Statistically Validated Indices for COVID-19 Public Health Policies - OSF
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Statistically Validated Indices for COVID-19 Public Health Policies Robert Kubinec∗1 , Joan Barceló1 , Rafael Goldszmidt5 , Vanja Grujic2 , Timothy Model3 , Caress Schenk4 , Cindy Cheng6 , Thomas Hale7 , Allison Spencer Hartnett8 , Luca Messerschmidt6 , Anna Petherick7 , and Svanhildur Thorvaldsdottir6 1 Division of Social Sciences, New York University Abu Dhabi 2 University of Brasilia 3 Fors Marsh Group 4 Nazarbayev University 5 Fundação Getulio Vargas 6 Hochschule für Politik at the Technical University of Munich (TUM) and the TUM School of Governance 7 Oxford University 8 University of Southern California May 31, 2021 Abstract In this paper, we present new indices for government responses to COVID-19 within six policy areas crucial for understanding the drivers and effects of the pandemic: social distancing, schools, businesses, health monitoring, health resources and mask wearing. We create these measures from combining two of the most comprehensive COVID-19 datasets, the CoronaNet COVID-19 Government Response Event Dataset and the Oxford COVID-19 Government Response Tracker, using a Bayesian time-varying mea- surement model. Our daily indices track government responses for each of these policy areas from January 1st, 2020 to January 15th, 2021, for over 180 countries. By using a statistical model to generate these indices, we are able to estimate uncertainty within the index and provide external validation for these two COVID-19 policy datasets, showing that though they represent distinct data sources, they show strong convergent validity. We further explore the correlation between these indices and a range of social, public health, political and economic covariates. Our results show that while business restrictions and social distancing restrictions are strongly associated with reduced general anxiety, school restrictions are not. School restrictions are, however, associated with higher rates of personal contact with people outside the home, higher levels of income inequality and bureaucratic corruption. Additionally, we find that female heads of state are more likely to implement a broad array of pandemic-related restrictions than male leaders. ∗ Corresponding author: rmk7@nyu.edu 1
Note: To access both the raw policy indicators and the created indices, please see this link https: //www.robertkubinec.com/post/err in vars/ for more information. Introduction Since the outbreak of the COVID-19 pandemic, considerable work has been done to collect data on government policies aimed at preventing transmission of the virus (Desvars-Larrive et al. 2020; Haug et al. 2020; Hale et al. 2021; Cheng et al. 2020). However, the scale of the pandemic and the diversity of government responses makes it quite difficult to aggregate the increasingly complex available datasets into quantities which are valid measurements of diverse sources of information. As a result, our knowledge of which specific policies or even entire policy domains have been the most effective at countering COVID-19 remains limited by our ability to navigate the maze of overlapping policy actions across counties and over time (Perra 2021). To help address this problem, in this paper we present six new statistically-validated indices which aggregate disparate sources of information for the following COVID-19 policy areas: general social distancing, business restrictions, school restrictions, mask usage, health monitoring and health resources management. Instead of relying on a single existing dataset to create our indcies, we pool indicators from two widely- used data sources, the CoronaNet Research Project (Cheng et al. 2020) and the Oxford COVID-19 Govern- ment Response Tracker (OxCGRT) (Hale et al. 2021). To produce estimates that combine information from both sources, we employ time-varying statistical measurement models that allow us to incorporate different variable types (continuous, binary, ordinal) and derive time-varying indices for over 180 countries (Kubinec 2019). Employing statistical measurement models from different data sources provides at least three unique benefits. First, it allows us to create indices which contains more information than either data source could provide on its own. The value of combining the CoronaNet and OxCGRT datasets is particularly high given that they rely on disparate taxonomies which otherwise could not be easily combined. Second, this strategy further allows us to validate each datasets against each other. In general we find high validity for each index in terms of how the CoronaNet and OxCGRT dataset measure public health policies, suggesting that the coding strategies of these two repositories both similar in substance and accurate in their documentation of COVID-19 public health policies. Finally, by employing statistical methods, our indices are further able to incorporate measurement uncertainty, a crucial feature insofar as it ensures that any analyses conducted with these indices are robust to arbitrary coding errors and data limitations. That is, by making the assumption that each index should be measuring a single-dimensional latent trait, we gain uncertainty intervals that 2
