Introduction
Diseases addressed by surgical, obstetrics, trauma, and anesthesia (SOTA) care are rising
globally due to an anticipated rise in the burden of non-communicable diseases and road traffic
accidents. Low and middle-income countries (LMICs) disproportionately bear the brunt.
Evidence-based policies and political commitment are required to reverse this trend. The Lancet
Commission of Global Surgery proposed National Surgical and Obstetrics Plans (NSOAP) to
alleviate the respective SOTA burdens in LMICs. NSOAP plans success leverages
comprehensive stakeholder engagement and appropriate health policy analyses and
recommendations. As Uganda embarks on its NSOAP development, policy prioritization in
Uganda remains unexplored. We, therefore, seek to determine the priority given to Surgery,
Obstetrics, Anesthesia, and Trauma care in Uganda’s health care policy and systems-relevant
documents.
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NOTE: This preprint reports new research that has not been certified by peer review and should not be used to guide clinical practice.
Methods
and analysis:
We will conduct a scoping review of SOTA health policy and system-relevant documents
produced between 2000 and 2022 using the Arksey and O’Malley methodological framework
and additional guidance from the Joanna Briggs Institute Reviewer’s manual. These documents
will be sought from the websites of SOTA stakeholders by hand searching. We shall also search
from Google scholar and Pubmed using well-defined search strategies. The Knowledge
Management Portal for the Ugandan Ministry of Health, which was created to provide evidence-
based decision-making data, is the primary source. The rest of the sources will include; other
repositories like websites of relevant government institutions, international and national non-
governmental organizations, professional associations and councils, and religious and medical
bureaus. Data retrieved from the eligible policy and decision-making documents will include the
year of publication, the global surgery specialty mentioned, the NSOAP surgical system domain,
the national priority area involved, and funding. The data will be collected in a preformed
extraction sheet. Two independent reviewers will screen the collected data, and results will be
presented as counts and their respective proportions. The findings will be reported narratively
using the PRISMA guidelines for scoping reviews.
Ethics and dissemination:
This study will generate evidence-based information on the state of SOTA care in Uganda’s
health policy, which will inform NSOAP development in this nation. The review’s findings will
be presented to the Ministry of Health planning task force. The study will also be disseminated
through a peer-reviewed publication, oral and poster presentations at local, regional, national,
and international conferences, and over social media.
Strengths and Limitations of the study:
This will be the first scoping review to examine the prioritization of SOTA care in Uganda’s
health care policy documents. The search strategy includes several electronic databases,
including governmental and non-governmental organizations, professional associations and
councils, and religious and medical bureaus. The scoping review will conform to the rigorous
methodology manual by the Joanna Briggs Institute.
However, this scoping review may not capture some documents that aren’t available online.
Keywords
Health policy analysis, SOTA care, Global Surgery, NSOAP.
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Background
Eleven percent of the global disease burden is treatable by surgical care1; however,
approximately five billion people lack access to timely, safe, and affordable surgical, obstetric,
trauma, and anesthesia (SOTA) care when needed2. This huge disparity exists mainly in low- and
middle-income countries (LMICs), where nine out of ten people do not have access to SOTA
care2.
Until recently, Surgery and anesthesia were considered burdensome, luxurious, and less cost-
effective aspects of global health3. The Lancet Commission on Global Surgery (LCoGS) in 2015
projected an increased need for SOTA care in LMICs to effectively address the burden of
communicable and non-communicable diseases and road traffic accidents. Mindful of these
challenges, a new term, “Global surgery,” was adopted to describe a rapidly developing
multidisciplinary field aiming to provide improved timely, safe, and affordable SOTA care
across international health systems with a focus on LMICS such as Uganda.4
This new term brought about numerous academic and policy stimuli. These included landmark
publications such as the World Bank’s third edition of their Disease Control Priorities (DCP-3)
and World Health Assembly (WHA) resolution 68.15, which was adopted unanimously by the
World Health Organisation Member States in 2015. This resolution calls for strengthening
emergency and essential surgical and anesthesia services as a part of universal health coverage5.
The LCoGS, with its published seminal report, focused on workforce, training, education;
healthcare delivery and management; information management; and economics and finance for
SOTA care and championed the most significant stimuli in the same year 4. It proposed six
indicators to be monitored, evaluated, and reported by all countries and global health
organizations4. These efforts ultimately culminated in recommendations to develop National
Surgical and Obstetric Plans (NSOAP), using the facility- and country-level data to drive health
policy. Since then, governments, ministries, professional societies, and on-the-ground clinicians
have been interested in leading efforts to increase surgical, obstetric, and anesthesia care in their
countries by developing the National Surgical, Obstetric, and Anaesthesia Plans (NSOAPs)6,7.
