Decision Analytics and Optimization in Disease Prevention and Treatment E-Book

• Herausgeber: John Wiley & Sons
• Kategorie: Fachliteratur
• Serie: Wiley Series in Operations Research and Management Science
• Sprache: Englisch

Seitenzahl: 808

Veröffentlichungsjahr: 2018

Beschreibung

A systematic review of the most current decision models and techniques for disease prevention and treatment Decision Analytics and Optimization in Disease Prevention and Treatment offers a comprehensive resource of the most current decision models and techniques for disease prevention and treatment. With contributions from leading experts in the field, this important resource presents information on the optimization of chronic disease prevention, infectious disease control and prevention, and disease treatment and treatment technology. Designed to be accessible, in each chapter the text presents one decision problem with the related methodology to showcase the vast applicability of operations research tools and techniques in advancing medical decision making. This vital resource features the most recent and effective approaches to the quickly growing field of healthcare decision analytics, which involves cost-effectiveness analysis, stochastic modeling, and computer simulation. Throughout the book, the contributors discuss clinical applications of modeling and optimization techniques to assist medical decision making within complex environments. Accessible and authoritative, Decision Analytics and Optimization in Disease Prevention and Treatment: * Presents summaries of the state-of-the-art research that has successfully utilized both decision analytics and optimization tools within healthcare operations research * Highlights the optimization of chronic disease prevention, infectious disease control and prevention, and disease treatment and treatment technology * Includes contributions by well-known experts from operations researchers to clinical researchers, and from data scientists to public health administrators * Offers clarification on common misunderstandings and misnomers while shedding light on new approaches in this growing area Designed for use by academics, practitioners, and researchers, Decision Analytics and Optimization in Disease Prevention and Treatment offers a comprehensive resource for accessing the power of decision analytics and optimization tools within healthcare operations research.

Leseprobe

Wiley Series in

Operations Research and Management Science

A complete list of the titles in this series appears at the end of this volume.

DECISION ANALYTICS AND OPTIMIZATION IN DISEASE PREVENTION AND TREATMENT

Edited By

NAN KONGAssociate Professor

Weldon School of Biomedical Engineering, Purdue University

Regenstrief Center for Healthcare Engineering, Purdue University

West Lafayette, IN, USA

SHENGFAN ZHANGAssistant Professor

Department of Industrial Engineering, University of Arkansas

Center for Innovation in Healthcare Logistics, University of Arkansas

Fayetteville, AR, USA

This edition first published 2018© 2018 John Wiley & Sons, Inc.

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, except as permitted by law. Advice on how to obtain permission to reuse material from this title is available at http://www.wiley.com/go/permissions.

The right of Nan Kong, Shengfan Zhang to be identified as the Editor’s of this work has been asserted in accordance with law.

Registered Office(s)John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, USA

Editorial Office111 River Street, Hoboken, NJ 07030, USA

For details of our global editorial offices, customer services, and more information about Wiley products visit us at www.wiley.com.

Wiley also publishes its books in a variety of electronic formats and by print‐on‐demand. Some content that appears in standard print versions of this book may not be available in other formats.

Limit of Liability/Disclaimer of WarrantyIn view of ongoing research, equipment modifications, changes in governmental regulations, and the constant flow of information relating to the use of experimental reagents, equipment, and devices, the reader is urged to review and evaluate the information provided in the package insert or instructions for each chemical, piece of equipment, reagent, or device for, among other things, any changes in the instructions or indication of usage and for added warnings and precautions. While the publisher and authors have used their best efforts in preparing this work, they make no representations or warranties with respect to the accuracy or completeness of the contents of this work and specifically disclaim all warranties, including without limitation any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives, written sales materials or promotional statements for this work. The fact that an organization, website, or product is referred to in this work as a citation and/or potential source of further information does not mean that the publisher and authors endorse the information or services the organization, website, or product may provide or recommendations it may make. This work is sold with the understanding that the publisher is not engaged in rendering professional services. The advice and strategies contained herein may not be suitable for your situation. You should consult with a specialist where appropriate. Further, readers should be aware that websites listed in this work may have changed or disappeared between when this work was written and when it is read. Neither the publisher nor authors shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.

