate
information with respect to the subject matter covered and to be current as of the time it was
written, research and knowledge about medical and health issues is constantly evolving and
dose schedules for medications are being revised continually, with new side effects recognized
and accounted for regularly. Readers must therefore always check the product information and
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implied, as to the accuracy or completeness of this material. Without limiting the foregoing, the
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and expressly disclaim, any responsibility for any liability, loss, or risk that may be claimed or
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9 8 7 6 5 4 3 2 1
Printed by Marquis, Canada
CONTENTS
Preface vii
Acknowledgments xi
References 217
Index 225
vi
P R E FA C E
[ viii ] Preface
This book will be of interest to other audiences as well, including busi-
ness managers, delivery system leaders, politicians and their staff, and
policymakers. Because the book is structured to catalyze strategic action,
it will assist organizational change agents in designing and implementing
plans to improve the cost, quality, and outcomes of their health system. For
all readers, we hope that the book will be useful as a primer to enable them
to plan and deliver a health system that works for them.
Using an active, learner-directed teaching method, the workbook sys-
tematically leads the reader through the steps of designing a system to fit
a population’s needs. The book lays out a general approach to analyzing
a country’s or organization’s health system performance, evaluating the
needs of the population to be served, assessing the key capacities avail-
able, and determining how to develop and implement health system design
options that fit and are feasible. Students engage in a real planning process.
The book will use case examples from across the globe to illustrate how all
health systems are constructed, operate, and succeed or fail.
In Chapter 1, we present a definition of a health system. Following
this, a distinction is drawn between a descriptive view of a system as a set
of elements comprising the inputs, structure, and processes that deliver
health outputs to a defined population and a systems analytical approach
by which we examine, interpret, and seek to understand the complex in-
terdependent, interactive, dynamic complexity of the system-in-action to
produce the outcomes predetermined by its deep structure.
We introduce our framework for analyzing a health system in Chapter 2.
The framework enables students to dissect the context, functions,
outputs, and outcomes of a national health system. The students select
a country that they will work on for the remainder of the course. They
join a small group that shares the target country. In individual and small
group work, they start a descriptive analysis of the health system of their
selected country. Their work culminates in a presentation of the struc-
ture, goals, and results of each selected country to the entire group of
students.
In Chapter 3, the students are presented with a historical perspective of
health system development. We describe four major trends in healthcare
globally over past 60 years to understand how we got to where we are today
and to identify some of the challenges that await us.
In Chapter 4, the students formulate a vision and high-level goals for
their country. In the process, they examine gaps between desired and ac-
tual outcomes in their country. By identifying strengths and weaknesses,
opportunities and threats and by putting their country through an analysis
of 12 parameters of performance, the students create a map demonstrating
Preface [ ix ]
x
the largest performance gaps, which in turn leads them to identify the
values, goals, and tentative objectives of their chosen country.
The students identify areas for change in Chapter 5. Returning to a sys-
tems thinking approach, each student identifies, describes, and justifies
a policy, structure, or process change whose projected output is an im-
provement toward a desired health system goal. The students present and
critique their ideas and identify one proposal to be carried forward collec-
tively by their small group.
Chapter 6 guides each student through a number of tests to assess their
plan’s rationale, feasibility, and likely impact. The students present their
ideas for group critique and collectively finalize one proposal that their group
will take forward for implementation.
Chapter 7 reviews major learning insights generated in the workbook
by the use of a systems thinking approach to analysis and planning. The
systems archetype called ‘The Tragedy of the Commons’ is described, and
value-for-money is redefined and enriched. Examples are given of health
system interventions that represent three change models: single-and
double-loop learning and fundamental reconceptualization.
Chapter 8 asks each student group to develop a proposed implemen-
tation plan. They examine their proposed change for its rationale, likely
outcomes, and risks and consider how to achieve strategic change to en-
sure implementation happens. This process culminates in a presentation
to the entire group, in which each small group argues for funding for their
idea. Students will act as individual policymakers and select the proposals
in which they would invest.
Chapter 9 concludes the book with a summary of the major challenges
to all health systems in middle-and high-income countries and an integra-
tion of the interventional themes available to improve them. It ends with
a summary of some suggestions of reconceptualized health systems and
the skills, tools, and roles of design leaders in improving health systems to
ensure their sustainability in the future.