describe how certain we can be about the true level of policy activity in a given country. Given that data collection and cleaning is ongoing for both the CoronaNet and OxCGRT datasets, this feature is especially useful for current and ongoing research on the pandemic’s drivers and effects. To examine what we can learn from these indices, we further explore how publich health, economic, political and social factors may affect each of these indices. We do so by investigating how both time- invariant and time-varying factors which have been hypothesized to matter for COVID-19 policies affect the particular policy areas measured by these indices. Our results, which are also robust to measurement uncertainty, show that policy restrictions vary substantially by country. In particular our results suggest that social distancing policies and business restrictions are the most strongly associated with reducing mobility in workplaces and retail establishments. However, only social distancing policies are also associated with reducing personal contact, i.e. personal contact with people outside the home appears to rise when business restrictions and school restrictions are in place. Furthermore, school restrictions are associated with rising mobility in retail and other establishments. We also find that the quality and nature of state institutions are strongly related to the type of policies different governments impose even when accounting for reported COVID-19 cases and deaths. Democracies are less likely to impose business restrictions and social distancing policies, while countries with higher levels of bureaucratic corruption are more likely to impose school restrictions and less likely to impose restrictions on businesses. In addition, we show that countries with female leaders are more likely to impose business restrictions, school restrictions and social distancing policies than countries with male leaders even when accounting for the level of democracy. Background Since the outbreak of the pandemic, a growing number of research projects have tried to capture the diverse ways that governments have implemented policies to slow the spread of COVID-19. Some of these projects focus on a single type of policy (UNDP and UN Women COVID-19 Global Gender Response Tracker 2021; Elgin, Basbug, and Yalaman 2020) or a particular region of the world (Naqvi 2021; Adolph et al. 2021), whereas others aim at collecting data at world-wide scale across a range of indicators (COVID-19 Gov- ernment Measures Dataset 2020; Porcher 2020; Grundy, Quinn, and Todowede 2021; Suryanarayanan et al. 2021). Of this latter set, the datasets with the widest coverage and most detailed indicators include CoronaNet, OxCGRT, the Complexity Science Hub COVID-19 Control Strategies List (CCCSL) (Haug et al. 2020; Desvars-Larrive et al. 2020) and Health Intervention Tracking for COVID-19 (HIT-COVID) (Zheng et al. 2020). The CCCSL and HIT-COVID datasets are similar in approach to the CoronaNet dataset in that 3
they try to measure as many discrete attributes of policies as possible. The OxCGRT dataset, on the other hand, releases qualitative summary ordinal indices instead of disaggregated indicators that place country responses to COVID-19 on ordinal scales. All of these data coding projects aim to solve what is a conceptually simple but operationally difficult problem: on day t in country c, what were the set of policies governments put in place to combat COVID-19? While the popular media tends to focus on lockdowns and other politically costly actions that have roused public sentiment, lockdowns can in fact incorporate a variety of restrictions on gatherings, businesses, schools and travel. Furthermore, governments simultaneously engaged in a broad array of policies that did not place restrictions on individuals or organizations, but rather increased the capacity of its health care infrastructure to respond to the pandemic, including building testing capabilities and personal protective equipment (PPE) distribution, managing hospital networks and isolating and tracking the contacts of COVID-19 patients, to name only a few. In short, while much of the policy evaluation literature so far focuses on lockdowns as discrete policies (Flaxman et al. 2020; Dave, Friedson, Matsuzawa, and Sabia 2020; Courtemanche et al. 2020; Abouk and Heydari 2021; Islam et al. 2020; Brauner et al. 2020; Bo et al. 2021; Li et al. 2021), lockdowns are a bundle of different policy options that happen concurrently with efforts to increase the capacity of the healthcare system and test and trace infected patients (Perra 2021). Examining the association between lockdowns and infections, even assuming away the difficult measurement problem of identifying the actual infection rate (Sharma et al. 2020), likely subsumes effects of other policies that are implemented at the same time and vary from country to country. For these reasons, we believe it is crucial for the academic community to have access to comprehensive and accurate data on the full range of policies undertaken by governments across the world in response to the COVID-19 pandemic. Doing so is necessary to be able to answer questions about the effect of different policies, not only in terms of combating COVID-19 infections, but also on a diverse array of socio- economic outcomes, including mental