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Shortreed and Ertefaie introduced a clever propensity score variable selection approach for estimating average causal effects, namely, the outcome adaptive lasso (OAL). OAL aims to select desirable covariates, confounders, and predictors of outcome, to build an unbiased and statistically efficient propensity score estimator. Due to its design, a potential limitation of OAL is how it handles the collinearity problem, which is often encountered in high-dimensional data. As seen in Shortreed and Ertefaie, OAL's performance degraded with increased correlation between covariates. In this note, we propose the generalized OAL (GOAL) that combines the strengths of the adaptively weighted L 1 penalty and the elastic net to better handle the selection of correlated covariates. Two different versions of GOAL, which differ in their procedure (algorithm), are proposed. We compared OAL and GOAL in simulation scenarios that mimic those examined by Shortreed and Ertefaie. Although all approaches performed equivalently with independent covariates, we found that both GOAL versions were more performant than OAL in low and high dimensions with correlated covariates., (© 2022 The International Biometric Society.)

Schofield et al. (2018, Biometrics 74, 626-635) presented simple and efficient algorithms for fitting continuous-time capture-recapture models based on Poisson processes. They also demonstrated by real examples that the standard method of discretizing continuous-time capture-recapture data and then fitting traditional discrete-time models may lead to information loss in population size estimation. In this article, we aim to clarify that key to the approach of Schofield et al. (2018) is the Poisson model assumed for the number of captures of each individual throughout the study, rather than the fact of data being collected in continuous time. We further show that the method of data discretization works equally well as the method of Schofield et al. (2018), provided that a Poisson model is applied instead of the traditional Bernoulli model to the number of captures for each individual on each sampling occasion., (© 2019 The International Biometric Society.)

Receiver operating characteristic (ROC) curve is commonly used to evaluate and compare the accuracy of classification methods or markers. Estimating ROC curves has been an important problem in various fields including biometric recognition and diagnostic medicine. In real applications, classification markers are often developed under two or more ordered conditions, such that a natural stochastic ordering exists among the observations. Incorporating such a stochastic ordering into estimation can improve statistical efficiency (Davidov and Herman, 2012). In addition, clustered and correlated data arise when multiple measurements are gleaned from the same subject, making estimation of ROC curves complicated due to within-cluster correlations. In this article, we propose to model the ROC curve using a weighted empirical process to jointly account for the order constraint and within-cluster correlation structure. The algebraic properties of resulting summary statistics of the ROC curve such as its area and partial area are also studied. The algebraic expressions reduce to the ones by Davidov and Herman (2012) for independent observations. We derive asymptotic properties of the proposed order-restricted estimators and show that they have smaller mean-squared errors than the existing estimators. Simulation studies also demonstrate better performance of the newly proposed estimators over existing methods for finite samples. The proposed method is further exemplified with the fingerprint matching data from the National Institute of Standards and Technology Special Database 4., (© 2019 The International Biometric Society.)

Evaluating the goodness of fit of logistic regression models is crucial to ensure the accuracy of the estimated probabilities. Unfortunately, such evaluation is problematic in large samples. Because the power of traditional goodness of fit tests increases with the sample size, practically irrelevant discrepancies between estimated and true probabilities are increasingly likely to cause the rejection of the hypothesis of perfect fit in larger and larger samples. This phenomenon has been widely documented for popular goodness of fit tests, such as the Hosmer-Lemeshow test. To address this limitation, we propose a modification of the Hosmer-Lemeshow approach. By standardizing the noncentrality parameter that characterizes the alternative distribution of the Hosmer-Lemeshow statistic, we introduce a parameter that measures the goodness of fit of a model but does not depend on the sample size. We provide the methodology to estimate this parameter and construct confidence intervals for it. Finally, we propose a formal statistical test to rigorously assess whether the fit of a model, albeit not perfect, is acceptable for practical purposes. The proposed method is compared in a simulation study with a competing modification of the Hosmer-Lemeshow test, based on repeated subsampling. We provide a step-by-step illustration of our method using a model for postneonatal mortality developed in a large cohort of more than 300 000 observations., (© 2020 The International Biometric Society.)

In this paper, we propose a Bayesian design framework for a biosimilars clinical program that entails conducting concurrent trials in multiple therapeutic indications to establish equivalent efficacy for a proposed biologic compared to a reference biologic in each indication to support approval of the proposed biologic as a biosimilar. Our method facilitates information borrowing across indications through the use of a multivariate normal correlated parameter prior (CPP), which is constructed from easily interpretable hyperparameters that represent direct statements about the equivalence hypotheses to be tested. The CPP accommodates different endpoints and data types across indications (eg, binary and continuous) and can, therefore, be used in a wide context of models without having to modify the data (eg, rescaling) to provide reasonable information-borrowing properties. We illustrate how one can evaluate the design using Bayesian versions of the type I error rate and power with the objective of determining the sample size required for each indication such that the design has high power to demonstrate equivalent efficacy in each indication, reasonably high power to demonstrate equivalent efficacy simultaneously in all indications (ie, globally), and reasonable type I error control from a Bayesian perspective. We illustrate the method with several examples, including designing biosimilars trials for follicular lymphoma and rheumatoid arthritis using binary and continuous endpoints, respectively., (© 2019 The International Biometric Society.)

