APPROACHES TO OVERCOMING
CONSTRAINTS TO EFFECTIVE HEALTH
SERVICE DELIVERY: A REVIEW
OF THE EVIDENCE
VALERIA OLIVEIRA-CRUZ*, KARA HANSON and ANNE MILLS
Health Policy Unit, London School of Hygiene and Tropical Medicine, London, UK
Abstract: This paper reviews the current evidence base regarding efforts to overcome con-
straints to effective health service delivery in low and middle-income countries. A systematic
literature review was chosen as the approach to gather and analyse existing knowledge about
how to improve the ‘close-to-client’ health system. We focused on three levels of constraints:
community and household, the health services delivery level itself, and health sector policy and
strategic management. In total, 116 studies were reviewed and their main findings presented.
The results should be interpreted with caution due to the considerable limitations in the existing
evidence base. Copyright # 2003 John Wiley & Sons, Ltd.
1 INTRODUCTION
Health systems in low and middle-income countries often face substantial problems
resulting from resource shortages and the inefficient and inequitable use of resources
(Mills, 1997; World Bank, 1993). They continue to be plagued by poor service quality and
low coverage rates, especially for poor populations. There have been strong pressures to
increase health spending in such countries, from a current average of US $131 per capita
per year (Commission on Macroeconomics and Health, 2001). Recently the Commission
on Macroeconomics and Health (CMH) called for a massive effort to scale up2 priority
health interventions and provided an estimate of the minimum cost of financing these
interventions, i.e. US $30 to US $40 per person per year (Commission on Macroeco-
nomics and Health, 2001). Additional resources would allow national governments to
expand access to high priority programmes such as immunization and HIV prevention, and
invest in the urgently needed improvements in the areas of drugs and general supplies,
*Correspondence to: V. Oliveira-Cruz, Health Policy Unit, London School of Hygiene and Tropical Medicine,
Keppel Street, London WC1E 7HT, UK. E-mail: valeria.oliveira-cruz@lshtm.ac.uk
1
Least developed countries.
2
To expand access to and utilization of priority health services or interventions.
2 CATEGORIZATION OF CONSTRAINTS
The constraints to scaling up health interventions reviewed in the literature are analysed
here in terms of the categorization of constraints developed by Hanson et al. (2003). The
categorization distinguishes the different levels at which the constraints operate, as shown
in Table 1. Particularly relevant in terms of policy formulation and implementation is the
degree to which decisions lie within the control of Ministries of Health and government
structures at lower levels of the hierarchy.
Due to the focus of this review on the success of efforts to expand access to priority
interventions, the findings are concentrated on the first 3 levels of constraints, i.e.:
community and household, health services delivery, and health sector policy and strategic
management. While we fully acknowledge the importance of levels 4 and 5, namely public
policies cutting across sectors and environmental and contextual characteristics, an
analysis of the effects of interventions at these levels lies beyond the scope of this review
due to limitations in time and resources.
3 METHODS
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Overcoming Constraints to Effective Health Service Delivery 43
Levels Constraints
III. Health sector —Weak and over-centralized systems for planning and management
policy and strategic —Weak drug policies and supply system
management level —Inadequate regulation of pharmaceutical and private sectors and improper industry
practices
—Lack of intersectoral action and partnership for health between government and civil
society
—Weak incentives to use inputs efficiently and respond to user needs and preferences
—Reliance on donor funding, reducing flexibility and ownership
—Donor practices that damage country policies
IV. Public policies —Government bureaucracy (civil service rules and remuneration
cutting across sectors centralized management system; civil service reforms)
—Poor availability of communication and transport infrastructure
V. Environmental A. Governance and overall policy framework
and contextual —Corruption, weak government, weak rule of law and enforceability of contracts
characteristics —Political instability and insecurity
—Low priority attached to social sectors
—Weak structures for public accountability
—Lack of free press
B. Physical environment
—Climatic and geographic predisposition to disease
—Physical environment unfavourable to service delivery
HIV/AIDS, diarrhoeal diseases, acute lower respiratory tract infections (ALRI), nutri-
tional disorders, immunization preventable diseases, helminth infections, tobacco-related
diseases). The research question was broken down as follows:
* outcomes of interest: efficient use of inputs, increased provider knowledge, client
perception of health service quality (intermediate outcomes); health services
utilization, coverage increase, reduction in morbidity or mortality (final outcomes);
* interventions: management system strengthening, community involvement, improve-
ments in training and supervision, introduction of quality assurance systems;
* population: poor in low and middle income countries; and
* type of studies: descriptive, analytical, comparative and evaluation studies.
