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Despite increased prominence and funding of global health initiatives, attempts to scale up health services in developing countries are failing, with serious implications for achieving the Millennium Development Goals. A new paper argues that a key first step is to get a more realistic understanding of health systems, using the lens of complex adaptive systems.

Much ongoing work in development and humanitarian aid is based on the idea  of ‘scaling up’ effective solutions. Healthcare is one of the areas where this idea has played a central role – from WHO’s Health for All in the 1960s to UNICEF’s child healthcare programmes, from rolling out HIV-AIDS, malaria and TB treatments to the package of interventions delivered to achieve the Millennium Development Goal on health.

However, despite the fact there are many cost-effective solutions to health problems faced in developing countries, many agencies are still frustrated in their attempts to deliver them at scale. This may be because of a widepread failure to understand the nature of health systems.

Melissa Leach, director of the superb STEPS Centre, has described health systems as:

complex systems made up of networks of many heterogeneous components that interact non-linearly. While pathways of change can be shaped by governance and are influenced by path dependencies, they are not entirely controllable or predictable; there will always be uncertainties and unintended consequences and new ‘emergent’ interactions and behaviours.’

If we accept this eminently sensible description, then it is little wonder that scaling up efforts continue to be frustrated. The paper by Ligia Paina and David H Peters, published in Health Policy and Planning in August, argues that there is a drastic need for a shift in thinking:

…from the current models around scaling up health services, which revolve around linear, predictable processes, to models that embrace uncertainty, non-linear processes, the uniqueness of local context and emergent characteristics.”

Their argument is supported by the fact that existing assumptions about the nature and hoped-for successes of scaling up have led to a lot of disappointments. Moreover, these efforts ‘offer little insight on how to scale up effective interventions in the future.’

The paper explores 5 concepts of complexity science, illustrated below.


All of these ideas carry relevant lessons for the design, planning, implementation and evaluation of health policy and programmes. As the authors conclude:

The implications include paying more attention to local context, incentives and institutions, as well as anticipating certain types of unintended consequences that can undermine scaling up efforts, and developing and implementing programmes that engage key actors through transparent use of data for ongoing problem-solving and adaptation.”

The authors close with a proposal that future efforts to scale up should adapt and apply complex systems models and methodologies which have been used in other fields but which remain underused in public health. These include network scinece approaches, modelling techniques, and tools to better understand systems dynamics.

The potential benefits are clearly stated:

This can help policy makers, planners, implementers and researchers to explore different and innovative approaches for reaching populations in need with effective, equitable and efficient health services.”

These ideas are already being applied in practice, The authors are involved in a capacity strengthening programme on complexity and health systems in China. Separately, the WHO has published a guide to using systems analysis in health systems strengthening, which builds on a number of the concept described above.

These are all fascinating developments, and suggest that health may be a key area where the ideas from complexity science can prove of tangible value for development and humanitarian work.

Interested readers can hear an podcast about the article here, with David Peters talking about his ideas and experiences (and me saying a few words about the history of complexity science and the relevance for health efforts.) David has also blogged about it here.

Previous Aid on the Edge posts relevant to this topic include MDGS and theories of change, Scan HIV-AIDS Globally, Reinvent Locally and How do you solve a problem like malaria?.

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The international development sector has been in a tug of war around the ‘results agenda’ for the past few months. This post explores the tensions and suggests a way to bring the sides together by focusing on the relevance and appropriateness of different approaches.*

I: The Results Tug of War

Development results is one of many areas where discussion and debate seem increasingly polarised. On one side of the results tug of war are those calling for more and better results, more rigour in analysis and more discipline in reporting. The failure of development, they argue, is basically about the failure to focus on results. ‘Modern management techniques’, especially those that are embodied by ‘results-based management’ are seen as the answer.

On the other side are those who argue for a ‘push back’ against this approach. Such reductionist approaches are seen as only suitable for certain kinds of development interventions, and that at their worst, these approaches inhibit the creativity and innovation needed to achieve results in the first place. The danger here is that we throw out the results baby with the reductionist bathwater (see here for a previous Aid on the Edge post on this).

What is increasingly evident is that, in the diverse and dynamic aid landscape we face today, all agencies attempting to genuinely strengthen accountability and learning face a number of common challenges. This is a preliminary list, I am sure readers will be able to think of more.