Recognizing current gaps in its surgical system’s six core health domains, the Zambian Ministry
of Health implemented resolution 68.15 by developing an NSOAP in the country at the
beginning of 2016. The goal was to integrate the NSOAP plan into the National Health Sector
Strategic Plan of Zambia, 2017-2021.8 Following this, other sub-Saharan African countries,
including Madagascar, Tanzania, Rwanda, Ethiopia, and Nigeria, have developed similar
NSOAP plans. Uganda currently has no active NSOAP plan.
Uganda, a low-income country with inadequate health budget allocation and a high burden of
out-of-pocket expenditure of approximately 38% (National Health Accounts, 2018/19), faces
several challenges in timely access and affordable and safe SOTA care.9 Most of the facilities
lack surgical amenities to perform bellwether procedures.10 The surgical volume in 2011 was
estimated at 241 per 100,000, which has not changed over the last ten years.11 The mean national
specialist surgical workforce density is about 1.05 for every 100,000 people.12 Moreover, poor
remuneration and difficult working environments have led to poor retention of the surgical
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workforce within Uganda.13 Within an average catchment area of 23.99 km, the mean proportion
of Ugandans living 30 minutes, 1 hour, and 2 hours from a surgical facility is 64%, 87%, and
98%, respectively.14 Furthermore, Ugandan SOTA patients face significant financial hardship.
The risks of catastrophic and impoverishing SOTA-care-related expenditures are estimated at
65% and 69%, respectively.15,16 Regarding safety, the maternal mortality ratio was 375 per
100,000 live births in 2017. Also, the neonatal and under-5 mortality rates per 1,000 births were
estimated at 19 and 43, respectively, in 2020.17,18
In light of these challenges, the Ugandan Ministry of Health in 2020 embarked on developing
NSOAP plans in collaboration with various stakeholders.19 NSOAPs are designed to strengthen
surgical systems, covering every health system domain: infrastructure, surgical workforce,
service delivery, information management, governance, and financing in alignment with national
health plans. In developing NSOAPs, existing health policies should be considered and analyzed
to avoid redundancy and identify opportunities for collaboration, pooling of resources, and
synergy. This analysis may also inform the development and review of evidence-based policies.
Although there have been some research efforts in other countries to identify opportunities for
SOTA (Takoutsing et al. 2021 etc.), no such efforts have focused on SOTA health policy
analysis in Uganda. Thus, this study will seek to determine the priority given to Surgery,
Obstetrics, Anesthesia, and Trauma care in Uganda’s health care policy and decision-making
documents.
1.0 STUDY OBJECTIVES
This protocol aims to describe the methodology of an up-to-date scoping review of existing
Ugandan national health policies and related documents (strategies, plans, guidelines, rapid
response summaries, health events, evidence briefs for policy, and dialogue reports) and identify
opportunities for SOTA policies. The primary and secondary aims of the review are described in
Box 1. The findings from this study will inform the ongoing NSOAP development and
implementation that commenced in 2020 and, as a result, may lead to progress toward adhering
to the global Surgery 2030 agenda.19
Box 1. Primary and secondary aims of the review.
Primary aim:
• To determine the extent to which SOTA is prioritized in national health policy and systems
documents.
Secondary aim
• To characterize all documents with SOTA as a focus area in terms of origin, type, year of
production, target audience, health system domain covered, and national priority areas.
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2.0 Methods and Analysis
We shall review all relevant health policy and decision-making documents about the Uganda
health system and interventions on all available health databases produced from 2000 to 2022.
We chose to commence from 2000 as this year was critical for health sector reforms. Before
1990 Uganda faced political instability. The focus of the new government was on restoring law
and order. Funding and resources for social services such as health was limited and came mostly
from external donors who focused on specific disease programs in just a few districts. These
efforts were unsustainable, and thus health outcomes stagnated between 1990 and 2000. The year
2000 marked the beginning of implementing important health sector reforms in Uganda with a
sector-wide approach. These included the National Health Policy and Health Sector Strategic
Plan (2000/01-2004/05).20 The study design and identification of relevant documents are
adopted from previous health policy analysis by Mutatina et al., in which they attempted to
establish a one-stop shop for health policy documents in Uganda.21
Protocol Design:
Arksey and O’Malley’s framework informed the design of the proposed scoping review
methodology, which in a health policy research context includes five stages to conducting a
scoping review: (1) identifying the research question; (2) identifying relevant studies; (3) study
selection; (4) charting the data; (5) collating, summarizing and reporting the results. We will also
draw insights from the PCC (Population, Concept, Context) framework to modify stage 2 to fit
our design involving identifying policy documents. The future corresponding scoping review
will be reported according to the Preferred Reporting Items for Systematic Reviews and Meta-
Analyses Extension for Scoping Review guidelines.22,23
Stage 1: Identifying the research question.