health (Fetzer et al. 2020; Varga et al. 2021; Yamada et al. 2021; Zettler et al. 2021), economic hardship (Demirgüç-Kunt, Lokshin, and Torre 2020; Maloney and Taskin 2020; Kubinec, Lee, and Tomashevskiy 2020; Brodeur et al. 2020; Bonaccorsi et al. 2020; Ashraf 2020; Adams-Prassl et al. 2020), political partisanship (Adida, Dionne, and Platas 2020; Woolhandler et al. 2021; Pulejo and Querubı́n 2020; Painter and Qiu 2020; Hart, Chinn, and Soroka 2020; Gadarian, Goodman, and Pepinsky 2020; Dave, Friedson, Matsuzawa, Sabia, and Safford 2020; Bol et al. 2021), and the reasons why some countries were better positioned to implement higher levels of restrictions to control the pandemic (Bargain and Aminjonov 2020; Borgonovi and Andrieu 2020; Fan, Orhun, and Turjeman 2020; Barceló and Sheen 2020). Given the scale and complexity of this measurement problem, we believe it is necessary to leverage multiple datasets to be able to validate the underlying indicators given how complex the coding 4
process of these policies is. In this paper, we focus on the CoronaNet and OxCGRT datasets for validation and data pooling because of the complementary data coding strategies. The breadth and scope of the CoronaNet data results in a large number of indicators while any particular indicator does not contain as much information about a given policy compared to the OxCGRT dataset. By contrast, the OxCGRT dataset contains relatively fewer indicators compared to CoronaNet, but each indicator represents a rich source of qualitative information about the extent of policy coverage. As such, pooling information from the two datasets allows for independent sources of information about policies to be combined. By contrast, it is much more difficult conceptually to pool information across datasets that adopt conceptually similar coding strategies because full taxonomies of all categories in the data must be manually mapped, assuming that such an exact mapping is possible. Data To produce our indices, we included 154 indicators from the CoronaNet dataset and 10 from OxCGRT. We use more indicators from CoronaNet because of differences in how these two projects code public health policies, which we further explore in the supplemental information. In general, the CoronaNet project takes the approach of separately coding all aspects of COVID-19 related policies, while the OxCGRT produces ordinal scores for each policy type. As such, the OxCGRT dataset has far fewer indicators overall, but as we show in our results, its indicators contain a great deal of information. We are able to employ at least one OxCGRT indicator in each index. One complication is that the CoronaNet dataset contains provincial and even municipal information about policies for all countries in the dataset, though coverage varies. As such, we needed a way to include this information to produce national-level estimates. We employed a simple algorithm in which we assigned a value of +1 for each policy in force at the national level and 0 otherwise.1 For over-lapping policy coverage at lower levels of government we then add to this baseline score. For each province and city with the same policy in force, we add the proportion of the country’s population in the province or city to this baseline score. The resulting score could reach a max of 3 if a binary-coded policy was implemented at the national level, among all policies and among all cities in a country. Of course, we do not observe this maximum level of policy enforcement in our index, but we believe the additive nature of combining lower levels of policy enforcement helps communicate the multiple levels of policy while still maintaining parsimony in how we aggregate the information. The resulting score is then a continuous variable and is modeled as such. 1. As a few of our indicators for CoronaNet are ordinal or continuous in nature, such as the length of curfews, we use the same technique except that we weight the variable values for each level by population. 5
In total we have 189 countries in both datasets with coverage from January 1st, 2020 to January 15th, 2021 for a total of 76,380 country-day observations of each of the 164 pooled indicators. As policy coding remains an ongoing task, we intend to release further periodic updates to our indices as more data is available. A complete codebook of all of the indicators is available in the supplemental information. Our list of covariates for which we look at associations with the estimated indices includes nine time- varying and ten time-constant predictors. Tables 3 and 4 in the supplementary information provide summary statistics for the time-varying and time-constant predictors, respectively. In our set of time-varying predic- tors, we include raw COVID-19 cases and deaths to account for how governments enact reactive policies in response to rising case and death numbers, though we note that this is for the purposes of statistical adjustment, not to conclusively determine the effectiveness of the policies (Sebhatu et al. 2020). We also include aggregated response data from Facebook surveys (using the percent who answer yes) about personal contact, financial anxiety, and general anxiety to explore how behavior and attitudes factor into policymak- ing (Brenner and Bhugra 2020). Likewise, we include Google