Addressing Heterogeneity and Adaptability in Multi-Component Implementation and HIV/AIDS Interventions: Emerging Frameworks for Research on Complex Health Interventions

February 14, 2024

Speaker: Brian S. Mittman, PhD

Wednesday, April 28, 2021

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ID: 11308
To Cite: DCA Citation Guide

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00:00<v ->For joining our CMIPS seminar.</v>
00:03It's really a pleasure to have you all
00:05and most importantly,
00:06a pleasure to have Dr. Brian Mittman,
00:09who we've been talking about bringing over here
00:12to CMIPS and Yale for quite some time.
00:16Dr. Mittman is a distinguished
00:19longstanding implementation scientist,
00:22I might even say one of the founders
00:25of implementation science as a formal discipline.
00:30He is a research scientist
00:33in the Department of Research and Evaluation
00:36with additional affiliations
00:37at the US Department of Veteran Affairs,
00:40which is another place where a huge amount
00:44of some of the best implementation science,
00:47thinking and research has emanated over the years,
00:50the University of Southern California
00:53and the University of California Los Angeles,
00:56where he co-leads
00:56the UCLA Clinical and Translational Science Institute
01:01Implementation and Improvement Science Initiative.
01:05And I find that very interesting
01:07in that the implementation and improvement science
01:10are linked in the same name,
01:11which is also something we at CMIPS are very interested
01:15in the kind of continuum between implementation science
01:20and improvement science, quality improvement,
01:23and what are the commonalities and differences
01:25and where does one end and the other begin.
01:28So I don't know if that's something
01:29Dr. Mittman is gonna touch upon in his talk today.
01:33He chaired the planning committee
01:35that launched the journal, "Implementation Science,"
01:38which now has a sort of spinoff journal,
01:40I forget its name, but now there's two of them,
01:43and served as co-editor in chief of that journal
01:46from 2005 to 2012.
01:50He was a founding member
01:51of the US Institute of Medicine Forum
01:53on the science of quality improvement and implementation
01:58and chair at the National Institutes of Health
02:00Special Emphasis Panel
02:03on Dissemination and Implementation Research in Health
02:05in 2007 and 2010.
02:08And for those of us in the audience
02:11who are thinking about NIH grants,
02:14what I've very recently learned is now that
02:17the DNI panel, as we call it,
02:20has been renamed.
02:21Maybe Dr. Mittman knows the name,
02:23I don't remember the name,
02:25and maybe even there's multiple ones of it now.
02:29But if you're interested,
02:30maybe write to me later and we can figure that out
02:32because it's very important
02:34for our implementation dissemination science applications
02:38to NIH here at Yale.
02:40Dr. Mittman directed
02:41the VA's Quality Enhancement Research Initiative
02:44from 2002 to 2004.
02:47His research examines innovative approaches
02:50to healthcare delivery and improvement
02:53and efforts to strengthen learning healthcare systems,
02:56another area in which we're very interested in CMIPS
02:59and many others at Yale are as well.
03:02So today, Dr. Mittman is gonna talk to us
03:05about Addressing Heterogeneity and Adaptability
03:08and Multi-Component Implementation
03:10and HIV Interventions:
03:12Emerging Frameworks for Research
03:15on Complex Health Interventions.
03:16And actually, I wanted to say one thing
03:19before I turn it over to him.
03:20He also serves as a consultant
03:24for our R3EDI Hub,
03:25which is a technical support hub
03:29that supports seven projects
03:31devoted to ending the AIDS epidemic
03:34under a general coordinating center based in Illinois.
03:38And it's been a pleasure to have Brian
03:40as a part of our R3EDI Hub team as well.
03:43So without any further ado now,
03:45I will turn things over to Dr. Mittman.
03:48<v ->Great, thank you, Donna,</v>
03:50both for the kind introduction
03:51as well as more importantly the opportunity to present
03:55and to meet with some of your colleagues today and tomorrow.
03:59As we were saying before we started,
04:02my hope is to have the opportunity
04:04to join you in person at some point down the line,
04:07but I know we all share that hope
04:08for lots of in-person gatherings.
04:11You touched on several of my favorite topics,
04:13including implementation science, improvement science.
04:17I'll mention that I think very briefly
04:19as well as other topics.
04:21And I'm glad to schedule follow-up talks
04:24to speak about them.
04:26One quick comment on some of your kind remarks.
04:30I always counsel junior colleagues
04:32to pick a very small field that's likely to grow
04:36and get in on the ground floor
04:37because it makes you look important.
04:39That's sort of the big fish, small pond kind of idea.
04:43But also, the fact that I spend much more of my time
04:46advocating and helping to develop and expand
04:50fields that I'm interested in sometimes
04:54rather than actually doing the research,
04:55although I do have a research portfolio.
04:58So implementation science is a field
05:00that I was able to, again, get in on the ground floor
05:05and help to wave the flag,
05:07promote interest and advocate at NIH,
05:10at PCORI and many other places.
05:13And used to spend a lot of time
05:15on the freeways in Los Angeles
05:17traveling between different facilities and institutions
05:20as well as in planes trying to,
05:22again, advocate and promote interest
05:24in implementation science.
05:26But the implementation science field,
05:28in my view, is well established.
05:30There are many of us who are interested
05:33and have active research portfolios.
05:35I don't know that I have that much to offer at this point
05:37as far as new ideas,
05:39but I have a different view about the field
05:41of complex health interventions
05:43where I think there is a need to continue to think hard
05:47and promote some of the newer emerging frameworks
05:50and point out that as researchers are tasked
05:54in studying complex health interventions
05:56is a bit different from our tasks
05:58and studying other kinds of interventions.
06:03I think my most important focus lately in my research
06:06is trying to help, again, advocate
06:09and share information on some of these emerging frameworks
06:12and encourage more development.
06:15One more comment in terms of the truth in advertising.
06:18I actually won't spend much time at all
06:21talking about specific implementation science
06:23or HIV/AIDS intervention examples,
06:26but I think it'll be very clear
06:28as to how and why the comments that I will make
06:31are directly relevant to both of those bodies of activity.
