Selection of Cases and Controls I
Selection of Cases and Controls I
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Copyright © 1992 by The Johns Hopkins University School of Hygiene and Puttfc Health Printed in U.S.A.
All rights reserved
The purpose of this series of papers is to In this paper, the first of three, the prin-
present a theoretical framework for control ciples underlying control selection are de-
selection in case-control studies and show veloped. These principles also apply to the
how practical issues can be addressed within design of cohort studies, as would be ex-
this framework. We discuss controversial pected since the case-control design is simply
areas of control selection using the frame- an efficient sampling technique to measure
work and attempt to offer advice when there exposure-disease associations in a cohort or
is relevant empiric information or experi- study base. In theory, every case-control
ence to guide us. For the most part, issues study takes place within a cohort, although
of analysis will not be addressed in the re- in practice it can be difficult to characterize
view. the cohort or study base. The identification
of the appropriate study base from which to
select controls is the primary challenge in
Received for publication May 8, 1991, and in final form the design of case-control studies.
February 11, 1992.
Abbreviations: ADS, acquired immunodeficiency syn- In our second paper (1), we apply the
drome; HIV, human mmunodeficiency virus.
1
principles presented in this paper to the
Btostatistics Branch, National Cancer Institute, Be- selection of control groups used in case-
thesda, MD.
2
Department of Environmental and Occupational control studies, including population con-
Health, School of Public Health, University of Minnesota, trols, hospital controls, medical practice
Minneapolis, MN. controls, friend controls, and relative con-
Reprint requests to Dr. Shokxn Wachokler, Biostabstcs
Branch, National Cancer Institute, 6130 Executive Blvd., trols. We also discuss the use of proxy re-
EPN 403, Rockville, MD 20892. spondents and deceased controls.
The authors thank Dr. Robert Hoover, Dr. Peter Inskip, In the third paper of the series (2), we
Dr. Mitchel Ga8, Dr. William Blot, Dr. Patricia Hartge, Dr.
Jack Siemlatycki, and Dr. OUi Miettinen for their comments focus on issues encountered after a particu-
on earlier versions of the manuscripts in this set. lar control group has been selected. Some of
1019
1020 Wachokter et al.
the areas discussed are matching, ratio of enrolled as a case if diagnosed with disease
controls to cases, number of control groups, at the time. A useful paradigm with an ex-
nested case-control studies, two-stage sam- plicitly defined study base is the "nested
pling designs, and issues relating to infor- case-control study" (2, 5-7) where controls
mation bias such as contemporaneity of are selected randomly from the "risk set,"
cases and controls. the subjects in the cohort who are at risk at
We do not intend the principles described the time of diagnosis of each case.
and illustrated in these papers to be used for Deconfounding principle. Confounding
determining whether a study is up to stan- should not be allowed to distort the estima-
dard. Perfect adherence to a principle can tion of effect. Confounders that are mea-
be as difficult to achieve as perfect experi- sured can be controlled in the analysis. Un-
mental conditions in a laboratory. Some- known or unmeasured confounders should
subpopulation may be of interest in itself; in bility of the cases (30) violates the study base
a representative population, an association principle, and the estimate of effect for an
that is limited to one group may be obscured exposure associated with such residential
because the effect is weaker in other groups mobility could be biased (30).
or because of differences in the distribution Nonrandom selection from the study base.
of the exposure. On the other hand, detec- In theory, choosing the controls to be a
tion of variability of the strength of associa- random sample from the base ensures that
tion (effect modification) can be missed if the controls are representative of the base.
the study base is narrowly defined. If there When random selection is not practical, as
is reason to believe that an effect is strongest when identification of the base is difficult, a
in one particular subgroup, exclusion of nonrandom subset can be selected if a rep-
mates of effect without affecting validity (2, With nondifferential errors, the bias is
35, 36). Generally, matching on variables typically (but not always) in a predictable
that are not risk factors is also overmatching, direction (toward lack of association) and,
since the matching may reduce the variabil- unless the measurement is so bad as to be
ity in the exposure of interest without con- negatively correlated with the truth, seldom
trolling for any confounding (2, 36, 37). On reverses the direction of the association (42,
the other hand, reduced precision might be 43). On the other hand, the effect of differ-
inevitable in the presence of confounding, ential measurement error on estimates of
since it can be a consequence of control for association is usually unpredictable.
confounding in the design and analysis. Thus, adherence to the comparable accu-
racy principle does not eliminate its corre-