data on retail, workplace, grocery, and parks mobility to investigate how governments use COVID-19 policies in response to changes in mobility (Maloney and Taskin 2020). Google Mobility data are measured as the percent change in mobility from baseline, where the baseline was captured during the pre-pandemic months of 2020. In line with existing research on correlates of COVID-19 policy diffusion, we also include a series of time- constant social, economic, and political predictors. These time-constant predictors first include the following economic covariates: World Bank measures of foreign direct investment (FDI, net inflows in USD), Trade (as a share of GDP), and GDP Per Capita. We also include a Gini Index from the Standardized World Income Inequality Database, measured on a scale of 0 - 1 where values closer to 1 indicates greater income inequality. Our political covariates include the Varieties of Democracy measure of Bureaucratic Corruption, the Fund for Peace’s measure of State Fragility, the Global Health Security Index’s measure of Pandemic Preparedness, Polity Score, and a Female Leadership indicator (Coppedge et al. 2017). We additionally include Population Density. Methods Combining this data into relevant latent constructs is a difficult challenge given the scope of the data and the diversity in variable types, including binary, continuous, ordinal variables, and the need to incorporate over-time variation. To accomplish this, we employ a Bayesian version of item-response models known as ideal point models (Kubinec 2019) that are estimated with the Hamiltonian Markov Chain Monte Carlo (MCMC) sampler Stan (Carpenter et al. 2017). The ideal point approach can be understood as a simple 6
formal model in which an actor i must decide between two policy alternatives j and j 0 (Clinton, Jackman, and Rivers 2004). If we assume that there is a one-dimensional utility score U (·) assigned by actor i to j and j 0 , then actor i will always choose j over j 0 if U (j) > U (j 0 ). In our context, this implies that countries will choose those policies j which have the smallest Euclidean distance to their position in the latent index score. If we index countries α by i and our policy factor scores δ by j, we can estimate country ideal point scores for each day t using the following parametric equation for each indicator value Yitj : P r(Yijt ) ∼ g(αit δj − βj ) (1) where the function g(·) represents a statistical distribution appropriate for the particular indicator j, such as an ordered logit for an ordered indicator, a logistic regression for a binary indicator, and a Gaussian distribution for a continuous indicator. In this formula, the country index scores are represented by the αit and the policy discrimination (factor) scores by the δj . Conditional on the model’s assumptions, we can then interpret our uncertainty in the index scores αit as uncertainty derived from data measurement error while still being able to estimate the most plausible value for αit . The sign of the policy discrimination scores δj reflects which way the policy loads on the latent scale, i.e., whether it positively or negatively predicts higher or lower values of the index. The absolute value of the discrimination score indicates how much information about the index is contained within this particular indicator. In other words, policies that have high discrimination contain more information about the latent scale (i.e., social distancing, etc.) than those with low discrimination. We refer interested readers to Kubinec (2019) for a more thorough presentation of the joint Bayesian posterior that we estimate to obtain these parameter values. In essence, statistical models appropriate for different variable types are jointly estimated with shared parameters for the country index scores and the policy discriminations. We allow the country index scores to vary via a simple random-walk process in which each country’s score in time t is equal to its score in t − 1 plus Gaussian-distributed noise σi . This time process permits some smoothing of the resulting scores. We put a boundary-avoiding prior on the σi parameters, σi ∼ InvGamma(2, 5), to improve sampling as policy indicators for some indices do not change very often over time. One important area we have to consider when employing this model is that the likelihood is not globally identified without further information added to the model. In particular, we have to prevent scale rotations of the index, and assigning a very strong prior of Normal(1, 0.001) on the value of one policy discrimination for each index to ensure a single rotation. However, we let all the other policy discrimination parameters float so that we can see if they all map on to the same latent trait, which is a strong test of the validity of 7