06:35So let me move on
06:37and I try to remember which button allows me to advance.
06:41So let me start with a very high-level question,
06:44and that is ask us all to think a little bit
06:47about what we as researchers do
06:50in addition to producing scientific generalizable knowledge,
06:54what we do to support policy decision makers
06:57and practice decision makers questions.
06:59And much of the research that's conducted in medical schools
07:03and on other health-related institutions
07:05pursues these questions.
07:07Does it work or is it effective?
07:09The FDA of course would like to know
07:11if a new drug should be approved.
07:13CMS and others would like to know
07:14if it should be funded and promoted.
07:17Should it even be mandated?
07:19Within health systems,
07:20P&T committees have decisions to make
07:22about inclusion of new drugs in a formulary.
07:26And frontline practicing clinicians need to know
07:29whether they should use a new drug
07:31or another intervention.
07:33So much of the questions here
07:36in the guidance that we endeavor to provide
07:40to our policy and practice decision maker colleagues
07:43is a set of answers to these questions.
07:46Does it work?
07:47Is it effective?
07:48Or in the case of comparative effectiveness research,
07:51is intervention A better than B?
07:54And of course, we focus on outcomes and impacts
07:57when we try to answer this yes/no question.
08:01We often have the sample size and the funding
08:03and the ability to examine heterogeneity
08:06and subgroup effects and so on,
08:09and whether contextual factors
08:10influence the effects and outcomes.
08:13And of course, our gold standard research method of RCTs
08:18and similar experimental methods
08:20where we randomize and measure outcome differences,
08:22that's how we go about conducting this research.
08:26But again, the focus is on impact and outcomes.
08:29Are the outcomes better for those in the intervention group
08:33versus the control group?
08:34And if the answer is yes,
08:36then the intervention is effective,
08:38it's approved by the FDA,
08:39it's promoted, it's reimbursed and it's used.
08:44And there are in fact many examples of magic bullets
08:48or very strong robustly effective drugs
08:51for which we can produce a clear answer to that question.
08:54Yes, this drug is very effective.
08:57Precision medicine, of course,
08:58is leading us down the path for drugs and interventions
09:02for which there isn't a clear answer
09:04where there are high levels of heterogeneity.
09:07And we do need to tailor the interventions
09:11and that's really the theme of this talk.
09:14When we think about complex interventions
09:16or complex health interventions,
09:18and I'll define them more formally in a minute,
09:20but health promotion programs, HIV/AIDS prevention,
09:25treatment programs, implementation strategies,
09:29there are some examples of highly robust,
09:32highly effective complex health interventions
09:34for which we can produce a strong answer.
09:38Yes, this intervention tends to be effective
09:41across multiple settings
09:43and in multiple sets of circumstances.
09:46But by and large, for most complex health interventions,
09:49when we ask the question, is it effective?
09:51The answer that comes out of our research
09:53is sometimes or it depends.
09:55The heterogeneity,
09:57I'll sometimes use the term extreme heterogeneity,
09:59is just so great that the impacts vary considerably
10:05and it's impossible to produce a simple answer,
10:07yes or no, it is effective or it's not effective.
10:11So there is no formal established definition
10:14of complex health interventions at this point,
10:17but here are some of the key features
10:19that tend to be mentioned in most discussions
10:22of complex health interventions.
10:24The fact that there are multiple components
10:26and those components interact.
10:29The intervention, the multi-component intervention
10:32tends to target multiple levels,
10:35not always, but certainly multiple entities.
10:37So we have interventions that target patients
10:39and family caregivers and other peers
10:43as well as clinicians and other health system staff,
10:47as well as in many cases,
10:48communities and even regulatory levels.
10:52These interventions tend to be highly adaptable.
10:56They're not fixed.
10:57So unlike a drug that comes from the factory
11:00in a very consistent chemical formulation
11:03with a high degree of consistency and homogeneity,
11:07these interventions adapt.
11:09And that's the case even when we try to achieve fidelity
11:12to the manualized intervention
11:14and prevent adaptations and modifications,
11:18and that's another theme I'll come back to.
11:21Because of all of these features,
11:22the interventions tend to achieve their effects
11:25through multiple pathways
11:27and they tend to be mediated.
11:29So it's not a drug that has a direct impact
11:31on a physiologic process,
11:33but instead an intervention
11:35that changes attitudes or beliefs,
11:38those changes in attitudes and beliefs
11:40lead to changes in knowledge and intentions.
11:43Those changes in knowledge and intentions
11:45eventually lead to changes in behavior.
11:47But those behaviors are influenced by multiple factors.
11:50So it's not only the patient's own beliefs
11:53and knowledge and attitudes,
11:54but peer influence, clinician influence,
11:58social influence from key opinion leaders
12:00and a number of others.
12:01So the causal pathways tend to be very complex
12:05and I'll illustrate that in a few minutes.
12:07So when we think about a comparison
12:09between simple interventions like drugs
12:12versus complex interventions,
12:14these are some of the key dimensions
12:16where there are differences.
12:18The difference between a single fixed
12:21and highly stable and homogeneous drug
12:24that targets a single stable physiologic process
12:28to achieve a simple goal such as reducing blood pressure
12:32in patients that are not always homogeneous.
12:36There are differences,
12:37but the argument is that patients,
12:40despite genetic profile differences
12:42and other physiologic,
12:44as well as clearly socioeconomic status
12:47in neighborhood and contextual differences,
12:52those differences tend to be somewhat smaller
12:54than the differences we see
12:55across communities and organizations.
12:59And again, we can argue that point,
13:00but these are the key distinctions
13:03between these two categories of interventions.
13:06And the consequences, of course,
13:07or the implications for research are that,
13:11when we study drugs, oftentimes,
13:13not always, but oftentimes we do see
13:15a relatively high level of homogeneity
13:18with very consistent and often strong,
13:21easily detected main effects.
13:23Whereas again, with complex interventions,
13:25we get the answer along the lines
13:27of it depends or sometimes.
13:29We see lots of complexity, instability and heterogeneity.
13:33And the average effects,
13:34because of the heterogeneity, tend to be very weak.