Library of Congress Cataloging‐in‐Publication Data

Names: Kong, Nan, editor. | Zhang, Shengfan, editor.Title: Decision analytics and optimization in disease prevention and treatment / edited by Nan Kong, Shengfan Zhang.Description: Hoboken, NJ : Wiley, 2018. | Includes bibliographical references and index. |Identifiers: LCCN 2017037696 (print) | LCCN 2017038531 (ebook) | ISBN 9781118960134 (pdf) | ISBN 9781118960141 (epub) | ISBN 9781118960127 (cloth)Subjects: | MESH: Preventive Health Services | Communicable Disease Control | Decision Making | Models, Theoretical | TherapeuticsClassification: LCC RA643 (ebook) | LCC RA643 (print) | NLM WA 108 | DDC 616.9–dc23LC record available at https://lccn.loc.gov/2017037696

Cover design by WileyCover image: (Top right) © deepblue4you/Gettyimages; (Bottom left) © Skomorokh/Gettyimages

CONTRIBUTORS

Oguzhan Alagoz, Department of Industrial and Systems Engineering, University of Wisconsin‐Madison, Madison, WI, USA

Dionne M. Aleman, Department of Mechanical & Industrial Engineering and Institute for Health Policy, Management & Evaluation, University of Toronto, Toronto, ON, Canada; Guided Therapeutics Core, Techna Institute, Toronto, ON, Canada

Sabina S. Alistar, Department of Management Science and Engineering, Stanford University, Palo Alto, CA, USA

Douglas R. Bish, Grado Department of Industrial and Systems Engineering, Virginia Tech, Blacksburg, VA, USA

Ebru K. Bish, Grado Department of Industrial and Systems Engineering, Virginia Tech, Blacksburg, VA, USA

Margaret L. Brandeau, Department of Management Science and Engineering, Stanford University, Palo Alto, CA, USA

Elizabeth S. Burnside, Department of Radiology, University of Wisconsin School of Medicine and Public Health, Madison, WI, USA

Jagpreet Chhatwal, Institute of Technology Assessment, Massachusetts General Hospital, Harvard Medical School, Boston, MA, USA

James C.H. Chu, Department of Radiation Oncology, Rush University Medical Center, Chicago, IL, USA

Ted Cohen, Department of Epidemiology and Microbial Disease, Yale School of Public Health, New Haven, CT, USA

David Craft, Radiation Oncology, Department of Physics, Harvard Medical School, Boston, MA, USA

Brian T. Denton, Department of Industrial and Operations Engineering, University of Michigan, Ann Arbor, MI, USA

Hadi El‐Amine, Systems Engineering and Operations Research Department, George Mason University, Fairfax, VA, USA

Tarek Halabi, Radiation Oncology, Department of Physics, Harvard Medical School, Boston, MA, USA

Julia L. Higle, Daniel J. Epstein Department of Industrial and Systems Engineering, University of Southern California, Los Angeles, CA, USA

Krystyna Kiel, Department of Radiation Oncology, Rush University Medical Center, Chicago, IL, USA

Nan Kong, Weldon School of Biomedical Engineering, Purdue University, West Lafayette, IN, USA

Mark A. Lawley, Department of Industrial and Systems Engineering, Texas A&M University, College Station, TX, USA; Department of Biomedical Engineering, Texas A&M University, College Station, TX, USA

Eva K. Lee, NSF‐Whitaker Center for Operations Research in Medicine and HealthCare, Georgia Institute of Technology, Atlanta, GA, USA; School of Industrial and Systems Engineering, Georgia Institute of Technology, Atlanta, GA, USA; NSF I/UCRC Center for Health Organization Transformation, Arlington, VA, USA

Adriana Ley‐Chavez, Department of Industrial and Mechanical Engineering, Universidad de las Américas Puebla, Puebla, Mexico

Yan Li, Center for Health Innovation, The New York Academy of Medicine, New York, NY, USA; Department of Population Health Science and Policy, Icahn School of Medicine at Mount Sinai, New York, NY, USA

Shan Liu, Department of Industrial and Systems Engineering, University of Washington, Seattle, WA, USA

Jennifer Mason Lobo, Department of Public Health Sciences, University of Virginia, Charlottesville, VA, USA

Mahboubeh Madadi, Department of Industrial Engineering, Louisiana Tech University, Ruston, LA, USA

George Miller, Center for Value in Health Care, Altarum, Ann Arbor, MI, USA

José A. Pagán, Center for Health Innovation, The New York Academy of Medicine, New York, NY, USA; Department of Public Health Policy and Management, College of Global Public Health, New York University, New York, NY, USA; Leonard Davis Institute of Health Economics, University of Pennsylvania, Philadelphia, PA, USA

