Semiparametric estimation of marginal hazard function from case-control family studies

Estimating marginal hazard function from the correlated failure time data arising from case-control family studies is complicated by noncohort study design and risk heterogeneity due to unmeasured, shared risk factors among the family members. Accounting for both factors in this article, we propose a two-stage estimation procedure. At the first stage, we estimate the dependence parameter in the distribution for the risk heterogeneity without obtaining the marginal distribution first or simultaneously. Assuming that the dependence parameter is known, at the second stage we estimate the marginal hazard function by iterating between estimation of the risk heterogeneity (frailty) for each family and maximization of the partial likelihood function with an offset to account for the risk heterogeneity. We also propose an iterative procedure to improve the efficiency of the dependence parameter estimate. The simulation study shows that both methods perform well under finite sample sizes. We illustrate the method with a case-control family study of early onset breast cancer.     

Interval estimation of the attributable risk for multiple exposure levels in case-control studies

In case-control studies, exposure to a risk factor often occurs at several levels, so the attributable risk at each level is of interest. In this paper, estimation for the 2 X 2 table (case-control status versus dichotomous exposure) and the 2 X k table (case-control status versus exposure at several levels) are reviewed along with an example. A method for finding confidence intervals for attributable risk in the 2 X k table is proposed, and its application to estimates adjusted across strata (the 2 X k X s case) is indicated. The results of a Monte Carlo study of the procedure demonstrate that the nominal and actual coverage probabilities agree satisfactorily for practical applications.     

Bayesian inference on protective antibody levels using case-control data

In the study of immune responses to infectious pathogens, the minimum protective antibody concentration (MPAC) is a quantity of great interest. We use case-control data to estimate the posterior distribution of the conditional risk of disease given a lower bound on antibody concentration in an at-risk subject. The concentration bound beyond which there is high credibility that infection risk is zero or nearly so is a candidate for the MPAC. A very simple Gibbs sampling procedure that permits inference on the risk of disease given antibody level is presented. In problems involving small numbers of patients, the procedure is shown to have favorable accuracy and robustness to choice/misspecification of priors. Frequentist evaluation indicates good coverage probabilities of credibility intervals for antibody-dependent risk, and rules for estimation of the MPAC are illustrated with epidemiological data.     

Extended Mantel-Haenszel estimating procedure for multivariate logistic regression models

A class of estimating functions is proposed for the estimation of multivariate relative risk in stratified case-control studies. It reduces to the well-known Mantel-Haenszel estimator when there is a single binary risk factor. Large-sample properties of the solutions to the proposed estimating equations are established for two distinct situations. Efficiency calculations suggest that the proposed estimators are nearly fully efficient relative to the conditional maximum likelihood estimator for the parameters considered. Application of the proposed method to family data and longitudinal data, where the conditional likelihood approach fails, is discussed. Two examples from case-control studies and one example from a study on familial aggregation are presented.     

Cohort case-control design and analysis for clustered failure-time data

Cohort case-control design is an efficient and economical design to study risk factors for disease incidence or mortality in a large cohort. In the last few decades, a variety of cohort case-control designs have been developed and theoretically justified. These designs have been exclusively applied to the analysis of univariate failure-time data. In this work, a cohort case-control design adapted to multivariate failure-time data is developed. A risk set sampling method is proposed to sample controls from nonfailures in a large cohort for each case matched by failure time. This method leads to a pseudolikelihood approach for the estimation of regression parameters in the marginal proportional hazards model (Cox, 1972, Journal of the Royal Statistical Society, Series B 34, 187-220), where the correlation structure between individuals within a cluster is left unspecified. The performance of the proposed estimator is demonstrated by simulation studies. A bootstrap method is proposed for inferential purposes. This methodology is illustrated by a data example from a child vitamin A supplementation trial in Nepal (Nepal Nutrition Intervention Project-Sarlahi, or NNIPS).     