13:38We have many subjects or targets in the intervention
13:40that do very well, others that do very poorly,
13:43but on average, an average effect size estimates
13:46that are close to zero.
13:48One key point, and that is,
13:50this is not a dichotomy, but instead of a continuum.
13:53There are elements of complexity in all interventions.
13:56The key question is,
13:58when is an intervention sufficiently complex
14:01that we can't study it through an RCT
14:04with a focus on average effect sizes,
14:07but instead need to use the more complex kinds of approaches
14:10that I'll talk about over the next several minutes.
14:14So getting back to this question,
14:16does it work, is it effective?
14:17And the answer being sometimes or it depends,
14:20that answer, of course,
14:21is not at all useful for decision makers.
14:23So we need to think about a different way
14:25of designing, conducting our studies
14:28and a different type of evidence
14:30or a set of insights and findings
14:33that we need to produce for science,
14:36but also for policy and practice.
14:38So let me back up and illustrate
14:40some of the challenges that we face
14:42when we deal with complex health interventions.
14:44So this is a pattern of results from a hypothetical study
14:47that could be a guideline implementation study.
14:50We are attempting to improve adherence
14:53to evidence-based clinical practice guidelines.
14:56In the blue sample,
15:00the blue bars in this histogram
15:02shows that all of the sites
15:05in the intervention group did very well.
15:08Our intervention managed
15:09to significantly improve rates of adherence
15:12among all the intervention physicians
15:14or clinics or hospitals,
15:16whereas the sites in the yellow or light green
15:19are all scattered around zero.
15:23So on average, we saw no change in adherence levels
15:26among the usual care comparison sites,
15:30although some of course did better and some did worse.
15:32It's just because of random variation.
15:35I don't know that we've ever seen findings
15:37from any implementation study
15:39that resembled this kind of pattern
15:42or anything close to it.
15:44This clearly would be "New England Journal"
15:46or "Lancet" caliber work
15:49if we had a strong finding of this sort,
15:51but that's what we would hope to see with our interventions,
15:54that we would find or design an intervention
15:57and see very robust, very significant effects.
16:01This is what we tend to see more often
16:03when we study complex health interventions.
16:05There's almost complete overlap
16:07between the blue and the light green yellow sites.
16:11If you are an intervention site,
16:13you are almost as likely to show
16:16reduced rates of adherence
16:18as you are increases.
16:19And similarly, the usual care sites,
16:22many of them did show rates of improvement
16:24that are comparable to those in the intervention site.
16:28So when you have a pattern of results like this,
16:32you can't say to decision makers,
16:34my complex health intervention,
16:36my HIV/AIDS prevention program
16:38or my implementation strategy
16:40or quality improvement program is highly effective,
16:43I would advise you to use it.
16:46As a decision maker,
16:47if I know I'm almost likely
16:49to end up spending a lot of money
16:50and staff time and disruption
16:54and end up with decreased performance,
16:56obviously, I'm not going to be interested in this program.
16:59So what is our goal then as a researcher?
17:02Our goal, of course, is to understand
17:03who ended up on the right hand side of this distribution,
17:06what the factors were that led to those improvements
17:09for both intervention as well as control sites,
17:11and what can we do to counsel decision makers
17:14to allow them to end up on the right hand side
17:18rather than the left hand side of the distribution.
17:22So when we think about finding
17:25or designing developing complex health interventions
17:28that are effective,
17:30one position that we could take
17:31is our goal as researchers is to develop
17:35and generate the evidence showing
17:37that our interventions are highly effective,
17:41but that assumes that those interventions exist.
17:44Hang on one second, I will be right back.
17:53<v ->While he's out,</v>
17:54I can say if people have questions or comments,
17:57why don't you put them in the chat as we go along
18:00and then at the end of Brian's talk,
18:03I'll pose some of the questions and comments to him.
18:06Go ahead, Brian. <v ->Thank you.</v>
18:08Yeah, so my apologies.
18:09For those who joined earlier,
18:10we were talking about the renovations underway.
18:14My wife was stuck outside
18:15because I forgot to open the door
18:17for the second pathway into the kitchen
18:20because the main path is covered with paint paraphernalia.
18:25So again, because complex health interventions
18:29tend not to be robust
18:30and we tend not to have the ability
18:32to find or develop the needle in the haystack
18:37or they don't exist at all,
18:39that a robust complex health intervention
18:41is a mythical beast,
18:44we need to take a different strategy
18:46and a different approach
18:47in designing and conducting research
18:50and supporting health decision makers.
18:54So rather than pursuing questions
18:56such as is it effective or does it work
18:58or which is more effective,
19:00we need to be thinking about deriving
19:02and developing insights and guidance for practice,
19:06such as how does it work, why does it work?
19:09Where, when and for whom,
19:10the realistic evaluation key questions,
19:13but also how can we enhance its effectiveness?
19:15Which again gets back to this issue of adaptability.
19:19We'd have very few degrees of freedom
19:21to enhance the effectiveness of a drug.
19:24We can obviously titrate the dose
19:26and we can prescribe supportive interventions,
19:30but we can't modify the chemical formulation of the drug.
19:33We can modify the so-called chemical formulation
19:37of a complex health intervention.
19:38So our goal and our task as researchers
19:41is to guide that tailoring and that adaptation.
19:45So we should strive to support decision makers
19:50as they try to answer these questions.
19:52How do I choose an appropriate complex health intervention?
19:56How do I implement or deploy that program
19:58and tailor it to increase its effectiveness?
20:02But also how do I modify or manage the organization?
20:05Oftentimes just as we can improve health outcomes
20:09by changing diet and exercise
20:12and changing the social surroundings of our patients,
20:16we can certainly improve outcomes
20:18for complex health interventions
20:20by modifying the organization.
20:22So again, another task for researchers.
20:25But back to the key questions.
20:27We need to understand and develop insights
20:30and provide guidance regarding how, when, why
20:33and where do these interventions work
20:35and how can we modify them to make them work.
20:39So the focus here instead of on impact in simply asking,
20:44does intervention A produce
20:46a greater impact or outcome than intervention B,
20:49we need to instead focus on the black box.
