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Anirban Basu (basua@uw.edu) is the Stergachis Family Endowed Director and Professor of Health Economics
at the Comparative Health Outcomes, Policy, and Economics Institute in the School of Pharmacy, University of
Washington, in Seattle.
ABSTRACT
Knowing the infection fatality rate (IFR) of novel coronavirus (SARS-CoV-2) infections is
essential for the ght against the coronavirus disease (COVID-19) pandemic. Using data
through April 20, 2020, I t a statistical model to COVID-19 case fatality rates over time at
the US county level to estimate the COVID-19 IFR among symptomatic cases (IFR-S) as
time goes to in nity. The IFR-S in the US was estimated to be 1.3 percent. County-speci c
rates varied from 0.5 percent to 3.6 percent. The overall IFR for COVID-19 should be
lower when I account for cases where patients are asymptomatic and recover without
symptoms. When used with other estimating approaches, my model and estimates can
help disease and policy modelers obtain more accurate predictions for the epidemiology
of the disease and the impact of various policy levers to contain the pandemic. The
model could also be used with future pandemics to get an early sense of the magnitude
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of symptomatic infection at the population level before other direct estimates are
available. Substantial variation across patient demographics likely exists and should be
the focus of future studies.
TOPICS
COVID-
19 | CORONAVIRUS | DISEASES | PANDEMICS | EPIDEMIOLOGY | POPULATIONS | PATIEN
T TESTING | MORTALITY | COMORBIDITY | CODE OF FEDERAL REGULATIONS
Knowing the infection fatality rate (IFR) of novel coronavirus (SARS-CoV-2) infections is
essential for the ght against the coronavirus disease (COVID-19) pandemic.1,2 A
substantial amount of uncertainty in projecting the effects of the pandemic at the
population level and the impact of public policies and directives, such as physical
distancing measures, as well as the impact of potential future shortages of health care
supply pivots around the uncertainty of this parameter. The IFR is the ratio of two
numbers: the number of deaths caused by COVID-19 (numerator) and the total number of
people in the population who were genuinely infected by the virus (denominator).
However, for many reasons, both the numerator and the denominator of the IFR are
measured with error. For example, errors in the denominator arise because patients
remain asymptomatic during the rst few days of the infection, testing is not universal
and is selective at best, and longitudinal data on patients with COVID-19 are unavailable
at the national level.3 Measurement errors may also exist in the numerator because of
the undercounting of deaths due to social isolation and other factors and because some
COVID-19-related deaths are attributed to other factors.4 As a consequence, the reported
case fatality rate (CFR) for COVID-19, which is an estimate based on the reported number
of COVID-19-related deaths and the reported number of cases that were laboratory
con rmed as COVID-19 infections, provides a biased estimate of the IFR. It could be
biased upward because the actual number of individuals who are infected is not known.
It also could be biased downward because some of those who are currently infected
could die in the future or because deaths are undercounted. The upward bias is likely to
be much larger during the early phase of testing. Most estimates of the COVID-19 fatality
rate currently available around the world suffer from these biases.5
In this article I try to overcome these biases using national US data on counts of reported
deaths and detected COVID-19 cases and the temporality of the reported case fatality
rate (that is, its variability over time) to make inferences about the infection fatality rate
for COVID-19. My method does not account for a fraction of cases with COVID-19
infection where patients recover without any major symptoms. These asymptomatic
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patients do not contribute to any of the reported statistics on COVD-19 deaths and
cases. A true IFR should include these patients in the denominator. However, in this
article, because I try to eliminate measurement errors in reported CFRs based on trends
in reported COVID-19 deaths and cases, I am unable to account for this fraction of the
population that remains asymptomatic with infections. As a consequence, what I
estimate is the IFR among symptomatic COVID-19 cases (IFR-S) or the “true” case
fatality rate, where no reporting errors are present.