Anthony D. Slonim, University of Nevada School of Medicine and Renown Health, Reno, NV, USA

Susan L. Stramer, Scientific Affairs, American Red Cross, Gaithersburg, MD, USA

Sze‐chuan Suen, Daniel J. Epstein Department of Industrial and Systems Engineering, University of Southern California, Los Angeles, CA, USA

Alistair Templeton, Department of Radiation Oncology, Rush University Medical Center, Chicago, IL, USA

Yu Teng, Avenir Health, Glastonbury, CT, USA

Wanzhu Tu, Department of Biostatistics, Indiana University Medical School, Indianapolis, IN, USA

Sait Tunc, Department of Industrial and Systems Engineering, University of Wisconsin‐Madison, Madison, WI, USA

Reza Yaesoubi, Department of Health Policy and Management, Yale School of Public Health, New Haven, CT, USA

Rui Yao, Department of Radiation Oncology, Rush University Medical Center, Chicago, IL, USA

Fan Yuan, NSF‐Whitaker Center for Operations Research in Medicine and HealthCare, Georgia Institute of Technology, Atlanta, GA, USA; School of Industrial and Systems Engineering, Georgia Institute of Technology, Atlanta, GA, USA; NSF I/UCRC Center for Health Organization Transformation, Arlington, VA, USA

Shengfan Zhang, Department of Industrial Engineering, University of Arkansas, Fayetteville, AR, USA

Jingyu Zhang, Enterprise Model Risk Management, Bank of America, Wilmington, DE, USA

PREFACE

Advances in disease prevention and treatment have greatly improved the quality of life of patients and the general population. However, it is challenging to truly harness these advances in patient‐centered medical decision‐making for the uncertainty associated with disease risks and care outcomes, as well as the complexity of the technologies. This book contains a collection of cutting‐edge research studies that apply decision analytics and optimization tools in disease prevention and treatment. Specifically, the book comprises the following three main parts.

Part 1: Infectious Disease Control and Management. Common infectious diseases are considered in this part, including tuberculosis (Chapter 1), HIV infection (Chapter 2), influenza (Chapter 3), chlamydia infection (Chapter 4), and hepatitis C (Chapter 6). Although not focusing on a specific type of infectious disease, Chapter 5 deals with the costs and efficacy of detecting infectious agents in donated blood. Controls and decisions investigated in this part include budget allocation (Chapter 2), school closure or children vaccination (Chapter 3), screening scheme design (Chapters 4 and 5), and a whole set of interventions (Chapter 6) such as behavior and public health interventions. Disease modeling techniques introduced in this part include microsimulation (Chapter 1), stochastic transmission dynamic model (Chapter 3), compartmental model (Chapter 4), and Markov‐based model (Chapter 6).

In this part, Chapters 1 and 6 provide excellent overviews of decision‐analytic modeling research in developing policy guidelines. Between the two chapters, the former focuses more on the disease modeling, whereas the latter focuses more on the analysis with a holistic view covering screening, monitoring, and treatment. In addition, Chapter 6 deals with long‐term management of an infectious disease, which helps make the transition to the second part of the book.

Part 2: Noncommunicable Disease Prevention. This part starts with Chapter 7, which examines screening strategies for the prevention of cervical cancers, which are mainly caused by human papillomavirus (HPV) infection. Chapter 7 concerns disease progression from the viewpoint of HPV infection rather than the infectious disease itself. The chapter provides a good connection with the first part of the book. Other prevalent noncommunicable diseases considered in this part include breast cancer (Chapters 8 and 10), prostate cancer (Chapter 9), and cardiovascular diseases (Chapter 11). Methodologies introduced in this part cover simulation with model‐based analyses for screening strategies (Chapter 7), Markov decision process (Chapter 8), partially observable Markov decision process (Chapter 9), cost‐effectiveness analysis under a partially observable Markov chain model (Chapter 10), and agent‐based modeling (Chapter 11).

Part 3: Treatment Technology and System. In this part, optimization studies of several treatment decisions and technologies are reported, including high‐dose‐rate brachytherapy (Chapter 12), intensity‐modulated radiation therapy (Chapters 13 and 14), volumetric modulated arc therapy (Chapter 14), cardiovascular disease prevention and treatment (Chapter 15), and various treatment decisions for type II diabetes (Chapter 16). Methodologies introduced comprise multiobjective, nonlinear, mixed‐integer programming model (Chapter 12), fluence map optimization (Chapter 13), sliding window optimization (Chapter 14), Markov modeling (Chapter 15), and Markov decision process (Chapter 16).