Mendelian randomization (MR) analysis uses genotypes as instruments to estimate the causal effect of an exposure in the presence of unobserved confounders. The existing MR methods focus on the data generated from prospective cohort studies. We develop a procedure for studying binary outcomes under a case-control design. The proposed procedure is built upon two working models commonly used for MR analyses and adopts a quasi-empirical likelihood framework to address the ascertainment bias from case-control sampling. We derive various approaches for estimating the causal effect and hypothesis testing under the empirical likelihood framework. We conduct extensive simulation studies to evaluate the proposed methods. We find that the proposed empirical likelihood estimate is less biased than the existing estimates. Among all the approaches considered, the Lagrange multiplier (LM) test has the highest power, and the confidence intervals derived from the LM test have the most accurate coverage. We illustrate the use of our method in MR analysis of prostate cancer case-control data with vitamin D level as exposure and three single nucleotide polymorphisms as instruments., (Published 2019. This article is a U.S. Government work and is in the public domain in the USA.)

Mendelian randomization (MR) is a type of instrumental variable (IV) analysis that uses genetic variants as IVs for a risk factor to study its causal effect on an outcome. Extensive investigations on the performance of IV analysis procedures, such as the one based on the two-stage least squares (2SLS) procedure, have been conducted under the one-sample scenario, where measures on IVs, the risk factor, and the outcome are assumed to be available for each study participant. Recent MR analysis usually is performed with data from two independent or partially overlapping genetic association studies (two-sample setting), with one providing information on the association between the IVs and the outcome, and the other on the association between the IVs and the risk factor. We investigate the performance of 2SLS in the two-sample-based MR when the IVs are weakly associated with the risk factor. We derive closed form formulas for the bias and mean squared error of the 2SLS estimate and verify them with numeric simulations under realistic circumstances. Using these analytic formulas, we can study the pros and cons of conducting MR analysis under one-sample and two-sample settings and assess the impact of having overlapping samples. We also propose and validate a bias-corrected estimator for the causal effect., (© Published 2019. This article is a U.S. Government work and is in the public domain in the USA.)

Mapping of disease incidence has long been of importance to epidemiology and public health. In this paper, we consider identification of clusters of spatial units with elevated disease rates and develop a new approach that estimates the relative disease risk in association with potential risk factors and simultaneously identifies clusters corresponding to elevated risks. A heterogeneity measure is proposed to enable the comparison of a candidate cluster and its complement under a pair of complementary models. A quasi-likelihood procedure is developed for estimating the model parameters and identifying the clusters. An advantage of our approach over traditional spatial clustering methods is the identification of clusters that can have arbitrary shapes due to abrupt or noncontiguous changes while accounting for risk factors and spatial correlation. Asymptotic properties of the proposed methodology are established and a simulation study shows empirically sound finite-sample properties. The mapping and clustering of enterovirus 71 infections in Taiwan are carried out for illustration., (© 2019 The International Biometric Society.)

To assess the quality of health care, patient outcomes associated with medical providers (eg, dialysis facilities) are routinely monitored in order to identify poor (or excellent) provider performance. Given the high stakes of such evaluations for payment as well as public reporting of quality, it is important to assess the reliability of quality measures. A commonly used metric is the inter-unit reliability (IUR), which is the proportion of variation in the measure that comes from inter-provider differences. Despite its wide use, however, the size of the IUR has little to do with the usefulness of the measure for profiling extreme outcomes. A large IUR can signal the need for further risk adjustment to account for differences between patients treated by different providers, while even measures with an IUR close to zero can be useful for identifying extreme providers. To address these limitations, we propose an alternative measure of reliability, which assesses more directly the value of a quality measure in identifying (or profiling) providers with extreme outcomes. The resulting metric reflects the extent to which the profiling status is consistent over repeated measurements. We use national dialysis data to examine this approach on various measures of dialysis facilities., (© 2019 The Authors. Biometrics published by Wiley Periodicals, Inc. on behalf of International Biometric Society.)

Several gene-based association tests for time-to-event traits have been proposed recently to detect whether a gene region (containing multiple variants), as a set, is associated with the survival outcome. However, for bivariate survival outcomes, to the best of our knowledge, there is no statistical method that can be directly applied for gene-based association analysis. Motivated by a genetic study to discover the gene regions associated with the progression of a bilateral eye disease, age-related macular degeneration (AMD), we implement a novel functional regression (FR) method under the copula framework. Specifically, the effects of variants within a gene region are modeled through a functional linear model, which then contributes to the marginal survival functions within the copula. Generalized score test statistics are derived to test for the association between bivariate survival traits and the genetic region. Extensive simulation studies are conducted to evaluate the type I error control and power performance of the proposed approach, with comparisons to several existing methods for a single survival trait, as well as the marginal Cox FR model using the robust sandwich estimator for bivariate survival traits. Finally, we apply our method to a large AMD study, the Age-related Eye Disease Study, and to identify the gene regions that are associated with AMD progression., (© 2019 The International Biometric Society.)

Researchers often use a two-step process to analyze multivariate data. First, dimensionality is reduced using a technique such as principal component analysis, followed by a group comparison using a t -test or analysis of variance. Although this practice is often discouraged, the statistical properties of this procedure are not well understood, starting with the hypothesis being tested. We suggest that this approach might be considering two distinct hypotheses, one of which is a global test of no differences in the mean vectors, and the other being a focused test of a specific linear combination where the coefficients have been estimated from the data. We study the asymptotic properties of the two-sample t -statistic for these two scenarios, assuming a nonsparse setting. We show that the size of the global test agrees with the presumed level but that the test has poor power. In contrast, the size of the focused test can be arbitrarily distorted with certain mean and covariance structures. A simple method is provided to correct the size of the focused test. Data analyses and simulations are used to illustrate the results. Recommendations on the use of this two-step method and the related use of principal components for prediction are provided., (© 2019 The International Biometric Society.)