the underlying index. To fit the models, we run four independent MCMC chains with Stan for 250 warmup iterations and 300 sampling iterations. To test convergence, we report split-R̂ diagnostic plots in the supplementary information for each index model, which show clear convergence of the chains given these sampling parameters. To convert the latent scores to the same scale, we first standardize each score and then employ the inverse logit function to convert the score to a bounded number between 0 and 1. We then multiply by 100 to produce scales with a maximum and minimum observed range of 0 and 100 respectively. To look at associations between time-varying and time-constant predictors and these indices, we predict the posterior median values of each index assuming Gaussian measurement error with estimated standard deviation σˆit from the posterior standard deviation of each index estimate for country i and day t. To do so, we employ the R package brms (Bürkner 2017). Because there is missing data in the predictor variables, we create five imputed datasets non-parametrically with random forests (Tang and Ishwaran 2017; Stekhoven and Bühlmann 2012). We estimate independent Markov chains for each imputed dataset and then combine the resulting posterior estimates to increase the variance of the posterior distribution to reasonable levels (Zhou and Reiter 2010). Results We report the full distributions of each index for all countries in Figure 1. As the number of countries in the indices are too many to be able to distinguish them in a single plot, we select ten countries from diverse areas of the world and show the index scores for each in Figure 2. As each of these figures shows, there are broad similarities across the indices with policy activity increasing in the early months of the pandemic, followed by more country-specific trends as the pandemic ebbed and flowed within borders. In general, the indices with the highest amount of over-time variation include our school index, business index, and social- distancing index. The latter is particularly bolstered by the fact that OxCGRT has several indicators for this index, which increases significantly the amount of information about distancing policies. To better understand the underlying components of the index, Figures 3 and 4 show the distribution of discrimination parameters for each index separately. As can be seen, the discrimination parameters almost exclusively line up on the right hand-side of the plot, with some parameters estimated at close to zero. This behavior indicates that the model only found a one-sided latent dimension given the set of policy indicators. In other words, there is reason to believe that our policy indicators are all measuring a process of varying degrees of policy intensity rather than quite distinct policy areas that have no real relationship to each other. As such, it represents an important validity test for the index. Furthermore, we find that the 8
Figure 1: Index Scores for All Countries Figure 2: Index Scores for 10 Countries 9
Figure 3: Discrimination Parameters I OxCGRT indicators are always in the same direction as the CoronaNet indicators. This trend also provides validation of both indices as it shows that the indicators are tracking the same latent dimension despite different coders and coding schema. Analysis of Aggregation In order to analyze the relation between the aggregate index and its two component sources, we calculated simple summary measures of the indicators for each dataset by summing over all the indicators for a given day and standardizing. We evaluated correlations between the estimated indices and the aggregated raw data a) over time, considering country-mean centered values, and b) across countries, considering cross-sectional correlations for each day of 2020. The correlations over time between the index and the aggregated raw 10
Figure 4: Discrimination Parameters II data were, in general, quite large for CoronaNet and OxCGRT, respectively: Business (.52 and .58), Schools (.32 and .57), Social distancing (.54 and .91), Health Monitoring (.51 and -.01), Health Resources (.66 and .62) and Masks (.27 and .59). Figure 5 shows that the average correlations in the cross-sections are strongly reduced after the initial policy ramp-up period, and were on average lower than the correlations over time, particularly for the OxCGRT indicators: Business (.42 and .26), Schools (.35 and .18), Social Distancing (.40 and .79), Health Monitoring (.51 and .04), Health Resources (.61 and .20) and Masks (.27 and .26)—again, for CoronaNet and OxCGRT, respectively. While the limited magnitude of most correlations between the raw data of Coronanet and OxCGRT and the indices may be explained by the reduction in measurement error of the combined index, it also suggests that these two sources provide unique and non-redundant information. The latter perspective is supported when we compare the associations of the underlying indicators and the index with mobility measures. As an illustration, we estimate fixed-effects models with two different measures of mobility as the dependent variables (retail and recreation visits and workplace mobility) and two different policy dimensions, which are expected to be directly associated with mobility (social distancing and business). The magnitude of the R2 varies from 1% to 44% across models, and it is not always the case that the R2 is higher for the indices (see Supplementary Tables 1 and 2). Exploratory Analysis To look at empirical predictors of these indices, we employ our multivariate model of the indices that we specified previously along with the full range of time-varying and time-constant covariates. We show the results of these models in Table 1. Given that these are Bayesian regression models, we report the posterior 11