The book concludes with Chapter 17, which uniquely presents optimization‐based classification models for early detection of disease, risk prediction, and treatment design and outcome prediction. This chapter is expected to showcase extended potentials of optimization techniques and motivate more operations researchers to study biomedical data mining problems.

We believe this book can serve well as a handbook for researchers in the field of medical decision modeling, analysis, and optimization, a textbook for graduate‐level courses on OR applications in healthcare, and a reference for medical practitioners and public health policymakers with interest in health analytics.

Lastly, we would like to express our sincere gratitude to the following reviewers for taking their time to review book chapters and provide valuable feedback for our contributors in the blind‐review process: Turgay Ayer, Christine Barnett, Bjorn Berg, Margaret Brandeau, Brian Denton, Jeremy Goldhaber‐Fiebert, Shadi Hassani Goodarzi, Karen Hicklin, Julie Ivy, Amin Khademi, Anahita Khojandi, Yan Li, Jennifer Lobo, Maria Mayorga, Nisha Nataraj, Ehsan Salari, Burhan Sandikci, Joyatee Sarker, Carolina Vivas, Fan Wang, Xiaolei Xie, Yiwen Xu, and Yuanhui Zhang. We would also like to acknowledge the great support we received from Wiley editors, Sumathi Elangovan, Jon Gurstelle, Vishnu Narayanan, Kathleen Pagliaro, Vishnu Priya. R and former editor Susanne Steitz‐Filler.

PART 1INFECTIOUS DISEASE CONTROL AND MANAGEMENT

1OPTIMIZATION IN INFECTIOUS DISEASE CONTROL AND PREVENTION: TUBERCULOSIS MODELING USING MICROSIMULATION

Sze‐chuan Suen

Daniel J. Epstein Department of Industrial and Systems Engineering, University of Southern California, Los Angeles, CA, USA

Compared with many other optimization problems, optimization of treatments for national infectious disease control often involves a relatively small set of feasible interventions. The challenge is in accurately forecasting the costs and benefits of an intervention; once that can be evaluated for the limited set of interventions, the best one can be easily identified. Predicting the outcome of an intervention can be difficult due to the complexity of the disease natural history, the interactions between individuals that influence transmission, and the lack of data. It is therefore important to understand how a particular disease affects patients, spreads, and is treated in order to design effective control policies against it.

One such complex disease is tuberculosis (TB), which kills millions of people every year. It is transmitted through respiratory contacts, has a latent stage, and is difficult to diagnose and cure in resource‐constrained settings, and treatment success varies by demographic factors like age and sex. Moreover, the mechanisms of disease transmission are not fully known, making modeling of transmission difficult, and it is particularly prevalent in areas of the world where reliable disease statistics are hard to find.

All of these characteristics make TB a difficult disease to model in the settings where choosing an optimal control policy is most important. Traditional compartmental disease models may become intractable if all relevant demographic and treatment stratifications are specified (state space explosion), so a microsimulation may be a good alternative for modeling TB dynamics. In a microsimulation, individual health and treatment states are probabilistically simulated over time and averaged together to form population statistics. This allows for greater modeling flexibility and a more tractable model but may also result in problems of model stochasticity.

In this chapter, we first discuss the epidemiology of the disease, illustrating why TB modeling is necessary and highlighting challenging aspects of this disease. In the second section, we provide a brief overview of simulation and then discuss in depth a microsimulation model of TB to illustrate subtleties of using microsimulation to evaluate policies in infectious disease control.

1.1 TUBERCULOSIS EPIDEMIOLOGY AND BACKGROUND

In order to understand how to pick a model framework and implement a useful model, it is important first to understand the epidemiological characteristics and background of the disease. TB is caused by the bacteria Mycobacterium tuberculosis, which can attack the lungs (pulmonary TB) or other parts of the body (extrapulmonary TB). TB is a respiratory disease and transmitted through the air by coughing or sneezing. It has been declared a global public health emergency, killing 1.3 million people in 2012, while 8.6 million people developed the disease. The majority of cases were in Southeast Asia, African, or Western Pacific regions (Zumla et al. 2013). However, the disease varies by region and cannot be treated identically in all areas—for example, many African cases are concurrent with HIV, while in other regions, like India, HIV prevalence is low although TB prevalence is high (World Health Organization 2013). This means that models for one country may not be easily adapted to another, since comorbidities and the driving factors of the epidemic may be quite different.