  • Data availability, coverage and quality are perennial problems
  • Participation and ownership - as Robert Chambers might ask: ’whose results count?’
  • Incentives and disincentives to use information and results, especially when they run counter to individual and institutional interests
  • Bureaucratic inertia: all too often results-related work is placed on top of and increases the already considerable bureaucratic and administrative burden on aid agencies, rather than simplifying and reducing it
  • Risks and fear of failure: How can we manage and be transparent about the different kinds of risk failures inherent to development projects & programmes?
  • Many conflicting imperatives: learning vs accountability, policy vs operations, domestic vs international

The key point is that these apply equally to both sides of the results tug of war. As a result, a lot of effort is being wasted, with problems being dealt with in entrenched intellectual silos rather than in a collective manner.

So what to do to move beyond the ‘tug of war’? I would argue that a first step would to think about how to bring the different results approaches together to establish a more constructive dialogue. What is needed is a more flexible and differentiated approach to results, one which takes account of the diversity of the development and humanitarian portfolio.

II: A Draft ‘Portfolio of Results’ Framework

What might such a portfolio-based approach look like? There are a number of useful approaches from academia, civil society and business strategy that can help here. These include Brenda Zimmerman’s simple-complicated-complex distinction, the Cynefin framework of Cognitive Edge, work done by Alnoor Ebrahim at Harvard University, work done by Eliot Stern on relevance of different approaches to impact assessment and finally a recent model put forward by Patrick Moriarty of IRC.

All of these suggest in their different ways that appropriate strategic approaches (and by extension, results approaches) need to be based on:

(a) the nature of the intervention we are looking at, and

(b) the context in which it is being delivered.

Reading across these approaches we can suggest a preliminary framework which may prove useful in bringing together different results approaches in a productive and mutually beneficial way.

First, imagine an agencies projects and programmes being distributed across a spectrum of the ‘nature of interventions’, placing relatively simple interventions on one end, and more complex issues, at the other.

Then let’s add in a vertical axes on context. Again, think of a spectrum, this time from stable / identical to dynamic / diverse.

This gives us a 2 by 2 framework for analysing and mapping different development interventions - in effect, this is a draft ‘portfolio of results’ framework. Where an intervention is positioned on this framework has implications for the kinds of results orientation we can take, as shown below.

In the top left corner of simple interventions in identical stable settings, is the Plan and Control zone – here ‘traditional’ results-based management approach, conventional value for money analyses and randomised control trials work well.

The bottom right corner of complex interventions in diverse, dynamic settings is what I have termed Managing Turbulence – here the philosophy is less ‘Ready, Aim, Fire’ (as in the Plan and Contol zone) and more ‘Fire, Ready, Aim’. Here we need to learn from the work of professional crisis managers, the military and others working in dynamic and fluid contexts.

In between is what I have called Adaptive Management, where either because of the nature of the intervention or the nature of the context, multiple parallel experiments need to be undertaken, with real-time learning to check their relative effectiveness, scaling up those that work and scaling down those that don’t.

III: Applying a Portfolio of Results Approach: A health-focused illustration

By way of illustration, let’s look at three health interventions – vaccines, HIV-AIDs, and rebuilding national health systems. I would argue that they could be distributed on the matrix something like this.

So if we are looking at simple interventions in a stable / identical environment, or what might be called the plan and control domain, randomised control trials, traditional cost-based ’value for money and results-based management approaches work great. Vaccines are perhaps the best example here. And as the ongoing MSF campaign on reforming GAVI suggests, a focus numbers and bean-counting can be of vital importance to ensuring effectiveness.

But we may find ourselves managing interventions that are more complex, in stable contexts. We can also think about situations where the intervention is simple but the context is dynamic. In both of these instances we may need to move away from blueprints towards a more adaptive management approach, trying out multiple parallel experiments and monitoring progress and rates of success and adapting to context. In HIV-AIDS responses, the optimal mix of responses is key and almost always locally determined (see previous Aid on the Edge post here). Also increasingly relevant are global malaria responses which need to adapt to the changing patterns of incidence and the evolution of resistance (ditto here).

Finally, in environments where our interventions are complex and the context is dynamic and diverse, we have to take a leaf out of the book of those who work in high risk environments – professional crisis managers, military and so on. Programmes to rebuild health systems, especially in fragile states, are a good example here. Here we need to be doing action research, real-time assessments and learning by doing.

This is not a rigid framework and there is overlap between the different areas. But different approaches to results can be shown to be more or less effective in different domains. In general terms, you can do a detailed RCT in the bottom right quadrant, but it may be a thankless task and not the best use of resources. You can do an RCT in the top right quadrant, but it could well prove to be a necessary but not sufficient condition for success. And so on.

