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Model-robust standardization in stepped wedge cluster randomized trials

阶梯楔形集群随机试验中的模型稳健标准化

Stepped-wedge cluster-randomized trials (SW-CRTs) are widely used in healthcare and implementation science, enabling all clusters to receive the intervention through a staggered rollout. Traditional model-based methods, including generalized estimating equations and mixed models, yield estimates that depend on implicit weighting schemes and parametric assumptions, and therefore may target ambiguous estimands under model misspecification. In this article, we propose a…

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Asymptotic inference with flexible covariate adjustment under rerandomization and stratified rerandomization

再随机化与分层再随机化下灵活协变量调整的渐近推断

Rerandomization is an effective treatment allocation procedure to control for baseline covariate imbalance. For estimating the average treatment effect, rerandomization has been previously shown to improve the precision of the unadjusted and the linearly-adjusted estimators over simple randomization without compromising consistency. However, it remains unclear whether such results apply more generally to the class of M-estimators, including the g-computation formula with…

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Optimizing precision in stepped-wedge designs via machine learning and quadratic inference functions

通过机器学习与二次推断函数优化阶梯楔形设计的估计精度

Stepped-wedge designs are increasingly used in randomized experiments to accommodate logistical and ethical constraints by staggering treatment roll-out over time. Despite their popularity, existing analytical methods largely rely on parametric models with linear covariate adjustment and prespecified correlation structures, which may limit achievable precision in practice. We propose a new class of estimators for the causal average treatment effect in stepped-wedge designs…

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Doubly robust estimators of the restricted mean time in favor estimands in individual- and cluster-randomized trials

个体与整群随机试验中治疗占优限制平均时间的双重稳健估计

Progressive multi-state survival outcomes are common in trials with recurrent or sequential events and require treatment effect estimands that remain interpretable without proportional intensity or Markov assumptions. The restricted mean time in favor of treatment (RMT-IF) extends the restricted mean survival time to ordered multi-state processes and provides such an interpretable estimand. However, existing RMT-IF methods are nonparametric, assume covariate-independent…

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Handling incomplete outcomes and covariates in cluster-randomized trials: doubly-robust estimation, efficiency considerations, and sensitivity analysis

整群随机试验中不完整结果与协变量的处理

In cluster-randomized trials (CRTs), missing data can occur in various ways, including missing values in outcomes and baseline covariates at the individual or cluster level, or completely missing information for non-participants. Among the various types of missing data in CRTs, missing outcomes have attracted the most attention. However, no existing methods simultaneously address all aforementioned types of missing data in CRTs. To fill in this gap, we propose a…

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Estimands and doubly robust estimation for cluster-randomized trials with survival outcomes

生存结局聚类随机试验的目标参数与双重稳健估计

Cluster-randomized trials (CRTs) are experimental designs where groups or clusters of participants, rather than the individual participants themselves, are randomized to intervention groups. Analyzing CRT requires distinguishing between treatment effects at the cluster level and the individual level, which requires a clear definition of the estimands under the potential outcomes framework. For analyzing survival outcomes, it is common to assess the treatment effect by…

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Model-robust standardization in cluster-randomized trials

整群随机试验中的模型稳健标准化

In cluster-randomized trials, generalized linear mixed models and generalized estimating equations have conventionally been the default analytic methods for estimating the average treatment effect as routine practice. However, recent studies have demonstrated that their treatment effect coefficient estimators may correspond to ambiguous estimands when the models are misspecified or when there exists informative cluster sizes. In this article, we present a unified approach…

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Test-negative designs with various reasons for testing: statistical bias and solution

多种检测原因下的检测阴性设计:统计偏差与解决方法

Test-negative designs are widely used for post-market evaluation of vaccine effectiveness, particularly in cases when randomized trials are not feasible. Differing from classical test-negative designs where only healthcare-seekers with symptoms are included, recent test-negative designs have involved individuals with various reasons for testing, especially in an outbreak setting. While including these data can increase sample size and hence improve precision, concerns have…

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A Differential Effect Approach to Partial Identification of Treatment Effects

用差异效应部分识别处理效应

We consider identification and inference for the average treatment effect and heterogeneous treatment effect conditional on observable covariates in the presence of unmeasured confounding. Since point identification of these treatment effects is not achievable without strong assumptions, we obtain bounds on these treatment effects by leveraging differential effects, a tool that allows for using a second treatment to learn the effect of the first treatment. The differential…

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Conformal causal inference for cluster randomized trials: model-robust inference without asymptotic approximations

整群随机试验的共形因果推断:无需渐近近似的模型稳健方法

Traditional statistical inference in cluster randomized trials typically invokes the asymptotic theory that requires the number of clusters to approach infinity. In this article, we propose an alternative conformal causal inference framework for analyzing cluster randomized trials that achieves the target inferential goal in finite samples without the need for asymptotic approximations. Different from traditional inference focusing on estimating the average treatment effect,…

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How to achieve model-robust inference in stepped wedge trials with model-based methods?

如何用模型方法实现阶梯楔形试验的模型稳健推断?

A stepped wedge design is a unidirectional crossover design where clusters are randomized to distinct treatment sequences. While model-based analysis of stepped wedge designs is standard practice to evaluate treatment effects accounting for clustering and adjusting for covariates, their properties under misspecification have not been systematically explored. In this article, we focus on model-based methods, including linear mixed models and generalized estimating equations…

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On the mixed-model analysis of covariance in cluster-randomized trials

整群随机试验中的混合模型协方差分析

In the analyses of cluster-randomized trials, mixed-model analysis of covariance (ANCOVA) is a standard approach for covariate adjustment and handling within-cluster correlations. However, when the normality, linearity, or the random-intercept assumption is violated, the validity and efficiency of the mixed-model ANCOVA estimators for estimating the average treatment effect remain unclear. Under the potential outcomes framework, we prove that the mixed-model ANCOVA…

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Improving the mixed model for repeated measures to robustly increase precision in randomized trials

改进重复测量混合模型以稳健提高随机试验精度

In randomized trials, repeated measures of the outcome are routinely collected. The mixed model for repeated measures (MMRM) leverages the information from these repeated outcome measures, and is often used for the primary analysis to estimate the average treatment effect at the primary endpoint. MMRM, however, can suffer from bias and precision loss when it models intermediate outcomes incorrectly, and hence fails to use the post-randomization information harmlessly. This…

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Model-robust and efficient covariate adjustment for cluster-randomized experiments

整群随机实验中模型稳健且高效的协变量调整

Cluster-randomized experiments are increasingly used to evaluate interventions in routine practice conditions, and researchers often adopt model-based methods with covariate adjustment in the statistical analyses. However, the validity of model-based covariate adjustment is unclear when the working models are misspecified, leading to ambiguity of estimands and risk of bias. In this article, we first adapt two conventional model-based methods, generalized estimating equations…

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