Once contracted, TB may stay latent for many years and only activates in about 10% of cases. Latent TB is asymptomatic and cannot be transmitted. Activation rates depend on immunological health and have been observed to vary by demographic factors, like age (Horsburgh 2004; Vynnycky and Fine 1997), and behavioral factors, like smoking (Lin et al. 2007). Transmission of TB, which occurs through respiratory contact, may vary by age (Horby et al. 2011; Mossong et al. 2008), demographic patterns, and cultural trends but is poorly documented or understood.

Nondrug‐resistant strains of TB, whether latent or active, are treatable using antibiotics, but misuse of first‐line antibiotic regimens may lead to drug‐resistant or multidrug‐resistant (MDR) TB, defined as strains that are resistant to at least isoniazid and rifampin, two first‐line TB drugs. Premature treatment default or failure can result in the development of drug resistance, and drug‐resistant strains may then be transmitted to other individuals. Drug‐resistant TB can be treatable, depending on the level of drug resistance (pan‐resistant TB strains have emerged), but require more expensive second‐line antibiotic regimens of longer duration (drugs need to be taken many times a week for up to 2 years) with higher toxicity rates and lower cure rates. Therefore optimization of treatment policies needs to take imperfect treatment behavior and potential drug resistance into account. Drug‐resistant TB prevalence varies by region, and this also contributes to the necessity of geographical specificity when evaluating potential TB control mechanisms.

Latent and active TB can be detected through a variety of different tests of varying sensitivity and specificity, and different tests may be preferred in different regions. For instance, Mantoux tuberculin skin test (TST) or interferon‐gamma release assay (IGRA) blood test are used to detect TB infection in many areas with low TB prevalence, whereas sputum smear microscopy tests are commonly used to identify active TB cases in areas of high prevalence (Global Health Education 2014). While sputum smear tests have fast turnaround times and low costs, sputum smear tests have low sensitivity and active TB cases may be overlooked. Bacteriological culture may take up to several weeks but is a more accurate diagnosis method and can be used for drug susceptibility testing (it can be used to identify drug‐resistant samples from susceptible TB samples). Initial diagnosis can also be passive (patients self‐present at local clinics) or targeted (active case finding, contact tracing, etc.). After entering treatment, patients may undergo different tests sequentially to monitor treatment efficacy and determine if second‐line treatment is necessary. The cost and the effectiveness of various screening policies vary by patient behavior, latent and active TB prevalence, and what treatment options are available. Identifying optimal region‐specific timing and type of diagnosis is an area of active research (Acuna‐Villaorduna et al. 2008; Winetsky et al. 2012).

TB infection and disease may be complicated by comorbidities. TB is often observed along with HIV, which can change the natural history of disease and complicate TB diagnosis and treatment. In 2012, 1.1 million of the 8.6 million new cases of TB were among people living with HIV (World Health Organization 2013). HIV patients have a higher risk of developing TB due to immune system compromise. Diabetes is another comorbidity that can change TB activation rates (World Health Organization 2011). While helping patients with multiple chronic diseases is an increasingly important part of TB control, modeling multiple diseases is challenging since the diseases interact and data to inform joint distributions on risks and rates may be scarce.

1.1.1 TB in India

India is the country with the largest number of TB cases—roughly 23% of the global total—despite large gains in the last few decades in decreasing TB mortality, incidence, and prevalence through TB treatment and diagnosis (World Health Organization 2015). India has a federally funded TB treatment program called the Revised National Tuberculosis Control Program (RNTCP). This program offers the approved antibacterial drug regimens for treating TB, called Directly Observed Treatment, Short Course (DOTS), where health workers help patients administer their drugs to help ensure that they are taken correctly. These regimens require treatment for at least 6 months of treatment and may be longer for those patients who have previously been treated for TB (RNTCP 2010).

Despite this federally funded program, and unlike in many other countries with high TB burdens, many TB patients in India seek care in private sector clinics. Since the symptoms of TB can easily be mistaken for routine respiratory illnesses, many patients tend to first seek care from retail chemists or informal health providers in the private healthcare market. These private clinics may not have health practitioners trained in identifying and treating TB (Tu et al. 2010; Uplekar and Shepard 1991; Vandan et al. 2009), and patients using private clinics may use multiple clinics as they attain temporary relief from symptoms that then recur (Kapoor et al. 2012). This delay to getting appropriate TB care means that patients begin effective treatment at a later stage of their disease, may have infected others with TB, and may have been exposed to anti‐TB drugs that can select for drug resistance.