[x] Preface
ACKNOWLEDGMENTS
We would like to thank our publisher, Oxford University Press, and our
editors, Sarah Humphreville and Emma Hodgdon, for helping us move
our manuscript through to publication. In addition, we greatly appreciate
the support of Harvard University’s T. H. Chan School of Public Health,
Harvard Medical School, and the Harvard Pilgrim Healthcare Institute. We
are grateful for our many students, whose study with us over the years
has stimulated the underlying educational methods in this workbook and
improved our teaching. Thank you to our colleagues who have encouraged,
participated, and critiqued our work, leading to and improving many of
the ideas and methods in this workbook. We are grateful for the many
researchers, healthcare organizations, and thought leaders who have
shared insights with us and told their stories. We especially want to thank
England’s NHS and New England’s Harvard Pilgrim Health Care, Atrius
Health, and Harvard Vanguard Medical Associates for enabling each author
to directly experience the satisfaction and tribulations of delivering primary
care services to real people. Finally, we give special thanks to Mary Ellis, a
recent honors graduate of the College of Arts and Sciences at Washington
University in St. Louis, whose diligent review, critical comments, and valu-
able insights have made this a better book.
CHAPTER 1
If I had one hour to save the world, I would spend fifty-five minutes defining the problem
and only five minutes finding the solution.
—Albert Einstein
Health System
Healthcare
Social Services
Determinants Public
of Health Health
Medical
Care
Doing Your
Part – Healthy
Behaviors and
Stewardship
I n t r o d u c t i o n t o t h e H e a lt h of a P op u l at i o n [3]
4
Higher
Economic productivity
growth and less
absence from
work
I n t r o d u c t i o n t o t h e H e a lt h of a P op u l at i o n [5]
6
I n t r o d u c t i o n t o t h e H e a lt h of a P op u l at i o n [7]
8
I n t r o d u c t i o n t o t h e H e a lt h of a P op u l at i o n [9]
01
I n t r o d u c t i o n t o t h e H e a lt h of a P op u l at i o n [ 11 ]
21
is, doing all the right things in steering, braking, and throttling up and
down—and it must be efficient: potential performance is lost when parts
are worn, the transmission does not work efficiently, and tuning is not
optimal.
Like all systems, health systems are built in such a way that its under-
lying structure determines how it generates and expresses its results; the
health system releases its performance in a way that is latent in its struc-
ture. Someone designed parts of it, science advanced its capacities, and it
evolved through many large and small iterations to its current complex set
of people, processes, and things.
I n t r o d u c t i o n t o t h e H e a lt h of a P op u l at i o n [ 13 ]
41
Epidemiological
Demographic Political
Governance and
organisation
Public Health
Services
Financial Legal/
Technological Financing
protection Regulatory
Personal Health
Services
User
Effectiveness Responsiveness satisfaction
Resource
management
Economic
Ecological
Sociocultural
A s s e s s i n g t h e H e a lt h S y s t e m of a C o u n t r y [ 17 ]
81
For simple systems, flow models offer easy ways to characterize inputs,
structures and processes, and outputs. Such flow diagrams are like
snapshots of the parts of a system. As systems increase in complexity,
such models no longer suffice. They suffer from the limits of information
processing capability of the human mind, which adapts to complexity by
reducing the amount of information used, creating simple cause–effect
mental maps, and generating a number of static options when making
decisions. This limitation means that feedback structures, nonlinearities
in systems, and the delays between actions and their consequences are
ignored.
Decision-making in health systems is characterized by detail com-
plexity. To understand systems, a designer decision maker must have a way
to understand its moving parts, interactions, interdependencies, timing
delays, external influences, and feedback from outside the boundaries of
the system itself.
Systems thinking is a tool to understand a complex system. Its basis is
a type of analytic frame called systems theory, which was invented a cen-
tury ago to enable designers to understand a system in dynamic motion,
rather than merely as a set of component parts. Systems thinking is “a
way of thinking about, and a language for describing and understanding,
the forces and inter-relationships that shape the behavior of systems.”8p6
The essence of systems thinking is a way of looking that facilitates un-
derstanding the interconnectedness and behavior that characterizes the
system as a whole rather than its individual component parts. With sys-
tems thinking, a designer can visualize patterns of change in systems and
A s s e s s i n g t h e H e a lt h S y s t e m of a C o u n t r y [ 19 ]
02
range of outputs. Those functions, and the structural design in which they
operate, can be modified by policies. They also interact in a dynamic manner
to produce a set of outputs in the form of public health and personal health-
care services for citizens, with varied levels of effectiveness, efficiency, eq-
uity, and responsiveness. These outputs, in turn, produce population-level
outcomes of health, financial protection, and user satisfaction.