A spatial open-population capture-recapture model is described that extends both the non-spatial open-population model of Schwarz and Arnason and the spatially explicit closed-population model of Borchers and Efford. The superpopulation of animals available for detection at some time during a study is conceived as a two-dimensional Poisson point process. Individual probabilities of birth and death follow the conventional open-population model. Movement between sampling times may be modeled with a dispersal kernel using a recursive Markovian algorithm. Observations arise from distance-dependent sampling at an array of detectors. As in the closed-population spatial model, the observed data likelihood relies on integration over the unknown animal locations; maximization of this likelihood yields estimates of the birth, death, movement, and detection parameters. The models were fitted to data from a live-trapping study of brushtail possums (Trichosurus vulpecula) in New Zealand. Simulations confirmed that spatial modeling can greatly reduce the bias of capture-recapture survival estimates and that there is a degree of robustness to misspecification of the dispersal kernel. An R package is available that includes various extensions., (© 2019 The International Biometric Society.)

Multinomial N -mixture models are commonly used to fit data from a removal sampling protocol. If the mixing distribution is negative binomial, the distribution of the counts does not appear to have been identified, and practitioners approximate the requisite likelihood by placing an upper bound on the embedded infinite sum. In this paper, the distribution which underpins the multinomial N -mixture model with a negative binomial mixing distribution is shown to belong to the broad class of multivariate negative binomial distributions. Specifically, the likelihood can be expressed in closed form as the product of conditional and marginal likelihoods and the information matrix shown to be block diagonal. As a consequence, the nature of the maximum likelihood estimates of the unknown parameters and their attendant standard errors can be examined and tests of the hypothesis of the Poisson against the negative binomial mixing distribution formulated. In addition, appropriate multinomial N -mixture models for data sets which include zero site totals can also be constructed. Two illustrative examples are provided., (© 2019 The International Biometric Society.)

Although case-control association studies have been widely used, they are insufficient for many complex diseases, such as Alzheimer's disease and breast cancer, since these diseases may have multiple subtypes with distinct morphologies and clinical implications. Many multigroup studies, such as the Alzheimer's Disease Neuroimaging Initiative (ADNI), have been undertaken by recruiting subjects based on their multiclass primary disease status, while extensive secondary outcomes have been collected. The aim of this paper is to develop a general regression framework for the analysis of secondary phenotypes collected in multigroup association studies. Our regression framework is built on a conditional model for the secondary outcome given the multigroup status and covariates and its relationship with the population regression of interest of the secondary outcome given the covariates. Then, we develop generalized estimation equations to estimate the parameters of interest. We use both simulations and a large-scale imaging genetic data analysis from the ADNI to evaluate the effect of the multigroup sampling scheme on standard genome-wide association analyses based on linear regression methods, while comparing it with our statistical methods that appropriately adjust for the multigroup sampling scheme. Data used in preparation of this article were obtained from the ADNI database., (© 2019 The International Biometric Society.)

Determining the sample size of an experiment can be challenging, even more so when incorporating external information via a prior distribution. Such information is increasingly used to reduce the size of the control group in randomized clinical trials. Knowing the amount of prior information, expressed as an equivalent prior effective sample size (ESS), clearly facilitates trial designs. Various methods to obtain a prior's ESS have been proposed recently. They have been justified by the fact that they give the standard ESS for one-parameter exponential families. However, despite being based on similar information-based metrics, they may lead to surprisingly different ESS for nonconjugate settings, which complicates many designs with prior information. We show that current methods fail a basic predictive consistency criterion, which requires the expected posterior-predictive ESS for a sample of size N to be the sum of the prior ESS and N. The expected local-information-ratio ESS is introduced and shown to be predictively consistent. It corrects the ESS of current methods, as shown for normally distributed data with a heavy-tailed Student-t prior and exponential data with a generalized Gamma prior. Finally, two applications are discussed: the prior ESS for the control group derived from historical data and the posterior ESS for hierarchical subgroup analyses., (© 2020 The International Biometric Society.)

In clinical trials, the comparison of two different populations is a common problem. Nonlinear (parametric) regression models are commonly used to describe the relationship between covariates, such as concentration or dose, and a response variable in the two groups. In some situations, it is reasonable to assume some model parameters to be the same, for instance, the placebo effect or the maximum treatment effect. In this paper, we develop a (parametric) bootstrap test to establish the similarity of two regression curves sharing some common parameters. We show by theoretical arguments and by means of a simulation study that the new test controls its significance level and achieves a reasonable power. Moreover, it is demonstrated that under the assumption of common parameters, a considerably more powerful test can be constructed compared with the test that does not use this assumption. Finally, we illustrate the potential applications of the new methodology by a clinical trial example., (© 2019 The Authors. Biometrics published by Wiley Periodicals, Inc. on behalf of International Biometric Society.)

Binary regression models for spatial data are commonly used in disciplines such as epidemiology and ecology. Many spatially referenced binary data sets suffer from location error, which occurs when the recorded location of an observation differs from its true location. When location error occurs, values of the covariates associated with the true spatial locations of the observations cannot be obtained. We show how a change of support (COS) can be applied to regression models for binary data to provide coefficient estimates when the true values of the covariates are unavailable, but the unknown location of the observations are contained within nonoverlapping arbitrarily shaped polygons. The COS accommodates spatial and nonspatial covariates and preserves the convenient interpretation of methods such as logistic and probit regression. Using a simulation experiment, we compare binary regression models with a COS to naive approaches that ignore location error. We illustrate the flexibility of the COS by modeling individual-level disease risk in a population using a binary data set where the locations of the observations are unknown but contained within administrative units. Our simulation experiment and data illustration corroborate that conventional regression models for binary data that ignore location error are unreliable, but that the COS can be used to eliminate bias while preserving model choice., (© 2019 The International Biometric Society.)