After consultation with the entire research team, the overall research questions were;
1) Between 2000 and 2022, what proportions of different health policy and systems
documents address specific SOTA aspects;- Surgery, obstetrics, trauma, and anesthesia
care?
2) What prominence is SOTA given in key policy documents ( plans, guidelines, strategies,
and policies)
3) What is SOTA care’s volume and nature (type, content areas/scope, year of production,
target audience/ stakeholders, and funding) in Uganda’s health policy documents between
2000 and 2022?
4) How are the SOTA-related policies distributed in the six domains of the surgical system;
governance, infrastructure, service delivery, workforce, information management, and
health financing?
5) What proportion of SOTA-related policies focuses on Bellwether or essential surgical
procedures?
6) Did the advent of key Global Surgery stimuli in 2015 and COVID-19 in 2019 cast any
changes in SOTA-related Uganda’s decision-making documents?
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Stage 2: Identifying relevant policy documents
The PCC (Population, Concept, Context) framework proposed by the Joanna Briggs Institute
manual is adopted in this review, as demonstrated in Table 1. According to this framework, the
population is Ugandans of any age group requiring a surgical procedure. The concept is to
prioritize surgical obstetrics, anesthesia, and trauma care, whereas the context is SOTA care in a
low-income setting, that is to say, Uganda.
Table 1.0. PCC framework for scoping review
PCC element Definition Example
Population Ugandans of any age group needing a
surgical procedure.
1. Pregnant mother who needs
Spinal anesthesia for
Caesarean section following
obstructed labor.
2. Neonate with malrotation
requiring general anesthesia
and surgical correction.
3. Casualty of a motorcycle
road traffic accident requiring
fracture management.
Concept To determine the extent to which SOTA
is prioritized in national health policy
and systems documents
1. Searching for SOTA
Keywords
in health policy
documents.
2. Determining the
prominence given to SOTA in
key policy documents (plans,
policies, strategies, guidelines)
Context Access to SOTA care for those who
need it in a low-income country,
Uganda.
Health policy and systems
arrangements in Uganda that
enable access to surgical care,
for example;
1.Surgical Infrastructure(
healthcentres and hospital,
Medicines, blood, and
equipment)
2.Workforce( training and
education of SOTA related
staff; anesthesia providers,
nurses, surgeons, etc)
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Databases and search strategy
We conducted a stakeholder mapping of all institutions involved in delivering SOTA care in
Uganda(Table 2.1). A targeted hand search/manual strategy will be executed on the websites of
the above institutions. We shall use the Google search engine to find such websites, which we
then navigate using the tabs and menus available on the home page (e.g., policy documents and
guidelines, e-library, resources, publications, legislation). Since different websites are organized
differently, we shall develop specific search strategies for each website depending on its
navigability. In addition, we shall search Google Scholar and Pubmed using the following
Keywords
in various combinations with Boolean operators (and, or); Uganda, health policy,
health system, policies, strategies, plans, and reports. (Table 2.2). We shall inspect the reference
lists of found documents to expand our list of included documents. Importantly, we shall use the
websites from stakeholder mapping as an entry point to other repositories for national strategy
documents. The above search strategy was adapted from Takoutsing et al. 2022 and Mutatina et
al. 2017.
Table 2.1 Stakeholders in SOTA care in Uganda.
