key: cord-0821449-rhc7pot5 authors: Hindes, Jason; Bianco, Simone; Schwartz, Ira B. title: Optimal periodic closure for minimizing risk in emerging disease outbreaks date: 2021-01-06 journal: PLoS One DOI: 10.1371/journal.pone.0244706 sha: 7253eedb93772418ee133b283626fa4470dbc287 doc_id: 821449 cord_uid: rhc7pot5 Without vaccines and treatments, societies must rely on non-pharmaceutical intervention strategies to control the spread of emerging diseases such as COVID-19. Though complete lockdown is epidemiologically effective, because it eliminates infectious contacts, it comes with significant costs. Several recent studies have suggested that a plausible compromise strategy for minimizing epidemic risk is periodic closure, in which populations oscillate between wide-spread social restrictions and relaxation. However, no underlying theory has been proposed to predict and explain optimal closure periods as a function of epidemiological and social parameters. In this work we develop such an analytical theory for SEIR-like model diseases, showing how characteristic closure periods emerge that minimize the total outbreak, and increase predictably with the reproductive number and incubation periods of a disease– as long as both are within predictable limits. Using our approach we demonstrate a sweet-spot effect in which optimal periodic closure is maximally effective for diseases with similar incubation and recovery periods. Our results compare well to numerical simulations, including in COVID-19 models where infectivity and recovery show significant variation. The COVID19 pandemic, caused by the novel RNA virus SARS-CoV-2 [1] , has resulted in devastating health, economic, and social consequences. In the absence of vaccines and treatments, non-pharmaceutical intervention (NPI) strategies have been adopted to varying degrees around the world. Given the nature of the virus transmission, NPI measures have effectively reduced human contacts-both slowing the pandemic, and minimizing the risk of local outbreaks [2, 3] . The use of drastic NPI strategies in China reportedly reduced the basic reproductive number, R 0 , to a value smaller than 1, strongly curbing the epidemic within a short period of time [3, 4] . On the other hand widespread testing protocols and contact tracing, in e.g., South Korea, significantly controlled spread during the initial phase of the pandemic [5] . In other countries, the implementation of NPI policies has not been as strict [2] , with an optimistic reduction in transmission of roughly a half. To complicate the containment of the disease, early reports indicated significant amounts of pre-symptomatic and asymptomatic transmission [6, 7] . For instance, recent estimates point to asymptomatic infection accounting for around 20-30% of the total, with a similar percentage for pre-symptomatic infections [8] -together producing a majority. These findings have been supported by other experimental studies [9] and analysis of the existing data [10, 11] . As NPI controls such as quarantine, social distancing and testing are enforced, it is important to understand the impact of early release and relaxation of controls on the affected populations [12, 13] . Recent studies have attempted to address how societies can vary social contacts optimally in time in order to maintain economic activity while controlling epidemics [14] . For instance, preliminary numerical studies suggest that periodic closure to control outbreak risk, where a population oscillates between 30-50 days of strict lockdown followed by 30-50 days of relaxed social restrictions, may efficiently contain the spread of COVID-19 and minimize economic damage [15] . These studies test interesting hypotheses, but cannot be immediately generalized to new emerging diseases. A basic understanding of why and when such risk minimizing strategies are effective remains unclear, and may benefit from a general analytical approach. As a first step in this direction we analyze SEIR-like models with tunable periodic contact rates. Our methods reveal the existence of a characteristic optimal period of contact-breaking between individuals that minimizes the risk of observing a large outbreak, and predicts exactly how such an optimal period depends on epidemic and social parameters. In particular, we show that the optimal period for closure increases (or decreases) predictably with R 0 and the incubation period of a disease, and exists as long as R 0 is below a predictable threshold, and when there is not a time-scale separation between incubation and recovery. We demonstrate analytically that periodic closure is maximally effective for containing disease outbreaks when the typical incubation and recovery periods for a disease are similar-in