20:52We need to understand the mediators and the moderators,
20:55the mechanisms of effect.
20:57We need to explicitly study adaptation
21:00and we need to study context
21:02and how to manage context.
21:04So again, another point related to the key theme
21:07of different types of research,
21:10not a focus on measuring impact,
21:12but instead to focus on understanding and studying process.
21:18So again, rather than thinking about evidence-based practice
21:22and generating or producing an estimate of effect sizes,
21:27to me, research on complex health interventions
21:30should focus on deriving
21:32or developing insights and guidance.
21:34So it's insights and guidance rather than evidence
21:38in the way that we typically think of evidence.
21:42So, getting back to the features
21:44or the characteristics of complex health interventions
21:47and why they tend to have such weak average effect sizes
21:51and such extreme heterogeneity,
21:53we know as I argued that,
21:55or we believe or I would assert
21:57that the intervention targets and settings
21:59are much more heterogeneous.
22:01Communities differ, individuals differ,
22:04and the same behavioral approach that we use
22:07or the same implementation strategy for one hospital
22:11is not likely to be effective
22:13or to work in the same way as in another hospital.
22:16Differences in hospital leadership and culture
22:20and staffing patterns and resources and so on
22:23all mediate and moderate the effects of the intervention.
22:27If we think about health psychology
22:29and patient behavior change,
22:31and one of the topics that we're studying
22:33in Kaiser Southern California, which is HPV vaccination,
22:36we know that clinician brief interventions
22:38are likely to be effective for some patients and parents
22:42who retain respect for their physicians
22:44and will follow their advice.
22:47But for other patients,
22:48that physician brief intervention
22:50can in fact be counterproductive
22:52because it reinforces a patient's
22:53or parent's op priori belief
22:55that these vaccines are poison
22:58and my physician is sort of an agent
23:01of the drug company trying to enhance profits.
23:05So again, lots of heterogeneity
23:07in the targets in the settings.
23:09We also know that the underlying pathologies,
23:12their etiology, their root causes differ.
23:14And again, the vaccine example is a good one.
23:17When we're dealing with low vaccination rates
23:20in a set of clinics or hospitals
23:23where patients tend to be respectful
23:26and responsive to brief interventions,
23:29we can suspect that the reason for low rates of adherence
23:33don't relate to patient resistance,
23:35but instead, physicians and staff or the systems
23:38not necessarily optimizing their activities.
23:42Whereas in other parts of Kaiser Southern California,
23:46we know that the hospitals and the clinics
23:48and the organizational policies
23:50and the clinicians are doing everything in their power
23:53to improve vaccination rates.
23:55The reason for low vaccination rates
23:57is patient and parent resistance
23:59that is tied to their own beliefs.
24:02So understanding differences
24:04in the root causes of low adherence rates
24:09or quality or outcomes
24:11or poor patient behavior
24:13and recognizing the heterogeneity,
24:15again, is important.
24:16And that's one of the reasons
24:18for the highly variable effects of interventions
24:22because they sometimes address
24:24the root causes and solve the problem,
24:25but other times the same intervention does not.
24:28And then finally, as I've said,
24:30the interventions themselves tend to be highly variable
24:33and irrespective of our efforts
24:35to achieve adherence to a manualized intervention
24:39and achieve high rates of fidelity,
24:41we know that we won't always see that intervention
24:45be delivered the same way across sites.
24:48There's drift over time,
24:49there are local adaptations,
24:51but again, more importantly,
24:52we shouldn't try to achieve fidelity
24:55because one version of intervention
24:57that does match local circumstances in one setting
25:00is not likely to be effective
25:02and match local circumstances elsewhere.
25:04So the adaptability of interventions,
25:08their heterogeneity across place,
25:11but also across time is a challenge.
25:13But we should view it as a strength
25:15that we need to embrace and use to our advantage.
25:19So some of you who are in my generation or have kids
25:22because I believe this game is still sold,
25:24will recognize the image in the upper right hand corner.
25:28And this is the way that I often think
25:29about complex health interventions,
25:31that if we were to watch the very beginning
25:34of the mouse trap contraption
25:36where we drop the marble
25:38and then focus only on the very end
25:41and whether the trap falls or not,
25:44sometimes it will, sometimes it won't.
25:46But that set of empirical observations
25:49doesn't help us at all
25:50in improving the performance of this mouse trap.
25:54We need to follow every step in the causal chain
25:57and understand which part of the contraption
25:59was not built correctly
26:01or where things are going wrong.
26:03So again, the question is not,
26:06is it effective, but how does it work?
26:08And we need to shine our spotlight,
26:11our flashlight and our research attention
26:13in terms of data collection analysis
26:16on the mechanisms of effect.
26:18As I've said, we need to,
26:21rather than try to ignore adaptations or suppress them,
26:25we need to embrace them.
26:26We need to study and guide those adaptations.
26:30The concept of a manualized intervention,
26:32I think for a complex health intervention
26:34requires rethinking.
26:35My favorite example here is a story
26:37that I believe is accurate
26:39of one of the sites
26:42in one of the patient self-management studies
26:47where the patient self-management program
26:51had a highly detailed manualized intervention,
26:55including a very clear script
26:58for the leader of a patient self-management education group
27:02to use in educating members of the group.
27:06And the story is that members of the study team
27:09were observing a leader
27:11deliver the patient self-management program
27:14in an African American church in Baltimore.
27:16And the leader of that program was not following the script.
27:21She was making up the comments
27:25and the educational content as she went along
27:27and the research assistants who were observing
27:30came up to her afterwards
27:31and congratulated her on a successful session,
27:34but said,
27:35"I noticed that you were deviating from the script.
27:38Why is that?
27:39Don't you know that this is an evidence-based intervention?
27:41And if you follow the manual
27:43and follow the script to the letter,
27:45you're guaranteed to see positive outcomes,
27:47but if you deviate from it,
27:49we don't know what sort of outcomes you will observe."
27:52And the leader of the church group said,
27:54"Well, as you know, your manual and your script
27:57was written in Stanford English.
27:59We don't speak Stanford English here.