Organization Website
STATE ACTORS
Parliament of Uganda(Health Committee) http://www.parliament.go.ug/new/
Health Service Commission https://hsc.go.ug
National Drug Authority https://www.nda.or.ug
National Medical Stores https://www.nms.go.ug/
Uganda Blood Transfusion Services https://www.ubts.go.ug
Uganda National Health Research organization https://www.unhro.org.ug
National chemotherapeutics and Research Institute https://ncri.go.ug
National and Regional Referral Hospitals, Health Facilities
District health Offices
Health Service Commission
http://www.hsc.go.ug/
Ministry of Internal Affairs (directorate of Health Services) http://mia.go.ug
Ministry of Defence (Directorate of Health Services) http://modva.go.ug
Ministry of Agriculture http://www.agriculture.go.ug/
Ministry of Education and Sports http://www.education.go.ug/
Ministry of Finance, Planning, and Economic Development http://www.finance.go.ug/
Ministry of Gender, Labour and Social Development http://www.mglsd.go.ug/
Ministry of Health http://www.health.go.ug/
National Council for Science and Technology http://www.uncst.go.ug/
National planning authority http://npa.ug/
Office of the Prime Minister http://www.opm.go.ug/
Uganda AIDS Commission http://www.aidsuganda.org/
Uganda Bureau of Statistics http://www.ubos.org/UNHS0910/home.html
Uganda Population Secretariat http://popsec.org/
NON STATE ACTORS
International Organisations
1. Centers for Disease Control and Prevention http://www.cdc.gov/globalhealth/countries/uganda/
2. Food and Agriculture Organization of the United Nations http://www.fao.org/countryprofiles/index/en/?iso3=UGA
3. GAVI, the Vaccine Alliance http://www.gavi.org/
4. ICO Information Centre on HPV and Cancer http://www.hpvcentre.net/
5. United Nations Children’s Fund http://www.unicef.org/uganda/
6. United Nations Population Fund http://countryoffice.unfpa.org/uganda/
7. United Nations Programme on HIV/AIDS http://www.unaids.org/en/regionscountries/countries/uganda
8. United States Agency for International Development https://www.usaid.gov/uganda
9. World Bank http://www.worldbank.org/en/country/uganda
10. World Health Organization (WHO) http://www.who.int/countries/uga/en/
Locally Registered Non-Governmental Organizations
1. Global Surgical Initiatives, Inc(Kyabirwa Surgical Centre) https://kyabirwasc.org/wp53/
2. Women Maternity Aid International maternityworldwide.org/what-we-do/uganda/
3. Malteser International malteser-international.org/en/our-work/africa/uganda.html
4.Marie Stopes limited https://www.mariestopes.or.ug/
3. HEPS-Uganda http://www.heps.or.ug/
4. Infectious Diseases Institute http://www.idi-makerere.com/
6. Joint Clinical Research Center http://www.jcrc.org.ug/
7. Plan International https://plan-international.org/uganda
8. Population Reference Bureau http://www.prb.org/Countries/Uganda.aspx
9. The AIDs Support Organization (TASO) http://tasouganda.org/
10. Mothers Heart Uganda https://www.mothersheartuganda.com/
11. Red Cross https://www.redcrossug.org
12. Save for Health Uganda
13. Transcultural Psychosocial Organization (TPO) Uganda internationaltraumacenter.com/where-we-work/eastern-uganda/
14.Bulamu Health Care https://bulamuhealthcare.org/
15. Kids OR https://www.kidsor.org/
Health Professional Councils And Associations
1. Allied Health Practitioners Council http://www.ahpc.ug/
2. Association of Surgeons and Association of Gynecologists and Obstetricians of Uganda http://sogc.org/aogu/
3. Pharmaceutical Society of Uganda http://psu.or.ug/new/
4. Uganda Dental Association http://www.ugadent.org/
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5. Uganda Health Care Federation http://ugandahealthcarefederation.blogspot.ug/
6. Uganda Medical Association http://www.uma.co.ug/
7. Uganda Medical and Dental Practitioner Health Council http://www.umdpc.com/
8. Uganda Nurses and Midwives Council http://unmc.ug/
9. Association of Surgeons of Uganda https://asou.pro/
10. Orthopaedic Society of Uganda https://orthosocietyug.org/
11.Society of Uganda Gastrointestinal and Endoscopic Surgeons https://suges.org/
12.Association of Anesthesiologists of Uganda https://anesthesiaug.org/
13. Neurosurgical Society of Uganda
Religious Medical Bureaus
1. Uganda Catholic Medical Bureau http://www.ucmb.co.ug/
2. Uganda Protestant Medical Bureau http://upmb.co.ug/
Academic Institutions/Research Networks
1. EVIPNet http://global.evipnet.org/
2. Makerere University School of Public Health http://www.musph.ac.ug/
3. Uganda National Academy of Sciences http://ugandanationalacademy.org/
Table 2.2 Pilot search strategy of Google scholar and Pubmed databases.
PUBMED RESULTS
1. Surgery OR obstetric* OR trauma OR
anesthesia
2.health polic* OR plan OR strateg* OR rapid
response summar* OR guideline OR report* OR
evidence brief* OR Roadmap* OR evidence
synthes*
3. 1 AND 2
4. Uganda
5. 3 AND 4
6. 2000-2022
7. 5 AND 6 308
GOOGLE SCHOLAR (Surgery OR obstetric* OR trauma OR
anesthesia) AND (health policy OR plan OR
strateg* OR rapid response summar* OR
guideline OR report* OR evidence brief* OR
Roadmap* OR evidence synthes*) AND Uganda
121
Stage 3: Screening and selection of relevant documents.