I make three assumptions for this analysis. First, errors in the numerator and the
denominator lead to underreporting of true COVID-19 deaths and cases, respectively, and
the error is smaller for deaths than for cases. Second, both the errors are declining over
time. Finally, the errors in the denominator are declining at a faster rate than the error in
the numerator.
The rst assumption is self-evident: both deaths and actual cases are undercounted
during the initial phase of the epidemic.3,4 Because deaths are much more visible events
than infections, which, in the case of COVID-19, can be asymptomatic during the rst few
days of infection, I posit that at any point in time, the errors in the denominator are larger
than the errors in the numerator. Hence, this assumption leads to CFR estimates being
larger than the IFR-S, which is typically believed to be true, according to observed data.
The second assumption is my central assumption, stating that under some stationary
processes of care delivery, health care supply, and reporting, which are all believed to be
improving over time, the errors in both the numerator and the denominator are declining.
It implies that the measurement of both the numerator and the denominator are
improving over time, albeit at different rates in different jurisdictions.
The third assumption posits that the error in the denominator is declining faster than the
error in the numerator. This assumption indicates that case fatality rates, based on the
number of cumulative COVID-19 deaths and the number of cumulative reported COVID-
19 cases, are declining over time and are con rmed by my observed data (described in
detail below).
If these simple assumptions hold, these methods allow me to project the IFR at the limit
when time goes to in nity and errors reduce to zero. That is not to say that, in practicality,
I expect that in the future the US would ever reach a point of universal testing or
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However, this stationary process of declining errors may be disrupted in certain regions
and over certain periods by shortages of testing supplies, leading to arti cial increases in
the CFR after days of decline. I applied speci c criteria to identify these regions and
periods so that I could exclude these data from my analysis.
DATA
I used publicly reported data, located in GitHub, from both the Johns Hopkins
Repository7 and the New York Times8 on the total number of cumulative deaths and
detected cases by day for each US county. I updated missing values from one repository
using the nonmissing values from the other repository by date and county. Moreover, for
any date and county, the maximal value reported for deaths or detected cases in either
repository was used. A rate variable was constructed by dividing the cumulative total
number of deaths by the cumulative total number of detected cases for each date and
county. The rst diagnosed case of COVID-19 in the US occurred January 21, 2020, and
the rst death occurred February 28, 2020, both in Washington State, although new data
are showing that earlier cases may have existed in California.9 Because testing was
nonexistent during the initial few days, the data showed that the ratio of deaths to cases
increased for the rst few days for many counties. Therefore, for each county, my
analysis started from the day when the rst zenith in this rate was reached. It is assumed
that declining error rates within each county began from that day forward, driven by
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better reporting of COVID-19 deaths and cases. Only counties that had reported at least
ve COVID-19 deaths and thirty cases before April 20, 2020, were retained.
Moreover, I was aware that sudden areawide shortages in testing kits could arti cially
raise the CFR after days of decline, and therefore bias my decay analysis. That is why I
also removed counties that reported at least a one-standard-deviation increase in the
CFR for seven or more days after reaching the CFR nadir. In addition, among the
remaining counties, I removed the last seven days of follow-up if CFRs were found to
increase consecutively for three or more days during that week. Last, I retained counties
that had at least six follow-up days of reported data after reaching the zenith.
STATISTICAL MODEL
I modeled these rates over time for each county, using a binomial model for the counts of
deaths over the counts of detected cases; that is, Deathsjt are distributed as binomial(pjt,
Detectedjt), where j denotes the counties and t denotes the number of days from the
zenith value of rate within a county (Days). The mean of this binomial model, pjt,
represents the probability of death and is expressed as a Bayesian random coe cients
exponential decay model within a logit link framework, so that the predicted rates remain
within 0 and 1. Speci cally, my mean model estimated the probability of death in county j
at time t: (pjt=Logit−1(A1j+(A2j−A1j)×exp(−exp(A3j)(Daysjt−1))). The Aij represent the actual
death rates for speci c counties.