28:01So I was using language and concepts
28:04and ideas and examples
28:05that I felt were more suitable for my local circumstances.
28:09So that's a somewhat extreme example, of course,
28:12but it does point out that a manualized intervention
28:15typically was developed from a study
28:18at a specific point in time in a specific region,
28:21in a specific set of settings.
28:23And the details of that intervention
28:26might in fact be highly optimal for that particular setting,
28:31but are not likely to be feasible
28:34and certainly not optimal for other settings.
28:37So again, we have to rethink the concept
28:39of manualized interventions.
28:40Similarly, we have to rethink the concept of core components
28:44and the term, core components,
28:45that concept is used relatively broadly,
28:48but oftentimes it talks about the intervention activities,
28:52the scripts, the tools, the protocols, the procedures.
28:56And again, those tend to be highly idiosyncratic
28:59and often optimized and developed
29:02by and for a specific set of settings
29:07in target audiences.
29:08So the alternative to the concept of core components
29:13and that way of thinking about complex health interventions
29:16is to specify a set of core functions in a menu of forms.
29:20And I'll talk through that in a few minutes.
29:23But let me just briefly point out
29:25that in the implementation field,
29:28and again using guideline adherence as an example,
29:31as I said, we often have very complex,
29:33multi-path, mediated
29:36and highly moderated sorts of causal pathways.
29:40And a typical multi-component guideline adherence program
29:45targeting physicians has to worry
29:47about the physician's attitudes and norms
29:49and try to address them
29:50as well as their knowledge and skill,
29:52as well as their motivation of their activation.
29:55And many of these are influenced
29:59by, again, multiple mediated pathways,
30:03but also some of those causal effects are highly moderated.
30:06We know that a financial incentive to follow the guideline
30:11that consists of a $20,000 bonus
30:14is likely to be highly effective
30:16for a junior family physician
30:19with an income in the $150,000 range.
30:22But for the senior surgeon
30:25with a multimillion dollar income
30:28who knows how to practice and doesn't need the guidelines,
30:33that bonus is not likely to have much effect.
30:35So again, highly heterogeneous effects
30:39in complex causal pathways that we need to understand.
30:44So let me again, as an aside,
30:46briefly present the PCORI method standards
30:49for complex health interventions.
30:51I actually won't talk about these,
30:53but there is both a PCORI methodology report
30:57that provides some supportive detail
30:59as well as an article that came out in JGIM
31:02several months ago
31:03that discusses each of these in more detail.
31:06But it's the issue of core functions
31:08that I wanted to talk about for a bit.
31:12And again, the underlying motivation
31:13is the fact that complex interventions can be adapted.
31:17They will be adaptive irrespective of our efforts
31:20to achieve fidelity,
31:22but more importantly they should be adapted.
31:25Now I'll often say adaptation happens.
31:27We should embrace it and study it and ultimately guide it.
31:30We should not be trying to ignore or suppress it.
31:33So the concepts of core functions and forms
31:37were introduced by Penelope Hall
31:38a good 15 years ago
31:41without a whole lot of attention
31:43and follow-up activity in the intervening years
31:46until relatively recently
31:48where researchers who study complex health interventions,
31:51implementation strategies,
31:53health promotion programs began to realize
31:55that they have a lot of relevance and value.
31:58And this is a short list of publications.
32:03There actually are many more
32:04just within the last year or two
32:07that have applied concepts of core functions and forms.
32:11So forms are the specific detailed activities.
32:16So if we think about physical activity as a broad category,
32:19walking, running, swimming
32:20are all examples of physical activity.
32:23And the argument is that our manualized intervention
32:27should not specify 20 minutes of walking,
32:31but instead should specify physical activity.
32:34In the case of patient education,
32:36the underlying core function again
32:38is to educate patients and their parents.
32:40The different forms we can use are listed here.
32:44And again, selecting a form
32:46that matches the particular features of the target audience
32:50is important in increasing fidelity.
32:53So we should not be providing a script,
32:55a strict script,
32:57but instead laying out the goals of the education
33:01and providing a menu of different strategies
33:03for achieving those goals through different kinds of forms.
33:09So I won't spend a lot of time on this,
33:12but encourage those of you interested
33:14to both look at the articles
33:15as well as these slides in more detail.
33:17But the general approach that we advocate
33:21is to think about, again, a set of core functions
33:26and think through all the different kinds of forms
33:29that might be available
33:31to operationalize those core functions.
33:34And then, also think about how to decide
33:36which form to select,
33:38and that's the purpose of research.
33:40In addition to identifying
33:42and describing the core functions,
33:44also to provide guidance for the local tailoring,
33:48which item from the menu is optimal for particular setting.
33:53Now we know that if we think only
33:55about core components or activities,
33:58we often can go down the route
34:02of modifying those forms or components
34:04in what appears to be a very minor way,
34:06but in fact completely eliminate
34:09achievement in one of the core functions.
34:11So if you think about drug detailing or academic detailing,
34:16that academic detailing interaction
34:18conveys information and education and knowledge,
34:22but also conveys professional norms.
34:24So that's an activity or a form
34:26that actually operationalizes two core functions.
34:30Audit and feedback is another example.
34:32Audit and feedback conveys information,
34:35but it also conveys professional norms
34:37and leadership expectations.
34:39And if you're focused only on the information function,
34:43you could easily decide,
34:45rather than convey the audit and feedback information
34:48in a departmental meeting,
34:50to convey that information via memo.
34:53If you do that, you weaken the professional norm function.
34:57One of the advantages of an audit and feedback session
34:59that's conducted in the departmental meeting
35:02is the physicians have an opportunity
35:04to talk about the guideline,
35:06the performance metrics or benchmarks
35:08and the variation of performance,
35:11and ideally help convince each other
35:13that maybe there is room for improvement.
35:15Whereas if you receive your own performance via a memo,
35:19you're not likely to be influenced in quite the same way.