Semiparametric maximum likelihood methods for analyzing genetic and environmental effects with case-control mother-child pair data

Summary Case-control mother-child pair design represents a unique advantage for dissecting genetic susceptibility of complex traits because it allows the assessment of both maternal and offspring genetic compositions. This design has been widely adopted in studies of obstetric complications and neonatal outcomes. In this work, we developed an efficient statistical method for evaluating joint genetic and environmental effects on a binary phenotype. Using a logistic regression model to describe the relationship between the phenotype and maternal and offspring genetic and environmental risk factors, we developed a semiparametric maximum likelihood method for the estimation of odds ratio association parameters. Our method is novel because it exploits two unique features of the study data for the parameter estimation. First, the correlation between maternal and offspring SNP genotypes can be specified under the assumptions of random mating, Hardy-Weinberg equilibrium, and Mendelian inheritance. Second, environmental exposures are often not affected by offspring genes conditional on maternal genes. Our method yields more efficient estimates compared with the standard prospective method for fitting logistic regression models to case-control data. We demonstrated the performance of our method through extensive simulation studies and the analysis of data from the Jerusalem Perinatal Study.     

Two-phase sampling for simultaneous prevalence estimation and case detection

Two-phase designs for estimation of prevalence, where the first-phase classification is fallible and the second is accurate but relatively expensive, are not necessarily justified on efficiency grounds. However, they might be advantageous for dual-purpose studies, for example where prevalence estimation is followed by a clinical trial or case-control study, if they can identify cases of disease for the second study in a cost-effective way. Alternatively, they may be justified on ethical grounds if they can identify more, previously undetected but treatable cases of disease, than a simple random sample design. An approach to sampling is proposed, which formally combines the goals of efficient prevalence estimation and case detection by setting different notional study costs for investigating cases and noncases. Two variants of the method are compared with an "ethical" two-phase scheme proposed by Shrout and Newman (1989, Biometrics 45, 549-555), and with the most efficient scheme for prevalence estimation alone, in terms of the standard error of the prevalence estimate, the expected number of cases, and the fraction of cases among second-phase subjects, given a fixed budget. One variant yields the highest fraction and expected number of cases but also the largest standard errors. The other yields a higher fraction than Shrout and Newman's scheme and a similar number of cases but appears to do so more efficiently.     

Aspects of the design and analysis of high-dimensional SNP studies for disease risk estimation

The state of readiness for high-dimensional single nucleotide polymorphism (SNP) epidemiologic association studies is described, as background for a discussion of statistical aspects of case-control study design and analysis. Specifically, the important role that multistage designs can play in the elimination of false-positive associations and in the control of study costs will be noted. Also, the trade-offs associated with using pooled DNA at early design stages for additional important cost reductions will be discussed in some detail. An odds ratio approach to relating SNP alleles to disease risk using pooled DNA will be proposed, in conjunction with a simple empirical variance estimator, based on comparisons among log-odds ratio estimators from distinct pairs of case and control pools. Simulation studies will be presented to evaluate the moderate sample size properties of such multistage designs and estimation procedures. The design of an ongoing three-stage study in the Women's Health Initiative to relate 250,000 SNPs to the risk of coronary heart disease, stroke, and breast cancer will provide illustration, and will be used to motivate the choice of simulation configurations.     

A Bayesian semiparametric approach for incorporating longitudinal information on exposure history for inference in case-control studies