The main feature of the decay model is that as time (Days) goes to in nity, under the
assumption that errors in both the numerator and the denominator go to zero, the
cumulative reported CFR would approach an estimate of the true IFR-S in the population.
Speci cally, in this model: Logit−1(A1j) = county-speci c IFR-S, as Days goes to in nity;
Logit−1(A2j) = county-speci c expected zenith rate, when Days = 1; and −exp(A3j) =
county-speci c exponential decline rate in the CFR, parameterized such that it takes on
negative values only.
The overall US-speci c IFR-S can be expressed as Logit−1(b1), where A1j is distributed as
normal(b1, 1). Hyperpriors for coe cients were based on Cauchy distributions, as
recommended in the Bayesian literature for logistic models.10 Prior sensitivity analyses
were carried out based on using normal or uniform distribution for the hyperpriors.
Further details about the model are in the appendix.6 I used the Metropolis-Hastings
algorithm to estimate this model, using three simultaneous Monte Carlo chains and
10,000 deviates for each chain, 10,000 burn-in runs, and a thinning of 100.
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I used data up to April 20, 2020, for my training sample to estimate my model. Model t
was assessed using posterior predictions from the model against four consecutive
follow-up days for each county. For most counties, these days were April 21–24, 2020.
LIMITATIONS
Third, what I present here are crude IFR-Ss, and not even age-adjusted ones. I did not
have any data to assess the distribution of IFR-S across age and comorbidity pro les of
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patients. One would need, ideally, individual-level data and, at the least, group-speci c
data to estimate such dispersion; these data are not publicly available.14,15 The Centers
for Disease Control and Prevention reports signi cant variation in fatality rates by age
groups.16 Further work is required on this front.
STUDY RESULTS
Of 3,020 US counties, 1,364 counties reported any con rmed COVID-19 case by April 20,
2020. Of these counties with con rmed cases, 134 reported no COVID-19 deaths until
that time; 1,034 counties had any reported COVID-19 deaths by April 20; and 397
counties reported exactly one COVID-19 death by this date. By April 20 there were
753,113 con rmed COVID-19 cases and 41,287 reported COVID-19 deaths. My analysis
included 116 counties. Interestingly, I did not include New York County, New York
(Federal Information Processing System code 36061, which does not represent all of
New York City) in my analysis, despite its having the highest number of cases and deaths
in the country. The number of deaths in this county was rising at a faster rate than the
number of detected cases until April 20, 2020; hence, the case fatality rate had not
reached a zenith. Overall, a total of 40,835 con rmed cases and 1,620 con rmed deaths
until April 20 were used for my analysis (see the appendix).6
The 116 counties selected spanned 33 states, with Georgia contributing the maximum
with 13 counties, followed by Louisiana with 9 and then South Carolina with 8. After
reaching their initial zenith, CFRs were found to be declining within each of these retained
counties, supporting my assumptions about the differential declining error rate between
the numerator and denominator of the CFRs for these counties. The appendix contains a
description of growth in COVID-19 reported cases and deaths and the decline in the
CFRs.6 At the zenith of the computed rate in each county, the rate variable varied from
1.7 percent to 33.3 percent. By the end of follow-up, the rate varied from 0.9 percent to
19.3 percent across counties. The number of follow-up days ranged from seven to thirty-
one (see the appendix).6
The Bayesian model showed good convergence and mixing properties between the
model and the observations. Gelman-Rubin statistics were below 1 for each of the
parameters of the model, indicating that the three independent Monte Carlo chains
overlapped and converged to similar posterior distributions for the parameters. The
appendix presents these results,6 including residual analysis based on tted posterior
means (means predicted by the model for the period before the validation phase) from
my prediction model, which appears to t the county-level data well over time. The
posterior mean of the US-speci c IFR-S was estimated to be 1.3 percent (median,
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1.3 percent; standard deviation: 0.4), with a 95% central credible interval of 0.6–2.1
(exhibit 1).
SOURCE Authors’ analysis of publicly available data on COVID-19 counts of cases and deaths.