At this stage, KB and BDT will discuss and use the keywords incorporating the inclusion
criteria. The search strategy will be developed by testing the keywords, and MESH terms, on the
databases to search. Finally, all reviewing team members will discuss and determine the final
search strategy.
To delineate the boundaries of SOTA health policy and systems research, we borrowed the
Hoffman et al. model to determine the documents relevant to health policy and systems to
incorporate in this study.24
We shall therefore include all SOTA-related documents between 2000 and 2022 that address the
following;
(1)issues related to health systems (i.e., SOTA leadership and governance, financial and service
delivery, health information systems, and implementation strategies);
(2) policies on clinical issues, which include essential drugs, diagnostics, and medical supplies,
for example, blood transfusion for surgical operations.
(3) policies on public/population issues such as breast cancer screening, and immunization for
cancer prevention, for example, HPV vaccine for cervical cancer.
We shall exclude documents that;
(1) Have no national coverage (e.g., NGO project reports covering only a few districts).
(2) Are in the draft stage
(3) Are primary studies(case reports, series,reviews,cross-sectional and cohort studies)
The screening and selection will be conducted in three phases. First, all articles identified per our
search will be exported to an Excel proforma sheet (Microsoft, Redmond, Washington, USA),
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and duplicates will be identified and deleted. Next, a calibration exercise will be carried out
before screening to ensure an adequate understanding of the inclusion criteria by study screeners.
At least two independent reviewers will review each policy document. The documents identified
by either or both reviewers will be included for extraction. Disagreements will be discussed
amongst the reviewers, and in case of no resolution, an appeal will be made to a senior authors
(EO, BM, and EAE). A flow diagram will be presented to reflect the search process.
Stage 4: Charting the data
Key characteristics from the included studies will be extracted using a predefined data-extraction
sheet in Microsoft Excel (Microsoft, Richmond, Virginia, USA). Data extraction will also be
performed in two stages. Firstly a pilot stage consisting of all authors independently extracting
and categorizing data from ten policy documents. This is to assure the reliability and
standardization of the extraction form and that all authors extract data homogeneously and
accurately. Next, the authors will complete data extraction for all included documents, and
discrepancies that were not resolved between the authors will be arbitrated by the senior authors
(BM, EO, and EAE). The expected key information to be extracted is outlined in Box 2. A
sample tabular extraction form is also illustrated in Table 3.
Box 2. Key information to be extracted.
● Year of publication of policy document
● Type of document
● Global surgery SOTA aspect focussed on.
● Health system components involved
● Stakeholders involved
● Funding
Table 2 Preliminary findings of the SOTA documents
Doc
S/N
Title Year Source Type of
document
Global
surgery/SOTA
aspect
NSOAP
surgical
domain
Bellwether
procedure
mentioned
National
Priority area
Focus area Funding
1 National
Medicines Policy
2015 MoH Policy Unspecified Infrastructure Unspecified Essential
medicines and
supplies
Access to good
quality, affordable
medicines, and health
supplies
MoH
2. The National
Policy
Guidelines and
Service
Standards for
Reproductive
Health
Services
2001 MoH Guidelines Obstetrics Service
delivery
Cesarean
section
Governance
arrangements
Streamlining the
training and provision
of Reproductive
Health services
USAID
3. Improving
Access to Skilled
Attendance at
Delivery
2012 SURE
project
Evidence
brief for
policy
Obstetrics Service
Delivery
None Delivery
arrangements
Increasing Access to
Skilled Birth
Attendance,
European
Commission’s
Seventh
Framework
Programme
Stage 5: Collating, summarizing, and reporting the results
The SOTA scoping review results will be presented narratively, describing the documents’ scope
and nature. The data will be summarised with descriptive statistics in graphs and tables;
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regarding types of documents, their focus, NSOAP domains, and national priority areas or issues
addressed in these documents. We shall also expose the trends, especially during the COVID-19
era and following the publication of key Global Surgery documents in 2015.
3.0 Ethics.
Ethical approval for this study will not be required because this study did not involve human
participants.
4.0 Dissemination
This will include: presenting the review’s findings to the Ministry of Health planning task force;
publication of the protocol and the review in peer-reviewed journals; oral and poster
presentations at local, regional, national, and international conferences; and dissemination over
social media.
5.0 Competing interests:
None declared.
6.0 Patient consent for publication:
Not required.
7.0 Funding
There is no funding for this study
8.0 Author’s contributions statement
KB, BDT, and BD were responsible for conceiving the article. KB is the guarantor. KB, BDT,
and BD wrote the manuscript. EAE, BD, BM, and EO critically appraised the manuscript. All
authors critically revised and approved the final protocol.
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