Habitat selection models are used in ecology to link the spatial distribution of animals to environmental covariates and identify preferred habitats. The most widely used models of this type, resource selection functions, aim to capture the steady-state distribution of space use of the animal, but they assume independence between the observed locations of an animal. This is unrealistic when location data display temporal autocorrelation. The alternative approach of step selection functions embed habitat selection in a model of animal movement, to account for the autocorrelation. However, inferences from step selection functions depend on the underlying movement model, and they do not readily predict steady-state space use. We suggest an analogy between parameter updates and target distributions in Markov chain Monte Carlo (MCMC) algorithms, and step selection and steady-state distributions in movement ecology, leading to a step selection model with an explicit steady-state distribution. In this framework, we explain how maximum likelihood estimation can be used for simultaneous inference about movement and habitat selection. We describe the local Gibbs sampler, a novel rejection-free MCMC scheme, use it as the basis of a flexible class of animal movement models, and derive its likelihood function for several important special cases. In a simulation study, we verify that maximum likelihood estimation can recover all model parameters. We illustrate the application of the method with data from a zebra., (© 2019 The International Biometric Society.)

Advances in sequencing technologies and bioinformatics tools have vastly improved our ability to collect and analyze data from complex microbial communities. A major goal of microbiome studies is to correlate the overall microbiome composition with clinical or environmental variables. La Rosa et al. recently proposed a parametric test for comparing microbiome populations between two or more groups of subjects. However, this method is not applicable for testing the association between the community composition and a continuous variable. Although multivariate nonparametric methods based on permutations are widely used in ecology studies, they lack interpretability and can be inefficient for analyzing microbiome data. We consider the problem of testing for independence between the microbial community composition and a continuous or many-valued variable. By partitioning the range of the variable into a few slices, we formulate the problem as a problem of comparing multiple groups of microbiome samples, with each group indexed by a slice. To model multivariate and over-dispersed count data, we use the Dirichlet-multinomial distribution. We propose an adaptive likelihood-ratio test by learning a good partition or slicing scheme from the data. A dynamic programming algorithm is developed for numerical optimization. We demonstrate the superiority of the proposed test by numerically comparing it with that of La Rosa et al. and other popular approaches on the same topic including PERMANOVA, the distance covariance test, and the microbiome regression-based kernel association test. We further apply it to test the association of gut microbiome with age in three geographically distinct populations and show how the learned partition facilitates differential abundance analysis., (© 2019 The International Biometric Society.)

Motivated by recent work involving the analysis of biomedical imaging data, we present a novel procedure for constructing simultaneous confidence corridors for the mean of imaging data. We propose to use flexible bivariate splines over triangulations to handle an irregular domain of the images that is common in brain imaging studies and in other biomedical imaging applications. The proposed spline estimators of the mean functions are shown to be consistent and asymptotically normal under some regularity conditions. We also provide a computationally efficient estimator of the covariance function and derive its uniform consistency. The procedure is also extended to the two-sample case in which we focus on comparing the mean functions from two populations of imaging data. Through Monte Carlo simulation studies, we examine the finite sample performance of the proposed method. Finally, the proposed method is applied to analyze brain positron emission tomography data in two different studies. One data set used in preparation of this article was obtained from the Alzheimer's Disease Neuroimaging Initiative (ADNI) database., (© 2019 The International Biometric Society.)

Analysis with time-to-event data in clinical and epidemiological studies often encounters missing covariate values, and the missing at random assumption is commonly adopted, which assumes that missingness depends on the observed data, including the observed outcome which is the minimum of survival and censoring time. However, it is conceivable that in certain settings, missingness of covariate values is related to the survival time but not to the censoring time. This is especially so when covariate missingness is related to an unmeasured variable affected by the patient's illness and prognosis factors at baseline. If this is the case, then the covariate missingness is not at random as the survival time is censored, and it creates a challenge in data analysis. In this article, we propose an approach to deal with such survival-time-dependent covariate missingness based on the well known Cox proportional hazard model. Our method is based on inverse propensity weighting with the propensity estimated by nonparametric kernel regression. Our estimators are consistent and asymptotically normal, and their finite-sample performance is examined through simulation. An application to a real-data example is included for illustration., (© 2019 The International Biometric Society.)

Traditionally, a clinical trial is conducted comparing treatment to standard care for all patients. However, it could be inefficient given patients' heterogeneous responses to treatments, and rapid advances in the molecular understanding of diseases have made biomarker-based clinical trials increasingly popular. We propose a new targeted clinical trial design, termed as Max-Impact design, which selects the appropriate subpopulation for a clinical trial and aims to optimize population impact once the trial is completed. The proposed design not only gains insights on the patients who would be included in the trial but also considers the benefit to the excluded patients. We develop novel algorithms to construct enrollment rules for optimizing population impact, which are fairly general and can be applied to various types of outcomes. Simulation studies and a data example from the SWOG Cancer Research Network demonstrate the competitive performance of our proposed method compared to traditional untargeted and targeted designs., (© 2019 The International Biometric Society.)

Accounting for time-varying confounding when assessing the causal effects of time-varying exposures on survival time is challenging. Standard survival methods that incorporate time-varying confounders as covariates generally yield biased effect estimates. Estimators using weighting by inverse probability of exposure can be unstable when confounders are highly predictive of exposure or the exposure is continuous. Structural nested accelerated failure time models (AFTMs) require artificial recensoring, which can cause estimation difficulties. Here, we introduce the structural nested cumulative survival time model (SNCSTM). This model assumes that intervening to set exposure at time t to zero has an additive effect on the subsequent conditional hazard given exposure and confounder histories when all subsequent exposures have already been set to zero. We show how to fit it using standard software for generalized linear models and describe two more efficient, double robust, closed-form estimators. All three estimators avoid the artificial recensoring of AFTMs and the instability of estimators that use weighting by the inverse probability of exposure. We examine the performance of our estimators using a simulation study and illustrate their use on data from the UK Cystic Fibrosis Registry. The SNCSTM is compared with a recently proposed structural nested cumulative failure time model, and several advantages of the former are identified., (© 2019 The Authors. Biometrics published by Wiley Periodicals, Inc. on behalf of International Biometric Society.)