The framework used in this chapter can be used to understand and ex-
amine how a health system works. It enables analysis of health systems
from contextual factors affecting health system functions to health system
outputs (public health and personal health service delivery) and outcomes
(population health, financial protection and user satisfaction). This frame-
work can also be used as a tool to analyze a health system’s performance, as
an evaluative instrument to assess effects of enacted policies or changes in
health system functions, or as a formative tool to develop and test future
policies or scenarios. The analytical framework has been used in single-
country and multicountry analyses and to inform health system reforms.16
Individual Assignment
Each student should pick a country from the following list. The best choice will
blend three criteria: a country with which you are familiar, one that you are es-
pecially interested in learning about, and a country that you share with at least
one other small group of students.* You will still have an opportunity to switch
your choice after the small group meeting, coming up next in this chapter. The
country choices are
• Brazil
• Germany
• South Africa
• South Korea
• The Netherlands
• Turkey
• United Kingdom
• United States of America
Prior to the first small group meeting, each student will work independently
to apply the framework to the country of their choice. Table 2.1 provides a format
for keeping track of your observations and initial impressions. As you apply the
framework to your selected country, your first impressions of its strengths and
problems are useful. Use Table 2.1 as instructed to make notes prior to the small
Impressions of
Strengths and
Notes Weaknesses
Context
Functions
Governance/organization
Financing
Resource management
Objectives
Equity
Efficiency
Effectiveness
Responsiveness
Goals
Health
Financial Protection
National satisfaction
Context abbreviations, in order: D, demographic; E, epidemiological; P, political; L, legal and regulatory; E, eco-
nomic; S, sociocultural; E, ecological, T, technological
2
group meeting. You will return to this chart, or a copy, at several points in later
chapters.
Context
When introducing health system reforms, the context of the existing health
system is vitally important for reformers, policymakers, and change-makers
to consider. Even when there is ample evidence of the benefits of a policy
or an intervention, contextual factors influence these policies and affect
their introduction and scale-up. Specifically, analysis and understanding of
context can help provide legitimacy to new policies, reveal important his-
torical antecedents, offer insight into political systems, and provide an un-
derstanding of the influence of sociocultural norms (which affect cognitive
and normative legitimacy of policies). Technological innovations (such as
digital social media for mass communication) can create new possibilities
for interventions into health systems and influence the introduction and
scale-up of policies. Critical events (such as regime change in governments,
economic crisis, rapid economic growth, natural disasters, and epidemics)
create external shocks on health systems that may facilitate or hamper
change.
In our framework, we define context in terms of factors that individ-
ually and through their interactions influence the trajectory of change in
health systems for better or for worse. For example, ecological changes
can lead to adverse health effects from generation of environments con-
ducive to emergence of new infections, floods, heatwaves, water shortage,
landslides, and exposure to ultraviolet radiation or pollutants. Ecological
changes can also lead to ecosystem-mediated health effects such as altered
infectious disease risk (e.g., emergence of zoonoses—infectious diseases
that are transmissible from animals to humans through direct contact
or though food, water, and the environment), reduced food yields that
lead to undernutrition and stunting, depletion of natural medicines, and
worsening mental health. Further, ecological changes can produce indirect
health effects such as those due to population displacement from injudi-
cious deforestation, conflict, and forced migration.
Some contextual factors are facilitators of positive change. As an ex-
ample, technological changes create major opportunities for health sys-
tems to achieve systems goals and objectives. For example, digital data
have made it possible to collect large amounts of clinical, socioeconomic,
demographic, lifestyle, health behavior, and genetic data on individuals
and populations and to create large data sets from such multiple sources.
1. What are the most important changes, positive or negative, among the
eight context categories?
2. How are these changes affecting the health system?
3. What is the likely magnitude of these changes on the health system?
4. How and when will these changes impact the health system?
5. How certain is the likely impact?
6. Which of these changes create opportunities and which create threats
to the health system?