35:23One final example,
35:24and that is quality improvement collaboratives
35:27where we know that having a multidisciplinary team
35:31and ensuring that the collaborative that's focusing,
35:33for example, on high contamination rates
35:40in the OR,
35:42that the QI team needs not only surgeons and nurses,
35:45but also members of the housekeeping staff
35:49because they collectively will develop
35:52a better understanding of the root causes
35:55of those infection rates of contamination
35:58than the physicians alone.
36:00But the other core function of that multidisciplinary team
36:04is the focus on acceptability
36:06of the findings and the recommendations.
36:09If a QI team consisting only of surgeons comes out
36:12and says that the high infection rates
36:14are due to the fact that the housekeeping staff
36:16are not wiping down the walls properly,
36:18you can be sure that the housekeeping staff
36:20are going to discount that
36:23because they know that they do their job properly
36:25and in their minds the problem
36:27is that the hand washing practices
36:29of the surgeons are deficient.
36:32So again, it's a single component
36:35or feature of intervention
36:37that operationalizes two different core functions.
36:40And understanding those core functions
36:43allows us to avoid making mistakes
36:45when we modify the intervention activity
36:48in a way that we think may be minor,
36:50but again can completely eliminate its ability
36:54to successfully carry out one of the core functions.
36:59So I think I've covered each of these already,
37:01but let me walk through them quickly.
37:02Again, the way that we typically think
37:04of a manualized intervention is highly detailed,
37:07is in fact more likely to do harm in many cases than value.
37:14Core components should be replaced by core functions.
37:17There are many implications of that rethinking,
37:19one of which of course is that a measurement of fidelity
37:22is not a measurement of whether you followed the script,
37:25but instead whether you successfully operationalized
37:28or carried out the core function.
37:30I've already talked about the fact
37:32that main effect estimates are not very helpful
37:35in evidence as we typically think of it.
37:37And again, it gets back to the point
37:39I've made a couple of times
37:40on the need to rethink the purpose of our research.
37:44So let me wrap up with just a few more slides
37:48that list some of the kinds of analytic approaches
37:51and research approaches that we need to be leveraging
37:55in order to, again, shine our flashlight
37:58on the processes and the mechanisms of effect
38:01rather than outcomes.
38:03These are some of the quantitative methods,
38:06qualitative comparative analysis is becoming more popular.
38:10There are also, of course,
38:11a number of qualitative methods as well.
38:14Process evaluation, theory-based evaluation
38:17and the continued emergence
38:20and illustrations of approaches to adaptation.
38:24Here are some examples of publications
38:26that are now quite dated that illustrate
38:30and talk about some of these approaches
38:32for measuring and taking into account context
38:36for examining moderator effects and mediator effects
38:39and mechanisms of effect.
38:42Here's some examples of implementation studies
38:45that have embraced and studied adaptation
38:49rather than suppressing it or ignoring it.
38:52Theory-based evaluation, realistic evaluation,
38:55again, are relatively new
38:57or underutilized approaches in the qualitative realm
39:01to study mechanisms of effect.
39:04There's still a lot of development work
39:06to be done, in my view, in these methods
39:08to get to the level of transparency
39:10and reproducibility that we need,
39:14but valuable approaches.
39:17And then, if we look outside
39:19the typical conventional toolkit
39:22to some of the other approaches
39:23such as statistical process control that are implemented,
39:26I'm sorry, our improvement science colleagues use
39:29as well as others,
39:31these represent other approaches.
39:33So just to wrap up,
39:35when we study complex health interventions,
39:38again, we need to begin by identifying the core functions
39:41and developing the menu of forms.
39:43Ideally, our research would validate
39:47our list of core functions
39:48or allow us to revise it
39:50so that we understand all the functions
39:51that need to be included
39:53and also provide evidence that guides the local tailoring.
39:59It would be documented
40:01in a set of adaptation or tailoring algorithms.
40:04And the bottom line, again, is a goal of understanding
40:07how complex interventions achieve their effects
40:10and how to modify them
40:11rather than pursuing the simpler question
40:14of whether they are effective.
40:16So I will stop there and open up
40:19for what I hope will be some robust discussion
40:23and comments and questions.
40:30<v ->Thanks, Brian.</v>
40:32That was a really kind of interesting and important talk
40:36at sort of the cutting edge
40:37of where implementation science is today,
40:41and with a lot of information packed in
40:43and concepts and things like that
40:46for us to think about
40:47and potentially absorb into our own work.
40:51So maybe I might start with this first question
40:55which is...
40:57Actually, I'll even integrate something else
41:00that probably is worth both of us mentioning,
41:01which is that Brian is actually the co-founder and director
41:05of the Multilevel Training Institute
41:07that's offered every year in collaboration with NCI.
41:11And Raul Hernandez-Ramirez,
41:13who's one of our CMIPS primary faculty
41:16is a graduate of that institute.
41:17And I'm actually one of the instructors
41:20teaching about the analysis of multilevel interventions.
41:25But the question is,
41:27my thought and I think a lot of us out here think
41:30that the reason,
41:31sort of the opposite of what you said,
41:34that the reason we like multilevel interventions
41:36is because it seemed like the medical model
41:39of isolating one,
41:41like what we would've said before in the past component
41:44and maybe right now you might say function
41:47and studying it and holding everything else constant,
41:51these sorts of implementation studies
41:53have been disappointing.
41:55And so, the thought was that actually,
41:59first of all, it's totally unrealistic in real life.
42:01You don't just have one thing.
42:03All of these public health interventions are complex,
42:06whether we choose to study them or not.
42:08And so, the idea then evolved
42:11to that it might make sense
42:14to intervene on an entire,
42:16sometimes we might say package of components,
42:18which now you're kind of redefining
42:21as package of forms maybe.
42:24Or maybe it's package of functions
42:26and then the forms are the specific ways
42:29that the functions are ways
42:31that functions can be implemented.
42:33If I caught all of that very quickly, I think I did,
42:35and I think we're somewhat familiar
42:36with this idea in our center as well.
42:39So that would strengthen
42:41the ability to see an impactful intervention
42:45and allow us to translate
42:48into practice evidence-based interventions as a whole.
42:53But now you're saying
42:54that because of the adaptations
42:57and the variability and the heterogeneity,
42:59actually these kinds of approaches also
43:02are giving weak results.