For ordinal outcomes, the average treatment effect is often ill-defined and hard to interpret. Echoing Agresti and Kateri, we argue that the relative treatment effect can be a useful measure, especially for ordinal outcomes, which is defined as γ = pr { Y i ( 1 ) > Y i ( 0 ) } - pr { Y i ( 1 ) < Y i ( 0 ) } , with Y i ( 1 ) and Y i ( 0 ) being the potential outcomes of unit i under treatment and control, respectively. Given the marginal distributions of the potential outcomes, we derive the sharp bounds on γ , which are identifiable parameters based on the observed data. Agresti and Kateri focused on modeling strategies under the assumption of independent potential outcomes, but we allow for arbitrary dependence., (© 2019 The International Biometric Society.)

Recurrent event data are widely encountered in clinical and observational studies. Most methods for recurrent events treat the outcome as a point process and, as such, neglect any associated event duration. This generally leads to a less informative and potentially biased analysis. We propose a joint model for the recurrent event rate (of incidence) and duration. The two processes are linked through a bivariate normal frailty. For example, when the event is hospitalization, we can treat the time to admission and length-of-stay as two alternating recurrent events. In our method, the regression parameters are estimated through a penalized partial likelihood, and the variance-covariance matrix of the frailty is estimated through a recursive estimating formula. Moreover, we develop a likelihood ratio test to assess the dependence between the incidence and duration processes. Simulation results demonstrate that our method provides accurate parameter estimation, with a relatively fast computation time. We illustrate the methods through an analysis of hospitalizations among end-stage renal disease patients., (© 2019 The International Biometric Society.)

Right-truncated data arise when observations are ascertained retrospectively, and only subjects who experience the event of interest by the time of sampling are selected. Such a selection scheme, without adjustment, leads to biased estimation of covariate effects in the Cox proportional hazards model. The existing methods for fitting the Cox model to right-truncated data, which are based on the maximization of the likelihood or solving estimating equations with respect to both the baseline hazard function and the covariate effects, are numerically challenging. We consider two alternative simple methods based on inverse probability weighting (IPW) estimating equations, which allow consistent estimation of covariate effects under a positivity assumption and avoid estimation of baseline hazards. We discuss problems of identifiability and consistency that arise when positivity does not hold and show that although the partial tests for null effects based on these IPW methods can be used in some settings even in the absence of positivity, they are not valid in general. We propose adjusted estimating equations that incorporate the probability of observation when it is known from external sources, which results in consistent estimation. We compare the methods in simulations and apply them to the analyses of human immunodeficiency virus latency., (© 2019 The International Biometric Society.)

Multiple diagnostic tests are often used due to limited resources or because they provide complementary information on the epidemiology of a disease under investigation. Existing statistical methods to combine prevalence data from multiple diagnostics ignore the potential overdispersion induced by the spatial correlations in the data. To address this issue, we develop a geostatistical framework that allows for joint modelling of data from multiple diagnostics by considering two main classes of inferential problems: (a) to predict prevalence for a gold-standard diagnostic using low-cost and potentially biased alternative tests; (b) to carry out joint prediction of prevalence from multiple tests. We apply the proposed framework to two case studies: mapping Loa loa prevalence in Central and West Africa, using miscroscopy, and a questionnaire-based test called RAPLOA; mapping Plasmodium falciparum malaria prevalence in the highlands of Western Kenya using polymerase chain reaction and a rapid diagnostic test. We also develop a Monte Carlo procedure based on the variogram in order to identify parsimonious geostatistical models that are compatible with the data. Our study highlights (a) the importance of accounting for diagnostic-specific residual spatial variation and (b) the benefits accrued from joint geostatistical modelling so as to deliver more reliable and precise inferences on disease prevalence., (© 2019 The International Biometric Society.)

When performing spatial regression analysis in environmental data applications, spatial heterogeneity in the regression coefficients is often observed. Spatially varying coefficient models, including geographically weighted regression and spline models, are standard tools for quantifying such heterogeneity. In this paper, we propose a spatially varying coefficient model that represents the spatially varying parameters as a mixture of local polynomials at selected locations. The local polynomial parameters have attractive interpretations, indicating various types of spatial heterogeneity. Instead of estimating the spatially varying regression coefficients directly, we develop a penalized least squares regression procedure for the local polynomial parameter estimation, which both shrinks the parameter estimation and penalizes the differences among parameters that are associated with neighboring locations. We develop confidence intervals for the varying regression coefficients and prediction intervals for the response. We apply the proposed method to characterize the spatially varying association between particulate matter concentrations ( PM 2.5 ) and pollutant gases related to the secondary aerosol formulation in China. The identified regression coefficients show distinct spatial patterns for nitrogen dioxide, sulfur dioxide, and carbon monoxide during different seasons., (© 2019 The International Biometric Society.)

The fraction who benefit from treatment is the proportion of patients whose potential outcome under treatment is better than that under control. Inference on this parameter is challenging since it is only partially identifiable, even in our context of a randomized trial. We propose a new method for constructing a confidence interval for the fraction, when the outcome is ordinal or binary. Our confidence interval procedure is pointwise consistent. It does not require any assumptions about the joint distribution of the potential outcomes, although it has the flexibility to incorporate various user-defined assumptions. Our method is based on a stochastic optimization technique involving a second-order, asymptotic approximation that, to the best of our knowledge, has not been applied to biomedical studies. This approximation leads to statistics that are solutions to quadratic programs, which can be computed efficiently using optimization tools. In simulation, our method attains the nominal coverage probability or higher, and can have narrower average width than competitor methods. We apply it to a trial of a new intervention for stroke., (© 2019 The International Biometric Society.)