A s s e s s i n g t h e H e a lt h S y s t e m of a C o u n t r y [ 23 ]
42
Legal The delays from existing rules and regulations at a time of national
urgency
Sociocultural norms Attitudes toward death and dying and the value of intensive
medicine for the old and frail
Technology Travel; digital data; data analysis and modeling; social media;
communications; new diagnostics; technology-enabled testing and
tracing systems; integrated supply chains
Context Categories
Contextual
Factors Descriptive Parameters Examples of Parameters Used
Demographics
A s s e s s i n g t h e H e a lt h S y s t e m of a C o u n t r y [ 25 ]
62
Key Questions
How does the nation’s demographic profile affect the health system?
How are the general population dynamics changing in the country of
analysis in relation to infant mortality rate and total fertility rate?
How are the general population dynamics changing in relation to
average life expectancy at birth, population age structure, and
population size?
What are the levels of urban and rural populations? What are the ur-
banization trends?
What are the trends in relation to immigration and emigration in and
out of the country?
What are the implications of the demographic transition on the
health system?
Epidemiological Factors
What is the epidemiologic profile of the nation and how does it im-
pact the country and its health system?
How is the epidemiologic profile changing?
How are mortality levels changing in the population and population
subsegments (infant mortality, maternal mortality, mortality
levels of major chronic diseases)?
Which conditions are rising or falling in incidence or prevalence (for
key noncommunicable and communicable diseases)?
How is the prevalence of risk factors for chronic diseases changing
(e.g., smoking and obesity) in the population or in population
groups?
How are social determinants of health changing in the population or
in population subgroups?
Political Environment
Key Questions
A s s e s s i n g t h e H e a lt h S y s t e m of a C o u n t r y [ 27 ]
82
What is the capacity of the political system for innovation and change
in health systems?
At what level are decisions affecting health made (e.g., national, state,
province, municipality, city, institution)?
Key Questions
What important laws of the country affect the health system (e.g.,
laws on data privacy, anticompetitive marketplace interference,
and workforce accreditation)?
What international treaties to which the country is signatory
are likely to affect the health system or health policies (e.g.,
the United Nations’ treaties on human rights, the Framework
Convention on Tobacco Control, treaties governing the World
Trade Organization)?
What bilateral, multicountry, or regional trade agreements has the
country entered into that may affect health?
Economy
Sociocultural Dynamics
A s s e s s i n g t h e H e a lt h S y s t e m of a C o u n t r y [ 29 ]
03
Key Questions
Ecological Changes
Ecological changes relate to the status of and changes in the physical and
ecological environment affecting health. These include degradation, deple-
tion, and destruction of natural systems that lead to, among others, loss in
biodiversity, decline in availability of ice-free and desert-free surface land
resources and natural forests, diminishing fresh water resources, increased
salination of fresh water stores, rising amounts of liquid and solid waste
that are not effectively managed, increased acidification of oceans, at-
mospheric aerosol loading, stratospheric ozone depletion, and, most con-
cerning of all, global warming and climate change, which exacerbate these
aforementioned changes.
Key Questions
Technological Changes
This category assesses the state of technology in the country, the rate and
direction of technological developments that relate to advances shaping
health systems and their adoption. Categories include, but are not limited
to, scientific advances in life sciences (genetics, genomics, systems biology,
Key Questions
Prior to the small group meeting, the course administrator or the teaching
fellow should prepare the logistics. They should elicit each student’s choice
of a country to study, assign the group into work teams of about four to six
students each, inform the students about their workgroup, and distribute con-
tact information.
This small group exercise can be conducted virtually or in person and will
last approximately two hours. This exercise is aimed at enabling the students to
apply the following analytic framework to explore how key context factors are
changing, to identify major trends and contextual shifts, and to ascertain how
these shifts may impact the health system to create opportunities and threats.
The objective is both to refine each student’s understanding of contextual factors
and to begin to shape among small group members a consensus on the contex-
tual changes and major contextual shifts and how these changes and shifts are
A s s e s s i n g t h e H e a lt h S y s t e m of a C o u n t r y [ 31 ]
23
affecting health systems. This exercise will be followed by another period of self-
study of the 10 other attributes of their health system.
The exercise consists of four steps, which are described next and should be
undertaken as a team process. A single student should be assigned to take the
lead in filling out each of the three tables. That person should lead the discussion
of that section.