(This also helps think about the concerns of one side of the tug of war – that there is a pressure to push development to the top left domain, and a widespread misapplication of the top-left tools for the other domains.)

Obviously this is a preliminary framework based on reflection and discussion, and is open to critique and debate. The key principle is that a more nuanced approach to results will have to be based on a systematic assessment of, at a minimum, our interventions and the context we are working within.

IV: Taking the Results 2.0 agenda forward

This kind of framework can also be used to think strategically about our overall portfolio of projects and programmes. How is our overall spend allocated between these ‘domains’? What are the implications for risk? I think there is a useful analogy with investment portfolio managers are used to diversifying their portfolios in order to reduce their exposure (see diagram below).

We urgently need to develop new ways of analysing the different elements of our portfolio. Through this we can start to unpack and understand the diversity of our efforts, and ensure we don’t take a ‘one-size-fits-all’ approach to results and all that entails.

There are a number of follow-on issues about how we might take this area of work forward.

  • We will need to refine or adjust the draft ‘portfolio of results’ framework, based on more in-depth analysis, discussion and debate. Of course, we may need something completely different to what is proposed here (all feedback, however critical is warmly welcomed!), but the key is that we need something to bring diverse constituencies and approaches together.
  • We need to think about which sectors are amenable to a portfolio type  approach to results, where we can pilot a ‘Results 2.0 process’ and we need to think about what new kinds of tools and methods might be required. I think health would be a great sector to start on.
  • Different kinds of interventions will need different kinds of information, which will call for different tools for managing this information. New kinds of tools and techniques will be necessary. Importantly, these should help to consolidate and simplify, rather than just increase, the reporting and administrative burden on the sector.
  • We urgently need to think about how this affects development communications, and how we can start to develop more sophisticated framing and messaging of positive and negative results, based on the different elements of our portfolio. This will be perhaps the hardest part of this new results agenda, as it means that we will have to tell our key stakeholders things like ‘we don’t know’, or even worse, ‘we failed’. This may mean riding with punches in the short-term. But this will also mean we will need to think hard about what different stakeholders expectations are, and how they can be best met. The overall legitimacy and sustainability of such efforts demands greater involvement of national governments, civil society and poor communities.

I want to close with this thought from a cross-country study of results-based  management looking at Western countries – that results are not an end in themselves, but are a means by which to establish trust in the system. I would add: and within the system.

Because we do so many different things in development, we have to do different things to earn trust of our diverse constituencies. (We may also have to accept that in some quarters, trust will never be established, but that is another story.) What we cannot do is move forward without finding ways of trusting each other, whatever our methodological or conceptual background and prejudices.

Bringing our diverse opinions and ideas together to test their relevance and appropriateness seems like an essential first step.

* This is the summary of a talk I gave at the June 2011 IDS-ODI roundtable on results with the UK Secretary of State Andrew Mitchell, revised following useful comments from participants. Special thanks go to Robert Chambers and Simon Maxwell for thoughtful and constructive feedback.

Fellow participants have also blogged on the meeting:

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Big thanks to Alanna Shaikh and Bill Brieger for feedback and comments.

Debates about malaria eradication in the aid blogosphere, along with recent scientific evidence, highlight the urgent need to improve our understanding of the complex dynamics of this terrible affliction and to use it to adapt ongoing eradication programmes.

A nearly hopeless case?

According to the WHO, one in every five childhood deaths in Africa is due to the effects of the disease and an African child has on average between 1.6 and 5.4 episodes of malaria fever each year. A child dies every 30 seconds of malaria. The latest estimate from the 2010 World Malaria Report is that in 2009 the disease killed almost 800,000 people and afflicted 225 million others. And while a 2009 global malaria risk map suggests that while risks are worst in Africa, there are  clear indications of dangers in many other countries too.

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Last week Chris Blattman posted a justifiably scathing response to an article in Guernica, which had suggested that attempts to eradicate malaria are ‘nearly hopeless‘, and that current global attempts to do so are doing more harm than good.

Chris put forward an eloquent and moving counter-argument which included the following points (a) disease eradication is one of the few successes of big aid (b) we can’t simply let malaria take its toll and do nothing (c) presenting malaria as a symbol of African honour – as the Guernica article does – is at best inaccurate and misleading and (d) development is the key to successful eradication.

Many (myself included) would agree wholeheartedly. Evidence suggests that the cessation of malaria control programmes can lead to severe epidemics, as in Swaziland in 1984-85, or Madagascar in 1987-88. Shortfalls in ongoing responses have also led to resurgences in Zambia and Rwanda. Much of what is presented in the Guernica article can be dismissed as bizarre, confused or just plain wrong. However, one point made is worth looking at in more detail.