In a typical case-control study, exposure information is collected at a single time point for the cases and controls. However, case-control studies are often embedded in existing cohort studies containing a wealth of longitudinal exposure history about the participants. Recent medical studies have indicated that incorporating past exposure history, or a constructed summary measure of cumulative exposure derived from the past exposure history, when available, may lead to more precise and clinically meaningful estimates of the disease risk. In this article, we propose a flexible Bayesian semiparametric approach to model the longitudinal exposure profiles of the cases and controls and then use measures of cumulative exposure based on a weighted integral of this trajectory in the final disease risk model. The estimation is done via a joint likelihood. In the construction of the cumulative exposure summary, we introduce an influence function, a smooth function of time to characterize the association pattern of the exposure profile on the disease status with different time windows potentially having differential influence/weights. This enables us to analyze how the present disease status of a subject is influenced by his/her past exposure history conditional on the current ones. The joint likelihood formulation allows us to properly account for uncertainties associated with both stages of the estimation process in an integrated manner. Analysis is carried out in a hierarchical Bayesian framework using reversible jump Markov chain Monte Carlo algorithms. The proposed methodology is motivated by, and applied to a case-control study of prostate cancer where longitudinal biomarker information is available for the cases and controls.     

Standard errors for attributable risk for simple and complex sample designs

Adjusted attributable risk (AR) is the proportion of diseased individuals in a population that is due to an exposure. We consider estimates of adjusted AR based on odds ratios from logistic regression to adjust for confounding. Influence function methods used in survey sampling are applied to obtain simple and easily programmable expressions for estimating the variance of AR. These variance estimators can be applied to data from case-control, cross-sectional, and cohort studies with or without frequency or individual matching and for sample designs with subject samples that range from simple random samples to (sample) weighted multistage stratified cluster samples like those used in national household surveys. The variance estimation of AR is illustrated with: (i) a weighted stratified multistage clustered cross-sectional study of childhood asthma from the Third National Health and Examination Survey (NHANES III), and (ii) a frequency-matched case-control study of melanoma skin cancer.     

Sample Size Determination for Designing a Strata-Matched Case-Control Study to Detect Multiple Risk Factors

Investigations of sample size for planning case-control studies have usually been limited to detecting a single factor. In this paper, we investigate sample size for multiple risk factors in strata-matched case-control studies. We construct an omnibus statistic for testing M different risk factors based on the jointly sufficient statistics of parameters associated with the risk factors. The statistic is non-iterative, and it reduces to the Cochran statistic when M = 1. The asymptotic power function of the test is a non-central chi-square with M degrees of freedom and the sample size required for a specific power can be obtained by the inverse relationship. We find that the equal sample allocation is optimum. A Monte Carlo experiment demonstrates that an approximate formula for calculating sample size is satisfactory in typical epidemiologic studies. An approximate sample size obtained using Bonferroni's method for multiple comparisons is much larger than that obtained using the omnibus test. Approximate sample size formulas investigated in this paper using the omnibus test, as well as the individual tests, can be useful in designing case-control studies for detecting multiple risk factors.     

On a supplemented case-control design

The supplemented case-control design consists of a case-control sample and of an additional sample of disease-free subjects who arise from a given stratum of one of the measured exposures in the case-control study. The supplemental data might, for example, arise from a population survey conducted independently of the case-control study. This design improves precision of estimates of main effects and especially of joint exposures, particularly when joint exposures are uncommon and the prevalence of one of the exposures is low. We first present a pseudo-likelihood estimator (PLE) that is easy to compute. We further adapt two-phase design methods to find maximum likelihood estimates (MLEs) for the log odds ratios for this design and derive asymptotic variance estimators that appropriately account for the differences in sampling schemes of this design from that of the traditional two-phase design. As an illustration of our design we present a study that was conducted to assess the influence to joint exposure of hepatitis-B virus (HBV) and hepatitis-C virus (HCV) infection on the risk of hepatocellular carcinoma in data from Qidong County, Jiangsu Province, China.     

A Regression-Based Method for Estimating Risks and Relative Risks in Case-Base Studies

Both the absolute risk and the relative risk (RR) have a crucial role to play in epidemiology. RR is often approximated by odds ratio (OR) under the rare-disease assumption in conventional case-control study; however, such a study design does not provide an estimate for absolute risk. The case-base study is an alternative approach which readily produces RR estimation without resorting to the rare-disease assumption. However, previous researchers only considered one single dichotomous exposure and did not elaborate how absolute risks can be estimated in a case-base study. In this paper, the authors propose a logistic model for the case-base study. The model is flexible enough to admit multiple exposures in any measurement scale—binary, categorical or continuous. It can be easily fitted using common statistical packages. With one additional step of simple calculations of the model parameters, one readily obtains relative and absolute risk estimates as well as their confidence intervals. Monte-Carlo simulations show that the proposed method can produce unbiased estimates and adequate-coverage confidence intervals, for ORs, RRs and absolute risks. The case-base study with all its desirable properties and its methods of analysis fully developed in this paper may become a mainstay in epidemiology.     