Figure 5: Daily Cross-sectional Correlations between the Aggregated Raw Data and Estimated Indices median values as coefficients with the 5% - 95% posterior uncertainty intervals in parentheses.2 Most of the predictors have clear associations with the different outcomes, though the sign and substantive effect varies. First, we note that the social distancing and schools policies are associated with lower case counts but higher reported COVID-19 deaths, while the opposite holds true for business restrictions. Given that COVID-19 deaths lag COVID-19 cases considerably, this may be seen as a general statement of policy efficacy, i.e., that these policies tend to be imposed when case levels are quite high, leading to subsequent high death rates but falling case counts as policies come in to force. In the same vein, we see that business restrictions and social distancing policies are associated with reduced mobility in workplaces, and for social distancing policies reduced mobility in retail stores as shops close due to so-called lockdowns. However, school restrictions are associated with more rather than less mobility, suggesting that school closures encourage parents to spend more time in stores and even, counter-intuitively, workplaces. School restrictions are also associated with less time spent in parks, which is the opposite of business and social distancing restrictions. 2. We note that the idea of a p-value does not have a clear analogue in Bayesian modeling. 12
Table 1: Results of Regression of Social, Political and Economic Covariates on Index Scores Business Social Distancing Schools Time-varying COVID-19 Cases 4.306 -1.229 -1.490 (4.000, 4.597) (-1.400, -1.056) (-1.827, -1.133) COVID-19 Deaths -4.076 1.448 2.764 (-4.376, -3.772) (1.280, 1.619) (2.379, 3.124) Facebook Personal Contact 17.508 -2.373 23.853 (15.804, 19.360) (-3.337, -1.358) (21.666, 26.049) Facebook Financial Anxiety 26.277 24.553 -0.173 (24.579, 27.954) (23.631, 25.466) (-1.991, 1.681) Facebook General Anxiety -12.967 -20.247 -2.760 (-18.748, -7.412) (-23.692, -16.744) (-9.679, 4.126) Retail Mobility 0.043 -0.279 0.125 (0.027, 0.059) (-0.288, -0.270) (0.105, 0.143) Workplace Mobility -0.042 -0.021 0.048 (-0.055, -0.030) (-0.028, -0.014) (0.034, 0.062) Grocery Mobility -0.055 0.106 0.004 (-0.068, -0.041) (0.099, 0.114) (-0.012, 0.020) Parks Mobility 0.007 0.013 -0.030 (0.002, 0.011) (0.010, 0.015) (-0.035, -0.024) Cross-sectional Population Density -2.325 1.342 2.313 (-2.539, -2.108) (1.219, 1.458) (2.065, 2.563) GDP Per Capita 2.676 1.645 7.845 (2.352, 2.995) (1.462, 1.817) (7.477, 8.221) FDI 0.677 1.555 -4.120 (0.498, 0.844) (1.467, 1.650) (-4.311, -3.923) Trade -3.118 -4.725 -8.649 (-3.411, -2.811) (-4.890, -4.545) (-9.009, -8.291) State Fragility -6.065 0.179 -1.219 (-6.419, -5.726) (-0.023, 0.381) (-1.623, -0.813) Bureaucracy Corrupt -5.741 2.670 7.909 (-6.054, -5.414) (2.477, 2.865) (7.541, 8.282) Pandemic Preparedness 2.105 3.151 1.263 (1.764, 2.454) (2.948, 3.363) (0.849, 1.699) Woman Leader 8.840 2.771 7.106 (8.228, 9.437) (2.418, 3.117) (6.387, 7.821) Polity Score -8.014 -0.845 -0.671 (-8.263, -7.753) (-0.985, -0.706) (-0.945, -0.382) Gini Index 4.108 -1.750 1.965 (3.796, 4.428) (-1.926, -1.581) (1.575, 2.346) R2 0.34 0.41 0.29 LOO-IC 290077 250895 301517 Note: Coefficients are the posterior median values and the uncertainty intervals are the 5% to 95% posterior density intervals. Results marginalize across 5 imputed datasets. In addition, we note that the policies’ association with the reduction of contacts with other people is decidedly mixed. Higher levels of the social distancing index are associated with fewer reported contacts, while business restrictions and school restrictions are strongly associated with increased contact. As such, while this analysis cannot be taken as a definitive study of the suppressive effect of the policies, the observed 13
Figure 6: Model Predictions for Facebook Polling Data and Indices Figure 7: Model Predictions for Cross-sectional Factors and Indices 14
associations suggest that social distancing policies are most strongly associated with reduced contacts and reduced mobility, while business restrictions solely with reduced mobility but increased contact, and school restrictions with both increased mobility and increased contact. In terms of mental health, business restrictions and social distancing policies, and to a much lesser extent school restrictions, are associated with fewer people reporting feeling anxious within the past seven days per our Facebook survey data. This finding supports recent studies showing that, contrary to expectations, the rate of suicide in fact decreased during the pandemic (Pirkis et al. 2021). It could be that increased social distancing reduced people’s fears of the disease and its effects on society, while more libertarian approaches counter-intuitively increased anxiety. However, we note that this association is much weaker for school restrictions, suggesting that any reductions in general anxiety due to the disease were compensated for by increases in anxiety from other sources, such as anxiety over childrens’ education. In terms of economic covariates, we find that business restrictions and social distancing policies are associated with increased anxiety over finances. By contrast, school restrictions