2016 - Observational Research Methods. Research Design II Cohort, Cross Sectional, and Case-Control Studies
2016 - Observational Research Methods. Research Design II Cohort, Cross Sectional, and Case-Control Studies
2016 - Observational Research Methods. Research Design II Cohort, Cross Sectional, and Case-Control Studies
com
54
RESEARCH SERIES
Cohort, cross sectional, and case-control studies are While an appropriate choice of study design is
collectively referred to as observational studies. Often vital, it is not sufficient. The hallmark of good
research is the rigor with which it is conducted. A
these studies are the only practicable method of checklist of the key points in any study irrespec-
studying various problems, for example, studies of tive of the basic design is given in box 1.
aetiology, instances where a randomised controlled trial Every published study should contain suffi-
cient information to allow the reader to analyse
might be unethical, or if the condition to be studied is the data with reference to these key points.
rare. Cohort studies are used to study incidence, causes, In this article each of the three important
and prognosis. Because they measure events in observational research methods will be discussed
with emphasis on their strengths and weak-
chronological order they can be used to distinguish nesses. In so doing it should become apparent
between cause and effect. Cross sectional studies are why a given study used a particular research
used to determine prevalence. They are relatively quick method and which method might best answer a
particular clinical problem.
and easy but do not permit distinction between cause
and effect. Case controlled studies compare groups COHORT STUDIES
retrospectively. They seek to identify possible predictors These are the best method for determining the
of outcome and are useful for studying rare diseases or incidence and natural history of a condition. The
studies may be prospective or retrospective and
outcomes. They are often used to generate hypotheses sometimes two cohorts are compared.
that can then be studied via prospective cohort or other
studies. Prospective cohort studies
A group of people is chosen who do not have the
.......................................................................... outcome of interest (for example, myocardial inf-
arction). The investigator then measures a variety
of variables that might be relevant to the develop-
C
ohort, cross sectional, and case-control
studies are often referred to as observa- ment of the condition. Over a period of time the
tional studies because the investigator sim- people in the sample are observed to see whether
ply observes. No interventions are carried out by they develop the outcome of interest (that is,
the investigator. With the recent emphasis on evi- myocardial infarction).
dence based medicine and the formation of the In single cohort studies those people who do
Cochrane Database of randomised controlled not develop the outcome of interest are used as
trials, such studies have been somewhat glibly internal controls.
maligned. However, they remain important be- Where two cohorts are used, one group has
cause many questions can be efficiently answered been exposed to or treated with the agent of
by these methods and sometimes they are the interest and the other has not, thereby acting as
only methods available. an external control.
The objective of most clinical studies is to
determine one of the followingprevalence, inci- Retrospective cohort studies
dence, cause, prognosis, or effect of treatment; it These use data already collected for other
is therefore useful to remember which type of purposes. The methodology is the same but the
study is most commonly associated with each study is performed posthoc. The cohort is
objective (table 1) followed up retrospectively. The study period
may be many years but the time to complete the
study is only as long as it takes to collate and ana-
lyse the data.
Table 1
.......................
Objective Common design Advantages and disadvantages
Dr C J Mann, Department The use of cohorts is often mandatory as a
of Accident and Emergency Prevalence Cross sectional
Medicine, Taunton and randomised controlled trial may be unethical; for
Incidence Cohort
Somerset Hospital, Cause (in order of Cohort, case-control, cross example, you cannot deliberately expose people to
Taunton, Somerset, UK reliability) sectional cigarette smoke or asbestos. Thus research on risk
Prognosis Cohort factors relies heavily on cohort studies.
Correspondence to: Treatment effect Controlled trial
Dr C J Mann;
As cohort studies measure potential causes
[email protected] before the outcome has occurred the study can
....................... demonstrate that these causes preceded the
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Box 1 100 A&E attenders with minor injuries for the outcome of
diabetes mellitus will probably produce only one patient with
Study purpose the outcome of interest. The efficiency of a prospective cohort
The aim of the study should be clearly stated. study increases as the incidence of any particular outcome
increases. Thus a study of patients with a diagnosis of deliber-
Sample ate self harm in the 12 months after initial presentation would
The sample should accurately reflect the population from be efficiently studied using a cohort design.
which it is drawn. Another problem with prospective cohort studies is the loss
The source of the sample should be stated. of some subjects to follow up. This can significantly affect the
The sampling method should be described and the sample outcome. Taking incidence analysis as an example (incidence
size should be justified. = cases/per period of time), it can be seen that the loss of a few
Entry criteria and exclusions should be stated and justified. cases will seriously affect the numerator and hence the calcu-
The number of patients lost to follow up should be stated and lated incidence. The rarer the condition the more significant
explanations given.
this effect.