Use of external rates in nested case-control studies with application to the international radiation study of cervical cancer patients.

A method is proposed for analysis of nested case-control studies that combines the matched comparison of covariate values between cases and controls and a comparison of the observed numbers of cases in the nesting cohort with expected numbers based on external rates and average relative risks estimated from the controls. The former comparison is based on the conditional likelihood for matched case-control studies and the latter on the unconditional likelihood for Poisson regression. It is shown that the two likelihoods are orthogonal and that their product is an estimator of the full survival likelihood that would have been obtained on the total cohort, had complete covariate data been available. Parameter estimation and significance tests follow in the usual way by maximizing this product likelihood. The method is illustrated using data on leukemia following irradiation for cervical cancer. In this study, the original cohort study showed a clear excess of leukemia in the first 15 years after exposure, but it was not feasible to obtain dose estimates on the entire cohort. However, the subsequent nested case-control study failed to demonstrate significant differences between alternative dose-response relations and effects of time-related modifiers. The combined analysis allows much clearer discrimination between alternative dose-time-response models.     

Inference on haplotype effects in case-control studies using unphased genotype data

A variety of statistical methods exist for detecting haplotype-disease association through use of genetic data from a case-control study. Since such data often consist of unphased genotypes (resulting in haplotype ambiguity), such statistical methods typically apply the expectation-maximization (EM) algorithm for inference. However, the majority of these methods fail to perform inference on the effect of particular haplotypes or haplotype features on disease risk. Since such inference is valuable, we develop a retrospective likelihood for estimating and testing the effects of specific features of single-nucleotide polymorphism (SNP)-based haplotypes on disease risk using unphased genotype data from a case-control study. Our proposed method has a flexible structure that allows, among other choices, modeling of multiplicative, dominant, and recessive effects of specific haplotype features on disease risk. In addition, our method relaxes the requirement of Hardy-Weinberg equilibrium of haplotype frequencies in case subjects, which is typically required of EM-based haplotype methods. Also, our method easily accommodates missing SNP information. Finally, our method allows for asymptotic, permutation-based, or bootstrap inference. We apply our method to case-control SNP genotype data from the Finland-United States Investigation of Non-Insulin-Dependent Diabetes Mellitus (FUSION) Genetics study and identify two haplotypes that appear to be significantly associated with type 2 diabetes. Using the FUSION data, we assess the accuracy of asymptotic P values by comparing them with P values obtained from a permutation procedure. We also assess the accuracy of asymptotic confidence intervals for relative-risk parameters for haplotype effects, by a simulation study based on the FUSION data.     

Generalized case-control sampling under generalized linear models

A generalized case-control (GCC) study, like the standard case-control study, leverages outcome-dependent sampling (ODS) to extend to nonbinary responses. We develop a novel, unifying approach for analyzing GCC study data using the recently developed semiparametric extension of the generalized linear model (GLM), which is substantially more robust to model misspecification than existing approaches based on parametric GLMs. For valid estimation and inference, we use a conditional likelihood to account for the biased sampling design. We describe analysis procedures for estimation and inference for the semiparametric GLM under a conditional likelihood, and we discuss problems with estimation and inference under a conditional likelihood when the response distribution is misspecified. We demonstrate the flexibility of our approach over existing ones through extensive simulation studies, and we apply the methodology to an analysis of the Asset and Health Dynamics Among the Oldest Old study, which motives our research. The proposed approach yields a simple yet versatile solution for handling ODS in a wide variety of possible response distributions and sampling schemes encountered in practice.     