43:04So I'm just wondering if you can comment on that.
43:07<v ->Sure.</v>
43:08No, I would concur with everything that you've said
43:11and I think the main point is that,
43:15it's really that the argument that one size doesn't fit all.
43:18But to begin with, I do agree that,
43:20for most of these kinds of problems,
43:22the barriers are multi-component and multi-level,
43:25and we definitely need multi-level,
43:27multi-component complex health interventions.
43:30The simple example goes back to the studies
43:32in the 1970s and 1980s of CME
43:36as a method for improving physician practices.
43:39And the dominant finding from that body of research
43:41was physician knowledge and education changed
43:44and sometimes physician attitudes changed,
43:47but practices didn't change at all
43:49because the practices are held in place
43:51by multiple barriers.
43:52And if you don't provide the equipment
43:54or the staff support or the time
43:56or as I said, work on the patient resistance,
43:59no amount of educating physicians is likely
44:02to lead to the outcomes that we want.
44:05And in the causal diagram,
44:07the diag that I showed again is an example of that.
44:09If we focus on only one of those causal pathways,
44:12believe the other's untouched.
44:14So the point though is that we absolutely do need
44:19multi-component, often multi-level interventions.
44:23The issue though is the need to adapt and tailor them
44:26and the same mix of components
44:28or the same mix of forms and activities
44:31that is highly effective in one setting
44:33is not likely to be effective elsewhere.
44:35And when we take a complex health intervention
44:38and we try to scale it and spread it,
44:41or we move from efficacy research to effectiveness research,
44:45we are often disappointed in the findings.
44:48And that is because of the erroneous belief
44:52that one size fits all
44:53and that an so-called evidence-based practice
44:56is going to be evidence-based and robust
44:58and effective across multiple settings.
45:00It has to be tailored
45:02and we as researchers have to guide that tailoring.
45:07<v ->Thanks.</v>
45:08I have lots of questions,
45:09but I don't wanna hog the time.
45:11So we have lots of people on here.
45:14Do others have any questions they'd like to ask?
45:17I think you can simply unmute yourself
45:19and ask your question.
45:26<v ->Sure, thank you for the wonderful talk.</v>
45:29I am an investigator working a lot
45:30in low and middle income countries
45:32and I was interested at the beginning of your talk
45:34when you were using the term impact.
45:36I think it's often used as a synonym for effectiveness.
45:40But I think sometimes with public health
45:42or even population health interventions,
45:44we're thinking about numbers of people that can be served.
45:47I think this is particularly relevant
45:48if you think about communicable diseases
45:50because there may be indirect benefits for addressing that.
45:52And so, I guess that's sort of a very general question,
45:56just curious if you've encountered that,
45:57but maybe the more specific question
45:59related to your research would be,
46:03if volume then is kind of really important
46:05about how we deliver interventions,
46:07how do you think about that
46:09with regard to understanding the fidelity?
46:11Are we looking at sort of the contextual factors
46:14related to how many people are served
46:17maybe when we pilot an intervention,
46:19but when we think about taking it to scale,
46:22what are some of the considerations
46:24about kind of understanding the impact of volume
46:26on fidelity and adaptation?
46:29Thank you so much.
46:30<v ->Yeah, so first of all,</v>
46:33I'm a strong fan of the REAM framework
46:37and I think to think
46:38about the different dimensions of impact
46:41and how they relate to one another is critically important,
46:44that we focus only on effectiveness
46:46and ignore the other issues.
46:48The ultimate societal impact
46:50that we are seeking will not be seen.
46:53And I think the heterogeneity
46:56may apply differently across different outcomes
46:59in the kind of approach that we need
47:01in order to engage a high volume
47:04and a high proportion of the target audience
47:07versus the approach that we need to use
47:09to ensure that the intervention is effective
47:12across a large proportion of the target audience
47:16which does have its own heterogeneity in subgroups.
47:21Those may be different.
47:25And this may or may not be an answer,
47:27but at least this is the way that I would think about it,
47:30the vast majority if not all of these studies,
47:32we need to begin with REAM
47:34and explicitly think about all the different dimensions
47:38that contribute to the overall impact and outcomes.
47:42And then, we need to recognize and anticipate
47:45and explicitly address the heterogeneity
47:49across all of those different dimensions
47:52and know that as we again scale up and spread
47:55and adapt and tailor interventions
47:57from one setting to another,
48:01that tailoring and adaptations are likely to be needed
48:05in different ways and different facets of the intervention
48:08in order to ensure that we maximize
48:13outcomes and success
48:14across all the REAM dimensions.
48:17So again, it's just a very different way
48:20of thinking about research and interventions
48:23compared to the typical evidence-based practice
48:26that we develop an intervention,
48:27we can describe it very simply
48:29and we can deploy it anywhere
48:32and we will see the same kinds of results.
48:35And that's not the case,
48:36both because we can't deploy the interventions
48:39as we were designed elsewhere,
48:41and that's especially true of course.
48:42And we take US-designed interventions,
48:46try to deploy them in low resource settings
48:48within the US and elsewhere,
48:50but even if we could deploy them
48:52in the same way and implement them,
48:55the effectiveness is likely to vary considerably.
49:01<v ->Thanks so much, that's really interesting.</v>
49:04<v ->Okay, thank you.</v>
49:05That was a good answer.
49:06Luke, do you have a follow-up question?
49:08<v ->Yeah, I mean I would be curious</v>
49:09maybe just to think a little bit
49:12about operationalizing some of these things.
49:14Obviously, you work with one of the premier organizations
49:18about thinking about how to answer these questions.
49:20In terms of Kaiser,
49:23very large health system, many different units,
49:26however you'd wanna define those,
49:27whether those are sites or providers and so on so forth.
49:32I know I'm just curious
49:35about how you think about integrating
49:36quantitative and qualitative data
49:38with respect to certain types of problems of this nature.
49:41Maybe if there's any examples
49:43that you might be able to share from your work in Kaiser.
49:46<v ->So I think that integration is critical.</v>
49:49And this actually relates to the point that Donna raised
49:52about implementation science and improvement science.