Combating drug‐resistant TB is a continuing challenge for India. More than half of the MDR‐TB cases notified in 2014 occurred in India, China, and the Russian Federation (World Health Organization 2015). India started the federally funded DOTS‐Plus MDR‐TB treatment program in 2007, where MDR‐TB patients can get access to the necessary 18–24 months of second‐line TB antibiotics. However, the long treatment duration and drug toxicity make treating MDR‐TB difficult, and patients may default from treatment, potentially generating more resistant disease strains. Cases of extensively drug‐resistant TB (XDR‐TB), where the MDR‐TB strain is additionally resistant to fluoroquinolone and a second‐line injectable antibiotic, have also been documented in India (Michael and John 2012).

While comorbidities can often complicate TB treatment, HIV comorbidity is relatively less common in India as in some other countries with high TB burdens: 4% of TB patients are HIV positive in India (as opposed to 61% in South Africa). For this reason we will be considering a simulation model of TB for India that does not specifically consider any comorbidities. We turn to simulations for disease control in the next section.

1.2 MICROSIMULATIONS FOR DISEASE CONTROL

A variety of model types can be used to model the diversity of issues in TB control and prevention. However, while natural disease dynamics and treatment policies can be approximated using difference equations, these may be difficult to solve analytically and require simulation to arrive at numerical answers. Simulations imitate the real system using a probability distribution to generate random events and obtain statistical observations of system performance. Simulations can provide not only the epidemiological trends or costs of each treatment arm being considered but also disease trajectories over time.

One common disease modeling method is to use a compartmental model, where states are formed using health, treatment, or demographic status, depending on the complexity of the model. State transition probabilities can be estimated from the published literature or estimated from survey data, and the probability of an individual or population acquiring disease, incurring treatment costs, or any other outcome of interest, can be estimated by starting the model in one state and applying transition probabilities as time advances. The model would then provide the mean performance outcome at every time period. These models can be very useful and may be applicable for a variety of problems. They are discussed in detail in another chapter of this book.

Unfortunately, these models can quickly become intractable if the state space becomes too large, as can happen if a large number of stratifications are required. To illustrate this, suppose a hypothetical TB model included different transition probabilities for individuals of different ages (age 0–15, 16–45, 46–60, and 60+), sexes (male or female), and TB status (healthy, infected, or active disease). It would have 4 × 2 × 3 = 24 states, and the modeler needs to specify transition probabilities to each of the other states. One can easily see that the number of states would quickly become very large if the model wished to use a finer age stratification (i.e., 1 year age bins) and include demographic characteristics about treatment status, TB strain (i.e., different strains of TB by drug resistance), and past treatment status. The model would potentially become difficult to work with. However, these patient characteristics may be important to capture to accurately reflect TB dynamics.

A microsimulation overcomes this issue by simulating an individual unit (in this case, an individual) over time instead of estimating the mean outcomes for a population. This allows the modeler to specify behavioral characteristics at a very detailed level if necessary—probabilities of disease progression or treatment can depend on the individuals’ demographic characteristics and history. Using a random number generator, outcomes for each individual can then be probabilistically determined and recorded at each time period; a population of individuals of sufficient size should then generate the same average outcomes as those estimated in the compartmental model. However, in addition to providing the mean outcome measures of interest, the microsimulation can also provide the distribution of the measures of interest since every individual’s heath and treatment state is estimated at every time period. We will illustrate this in the second section of this chapter, in which we will describe in detail a microsimulation of TB in India.

However, before delving into that example, it may be useful to discuss and summarize the advantages and disadvantages of simulation and microsimulation in particular. Simulation methods are powerful and can help us find numerical estimates for outcomes that are analytically intractable. Unlike some analytical models, they easily allow the modeler to examine transient effects, not just model outcomes in steady state. Microsimulation also allows for a great deal of modeling flexibility, since the modeler can easily add characteristics to individuals without specifying another set of states. Organizational structure in a microsimulation is more robust than a compartmental state transition model, since the modeled population can have as many characteristics as a modeler needs without the number of compartments becoming intractably large. However, the modeler also needs to be careful about stochastic fade‐out, when no individuals have a certain characteristic just due to chance alone. For instance, since the number of individuals with TB compared with the total population of a country is small, it is likely that no individuals in the simulation will have TB if the total simulation population is too small. For example, consider a country where the TB prevalence is 0.1%; if the simulation only models 1000 individuals, and the individual with TB dies before transmitting the disease, it would look as if TB had been eradicated! Now imagine an analogous case where the modeler cared about TB in different subgroups of the population—then the number of individuals in these subgroups could be small, and the corresponding number of individuals with TB in that group would be even smaller. Therefore the larger the number of characteristics, the larger the modeled population is necessary so that individuals of all characteristics will be represented. If the number of individual characteristics is large, this may mean long computation times (if the simulation population is large) or noisy outcome measurements (if the simulated population is too small).