Incorporating monotonicity into the evaluation of a biomarker

In the assessment of clinical utility of biomarkers, case-control studies are often undertaken based on existing serum samples. A common assumption made in these studies is that higher levels of the biomarker are associated with increased disease risk. In this article, we consider methods of analysis in which monotonicity is incorporated in associating the biomarker and the clinical outcome. We consider the roles of discrimination versus association and assess methods for both goals. In addition, we propose a semiparametric isotonic regression model for binary data and describe a simple estimation procedure as well as attendant inferential procedures. We apply the various methodologies to data from a prostate cancer study involving a serum biomarker.     

Non-iterative, regression-based estimation of haplotype associations with censored survival outcomes

The general availability of reliable and affordable genotyping technology has enabled genetic association studies to move beyond small case-control studies to large prospective studies. For prospective studies, genetic information can be integrated into the analysis via haplotypes, with focus on their association with a censored survival outcome. We develop non-iterative, regression-based methods to estimate associations between common haplotypes and a censored survival outcome in large cohort studies. Our non-iterative methods--weighted estimation and weighted haplotype combination--are both based on the Cox regression model, but differ in how the imputed haplotypes are integrated into the model. Our approaches enable haplotype imputation to be performed once as a simple data-processing step, and thus avoid implementation based on sophisticated algorithms that iterate between haplotype imputation and risk estimation. We show that non-iterative weighted estimation and weighted haplotype combination provide valid tests for genetic associations and reliable estimates of moderate associations between common haplotypes and a censored survival outcome, and are straightforward to implement in standard statistical software. We apply the methods to an analysis of HSPB7-CLCNKA haplotypes and risk of adverse outcomes in a prospective cohort study of outpatients with chronic heart failure.     

Universal false discovery rate estimation methodology for genome-wide association studies

Genome-wide case-control association studies aim at identifying significant differential markers between sick and healthy populations. With the development of large-scale technologies allowing the genotyping of thousands of single nucleotide polymorphisms (SNPs) comes the multiple testing problem and the practical issue of selecting the most probable set of associated markers. Several False Discovery Rate (FDR) estimation methods have been developed and tuned mainly for differential gene expression studies. However they are based on hypotheses and designs that are not necessarily relevant in genetic association studies. In this article we present a universal methodology to estimate the FDR of genome-wide association results. It uses a single global probability value per SNP and is applicable in practice for any study design, using any statistic. We have benchmarked this algorithm on simulated data and shown that it outperforms previous methods in cases requiring non-parametric estimation. We exemplified the usefulness of the method by applying it to the analysis of experimental genotyping data of three Multiple Sclerosis case-control association studies.     

Haplotype-based association analysis in cohort and nested case-control studies

Genetic epidemiologic studies often collect genotype data at multiple loci within a genomic region of interest from a sample of unrelated individuals. One popular method for analyzing such data is to assess whether haplotypes, i.e., the arrangements of alleles along individual chromosomes, are associated with the disease phenotype or not. For many study subjects, however, the exact haplotype configuration on the pair of homologous chromosomes cannot be derived with certainty from the available locus-specific genotype data (phase ambiguity). In this article, we consider estimating haplotype-specific association parameters in the Cox proportional hazards model, using genotype, environmental exposure, and the disease endpoint data collected from cohort or nested case-control studies. We study alternative Expectation-Maximization algorithms for estimating haplotype frequencies from cohort and nested case-control studies. Based on a hazard function of the disease derived from the observed genotype data, we then propose a semiparametric method for joint estimation of relative-risk parameters and the cumulative baseline hazard function. The method is greatly simplified under a rare disease assumption, for which an asymptotic variance estimator is also proposed. The performance of the proposed estimators is assessed via simulation studies. An application of the proposed method is presented, using data from the Alpha-Tocopherol, Beta-Carotene Cancer Prevention Study.