show no relationship with financial anxiety. In terms of cross-sectional associations, wealthier countries as measured by GDP per capita are much more likely to have school restrictions and modestly more likely to have business restrictions and social distancing policies. Increased foreign direct investment (FDI) as a proportion of GDP, though, has quite different association: similar or slightly more business restrictions and social distancing, but fewer school closures. In terms of income inequality as measured by the Gini coefficient, more unequal countries tend to have more business and school restrictions but fewer social distancing policies. Finally for our political covariates, we find that more democratic countries as measured by the Polity IV index are much less likely to implement business restrictions and somewhat less likely to implement social distancing policies and school restrictions. More fragile states and states with more corrupt bureaucracies are less likely to implement business restrictions, while they are much more likely to implement school restrictions. Another very strong pattern is that woman leaders tend to be more likely to adopt COVID-19 restrictions across the board: business restrictions, school restrictions and social distancing policies. To illustrate the magnitude of these relationships, Figures 6 and 7 report predicted values for Facebook polling covariates and bureaucratic corruption, democracy (Polity IV) scores and income inequality (Gini) from the cross-sectional data. In these figures the values of other covariates are held at their sample means. A school index value of 50, or the middle of the range, is associated with only 20% of survey respondents reporting a direct contact with a non-household member, while a school index value of 70 is associated with as many as 80% of respondents reported contact with a non-household member. For cross-sectional relationships, we see that countries that are two standard deviations below the mean of the corruption scale have an average school restriction policy of approximately 50, while countries two standard deviations above 15
the mean have an average school restriction index of nearly 80. These plots show that these relationships are not only statistically significant but substantively significant as well. Discussion While we cannot interpret these associations causally, they do offer compelling initial evidence about how different types of countries responded to the pandemic. These associations hold promise for helping us to better understand how the pandemic is unfolding and its complex interaction with people’s beliefs, country economic conditions and political institutions. Of the associations that we uncovered in this paper, we think that the most important are those regarding mental health, the quality of state institutions, the type of regime and differences between school restrictions and other types of policies. First, it would seem straightforward that increased restrictions on personal mobility and businesses would result in increased anxiety among residents of countries, and that re-opening would reduce anxiety (Varga et al. 2021). While business restrictions and social distancing policies are associated with increased anxiety over finances, we did not find this to be the case for more general anxiety with business restrictions and social distancing policies. While business restrictions had negative macro-economic ramifications, the cost of these policies appears to be at least in part offset by reduced anxiety about the spread of disease. However, we do not see as strong offsetting relationships between anxiety and school restrictions, which are not associated with financial anxiety and only weakly with reduced general anxiety. Second, the associations relating to quality and type of state institutions are important because they indicate that certain countries were predisposed to adopt certain policies apart from the reported levels of COVID-19 cases and deaths. Countries with weaker state institutions and more corrupt bureaucracies were less likely to impose restrictions on businesses, which may suggest that powerful economic actors were able to resist pressures to shut down in the face of the pandemic (Kubinec, Lee, and Tomashevskiy 2020; Gallego, Prem, and Vargas 2020; Crosson and Parinandi 2021). Following a similar logic, the association that democracies on average imposed fewer business restrictions may suggest that the increased accountability of leaders made it harder for them to impose harsher types of policies on citizens, as some prior research has shown leaders reduced restrictions during elections (Pulejo and Querubı́n 2020). Given this pattern, we find it all the more remarkable that women leaders are associated with much higher levels of restrictions across all three policy types given that democracies tend to have higher levels of representation of women at the highest levels of government. One possible explanation for these strong associations is the role of rising right-wing populism (Pevehouse 2020), which has often been led by male leaders who view pandemic restrictions as a form of anti-masculine cowardice (Lasco 2020; Harsin 2020). 16