1.3 A MICROSIMULATION FOR TUBERCULOSIS CONTROL IN INDIA

To illustrate how microsimulation can be used for disease control and prevention, we are going to discuss in detail a microsimulation of the TB epidemic in India (Suen et al. 2014, 2015). This simulation was used to evaluate the impact of TB transmission prevention versus improving treatment as well as to evaluate the cost‐effectiveness of treatment policies. The model uses a dynamic transmission model of TB that was calibrated to Indian demography and TB epidemiology from 1996 to 2010 and then projected into the future (until 2038 in the case of the transmission prevention analysis and until 2025 in the cost‐effectiveness analysis) and includes health and treatment characteristics for nondrug‐resistant and drug‐resistant latent and active TB. Since TB dynamics and treatment trajectories can depend on age and sex, among other demographic factors, the model stratifies individuals these characteristics. This means that probabilities of mortality, transmission, activation, and treatment uptake and effectiveness vary by age and sex in the model. This level of detail precluded the model from using the more common compartmental model structure due to the large state space; it makes more sense as a microsimulation. Inclusion of these stratifications allows treatment policies to differentially influence different demographics, which may be of particular interest if there are particular demographics a modeler is interested in (i.e., the elderly, school‐aged children, etc.). Treatment availability and effectiveness were also included to estimate the effect of treatment policies that were already in effect.

Since not all TB dynamics parameters were known with certainty, this model was calibrated by changing activation and treatment uptake parameters until TB prevalence, incidence, and a variety of treatment demographic characteristics matched values from the literature. After validation, the model was used to estimate incidence, prevalence, and mortality from drug‐resistant and nondrug‐resistant strains of TB for projection into the future for scenarios where either treatment or diagnosis policies were improved. These estimates could then be used to provide insight on the effectiveness of intervention policies and the cost delaying such efforts. With this information, one could better optimize treatment versus prevention policies for controlling TB in India. We will discuss the model building and analysis process, from population inputs to calibration to treatment, in detail in the next sections.

1.3.1 Population Dynamics

In this microsimulation, individuals are simulated from birth to death as they pass through various health and treatment states. To accurately recreate the Indian population dynamics, the population growth rate in the microsimulation matches historic and projected trends. Non‐TB mortality probabilities were calculated using World Health Organization (WHO) life tables for 1990, 2000, and 2009 (World Health Organization 2010a). All individuals in the microsimulation are exposed to age‐ and sex‐specific background mortality, and those with active TB have an additional disease‐specific risk of death. The resulting age structure in the model stabilizes during the “burn‐in” period and shows population aging thereafter, especially over 2013–2038, as in reality. The “burn‐in” period is where the model is run until population demographics and disease prevalence levels stabilize to steady‐state levels that match observed pretreatment levels in India. This ensures that treatment policies implemented during the analysis period are due to the treatment arms of interest and not population dynamics effects.

The model uses a simulated population of 6.5 million people in 1996 that grows to 10 million by 2038. Because the model considers a lesser number of simulated individuals than in India in reality, these numbers were ultimately scaled to the total Indian population size to consider impacts on disease burden (thus, proportions of the modeled population are multiplied by the corresponding actual Indian population in a given year).

1.3.2 Dynamics of TB in India

After general population dynamics matched observed trends, the model needed to incorporate TB natural history. To do this, the model simulates individuals acquiring disease with some risk, activating from latent to active TB with some risk, and entering, defaulting, or failing treatment with some risk. Each of these probabilities is age and sex dependent to reflect medical and demographic data.