A combination of the use of the thesaurus tool and free text terms was used in the
electronic database searches, in order to retrieve the largest number of results possible.
Firstly, key words were used either as guidance to find the appropriate word through the
thesaurus tool for the electronic databases (those databases that have one) or as free text.
Secondly, we combined the key words with terms referring to the classification of
countries or geographical region of interest. Finally, a list of the major diseases or health
Copyright # 2003 John Wiley & Sons, Ltd. J. Int. Dev. 15, 41–65 (2003)
44 V. Oliveira-Cruz et al.
problems that were considered relevant was included in the combination of terms
searched. It is important to note that while the focus of the study is the strengthening of
the health system, specific diseases or conditions were used here in order to narrow down
the search to issues of relevance to the overall focus of Working Group 5.
Specific criteria for inclusion of abstracts and articles in the review were as follows:
* Sources: journals, books, reviews, and conferences proceedings and abstracts
* Country classification: low and middle income, less or least developed and developing
* Geographic coverage: Africa, Asia, Latin America
* Target population: poor
* Publication year: after 1990
We selected the following electronic databases for searches: Cabhealth, Medline,
Healthstar, HMIC and Popline.3 Once the electronic search was done, the title, abstracts
and thesaurus (Medical Subheading—MeSH) fields were browsed for relevant terms to
refine the search. We attempted to retrieve as many review papers as possible. In addition,
complementary hand searches were performed due to poor indexation of some journals in
electronic databases.4
The search of grey literature focused on independent (external review) evaluation
reports, documents that were peer reviewed5 and those available on the World Wide Web.
The sites of institutions used for unpublished literature searches were: World Bank, World
Health Organization, Department for International Development, Partnerships for Health
Reform Project, Quality Assurance Project, Health Systems Resources Centre, Population
Services International, and Management Sciences for Health.
In addition to the sources of studies mentioned above, we also received recommenda-
tions from experts in the field.
The relevance of selected and located studies was reviewed against the defined criteria
and focus of the literature review described above. In addition, the overall quality of the
research results of the studies was assessed, in particular regarding the existence of bias,
the methods used, and the potential generalizability. Due to difficulties in finding a large
sample of studies applying a rigorous study design, the main criterion for inclusion was
that the paper should report on an evaluation study or describe an intervention, thus
leaving out opinion and critique papers.
In order to provide an assessment of the strength or power of the reviewed evidence, an
attempt was made to rate the studies in terms of their methodological design and quality
using the following criteria:
1. Descriptive, analytical, comparative or evaluation studies reporting on a type of
intervention addressing health systems constraints of relevance to the review.
2. Peer-reviewed study.
3. Study uses control groups.
4. Study evaluates changes over time.
5. Study reports statistical significance of results.
3
For literature on social marketing.
4
The hand-searched journals were Health Policy and Planning and the International Journal of Health Planning
and Management.
5
We considered internal peer review as acceptable as long as the paper could fulfil at least one of the other
eligibility criteria.
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Overcoming Constraints to Effective Health Service Delivery 45
Regarding the first criterion, a simple categorization of the study design was adopted,
identifying them as descriptive/analytical for those that describe and analyse interven-
tions, comparative studies for those that compare two or more interventions or strategies,
and evaluation studies for those that follow a more rigorous scientific method and include
quantitative and/or qualitative methodologies. The fourth criterion is understood here as
studies that use a baseline measure and at least a second measure, or that observe the
effects of an intervention over a certain period of time as opposed to cross-sectional (one-
time) measures. The score for each study was calculated by allocating equal weight to
each of the above criteria.
4 OVERVIEW OF FINDINGS
In total, 116 studies6 were identified.7 These studies covered 46 different low and middle-
income countries: 50 per cent in Africa, 24 per cent in Asia, 22 per cent in Latin America
and 4 per cent elsewhere (Table 2).