We note that prior research on the gender of leadership and COVID-19 restrictions is mixed, with earlier findings showing that countries with women leaders fare better at controlling the pandemic (Johnson and Williams 2020; Coscieme et al. 2020) and others that there is no clear relationship between gender and COVID-19 restrictions (Aldrich and Lotito 2020; Windsor et al. 2020). Based on the results reported in this paper, we believe there is clear evidence that women leaders presided over countries with higher overall levels of COVID-19 restrictions, though of course the overall effectiveness of those restrictions at preventing infections is a separate empirical question. It is important to note that we only document the association; we cannot make a definitive statement that the gender of a leader caused the higher level of restrictions. For example, it could be that some countries are predisposed due to some institutional or social factor to have both female leaders and better COVID-19 responses; while we tried to account for some of these biases by including institutional and country demographic factors, it is still quite possible there are unmeasured variables that could explain why countries with female leaders have more COVID-19 policies. We also note that school restrictions show strikingly different dynamics vis-a-vis social distancing policies or business restrictions. As we mentioned earlier, reported contacts and mobility in retail establishments increase significantly when school restrictions are in place. School restrictions are more likely in states with more corrupt bureaucrats and higher levels of income inequality. As a result, we think that these worrying associations provide partial evidence that these types of restrictions may not be as effective as general social distancing policies and may also have harmful consequences in terms of shifting the burden of COVID-19 suppression to more vulnerable members of society. Conclusion In this paper we present six new indices that provide the first comprehensive and statistically-validated information about how countries implemented policies opposing the COVID-19 pandemic. These indices are not a replacement for either of the two data sources (OxCGRT and CoronaNet), which are found to be non-redundant, yet they complement these datasets by providing time-varying, robust comparisons at a level of aggregation which can fruitfully be employed in additional policy evaluation analyses. We perform some such analyses in this article, finding compelling associations between school restrictions, business restrictions and social distancing policies with an array of social, political and economic covariates. It is our hope that this data will be used to increase understanding about the environment within which these policies were implemented as the pandemic has disrupted billions of people’s lives. We believe that this type of precise measurement is necessary to answer questions about the effectiveness of policies at combating COVID-19 and thus future pandemics. Without a thorough accounting of what happened during 17
the pandemic and the ability to aggregate information in empirically sound ways, we may not be able to reach valid conclusions about how best to prepare for the next world-wide transmissible disease. 18
1 Supplementary Information Our supplementary information can be downloaded as a PDF from the following link: https://drive. google.com/uc?export=download&id=1SPKiNwkMiVO-O-7rldCyCN9JmBgOQ6JR. 2 Data Availability For the full code and data to reproduce all results, we refer the reader to our Github repository: https: //github.com/saudiwin/corona index. We refer the reader as well to a blog post describing the data and how to incorporate measurement uncertainty into analyses using the R software package, which can be accessed from http://www.robertkubinec.com/post/err in vars/. To download the underlying data and estimated indexes directly, the following two links contain CSV files: 1. Estimated indices in day-country-index-index type form: https://drive.google.com/uc?export=download& id=1dMCTVPrf-tJyhv uxr0yAQO-Elx0QOCG 2. Underlying policy data indicators from CoronaNet and OxCGRT: https://drive.google.com/uc?id= 1lorcowHNnF0Vl6pxBjMdjTC4yPhHBLJI&export=download We refer the reader to our supplementary information (see link above) for a full code book describing each of the underlying policy indicators. Acknowledgments A full list of the hundreds of research assistants involved in compiling the CoronaNet data are in the sup- plemental information and we gratefully acknowledge each one for their role in this project. We acknowledge funding from New York University Abu Dhabi (Covid-19 Facilitator Research Fund), The National Council for Eurasian and East European Research (No. 832-06g), the European Union’s Horizon 2020 Research and Innovation Programme (No. 101016233), the Hochschule fur Politik at the Technical University of Munich (TUM) and the TUM Chair of International Relations, and the Leibniz Research Alliance Group (Crises in a Globalised World). Technical infrastructure support has been generously provided by Overton, Slack Tech- nologies and RStudio. The funders had no role in study design, data collection, analysis, or interpretation, nor in the decision to publish or in the preparation of the manuscript. 19
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