Optimal sampling for design-based estimators of regression models

Two-phase designs with failure time processes subject to nonsusceptibility

Epidemiological studies based on 2-phase designs help ensure efficient use of limited resources in situations where certain covariates are prohibitively expensive to measure for a full cohort. Typically, these designs involve 2 steps: In phase I, data on an outcome and inexpensive covariates are acquired, and in phase II, a subsample is chosen in which the costly variable of interest is measured. For right-censored data, 2-phase designs have been primarily based on the Cox model. We develop efficient 2-phase design strategies for settings involving a fraction of long-term survivors due to nonsusceptibility. Using mixture models accommodating a nonsusceptible fraction, we consider 3 regression frameworks, including (a) a logistic "cure" model, (b) a proportional hazards model for those who are susceptible, and (c) regression models for susceptibility and failure time in those susceptible. Importantly, we introduce a novel class of bivariate residual-dependent designs to address the unique challenges presented in scenario (c), which involves 2 parameters of interest. Extensive simulation studies demonstrate the superiority of our approach over various phase II subsampling schemes. We illustrate the method through applications to the Prostate, Lung, Colorectal, and Ovarian Cancer Screening Trial.

Multiwave validation sampling for error-prone electronic health records

Electronic health record (EHR) data are increasingly used for biomedical research, but these data have recognized data quality challenges. Data validation is necessary to use EHR data with confidence, but limited resources typically make complete data validation impossible. Using EHR data, we illustrate prospective, multiwave, two-phase validation sampling to estimate the association between maternal weight gain during pregnancy and the risks of her child developing obesity or asthma. The optimal validation sampling design depends on the unknown efficient influence functions of regression coefficients of interest. In the first wave of our multiwave validation design, we estimate the influence function using the unvalidated (phase 1) data to determine our validation sample; then in subsequent waves, we re-estimate the influence function using validated (phase 2) data and update our sampling. For efficiency, estimation combines obesity and asthma sampling frames while calibrating sampling weights using generalized raking. We validated 996 of 10,335 mother-child EHR dyads in six sampling waves. Estimated associations between childhood obesity/asthma and maternal weight gain, as well as other covariates, are compared to naïve estimates that only use unvalidated data. In some cases, estimates markedly differ, underscoring the importance of efficient validation sampling to obtain accurate estimates incorporating validated data.