() Number of studies per country; Some studies cover more than one country; thus the total number of studies
reviewed does not match the number of countries.
1
Review studies.
2
Review study.
6
The number of studies does not necessarily match the number of references as we used, in some cases, more than
one source per study, depending on availability.
7
Only a limited number of studies followed rigorous scientific methods. However, due to the dearth of
information in this area and the relevance of the subject under review, we opted to consider all identified studies
that met a minimum of two of the eligibility criteria outlined in Section 3.
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46 V. Oliveira-Cruz et al.
The main types of intervention applied to overcome the constraints facing the close-to-
client health system are classified in line with the categorization of constraints outlined in
Section 2, focusing on the first 3 levels.
At constraint levels I and II, the strength of the evidence8,9 reviewed was rated as ‘good’
and at level III it was rated as ‘weak’. In terms of study design, the majority of the studies
were descriptive/analytical, followed by evaluations.
Study outcomes reported in the reviewed studies were mainly positive. At constraint
level I, reported outcomes were mostly positive and intermediate in nature with some final
outcomes as well. At constraint level II, outcomes were mixed though more positive than
negative, and mostly intermediate in nature. At constraint level III, outcomes were mostly
positive and almost all intermediate.
Due to space limitations, specific findings regarding the types of interventions and
outcomes can be only briefly reported. A detailed summary of the links between constraints,
interventions and improvements, as well as the rating of the strength of the evidence of the
different papers reviewed, is provided elsewhere (Oliveira-Cruz et al., 2001).10 This also
contains, to the extent possible, information extracted from the papers on enabling factors or
conditions that facilitated the achievement of the results described. In Table 3, we show two
examples of the information presented in the background paper. Outcomes reported in
italics refer to failures, and the ones reported in regular font refer to successes.
In the following subsections we present a summary of the main types of interventions11
and outcomes (results) as documented in the reviewed studies.12
Under community and household level constraints 37 studies were identified. These
studies covered the following broad types of interventions: community participation (10
studies,13 including one review), Bamako Initiative programmes (2 studies14), community
health workers (13 studies15), appropriate patient use of drugs (2 studies16, both reviews)
and social marketing (10 studies17).
8
The assessment of the strength of the evidence was made by calculating a simple average of the strength of each
reviewed study according to the quality criteria described in Section 3. The assessment is based on the following
scoring system: weak for studies with 2 points (mainly the descriptive/analytical type of studies), satisfactory for
studies with 3 points, good for studies with 4 points and very good for studies with 5 points.
9
Review studies are not included in our assessment of the evidence they reviewed due to the different assessment
criteria required.
10
For more information see background paper no 15 of CMH Working Group 5 available at http://www3.who.int/
whosis/cmh/cmh_papers/e/papers.cfm?path ¼ cmh,cmh_papers&language ¼ english#
11We recognize, as emphasized later, that this may not reflect the universe of possible or existing interventions to
deal with the various constraints at the different levels specified in the framework.
12
There are instances when the same study is considered under different types of interventions, particularly in the
case of review studies of drug policies or supplies.
13
Hadley and Maher, 2000; Perry et al., 1998, 1999; Moser and Sollis, 1991; Onyejiaku et al., 1990; Ahmed
et al., 1993; Sepehri and Pettigrew, 1996; Pagnoni et al., 1997; Ruebush et al., 1994; Marsh et al., 1996; Stuer,
1998.
14
McPake et al., 1992 and 1993; Levy-Bruhl et al., 1997; Knippenberg et al., 1997.
15
Robinson and Larsen, 1990; Frankenberg and Thomas, 2000; Melville et al., 1995; Stock-Iwamoto and
Korte, 1993; Ayele et al., 1993; Zeitz et al., 1993a; Mehnaz et al., 1997; Bang et al., 1994; Benavides and
Jacoby, 1994; Chaulagai, 1993; Curtale et al., 1995; Faveau et al., 1990; Christensen and Karlqvist, 1990.
16
Foster, 1991; Homedes and Ugalde, 2001.
17
Abdulla et al., 2001; Janowitz et al., 1992; Snow et al., 1999; Hanson and Jones, 2000; Meekers, 2000a;
Meekers, 1998; Van Rossem and Meekers, 1999a; 1999b; Eloundou-Enyegue et al., 1998; Meekers, 2000b.