NOTE Point estimates are posterior means; bars are 95% central credible intervals.
The posterior means and the 95% central credible intervals of county-speci c IFR-Ss for
the twenty counties I examined with the lowest rates (0.5–1.4 percent) plus the overall
values for the US and the twenty-one counties I examined with the highest rates (2.3–
3.6 percent) are shown in exhibits 1 and 2, respectively. The IFR-S for other counties in
the middle that are not shown ranged from 1.5 percent to 2.2 percent and are described
in the appendix.6 The lowest rate was estimated to be in Putnam County, New York
(0.5 percent; 95% central credible interval, 0.1–1.0), whereas the highest was estimated
to be in King County, Washington (3.6 percent; 95% central credible interval, 0.5–6.1).
Data at the county level are still evolving, and hence considerable uncertainty exists for
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some counties, especially toward the higher range of IFR-S estimates. Because these
estimates represent the crude IFR-S, many factors contribute to their variation across
counties, including demographics (especially age distribution), levels of population
health, and supply of health care services. In that sense, the IFR-S is a dynamic quantity
even within a county, depending on how the case-mix of the infected population shifts
over time.
SOURCE Authors’ analysis of publicly available data on COVID-19 counts of cases and deaths.
NOTE Point estimates are posterior means; bars are 95% central credible intervals.
day. The exhibit shows that the 95% central credible intervals from the posterior
predictive distribution from the model were able to capture the true CFRs (represented by
the 45-degree diagonal line) for all counties over these four days. The Bayesian posterior
predictive two-sided p values18,19 were less than 0.05 for none of the 116 counties for
any of the four days.
Exhibit 3 Predicted COVID-19 case fatality rates by county versus observed rates for
the rst four consecutive dates that were not used for estimation
SOURCE Authors’ analysis of publicly available data on COVID-19 counts of cases and deaths.
NOTES Results from Bayesian mixed-effects nonlinear model. Each symbol represents the
point estimate of a case fatality rate (CFR) for a county on a given day; bars are 95% central
credible intervals.
DISCUSSION
After I modeled the available national data on cumulative deaths and detected COVID-19
cases in the United States, the symptomatic infection fatality rate from COVID-19 was
estimated to be 1.3 percent. This estimated rate is substantially higher than the
approximate IFR-S of seasonal in uenza, which is about 0.1 percent20 (34,200 deaths
among 35.5 million patients who got sick with in uenza). In uenza is also believed to be
completely asymptomatic in 16 percent of the infected population,21 and this fraction is
not included in the calculation of its IFR-S.22 My COVID-19 IFR-S estimate is not outside
the ballpark of estimates becoming available from other countries, but it is certainly
lower, as is expected from addressing the upward bias in those estimates. For example,
the COVID-19 fatality rate for China (without correction for the upward bias inherent in
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looking at observed rates) was initially reported to be 5.6 percent (95% CI, 5.4–5.8).23 By
February 20, 2020, however. the crude fatality rate for China was estimated to be
3.8 percent.24 The fatality rate outside China was estimated to be 15.2 percent (95% CI,
12.5–17.9),23 which may be due to the more considerable upward bias during the
beginning part of the pandemic within a country. The same patterns occur in the United
States, with observed rates being much higher during the initial part of the pandemic. A
recent estimate of the CFR using individual-level data from Wuhan residents and from
international Wuhan residents who repatriated on six ights found it to range from
0.66 percent to 1.4 percent.25
In a thought experiment in which 35.5 million people contract COVID-19 this year in the
US (that is, the same number as were infected with in uenza last year),20 then in the
absence of any mitigation strategies or distancing behaviors and with the supply of
health care services under typical conditions, my IFR-S estimate predicts that there
would be nearly 500,000 COVID-19 deaths in the US in 2020. To the extent that COVID-19
is more infectious than in uenza and that we have no protection in the form of a vaccine
or treatment, the number of infections—and hence the number of deaths—would be
higher compared to in uenza. Certainly, with the implementation of mitigation strategies,
the death toll will be lower. For example, the March 31 White House Coronavirus Task
Force projections of 100,000–200,000 deaths from COVID-19 in 2020 were made using
assumptions about the effectiveness of distancing directives and measures currently in
place.26
Similarly, my estimates of the COVID-19 IFR-S in the US can help disease and policy
modelers obtain more accurate predictions for the epidemiology of the disease and the
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ACKNOWLEDGMENTS
Anirban Basu received compensation from Salutis Consulting LLC. No funding was
received for this analysis. The author thanks Varun Gandhay for excellent research
assistance for this work. He also thanks six anonymous reviewers and Donald Metz of
Health Affairs for their excellent comments. The views expressed do not represent those
of the University of Washington or the National Bureau of Economic Research. An
unedited version of this article was published online May 7, 2020, as a Fast Track Ahead
Of Print article. That version is available in the online appendix.