such cases suppressing large outbreaks with R 0 's as large as 4. Our results compare well to numerical simulations and are robust to the inclusion of heterogeneous infection and recovery rates, which are known to be important for modeling COVID-19 dynamics. To begin, we first consider the canonical SEIR model with a time-dependent infectious contact rate parameter, β(t). Individuals in this model are in one of four possible states: susceptible, exposed, infectious, and recovered. Following the simplest mass-action formulation of the disease dynamics, and assuming negligible background births and deaths, the fraction of susceptible (s), exposed (e), infectious (i), and recovered (r) individuals in a population satisfy the following differential equations in time (t), where dots denote time derivatives: Such equations are valid in in the limit of large, well-mixed populations and constitute a baseline description for the spreading of many diseases [16, 17] . Note that α is the rate at which exposed individuals become infectious, while γ is the rate at which infected individuals recover. If β(t) = β 0 = constant, it is straightforward to show that the basic reproductive number for the SEIR model, R 0 , which measures the average number of new infections generated by a single infectious individual in a fully susceptible population, is R 0 = β 0 /γ [17] [18] [19] . Note in this work when R 0 is written as a constant (no time dependence) it should be taken to mean this value. Typical values for the R 0 of COVID-19 range from 1-4, depending on local population contact rates [4, 20] . As a simple model for periodic closure we assume a step function for β(t) with infectious contacts occurring for a period of T days with rate β 0 , followed by no contacts for the same period, . A schematic of β(t) is plotted in the inlet panel of Fig 1(a) . In S1 Appendix we show results for smoothly varying β(t) and asymmetric closure, where lockdown and open contacts occur for different amounts of time. It is demonstrated that the results presented in the main text do not qualitatively change under these generalizations. Also in Fig 1(a) , we plot an example time-series of the infectious fraction, normalized by the initial fraction of non-susceptibles, for three different closure periods: green (short), blue (intermediate), and red (long). For periods that are not too long or short, the disease remains in a linear spreading regime (as we will show below), and therefore normalizing by the initial conditions gives time series that are initial-condition independent. Intuitively, since the incubation period, α −1 , is finite, it takes time to build-up infection from small initial values. As a consequence, we expect that it may be possible to allow some disease exposure, before cutting contacts, and the result may be a net reduction in infection at the end of a closure period. For instance, notice that all i(t) decrease over a full closure cycle, 2T, in Fig 1(a) . If the closure period is too small, infection can still grow (e.g., as T ! 0, R 0 (t) � hR 0 (t)i t = R 0 /2 which could be above the epidemic threshold), while if the period is too long, a large outbreak will occur before the control is applied. Between these two limits, there should be an optimal T (T min ), that results in a minimum outbreak. To illustrate, in Fig 1(b) we show an example of the final outbreak-size, r(t ! 1) � r f starting from i(t = 0) = 10 −3 , as a function of the closure period for different, equally spaced values of R 0 : the bottom curves correspond to smaller values of R 0 , while the top curves correspond to larger values. As expected from the above intuitive argument, simulations show an optimal period that minimizes r f . A natural question is, how does T min depend on model parameters? Our approach in the following is to develop theory for T min in the SEIR-model, and then show how such a theory can be easily adapted to predict T min in more complete models, e.g., in COVID-19 models that include heterogeneous infectivity and asymptomatic spread [11, 20] . It is possible to estimate T min by calculating its value in the linearized SEIR model, applicable when the fraction of non-susceptibles is relatively small. When e(t), i(t), r(t), 1 − s(t) � 1, the dynamics of Eqs (1)-(4) are effectively driven by a 2-dimensional system: The first step in calculating T min is to construct eigen-solutions of Eqs (5) and (6) in the form where ν(T) is the largest such eigenvalue; the superscript p denotes the corresponding principal eigenvector. Ignoring the subdominant eigenvalues assumes that after a sufficiently large number of iterations of periodic closure, the dynamics is well aligned with the principle solution no matter what the