In this step you will continue your group work to identify the nature of the
contextual shifts (e.g., rapid, one-off, or slow-incremental), the likely mag-
nitude of the impact of these shifts on the health system, the timing of the
impact, and the certainty of the shift and impact. Once you have answered
the following questions, you can map your answers in Table 2.5.
Ask the following questions to inform your analysis:
Demographic 1.
2.
3.
Epidemiological 1.
2.
3.
Political 1.
2.
3.
Legal and 1.
Regulatory 2.
3.
Economic 1.
2.
3.
Socio-cultural 1.
2.
3.
Ecological 1.
2.
3.
Technological 1.
2.
3.
4. When will these shifts impact the health system? Estimate the likely
timing of impact (short-term is 1–3 years, medium-term is 4–10 years,
and long-term is >10 years).
5. How certain is the likely impact? Estimate the likelihood of change and
impact. For example, aging is fairly certain, prolonged economic crises can
be predicted with medium certainty, and earthquakes (unless you live near
a geological fault) are low certainty, although they might have high impact.
A s s e s s i n g t h e H e a lt h S y s t e m of a C o u n t r y [ 33 ]
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ainoastaan leikkiäkseen ilkeätä leikkiä. Ja tuon kuukauden aikana,
johon sisältyy toivotonta rakkautta, siveellisiä lankeemuksia, oman
morsiamen pettämistä, vieraitten, hänen kunniallisuutensa varaan
uskottujen rahojen anastamista, — syytetty kaiken lisäksi joutuu
miltei raivon ja vimmastuksen valtaan ainaisesta
mustasukkaisuudesta, ja ketä kohtaan, — omaa isäänsä kohtaan! Ja
pääasia on, että mieletön ukko koettaa houkutella ja viekoitella
hänen intohimonsa esinettä niillä samoilla kolmellatuhannella, joita
poika pitää äidinperintönään ja joiden anastamisesta hän soimaa
isää. Niin, minä myönnän, että tämä oli raskasta kantaa! Tässä
saattoi todella sairastua maniaan. Ei ollut kysymys rahoista, vaan
siitä, että juuri noilla rahoilla niin inhoittavan kyynillisesti tahdottiin
särkeä hänen onnensa —
8.
Tutkielma Smerdjakovista
— Mistä ensiksikin on johtunut se, että tuollainen epäluulo
ollenkaan on voinut syntyä? — tällä kysymyksellä Ippolit Kirillovitš
aloitti. — Ensimmäinen, joka huudahti, että Smerdjakov oli murhaaja,
oli syytetty itse vangitsemisensa hetkellä, mutta hän ei ole
kuitenkaan tuosta ensimmäisestä huudostaan lähtien aina tähän
hetkeen asti esittänyt syytöksensä tueksi ainoatakaan tosiasiaa, —
eipä edes jossakin määrin inhimillisen järjen mukaista viittaustakaan
johonkin tosiasiaan. Sitten on tämän syytöksen esittänyt ainoastaan
kolme henkilöä: syytetyn molemmat veljet ja rouva Svetlov. Mutta
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kiistämättömän mielenhäiriön ja kuumeen vallassa, kun taas tätä
ennen koko kahden kuukauden ajan, kuten varmasti tiedämme, hän
on täydelleen ollut vakuutettu veljensä syyllisyydestä eikä ole
koettanutkaan väittää mitään tätä ajatusta vastaan. Mutta tästä
puhumme erikseen myöhemmin. Sitten ilmoitti syytetyn nuorempi
veli meille äsken itse, ettei hänellä ole mitään tosiasioita esitettävänä
sen ajatuksensa tueksi, että Smerdjakov on syyllinen, ei
pienimpiäkään, ja että hän on saanut tämän käsityksensä
ainoastaan syytetyn sanoista ja »hänen kasvojensa ilmeestä», —
niin, tämän suurenmoisen todistuksen lausui hänen veljensä äsken
kahdesti. Rouva Svetlov taas lausui kenties vieläkin
suurenmoisemmin: »Mitä syytetty teille sanoo, sitä uskokaa, hän ei
ole niitä miehiä, että valehtelisi.» Tässä ovat noiden kolmen
henkilön, joita syytetyn kohtalo perin läheisesti koskee, kaikki
tosiasialliset todistukset Smerdjakovia vastaan. Ja kuitenkin syytös
Smerdjakovia vastaan on pysynyt vireillä ja levinnyt ja elää yhä, —
voiko sitä uskoa, onko se ajateltavissa? —
9.