Control group Retrospective studies are much cheaper as the data have
The control group should be easily identifiable. already been collected. One advantage of such a study design
The source of the controls should be explainedare they from is the lack of bias because the outcome of current interest was
the same population as the sample? not the original reason for the data to be collected. However,
Are the controls matched or randomisedto minimise bias because the cohort was originally constructed for another
and confounding. purpose it is unlikely that all the relevant information will
Quality of measurements and outcomes have been rigorously collected.
Retrospective cohorts also suffer the disadvantage that
Validityare the measurements used regarded as valid by people with the outcome of interest are more likely to remem-
other investigators?
ber certain antecedents, or exaggerate or minimise what they
Reproducibilitycan the results be repeated or is there a rea-
son to suspect they may be a one off? now consider to be risk factors (recall bias).
Blindedwere the investigators or subjects aware of their Where two cohorts are compared one will have been
subject/control allocation? exposed to the agent of interest and one will not. The major
Quality controlhas the methodology been rigorously disadvantage is the inability to control for all other factors that
adhered to? might differ between the two groups. These factors are known
as confounding variables.
Completeness
A confounding variable is independently associated with
Compliancedid all patients comply with the study? both the variable of interest and the outcome of interest. For
Drop outshow many failed to complete the study? example, lung cancer (outcome) is less common in people
Deaths with asthma (variable). However, it is unlikely that asthma in
Missing datahow much are unavailable and why?
itself confers any protection against lung cancer. It is more
Distorting influences probable that the incidence of lung cancer is lower in people
Extraneous treatmentsother interventions that may have with asthma because fewer asthmatics smoke cigarettes (con-
affected some but not all of the subjects. founding variable). There are a virtually infinite number of
Confounding factorsAre there other variables that might potential confounding variables that, however unlikely, could
influence the results? just explain the result. In the past this has been used to sug-
Appropriate analysisHave appropriate statistical tests been gest that there is a genetic influence that makes people want
used? to smoke and also predisposes them to cancer.
Validity The only way to eliminate all possibility of a confounding
variable is via a prospective randomised controlled study. In
All studies should be internally valid. That is, the conclusions
this type of study each type of exposure is assigned by chance
can be logically drawn from the results produced by an
appropriate methodology. For a study to be regarded as valid and so confounding variables should be present in equal
it must be shown that it has indeed demonstrated what it says numbers in both groups.
it has. A study that is not internally valid should not be Finally, problems can arise as a result of bias. Bias can occur
published because the findings cannot be accepted. in any research and reflects the potential that the sample
The question of external validity relates to the value of the studied is not representative of the population it was drawn
results of the study to other populationsthat is, the generalis- from and/or the population at large. A classic example is using
ability of the results. For example, a study showing that 80% employed people, as employment is itself associated with gen-
of the Swedish population has blond hair, might be used to erally better health than unemployed people. Similarly people
make a sensible prediction of the incidence of blond hair in who respond to questionnaires tend to be fitter and more
other Scandinavian countries, but would be invalid if applied motivated than those who do not. People attending A&E
to most other populations.
departments should not be presumed to be representative of
the population at large.
outcome, thereby avoiding the debate as to which is cause and How to run a cohort study
which is effect. If the data are readily available then a retrospective design is
A further advantage is that a single study can examine the quickest method. If high quality, reliable data are not
various outcome variables. For example, cohort studies of available a prospective study will be required.
smokers can simultaneously look at deaths from lung, cardio- The first step is the definition of the sample group. Each
vascular, and cerebrovascular disease. This contrasts with subject must have the potential to develop the outcome of
case-control studies as they assess only one outcome variable interest (that is, circumcised men should not be included in a
(that is, whatever outcome the cases have entered the study cohort designed to study paraphimosis). Furthermore, the
with). sample population must be representative of the general
Cohorts permit calculation of the effect of each variable on population if the study is primarily looking at the incidence
the probability of developing the outcome of interest (relative and natural history of the condition (descriptive).