initial conditions. Unless stated otherwise, simulations are started in this state so that initial-condition effects are minimized. The second step is to calculate the integrated incidence, r(2T) from the solution of Eq (7), by integrating i(t) over a full cycle where [C p (t)] 2 denotes the infectious-component of C p (t). The third step is to calculate the final outbreak size from r(2T). To this end, it is important to realize that as long as ν(T) < 1, the outbreak will decrease geometrically after successive closure cycles, and therefore r f (T) = r(2T) + ν(T)r(2T) + ν(T) 2 r(2T) + . . ., or Finally, we can find the local minimum of r f (T) when ν(T) < 1 by solving This algorithm gives a single fixed-point equation that determines T min . Since our analysis is based on a piecewise 2-dimensional linear system, it is possible to give every quantity in the previous paragraph an exact expression [22] in terms of epidemiological and social parameters. See S1 Appendix for full derivation and exact expressions for Eqs (7)-(10). Following our procedure gives the prediction curves shown in Fig 2(a) . The solid red line indicates the solution to Eq (10), and agrees well with simulation-determined minima of r f (T) over a range of R 0 given initial fractions of infectious 10 −6 (circles), 10 −4 (squares), and 10 −2 (diamonds). The simulation-determined minima are computed from r f (T) curves like Fig 1(b) . It is important to note that our optimal-control theory assumes the validity of the linearized SEIR model, applicable when the total outbreak size, r f � 1 . In general, the total outbreak size will increase with the initial fraction of infectious and R 0 , and hence, the larger both are, the more simulations will disagree with theory. For example, this explains the better agreement for initial fractions of infectious 10 −6 , as compared to 10 −2 in Fig 2(b) . On the other hand, the solid blue line in Fig 2(a) indicates the threshold closure period, satisfying The closure period T thresh results in the largest eigenvalue of Eqs (5) and (6) equalling unity such that the principal component of exposed and infectious fractions is unchanged after a full closure cycle. If T < T thresh , ν(T) > 1 and a large outbreak occurs, even with closure, as infection grows over a full cycle for any small non-zero C(0). Given this property, T thresh gives a lower bound for the optimal period, T min > T thresh . Note: the red curve is always above the blue curve in Fig 2(a) . Before analyzing Eqs (5)-(10) further, we point out two basic dependencies in the (normalized) optimal period T min � γ. The first is intuitive: as the reproductive number R 0 increases, so does T min � γ. Hence, the faster a disease spreads the longer a population's closure-cycle must be in order to contain it. The second is more interesting. Notice in Fig 2(c) that T min � γ ! 1 as a ! 0, and T min � γ ! 0 as a ! 1. Therefore, recalling a = α/γ, if a disease has a long incubation period, then the optimal closure cycle is similarly long. On the other hand, if a disease has a short incubation period, then the optimal closure cycle is short. In order for periodic closure to be a practical strategy, with a finite T min , our results indicate that a � Oð1Þ, roughly speaking, or that the recovery and incubation periods should be on the same time scale-a condition that generally applies to acute infections [19] . Another observation from our approach that we can make is that periodic closure is not an effective strategy for arbitrarily large R 0 , as one might expect. One way to see this from the analysis is to notice that the optimal period diverges for the linear system at some R max 0 , as T thresh ! T min ! 1 (at fixed a). This transition can be seen in Fig 2(a) , as the blue and red curves collide. Above the transition R 0 > R max 0 , no periodic closure can keep a disease from growing over a cycle. In this sense R max 0 ðaÞ gives an upper bound on contact rates between individuals that can be suppressed by periodic-closure as a control strategy. We note that an optimal T min still exists even when our linear approximation no longer applies, e.g., R 0 > R max 0 (in the sense that r(t ! 1) is minimized by some T min ), but the benefit of control becomes smaller and smaller as R 0 is increased, and the optimal period becomes increasingly dependent on initial conditions. In such cases, one must resort to numerical simulations of the full non-linear system, Eqs (1)-(4). A sharper analytical understanding can be found by making the additional approximation that C(t) � exp[λ 11 γt]v 11 , for t < T and β(t) = β 0 , where ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffi ffiffi ða þ 1Þ 2 þ 4aðR 0 À 1Þ Eq (12) is the largest eigenvalue of M(t