There are many ways to simulate different mixing patterns for disease transmission. It is common to assume homogeneous mixing, where all patients capable of transmission have equal probability of meeting, and infecting, a susceptible individual, as in classic susceptible–infected–susceptible (SIS) or susceptible–infected–recovered (SIR) models of infectious disease (Kermack and McKendrick 1927). In such models, individuals transition between disease‐susceptible and infected (and in the case of SIR models, recovered) health states according to a set of differential equations. The probability of acquiring TB for a susceptible individual is calculated using the proportion of transmitting individuals multiplied by the proportion of susceptible individuals, scaled by a transmission factor.

With a microsimulation, however, we can add a more detailed representation of transmission as needed. If the data is available, individuals can have higher or lower risks of infection if an infected individual is in their family group or community, or vary by age, if individuals of certain ages are more social or susceptible to acquiring infection. Complex infection dynamics can be easily simulated—the only difficulty is to ensure that the parameters reasonably reflect reality. Since data is often scarce and simple models should be preferred to complex models, the most general modeling approach that still captures the relevant disease dynamics should be used. In this microsimulation example, the model used a “who‐mixes‐with‐whom” transmission matrix to allow the probability of acquiring disease to vary by age while still assuming homogeneous mixing within age groups.

Figure 1.1 visually represents this matrix, where the colors represent the frequency of contacts of susceptible individuals across different ages (0–5, 6–10, etc.). Therefore the product of this matrix with the proportion of infectious individuals in each age group, multiplied by the per‐contact probability of acquiring TB, should give a vector of probabilities of acquiring disease for susceptible of different age groups (the matrix need not be square, if different age brackets were used for infected and susceptible populations). During implementation, the microsimulation counts up the number of infected individuals in the population, calculates proportions, and applies this matrix to get the probability of infection and the number of newly infected individuals in this time period.

Figure 1.1 Who‐mixes‐with‐whom matrix for a microsimulation.

Source: Suen et al. (2014). http://journals.plos.org/plosone/article?id=10.1371/journal.pone.0089822 Attribution 4.0 International (CC BY 4.0) https://creativecommons.org/licenses/by/4.0/.

It is important to note that data should support the modeling assumptions made. In this case, the data about age‐specific mixing was calculated from the published literature on respiratory contacts, and the per‐contact infection probability, a scalar, was calibrated (Mossong et al. 2008). We discuss model calibration and validation further in the chapter.

1.3.3 Activation

Once an individual is infected with TB, TB may stay latent within the individual for years, or may never activate. Activation rates change over time from infection (Horsburgh 2004; Vynnycky and Fine 1997) and other factors like immune system compromise (as with HIV) or exposure to smoke (such as through smoking or cook fires (Lin et al. 2007)). Unlike active TB, latent TB cannot be transmitted and does not cause decreased quality of life, so accurate modeling of activation rates is important for capturing disease dynamics.

In the case of this microsimulation, activation rates varied over age as well as time from infection according to data from the literature (Horsburgh 2004). Generally, TB activation tends to be higher in the years right after infection and then declines (Horsburgh 2004; Vynnycky and Fine 1997), and this was reflected in the microsimulation activation rates. Since the simulation used data from a published medical study not conducted in India, the overall activation rate was calibrated in order to reflect the average activation rates in the country of interest (more on that in the calibration section).

1.3.4 TB Treatment

Before modeling treatment policies of interest, baseline treatment trends must be accurately captured—if treatment programs are already in effect, additional treatment policies must be evaluated compared with a baseline where these existent programs continue to act or risk overestimating the treatment policy. In India, a federal program that scaled up in the 1990s and 2000s is already in place. Since this microsimulation used 1990–2000 as its calibration period, it needed to simulate access to care, treatment uptake, treatment success, and default rates. In this case, since a key outcome parameter was MDR‐TB prevalence and incidence, which can be caused by imperfect treatment adherence, these parameters were very important to model accurately. Therefore the microsimulation uses detailed representations of different treatment regimens used in India, shown in Figure 1.2, which vary by prior treatment status and whether the patient has tested positive for MDR‐TB. Monthly default and death rates, which vary over treatment regimen, were calculated from survey data from Bihar. These regimens were incorporated in the model by exposing patients on TB treatment to the appropriate death, default, and cure rates for their treatment regimen for the appropriate duration. A schematic of the treatment module for the microsimulation is shown in Figure 1.2.

Figure 1.2 Heath state transitions and treatment schematic for a microsimulation.

Source: Suen et al. (2014). http://journals.plos.org/plosone/article?id=10.1371/journal.pone.0089822 Attribution 4.0 International (CC BY 4.0) https://creativecommons.org/licenses/by/4.0/.

1.3.5 Probability Conversions