risk). However, where a certain outcome is rare then a If however the aim is to analyse the relation between
prospective cohort study is inefficient. For example, studying predictor variables and outcomes (analytical) then the sample
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Table 3
Demographic and lifestyle data Census, General Household Survey, social trends, annual reports
Morbidity data GP morbidity statistics, communicable disease surveillance, hospital
inpatient inquiry, hospital activity analysis, cancer registration
Mortality data OPCS mortality statistics
Health services data Immunisation data, screening levels, district and annual reports,
confidential inquiry reports.
Specific databases OPCS survey of disability, OPCS longitudinal study, abortion data,
congenital abnormalities, workmens compensation data
Other Social Security statistics, commissions of inquiry
Table 4
The strength of the association The greater the magnitude of the association the greater the likelihood
that it is causal
Consistency If the association is observed at different times, places and by different
researchers it is more credible
Specificity The more specific the disease and the groups of people affected the
greater the likelihood of causality
Temporal relation Does the suspected cause precede the disease
Biological gradient Is there a doseresponse type relation
Biological plausibility Do the findings fit with plausible biological and disease mechanisms
Coherence of the evidence The cause and effect interpretation should fit with other known facts
regarding the natural history and biology of the disease
Prevention Does avoidance or removal of the cause decrease the incidence of the
disease
Reasoning by analogy Does the evidence mirror or match another cause and effect relation
cause of death and some environmental influence a judge- Subjects are selected without regard to the outcome of
ment has to be made as to whether this is a causal link or sim- interest
ply an association. Table 4 outlines the points to be considered Less expensive
when making this judgement.13
They are the best way to determine prevalence
None of these judgements can provide indisputable
evidence of cause and effect, but taken together they do Quick
permit the investigator to answer the fundamental questions The principal summary statistic of cross sectional studies is
is there any other way to explain the available evidence? and the odds ratio
is there any other more likely than cause and effect? Weaker evidence of causality than cohort studies
Inaccurate when studying rare conditions
SUMMARY
Qualitative studies can produce high quality information but Case-control studies look back at what has happened to each
all such studies can be influenced by known and unknown subject
confounding variables. Appropriate use of observational stud- Subjects are selected specifically on the basis of the outcome
ies permits investigation of prevalence, incidence, associa- of interest
tions, causes, and outcomes. Where there is little evidence on Cheap
a subject they are cost effective ways of producing and inves- Efficient (small sample sizes)
tigating hypotheses before larger and more expensive study
designs are embarked upon. In addition they are often the Produce odds ratios that approximate to relative risks for
only realistic choice of research methodology, particularly each variable studied
where a randomised controlled trial would be impractical or Prone to sampling bias and retrospective analysis bias
unethical. Only one outcome is studied
Cohort studies look forwards in time by following up each
subject GLOSSARY OF TERMS
Subjects are selected before the outcome of interest is Bias
observed The inclusion of subjects or methods such that the results
obtained are not truly representative of the population from
They establish the sequence of events
which it is drawn
Numerous outcomes can be studied
They are the best way to establish the incidence of a disease Blinding
The process by which the researcher and or the subject is
They are a good way to determine causes of diseases ignorant of which intervention or exposure has occurred.
The principal summary statistic of cohort studies is the
relative risk ratio Cochrane database
An international collaborative project collating peer reviewed
If prospective, they are expensive and often take a long time
prospective randomised clinical trials.
for sufficient outcome events to occur to produce meaning-
ful results Cohort
Cross sectional studies look at each subject at one point in Is a component of a population identified so that one or more
time only characteristic can be studied as it ages through time.
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60 Mann
Latency Validityexternal
A period of time between exposure to an agent and the devel- The usefulness of the findings of a study with respect to other
opment of symptoms, signs, or other evidence of changes populations.
associated with that exposure.
Matching Variable
The process by which each case is matched with one or more A value or quality that can vary between subjects and/or over
controls, which have been deliberately chosen to be as similar time
as the test subjects in all regards other than the variable being
studied.
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These include:
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Notes