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Overcoming Constraints to Effective Health Service Delivery 47
*1. Descriptive, analytical, comparative or evaluation study reporting on a type of intervention addressing health
systems constraints of relevance to the review; 2. Peer-reviewed study; 3. Study used control groups; 4. Study
evaluated changes over time; 5. Study reported statistical significance of results.
18
For the purposes of this review, we did not attempt to select studies applying similar meanings to the concept of
community participation.
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48 V. Oliveira-Cruz et al.
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Overcoming Constraints to Effective Health Service Delivery 49
vitamin A and oral rehydration salts. The establishment of such programmes usually
includes market research, training of agents, establishment of a distribution system using
fixed or mobile units, promotion of the product, and IEC activities. The main disadvantage
of social marketing is its inability to reach the very poor. In order to address equity concerns,
a possible strategy is the use of a voucher system to deliver targeted subsidies, such as that
tested in Tanzania which distributed vouchers through antenatal clinics, allowing women to
purchase mosquito nets at a discounted price (Schellenberg et al., 1999).
Mixed outcomes were reported, though with more positive than negative ones. Common
outcomes included an increase in ownership of mosquito nets and familiarity with socially
marketed condoms.
Under the health services delivery level, a total of 46 studies were identified. The main
types of interventions covered by the studies were: human resource development (15
studies20), service organization (8 studies21), service delivery by private providers (5
studies22), improvement of drug supplies (user fees for increasing drug supplies (4
studies23), prescribing practices (10 studies24, including 2 reviews), and drug retailer
training (4 studies25)).
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50 V. Oliveira-Cruz et al.
There were also reports of improved health service efficiency (improved use of physicians’
time) and improved staff attitudes towards work. In relation to the interventions
implementing more comprehensive changes, there were improvements in service quality
(reduced perinatal and maternal mortality rates).
Drug retailer training. The main type of intervention reported by the studies reviewed
was the organization of training courses. With respect to outcomes, all studies reported
positive results. There were accounts of increased knowledge among trainees and
increased sales of drugs (oral rehydration salts and antimalarials).
Under the health sector policy and strategic management level constraints, a total of 33
studies were identified. The primary categories of interventions covered by the studies
26
In this review private providers are understood to include both the private-for-profit sector and the non-profit
sector, which includes non-governmental organisations.
27
As mentioned above, user fees were not assessed in this review. Here we focus on the strategy in relation to the
possibilities it creates for improving drug availability.
28
Referred to probability of increase.
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Overcoming Constraints to Effective Health Service Delivery 51
under this level included: management strengthening (10 studies29), monitoring and health
information systems (15 studies,30 including a review), contracting (3 studies31), drug
policy and supply systems (4 studies,32 including a review), and coordination and
regulation of the private and pharmaceutical sectors (1 study33).
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52 V. Oliveira-Cruz et al.
Outcomes reported were mostly positive, except for the LQAS type of intervention
where outcomes were mixed. Common outcomes included improved planning and
management due to the use of local routine data. To a lesser extent, there were reports
of reduced morbidity (from vaccine preventable diseases, severe malnutrition and
malaria). In terms of negative results, there were reports of difficulties in handling data
collection and processing of information.
4.3.3 Contracting
Contracting out health services in low and middle-income countries to private sector
providers is suggested as a mechanism for increasing efficiency (McPake and Hongoro,
1995; Mills, 1998; Palmer, 2000).
Some of the pitfalls of this strategy include lack of government capacity in many
countries to design and monitor contracts, lack of technical and administrative capacity
among providers (Mills, 1998; Barnett et al., 2001), lack of competition for contracts
(McPake and Hongoro, 1995; Mills, 1998), and high transaction costs (Brugha et al., 2000).
Outcomes reported were mixed, though with more positive than negative ones. The
main type of outcome reported was the expansion of access or service utilization.