49:54So the improvement science folks do accept
49:57and anticipate and address the heterogeneity
50:01and the whole issue of rapid cycle implementation
50:05and improvement
50:07where you do something and you sort of see
50:09what the impacts are and then you refine it.
50:11That's a form of tailoring.
50:13So I think they do recognize the heterogeneity
50:16and that's one way of dealing with it.
50:18But I think that rapid cycle evaluation,
50:20any kind of evaluation,
50:21and understanding the mechanisms of effect.
50:25We can only learn so much through mediation analysis
50:29and other quantitative methods.
50:30And if our goal is ultimately
50:32to understand how the world works
50:34and to understand causal pathways
50:36and causal relationships,
50:39we do have to mix the quantitative and qualitative.
50:42And I think all of our projects at Kaiser
50:45that are embedded research projects
50:47that are a synthesis
50:49of quality improvement activity and approaches
50:52where we're trying to improve things in the near term
50:54and implementation science and scientific approaches
50:58where we're trying to generate scientific knowledge,
51:01I think we almost invariably combine
51:03quantitative and qualitative
51:05as a way of, again, trying to understand
51:07how the world works,
51:09try to design the intervention, deploy it,
51:12evaluate it early and often
51:14in order to refine it and tailor it
51:17and ultimately generate
51:18the summative evaluation findings as well.
51:20And I think we all need more guidance
51:23and more examples of how this is done
51:26because there are a lot of moving parts
51:28and a lot of different factors to think of,
51:30not only the REAM multiple dimensions,
51:32but the different kinds of data
51:34and the different ways of understanding
51:37and tracking the mechanisms of effect
51:39and the intermediate or proximal outcomes
51:41in addition to the distal outcomes.
51:44So lots of challenges,
51:45but lots of opportunity for innovation and creativity.
51:52<v ->Anyone else that wants to ask you questions?</v>
51:58While we're waiting to see, I have another question.
52:01So you're probably familiar, Brian,
52:04with Linda Collins' MOST approach
52:07to developing and assessing or testing interventions
52:12and her focus is also with complex multilevel interventions
52:18where there are the three phases.
52:20But in the third phase,
52:22the third phase is kind of a traditional,
52:27fixed.
52:28You call it manualized,
52:29it doesn't necessarily have to just be a manual,
52:31it could be other things,
52:33but fixed set of components at certain levels
52:38and that's kind of tested in a standard RCT-type approach.
52:42And I'm wondering if you think
52:44that the MOST design is useful in certain settings
52:49or do you think that maybe that kind of approach
52:53has kind of seen its better days
52:55because of the fact that it doesn't take into account
52:59sort of the contextual aspects and the need for adaptation.
53:03But I know among other circles,
53:04the MOST design is very popular
53:07and even we've had training in our center in MOST
53:10and I'm currently discussing
53:13a possible grant application with some investigators here
53:16who'd like to use MOST.
53:17So I'm just wondering what your thinking is about that.
53:20<v ->Yeah, so I think that approach I think is highly valuable.</v>
53:24As our standard RCTs,
53:26as long as we recognize that they need to be augmented
53:30with additional kinds of data collection analysis activities
53:34that try to understand the mechanisms of effect.
53:37But certainly and when I say
53:40that RCTs and a focus on impact and outcomes
53:44are not what we should be doing,
53:48that's probably too extreme.
53:49I think we obviously need to measure outcomes
53:52and we need to use traditional quantitative methods,
53:55but we need to augment them
53:57and have an equal, in some cases greater focus,
53:59on the mechanisms of effect.
54:01And certainly, to try to get a handle
54:03on some of the heterogeneity
54:04and some of the factors using MOST
54:06and other approaches that Linda and others
54:09have developed and advocated
54:11I think is quite important and valuable.
54:14I just think that they're incomplete
54:15and we need to make sure
54:16we, again, have the accompanying process evaluation
54:20and mediation analysis and others.
54:23<v ->That makes sense.</v>
54:26Anyone else?
54:28Okay, so we have a question in the chat.
54:33What are some other frameworks
54:35you would consider reviewing
54:37when considering a multi-component and multi-level study?
54:40So presumably this question is other than REAM.
54:45<v ->Sure.</v> <v ->I'm guessing</v>
54:46and if the person who asked it would like to elaborate
54:48or if this is totally clear to you,
54:50Brian. <v ->Yeah,</v>
54:51let me give it a quick shot
54:53and then you can elaborate if I'm missing a point.
54:55But I think that CFIR of course,
54:58which continues to be the go-to high level framework
55:02is a way of identifying
55:03all the different categories of factors.
55:05So multi-component, multi-level interventions
55:08address multiple sources of barriers and factors
55:13that influence the outcomes that we're interested in.
55:16And CFIR is, in my mind, the best organizing framework
55:19that gives us that sort of 50,000 foot level.
55:22Then when we've identified
55:23the different categories of factors,
55:27we may need to bring in accompanying frameworks.
55:30So, behavior change wheel,
55:31theoretical domains framework is quite useful in identifying
55:37some of the physician-level behavioral factors.
55:40So I think it does depend on what CFIR tells us.
55:44If many of the barriers and influences
55:46are regulatory or community,
55:48then we may need to bring in political science frameworks
55:51or other bodies of theory.
55:53But we start with CFIR to get sort of the lay of land
55:56and then we identify frameworks for subsets of factors.
56:00And to me, REAM and I think to most of us
56:02is more of an evaluation framework.
56:04It doesn't really give us the theory,
56:08but it directs our attention
56:09to the different categories of outcomes
56:11that we need to take into account
56:14and measure and attempt to improve.
56:18<v ->Great, that was a very clear answer.</v>
56:21Thank you so much.
56:22And we're at time, so I think we'll just thank our speaker.
56:25Hopefully we'll see him again in person
56:27sometime in the near future
56:29and we look forward to some of our one-on-one meetings today
56:33and in a few of the subsequent days.
56:35So thank you so much, Dr. Mittman.
56:38<v ->Okay, thank you all.</v> <v ->Bye everybody.</v>
56:39<v ->Okay, bye-bye.</v>