NOTES
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There are three speci c fatality rates to consider. First is the “true” case fatality rate, or the infection fatality
rate among symptomatic patients (IFR-S)—the proportion of patients who die after falling sick from the
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detected to fall sick from the infection. Third is the overall infection fatality rate (IFR)—the proportion of
patients who die among all those who are infected even though some of them may never show symptoms.
To access the appendix, click on the Details tab of the article online.
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t d hi h h th IFR t i G C id "h t t" t16/22
10/7/2020 Estimating The Infection Fatality Rate Among Symptomatic COVID-19 Cases In The United States | Health Affairs
Here is a link to a German study which shows the IFR rate in a German Covid "hot spot" to
be 0.37%. https://medicalxpress.com/n...
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Without even touching on policies and techical aspects of the testing (which fundamentally
distorts the raw data) here are few highlights from the study which validate that, at this stage in
the game, this study is useless beyond being a political tool:
"The overall IFR for COVID-19 should be lower when we account for cases that remain and
https://www.healthaffairs.org/doi/full/10.1377/hlthaff.2020.00455 17/22
10/7/2020 Estimating The Infection Fatality Rate Among Symptomatic COVID-19 Cases In The United States | Health Affairs
The overall IFR for COVID 19 should be lower when we account for cases that remain and
recover without symptoms"
As if data isn't available from literally all over the world that offers a reasonable idea. No room in
the model for that, nope.
"Substantial variation across patient demographics likely exists and should be the focus of future
studies."
Like if your not 80 (or generally past the age of average life expectancy) and suffering from some
see more
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The gold standard of diagnosis is the x-ray imaging of the lung. X-ray images reveals if one has
infection in the lung, where it must be in order to create dangerous form of disease. If there are no
characteristic marks in the lung images, it means probably that one had too small exposure for
the virus.
As Sars-cov2 does not treat all age groups equally. It would make more sense to define IFR-S for
each age group.
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applying so much weight to reported positives drives mortality high. Iowa believes 13% have been
infected as of May 20. If you use the numerator from this method a second rate of all infections
irrespective of symptoms can be derived. Of course this applies just to Iowa. They do publish all
county data.
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It seems, in fact, that this analysis requires not just that the errors are declining over time, but that
they are asymptotically approaching 0.
Since it is easy to imagine a world where the errors (particular in the denominator) are declining
over time but approaching a horizontal asymptote other than 0, and this is a likely source of
significant error for this kind of analysis, it would be helpful to clarify this assumption more clearly
at the outset,
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10/7/2020 Estimating The Infection Fatality Rate Among Symptomatic COVID-19 Cases In The United States | Health Affairs
At the end of the day it does not matter if 90% of the population has the
infection, what matters is that even if 10% fall sick with it, we are looking at
large number of deaths. To put this in perspective, the estimated number of
flu deaths the whole of last year was 35K, and we have nearly 100K deaths
in the first 2.5 months of the pandemic. And BTW, only 4% of the population
is infected.
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