5 DISCUSSION
The overall quality of the studies leaves much to be desired, both in terms of design and
implementation, which means that the generalizability of the results and recommendations
35
Due to the high costs of these types of drugs, the government decided to use laboratories affiliated with public
universities to produce generic versions. This was feasible since the country passed its international patent law only
in 1996. Due to this initiative, some pharmaceutical companies have reduced their prices in order to compete with
the local production of public laboratories. For more information see background papers of the CMH Working
Group 4—Health and the International Economy available at www.cmhealth.org [accessed 5 June 2002]
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Overcoming Constraints to Effective Health Service Delivery 53
is limited. There are rarely any measures undertaken in the interventions to compare
results with appropriate control groups, and sample sizes are often inadequate. Use of
randomization is rare. In addition, interviewers are not always blinded and the statistical
significance of results is often not reported. While some studies have documented factors
that facilitated the implementation and success of the assessed interventions, confounding
factors that affected the outcome of the interventions are rarely acknowledged, much less
presented and discussed. The potential for confounding is significant, and needs to be
taken into account in interpreting the results.
On the whole, most studies reported successful experiences. This could be due to
publication bias, i.e. editors tend to prefer positive findings, and researchers themselves
tend to self-censor and submit only these studies. The result is that we miss the opportunity
to learn important lessons from interventions that do not work successfully.
We recognize that this review was not able to capture the whole spectrum of published
and unpublished literature in this field and is most lacking with regard to the latter. There is
also a bias towards literature published in the English language, as access to non-English
language databases is rather limited. There is a vast literature of country level reports of
evaluations of donor-funded projects carried out by consultants that could have provided
further evidence for this review. However, it is difficult to access this type of literature,
because it is often treated as confidential by sponsoring organizations. It is also rarely
subject to critical review. Despite these limitations, we believe that the studies reviewed
here offer an overview of various attempts to overcome constraints facing health systems
at the close-to-client level. Further complementary work in this field will make valuable
contributions to the debate and provide improved information to policy makers.
This review encompasses a wide range of issues with various subtopics. While the
evidence retrieved describes specific issues within different subtopics, the number of
papers on each subtopic is limited. Due to the variety of types of intervention under the
different constraints levels, we had to take into account multiple outcomes. This makes it
difficult to generalize the results in terms of policy recommendations. An additional
problem related to generalizability is the short length of follow up of the interventions,
with data frequently collected only once after the introduction of the intervention. Short
lengths of follow up mean there is little information on the longer-term impact and
sustainability of the interventions.
Finally, the task of providing analytical input to thinking through how best to scale up
interventions to the national level and improve the health of the poor is constrained by the
very limited evidence on large-scale projects. The great majority of the interventions
covered only a district or sub-national region. Only very rarely are large scale experiences
documented. An exception is the case of the Orissa Health and Family Welfare Projects
where strengthening of training and education took place on a large scale with success
(Martinez et al., 1995).
In spite of the limitations outlined above, we believe that this review offers a valuable
profile of the evidence base in this area. The main points drawn from the reviewed studies
are discussed below.
The evidence suggests that community participation through active involvement of
leaders and members, including community health worker programmes, seems to be an
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54 V. Oliveira-Cruz et al.
36
Paraphrasing Brown et al., 1992.
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Overcoming Constraints to Effective Health Service Delivery 55
integral and overarching human resource policy in which issues concerning salaries and
incentives are also addressed.
The evidence also suggests that better results can be achieved where an integrated
approach to drug policy is developed and implemented, which includes an essential drugs
policy, well managed selection, procurement, distribution and dispensing policies,
improved prescribing practice and community/patient education. This finding is in line
with those of Homedes and Ugalde (2001) which reviewed 45 studies of interventions to
improve patients’ drug use. They argue that focusing on only one side of the problem will
not bring about the necessary changes. The World Health Organization (2000) and the
World Bank (1994) also support integrated drug policies.
In addition, drug supply needs to be viewed as part of the health care system. The
overall effectiveness and efficiency of a well-managed drug supply policy will only be
achieved if other complementary elements of the system are also well managed, such as
staff training, supervision and incentives.
Various facilitating factors are identified in the literature reviewed. However, difficulties
are encountered when trying to assess the impact and mode of causality of these factors.
They have been reported here as additional, explanatory factors for the success or failure
of the interventions. Table 4 presents a list of the main type of facilitating factors
according to the different levels used to categorize constraints.