Premature pronouncements and cheap mainstays

The author suggests that current approaches to malaria tend to be narrowly focused on a limited number of technical solutions, or the search for such solutions. Think bednets, drugs or the investment in the development of vaccines.

In fact, this narrowness in the focus of malaria programmes appears to have been a relatively constant feature over the last 40-50 years. In 1969, the Pearson Commission (the source of the ubiquitous 0.7% of GDP aid target for donor countries) pronounced the disease ‘virtually eliminated’. Today it is hard not to see this declaration alongside Chamberlain’s ‘peace for our time’ as one of the most premature statements ever (as well as a little disingenuous from the standpoint of developing countries).

A 2008 Lancet review cited in Malaria Matters tells us more about the failures of the first eradication effort:

[the 1960s eradication campaign] was far too monodimensional, relied too much on DDT [insecticide] spraying, and  neglected the palpable problem that the delivery infrastructure was not  in place in too many parts of the malarious world.”

It goes on:

The emergence of widespread mosquito resistance to DDT, and parasite resistance to the cheap mainstay of therapy compounded the difficulties.” (emphasis added)

In short, narrowness of responses allowed evolutionary dynamics to play out at various levels, changing the efficacy of those responses. This problem has not gone away. As clinical microbiologists Richard Carter and Kamini Mendis see it, for the most part, the types of tools that are available and are used for malaria control today are the same as those which were available during the ‘virtual elimination’ era.

This point does need some nuancing. There was one approved insecticide during the first eradication effort, whereas there are now a dozen. The use of treated nets – which weren’t around in the 1960s – has been responsible for large drops in some countries. But even in those countries there is growing acknowledgement of the need for a better combination of responses to make further progress. ‘Cheap mainstays’ will not do the trick. As noted on Malaria Matters:

The malaria lifecycle is complex, and health systems designed to deliver malaria interventions [are] equally complex (and challenging), which means we cannot and should not expect a magic bullet in the near future.

If we want to better understand the complexity of malaria, a good place to start would be to understand the evolutionary dynamics at play.

Exploring evolutionary dynamics

Resistance to responses – whether among mosquitoes or the parasite itself – has been identified as an evolutionary phenomenon. Biology 101 tells us that all populations of organisms display genetic variation across members which enable some to handle particular environmental stresses and opportunities better than others. Natural selection has been shown to favour the evolution of pathogen populations that can resist the drugs and insecticides in their environments.

As the Lancet article cited above notes, resistance has evolved at two distinct levels. The malaria parasite evolves, developing drug resistance. One team of researchers has found that “Drug development programs exhibit a high attrition rate and parasite resistance to… drugs exacerbate the problem. Strategies that limit the development of resistance and minimize host side-effects are therefore of major importance.”

Specific parasites also adapt at the molecular level, according to the antibodies encountered in the host’s immune system. There is also the prospect of inter-species infections, whereby – for example – parasites mainly responsible for malaria among chimpanzees find ways to adapt to new human hosts, facilitated by greater human penetration of forest environments.

Mosquitoes also evolve to adapt to changing physical environments, human behaviour and pesticides. As described by Bill Brieger on his excellent Malaria Matters blog:

…Resistance to insecticides in [a mosquito sub-species] is receiving increasing attention because it threatens the sustainability of malaria vector control programs in sub-Saharan Africa. An understanding of the molecular mechanisms conferring… resistance gives insight into the processes of evolution of adaptive traits and facilitates the development of simple monitoring tools and novel strategies to restore the efficacy of insecticides…”

There have been numerous calls for more studies into how insects exposed to pesticides undergo strong natural selection and develop various adaptive mechanisms to survive.

Of course, human populations have also have co-evolved with malaria, and developed different kinds of resistance. The protective effects of the sickle cell trait is certainly the best known example, but there are others that have been identified, including genetic variations in the populations of Thailand and New Guinea which prevent against malaria-induced miscarriages. However, humans adapt genetically less quickly than the malaria parasite or the mosquito – waiting for or relying human evolution of resistance (as the Guernica piece seems to imply) is clearly not an adequate fall-back option.

Professor Karen Day, who has studied the historical evolution of malaria, is clear about the importance of this line of inquiry:

…From Ronald Ross’s discovery that malaria is transmitted by mosquitoes came the idea that we could control malaria by impacting the life span of the mosquito. If we can better understand the evolution and diversity of malaria, we may find an Achilles heel in the parasite or new ways to thinking about control….”