Within the framework of Fisher's discriminant analysis, we propose a multiclass classification method which embeds variable screening for ultrahigh-dimensional predictors. Leveraging interfeature correlations, we show that the proposed linear classifier recovers informative features with probability tending to one and can asymptotically achieve a zero misclassification rate. We evaluate the finite sample performance of the method via extensive simulations and use this method to classify posttransplantation rejection types based on patients' gene expressions., (© 2019 The International Biometric Society.)

It is known that the one-sided Simes' test controls the error rate if the underlying distribution is multivariate totally positive of order 2 (MTP2), but not in general. The two-sided test also controls the error rate when the coordinate absolute value has an MTP2 distribution, which holds more generally. We prove mathematically that when the coordinate absolute value controls the error rate at level 2α, then certain kinds of truncated Simes' tests also control the one-sided error rate at level α. We also compare the closure of the truncated tests with the Holms, Hochberg, and Hommel procedures in many scenarios when the test statistics are multivariate normal., (© 2019 The International Biometric Society.)

We describe an exact, unconditional, non-randomized procedure for producing confidence intervals for the grand mean in a normal-normal random effects meta-analysis. The procedure targets meta-analyses based on too few primary studies, ≤ 7 , say, to allow for the conventional asymptotic estimators, e.g., DerSimonian and Laird (1986), or non-parametric resampling-based procedures, e.g., Liu et al. (2017). Meta-analyses with such few studies are common, with one recent sample of 22,453 heath-related meta-analyses finding a median of 3 primary studies per meta-analysis (Davey et al., 2011). Reliable and efficient inference procedures are therefore needed to address this setting. The coverage level of the resulting CI is guaranteed to be above the nominal level, up to Monte Carlo error, provided the meta-analysis contains more than 1 study and the model assumptions are met. After employing several techniques to accelerate computation, the new CI can be easily constructed on a personal computer. Simulations suggest that the proposed CI typically is not overly conservative. We illustrate the approach on several contrasting examples of meta-analyses investigating the effect of calcium intake on bone mineral density., (© 2019 International Biometric Society.)

In biomedical studies involving survival data, the observation of failure times is sometimes accompanied by a variable which describes the type of failure event (Kalbeisch and Prentice, 2002). This paper considers two specific challenges which are encountered in the joint analysis of failure time and failure type. First, because the observation of failure times is subject to left truncation, the sampling bias extends to the failure type which is associated with the failure time. An analytical challenge is to deal with such sampling bias. Second, in case that the joint distribution of failure time and failure type is allowed to have a temporal trend, it is of interest to estimate the joint distribution of failure time and failure type nonparametrically. This paper develops statistical approaches to address these two analytical challenges on the basis of prevalent survival data. The proposed approaches are examined through simulation studies and illustrated by using a real data set., (© 2019 International Biometric Society.)

Lan and DeMets (1983) proposed the alpha spending function for group sequential trials to permit the use of unspecified frequencies and timings of interim analyses in the trial design. Regarding a trial with censored time to endpoint, Lan and DeMets (1989) later defined information time at an interim analysis in a maximum duration trial. To compare two survival curves utilizing such a design, information times for group sequential logrank and Wilcoxon-type statistics have been developed by assuming that the survival time follows an exponential distribution or a Weibull distribution without considering the censoring distribution. To better address the practical concerns inherent in clinical trials with survival endpoints, we present a new approach to adequately design a group sequential trial using the Harrington-Fleming (1982) test based on our proposed information fractions by assuming the censoring distribution depends on the patient's accrual time according to various entry distributions and by extending the underlying survival distribution to the generalized gamma distribution. We also determine associated sample sizes, expected number of events and expected stopping time. Two phase III trials of non-small-cell lung cancer originally designed using fixed-sample tests are utilized to illustrate the potential advantages of using a group sequential design with the proposed approach. This enhanced method facilitates the design and analysis of group sequential clinical trials studying survival endpoints by increasing implemental flexibility., (© 2018, The International Biometric Society.)

Kong et al. (2016, Biometrics 72, 364-371) presented a quantile regression kernel machine (QRKM) test for robust analysis of genetic marker-set association studies. A potential limitation of QRKM is the permutation-based test design may be unscalable for the massive sizes of modern datasets. In this article, we present an alternative strategy for p-value calculation of QRKM, which is capable of speeding up the QRKM testing procedure dramatically while maintaining the same testing performance as QRKM. The effectiveness of our approach is demonstrated via simulation studies., (© 2017, The International Biometric Society.)

The LASSO method estimates coefficients by minimizing the residual sum of squares plus a penalty term. The regularization parameter λ in LASSO controls the trade-off between data fitting and sparsity. We derive relationship between λ and the false discovery proportion (FDP) of LASSO estimator and show how to select λ so as to achieve a desired FDP. Our estimation is based on the asymptotic distribution of LASSO estimator in the limit of both sample size and dimension going to infinity with fixed ratio. We use a factor analysis model to describe the dependence structure of the design matrix. An efficient majorization-minimization based algorithm is developed to estimate the FDP at fixed value of λ. The analytic results are compared with those of numerical simulations on finite-size systems and are confirmed to be correct. An application to the high-throughput genomic riboavin data set also demonstrates the usefulness of our method., (© 2017, The International Biometric Society.)