Further facilitating factors revealed by an assessment undertaken by the World Bank of
its portfolio in the areas of health, nutrition and population corroborates the type of factors
identified in our review (Johnston and Stout, 1999). The Bank’s assessment showed that
projects able to achieve a high level of institutional development had the following
Table 4. Categorization of facilitating factors
Levels Facilitating factors
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56 V. Oliveira-Cruz et al.
This review of efforts to overcome constraints to health service delivery at the close-to-
client level has provided evidence of various gaps and weaknesses. It points to the vital and
urgent need for further investigation to enhance our understanding on this issue and better
inform policy makers.
We argue that it is of paramount importance that more empirical evidence, based on
methodologically sound research, is produced in order to help guide decision-making and
planning. As discussed in Section 5.2, the conclusions of the present undertaking are
constrained by the lack of good quality data and analysis. To generate this evidence there
is need for more technical collaboration and assistance in order to foster evaluative
research in developing countries where limited financial resources and analytical capacity
present an obstacle to developing a broader research base that could provide local
decision-makers with context-specific evidence.
Few studies present the costs of the intervention. More data on the relative costs and
effectiveness of alternative approaches to service strengthening are needed. There is scope
for improving resource use by building more economic analyses into assessments of
interventions.
Further studies are needed in order to elucidate the extent to which facilitating factors
affect the performance of the close-to-client health system and under which circum-
stances. The explanation of the mechanisms of operation and sustainability of these factors
will provide important answers in our efforts to find ways to overcome constraints. Some
factors such as decentralisation have already been the focus of investigation (Bossert,
1998; Araujo, 1997; Mills, 1994; Collins and Green, 1994; Gilson et al., 1994; Mills,
1990) but empirical analysis of its impact with respect to reduced morbidity or mortality is
still pending. Other factors, such as the role of leadership in the context of low and middle-
income countries, are also priority areas for further research. Existing literature on this
subject is concentrated on the business sector and developed countries (Goleman, 2000;
Johnson, 1996) with very limited investigation in low and middle-income countries
(Santillan and Figueroa, 2001; Lenneiye, 2000).
Finally, the evidence is insufficient and vague with respect to the extent to which
interventions reach the poor and disadvantaged, and the success of interventions
specifically focused on these groups. It is crucial that more studies in this area are
undertaken in order to deepen our understanding of how to reach this section of the
population.
6 CONCLUDING REMARKS
Some of the successful interventions presented in this review may seem remarkable for
their simplicity, such as patient flow analysis (Hermida et al., 1996; Fenney-Lynam et al.,
1994; Ammari et al., 1991; Santillan and Figueroa, 2000; Parent and Coppieters, 2001)
while others are quite innovative, for instance interactive group discussions involving
patients and prescribers, which resulted in reduced use of unnecessary injections (Perez-
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Overcoming Constraints to Effective Health Service Delivery 57
Cuevas et al., 1996). Part of the achievements are due not to the technique itself but to the
process through which the changes were made possible, by applying participative
approaches, gaining staff commitment and involving the community. This serves to
highlight that while various strategies to improve health are necessary, quality
improvements and efficiency gains can be achieved through low cost and simple methods.
Account should be taken of the context, process and facilitating factors which need to be
better understood with respect to their triggering and nurturing mechanisms.
Attempting to weigh the relative importance of the different constraints and the impact
of interventions—i.e. those which are simply helpful and ‘enabling’ versus those which
are more essential and ‘necessary’—highlights the interconnected and complementary
nature of the components of health systems. To be able to say something meaningful about
the relative contribution of these components to health outcomes requires systematic and,
optimally, quantitative data from studies of the functioning of such systems. A ‘soft’
element, like staff organization, cannot be considered, a priori, as being of lesser
importance and impact than a ‘hard’ element like drug availability.
Finally, it can be argued that changes of the type presented in this review, in the micro
level structure and functioning of the health system (such as improvements in manage-
ment, information systems, and planning and evaluation), are inherently limited in the
degree of impact they can have within a given institutional framework at the macro level.
Accordingly, macro level constraints (such as financing, government personnel policies
and administrative centralization), although more difficult to alter and requiring longer
time frames, must also be included in any analysis of ways to achieve significant and
sustainable improvements in health outcomes.
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