Slow take-up, slow scale-up?

However, while there is some basic research attempting to bring an understanding of evolutionary dynamics to the design of better drugs, pesticides, and even vaccines, there are still questions as to whether this knowledge is ready to be applied in programmes and at the necessary scale. The overall global malaria response may still be relatively limited in terms of its repertoire of responses.

For example, a 2009 study notes that the Global Malaria Action Plan (GMAP) of the Roll Back Malaria initiative sought to spray 172 million houses annually, and distribute 730 million insecticide-impregnated bed nets. The study concluded that if this was implemented with existing insecticides, with no acknowledgement of the scope for evolutionary response, the program would create unprecedented opportunities for the development of resistance among mosquitoes, and may also create new variants of mosquitoes.

The World Malaria Report 2010 shows that global efforts to prevent malaria through bednets and sprays reduced cases from 233m in 2000 to 225m in 2009 and 985k deaths in 2000 compared to 781k deaths in 2009. However, tellingly, the statistics also show that several African countries saw a resurgence of the disease – in part because of resistance and changing contextual factors.

Researchers at Maastricht University have argued that a fundamental issue is that much malaria modelling does not take into account evolutionary dynamics. By modelling global malaria as a complex adaptive system, the researchers have been able to review the efficacy of malaria strategies, and were also able to assess the potential implications of climate change.

Overall, their conclusion was that continued changes in human behaviour (such as in agricultural methods or urbanisation, which presents its own set of challenges), as well as human impact on the environment, will mean malaria will continue to evolve and confound current interventions in areas of high prevalence. They also make a complementary point to Professor Karen Day’s – eradication and control strategies that do not take account of these complex evolutionary dynamics may well make things worse, and could ‘substantially exacerbate the significance of malaria in coming decades’.

Some of these fears may be becoming reality. An article published in Science magazine in October 2010 suggested that the mosquito strain that is responsible for most disease transmission is in the process of rapidly evolving into two genetically distinct species. The hypothesis is that the two species are evolving in different directions in reaction to differences in environment and the challenges they face. The Imperial College researchers confirmed fears that this development is likely undermine efforts to control and treat malaria – conventional strategies are unlikely to be effective against both strains.

So what?

Forty years ago, malaria eradication failed at least in part because of a lack of diversity in the mechanisms employed, and the related evolution of resistance. Although global responses are broader than before, there are still questions about whether they are diverse enough, and whether the full breadth of approaches and knowledge are being applied at scale. Narrowness in responses may, in the worst case scenarios, be making human populations more vulnerable to malaria.

This means supporters of eradication and control programmes must continue to fund research that advances an evolutionary understanding and use it to keep ahead of the disease. This makes the levelling off of aid commitments reported in World Malaria Report 2010 all the more worrying, because much hope now lies in more funding for innovative basic and applied research. At least some of this research should start with the premise that the dynamics of malaria requires a rethinking of global efforts, with a special focus on capacity of existing health systems to deliver a broader range of treatments.

In this area, like in so many other aspects of international aid, silver bullets may well be red herrings. But history and recent research suggests that this is not a battle that should be conceded easily. Rather, as Chris Blattman notes, we can take some heart and some lessons from previous eradication programmes.

Smallpox was famously wiped out in the 1970s, with the last case being in Merca, Somalia in 1977. When the eradication was announced in 1980, the campaign was described “a triumph of management, not medicine”. This was an especially unusual pronouncement given it was made by the-then Director-General of the WHO.

But what exactly did this mean? According to one major account, the DG was referring to the emergent process of adaptation and learning – the evolutionary process within the programme itself – which

…more than any other element in the campaign, [was] the key explanatory factor of the ultimate success of the program… ”

What eventually eliminated smallpox was the combined approach of top-down problem-solving—mass vaccination to reduce disease incidence to certain levels —and bottom-up emergent experimental innovations in early detection, isolation and control - to push towards complete eradication.

Of course, smallpox is a very different disease, and may have been a better candidate for eradication than malaria – exactly because of the evolutionary nature of malaria.

But there is an interesting message here: if we want to deal with the evolving problem of malaria, we also need the global response to adapt and evolve, for organisations involved to think and act ‘outside the box’.

It is not clear what this would look like yet, of course – but it is worth noting that the eventual strategy for dealing with smallpox eradication was not originally employed or even envisaged by the implementing organisations.

Whether current efforts are able and willing to take on such an adaptive management mentality remains to be seen.

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