The use of instrumental variables for estimating the effect of an exposure on an outcome is popular in econometrics, and increasingly so in epidemiology. This increasing popularity may be attributed to the natural occurrence of instrumental variables in observational studies that incorporate elements of randomization, either by design or by nature (e.g., random inheritance of genes). Instrumental variables estimation of exposure effects is well established for continuous outcomes and to some extent for binary outcomes. It is, however, largely lacking for time-to-event outcomes because of complications due to censoring and survivorship bias. In this article, we make a novel proposal under a class of structural cumulative survival models which parameterize time-varying effects of a point exposure directly on the scale of the survival function; these models are essentially equivalent with a semi-parametric variant of the instrumental variables additive hazards model. We propose a class of recursive instrumental variable estimators for these exposure effects, and derive their large sample properties along with inferential tools. We examine the performance of the proposed method in simulation studies and illustrate it in a Mendelian randomization study to evaluate the effect of diabetes on mortality using data from the Health and Retirement Study. We further use the proposed method to investigate potential benefit from breast cancer screening on subsequent breast cancer mortality based on the HIP-study., (© 2017, The International Biometric Society.)

Many statistical methods have recently been developed for identifying subgroups of patients who may benefit from different available treatments. Compared with the traditional outcome-modeling approaches, these methods focus on modeling interactions between the treatments and covariates while by-pass or minimize modeling the main effects of covariates because the subgroup identification only depends on the sign of the interaction. However, these methods are scattered and often narrow in scope. In this article, we propose a general framework, by weighting and A-learning, for subgroup identification in both randomized clinical trials and observational studies. Our framework involves minimum modeling for the relationship between the outcome and covariates pertinent to the subgroup identification. Under the proposed framework, we may also estimate the magnitude of the interaction, which leads to the construction of scoring system measuring the individualized treatment effect. The proposed methods are quite flexible and include many recently proposed estimators as special cases. As a result, some estimators originally proposed for randomized clinical trials can be extended to observational studies, and procedures based on the weighting method can be converted to an A-learning method and vice versa. Our approaches also allow straightforward incorporation of regularization methods for high-dimensional data, as well as possible efficiency augmentation and generalization to multiple treatments. We examine the empirical performance of several procedures belonging to the proposed framework through extensive numerical studies., (© 2017, The International Biometric Society.)

Methodological advancements, including propensity score methods, have resulted in improved unbiased estimation of treatment effects from observational data. Traditionally, a "throw in the kitchen sink" approach has been used to select covariates for inclusion into the propensity score, but recent work shows including unnecessary covariates can impact both the bias and statistical efficiency of propensity score estimators. In particular, the inclusion of covariates that impact exposure but not the outcome, can inflate standard errors without improving bias, while the inclusion of covariates associated with the outcome but unrelated to exposure can improve precision. We propose the outcome-adaptive lasso for selecting appropriate covariates for inclusion in propensity score models to account for confounding bias and maintaining statistical efficiency. This proposed approach can perform variable selection in the presence of a large number of spurious covariates, that is, covariates unrelated to outcome or exposure. We present theoretical and simulation results indicating that the outcome-adaptive lasso selects the propensity score model that includes all true confounders and predictors of outcome, while excluding other covariates. We illustrate covariate selection using the outcome-adaptive lasso, including comparison to alternative approaches, using simulated data and in a survey of patients using opioid therapy to manage chronic pain., (© 2017, The International Biometric Society.)

Recurrent events together with longitudinal measurements are commonly observed in follow-up studies where the observation is terminated by censoring or a primary failure event. In this article, we developed a joint model where the dependence of longitudinal measurements, recurrent event process and time to failure event is modeled through rescaling the time index. The general idea is that the trajectories of all biology processes of subjects in the survivors' population are elongated or shortened by the rate identified from a model for the failure event. To avoid making disputing assumptions on recurrent events or biomarkers after the failure event (such as death), the model is constructed on the basis of survivors' population. The model also possesses a specific feature that, by aligning failure events as time origins, the backward-in-time model of recurrent events and longitudinal measurements shares the same parameter values with the forward time model. The statistical properties, simulation studies and real data examples are conducted. The proposed method can be generalized to analyze left-truncated data., (© 2017, The International Biometric Society.)

Partly interval-censored (PIC) data arise when some failure times are exactly observed while others are only known to lie within certain intervals. In this article, we consider efficient semiparametric estimation of the accelerated failure time (AFT) model with PIC data. We first generalize the Buckley-James estimator for right-censored data to PIC data. Then, we develop a one-step estimator by deriving and estimating the efficient score for the regression parameters. We show that under mild regularity conditions the generalized Buckley-James estimator is consistent and asymptotically normal and the one-step estimator is consistent and asymptotically normal with a covariance matrix that attains the semiparametric efficiency bound. We conduct extensive simulation studies to examine the performance of the proposed estimators in finite samples and apply our methods to data derived from an AIDS study., (© 2017, The International Biometric Society.)

Applications of spatial point processes for large and complex data sets with inhomogeneities as encountered, example, in tropical rain forest ecology call for estimation methods that are both statistically and computationally efficient. We propose a novel second-order quasi-likelihood procedure to estimate the parameters for a second-order intensity reweighted stationary spatial point process. Our approach is to derive first- and second-order estimating functions and then combine them linearly using appropriate weight functions. In the stationary case, we argue that the asymptotically optimal weight functions are respectively a constant and a function of lags between distinct locations in the observation window. This leads to a considerable gain in computational efficiency. We further exploit this simplification in the nonstationary case. Simulations show that, when compared with several existing approaches, our method can achieve significant gains in statistical efficiency. An application to a tropical rain forest data set further illustrates the advantages of our procedure., (© 2017, The International Biometric Society.)

Pearson's chi-square test has been widely used in testing for association between two categorical responses. Spearman rank correlation and Kendall's tau are often used for measuring and testing association between two continuous or ordered categorical responses. However, the established statistical properties of these tests are only valid when each pair of responses are independent, where each sampling unit has only one pair of responses. When each sampling unit consists of a cluster of paired responses, the assumption of independent pairs is violated. In this article, we apply the within-cluster resampling technique to U-statistics to form new tests and rank-based correlation estimators for possibly tied clustered data. We develop large sample properties of the new proposed tests and estimators and evaluate their performance by simulations. The proposed methods are applied to a data set collected from a PET/CT imaging study for illustration., (Published 2017. This article is a U.S. Government work and is in the public domain in the USA.)

In a sensitivity analysis in an observational study with a binary outcome, is it better to use all of the data or to focus on subgroups that are expected to experience the largest treatment effects? The answer depends on features of the data that may be difficult to anticipate, a trade-off between unknown effect-sizes and known sample sizes. We propose a sensitivity analysis for an adaptive test similar to the Mantel-Haenszel test. The adaptive test performs two highly correlated analyses, one focused analysis using a subgroup, one combined analysis using all of the data, correcting for multiple testing using the joint distribution of the two test statistics. Because the two component tests are highly correlated, this correction for multiple testing is small compared with, for instance, the Bonferroni inequality. The test has the maximum design sensitivity of two component tests. A simulation evaluates the power of a sensitivity analysis using the adaptive test. Two examples are presented. An R package, sensitivity2x2xk, implements the procedure., (© 2016, The International Biometric Society.)

Genetic risk prediction is an important component of individualized medicine, but prediction accuracies remain low for many complex diseases. A fundamental limitation is the sample sizes of the studies on which the prediction algorithms are trained. One way to increase the effective sample size is to integrate information from previously existing studies. However, it can be difficult to find existing data that examine the target disease of interest, especially if that disease is rare or poorly studied. Furthermore, individual-level genotype data from these auxiliary studies are typically difficult to obtain. This article proposes a new approach to integrative genetic risk prediction of complex diseases with binary phenotypes. It accommodates possible heterogeneity in the genetic etiologies of the target and auxiliary diseases using a tuning parameter-free non-parametric empirical Bayes procedure, and can be trained using only auxiliary summary statistics. Simulation studies show that the proposed method can provide superior predictive accuracy relative to non-integrative as well as integrative classifiers. The method is applied to a recent study of pediatric autoimmune diseases, where it substantially reduces prediction error for certain target/auxiliary disease combinations. The proposed method is implemented in the R package ssa., (© 2016, The International Biometric Society.)

In many scientific and engineering fields, advanced experimental and computing technologies are producing data that are not just high dimensional, but also internally structured. For instance, statistical units may have heterogeneous origins from distinct studies or subpopulations, and features may be naturally partitioned based on experimental platforms generating them, or on information available about their roles in a given phenomenon. In a regression analysis, exploiting this known structure in the predictor dimension reduction stage that precedes modeling can be an effective way to integrate diverse data. To pursue this, we propose a novel Sufficient Dimension Reduction (SDR) approach that we call structured Ordinary Least Squares (sOLS). This combines ideas from existing SDR literature to merge reductions performed within groups of samples and/or predictors. In particular, it leads to a version of OLS for grouped predictors that requires far less computation than recently proposed groupwise SDR procedures, and provides an informal yet effective variable selection tool in these settings. We demonstrate the performance of sOLS by simulation and present a first application to genomic data. The R package "sSDR," publicly available on CRAN, includes all procedures necessary to implement the sOLS approach., (© 2016, The International Biometric Society.)

The Wilcoxon rank-sum test is a popular nonparametric test for comparing two independent populations (groups). In recent years, there have been renewed attempts in extending the Wilcoxon rank sum test for clustered data, one of which (Datta and Satten, 2005, Journal of the American Statistical Association 100, 908-915) addresses the issue of informative cluster size, i.e., when the outcomes and the cluster size are correlated. We are faced with a situation where the group specific marginal distribution in a cluster depends on the number of observations in that group (i.e., the intra-cluster group size). We develop a novel extension of the rank-sum test for handling this situation. We compare the performance of our test with the Datta-Satten test, as well as the naive Wilcoxon rank sum test. Using a naturally occurring simulation model of informative intra-cluster group size, we show that only our test maintains the correct size. We also compare our test with a classical signed rank test based on averages of the outcome values in each group paired by the cluster membership. While this test maintains the size, it has lower power than our test. Extensions to multiple group comparisons and the case of clusters not having samples from all groups are also discussed. We apply our test to determine whether there are differences in the attachment loss between the upper and lower teeth and between mesial and buccal sites of periodontal patients., (© 2015, The International Biometric Society.)

In the classic discriminant model of two multivariate normal distributions with equal variance matrices, the linear discriminant function is optimal both in terms of the log likelihood ratio and in terms of maximizing the standardized difference (the t-statistic) between the means of the two distributions. In a typical case-control study, normality may be sensible for the control sample but heterogeneity and uncertainty in diagnosis may suggest that a more flexible model is needed for the cases. We generalize the t-statistic approach by finding the linear function which maximizes a standardized difference but with data from one of the groups (the cases) filtered by a possibly nonlinear function U. We study conditions for consistency of the method and find the function U which is optimal in the sense of asymptotic efficiency. Optimality may also extend to other measures of discriminatory efficiency such as the area under the receiver operating characteristic curve. The optimal function U depends on a scalar probability density function which can be estimated non-parametrically using a standard numerical algorithm. A lasso-like version for variable selection is implemented by adding L1-regularization to the generalized t-statistic. Two microarray data sets in the study of asthma and various cancers are used as motivating examples., (© 2014, The International Biometric Society.)