倾向得分匹配能否取代随机对照试验?

Matthias Yi Quan Liau, En Qi Toh, Shamir Muhamed, Surya Varma Selvakumar, V. G. Shelat
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摘要

长期以来,随机对照试验(RCT)一直被认为是临床研究中确定因果关系的黄金标准。尽管如此,随机对照试验的各种局限性阻碍了它的广泛应用,其中包括拒绝为一组患者提供可能挽救生命的治疗的道德问题,以及由于严格的纳入标准而导致的相对较差的外部有效性等等。然而,随着倾向评分匹配(PSM)作为一种回顾性统计工具的引入,为临床研究中因果关系的确定开辟了新的领域。倾向得分匹配利用登记册或电子健康记录等现有来源的观察数据预测治疗效果,根据倾向得分(考虑年龄、性别和合并症等特征)创建接受或未接受干预的匹配样本。由于 PSM 具有回顾性的特点,而且使用的是现有来源的观察数据,因此可以规避上述 RCT 所面临的伦理问题。大多数研究性临床试验都将老年人、孕妇和幼儿排除在外,因此,针对这些人群的疗效证据很少能通过可靠的临床研究得到证实。另一方面,通过将研究患者的特征与相关人群(包括老年人、孕妇和幼儿)的特征相匹配,PSM 可以将结果推广到更广泛的人群中,从而大大提高外部有效性。PSM 与 RCT 的协同整合并不能取代 RCT,而是两种方法相辅相成,提供更好的研究成果。例如,在一项研究甘露醇对 "急性脑出血强化降压试验 "参与者预后影响的 RCT 中,尽管采用了随机化方案,但治疗组和对照组之间的合并症和当前用药的基线特征存在显著差异。因此,在其分析中加入了 PSM,以创建与这些基线特征相匹配的治疗组和对照组样本,从而更公平地比较甘露醇的影响。本文献综述报告了在 RCT 中使用 PSM 的应用、优势和注意事项,说明了 PSM 在完善随机化、提高外部效度和考虑不遵守方案情况方面的作用。未来的研究应考虑在 RCT 中整合 PSM 的使用,以便更好地将结果推广到临床实践的目标人群,从而使更多患者受益,同时保持 RCT 所提供的随机化的稳健性。
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Can propensity score matching replace randomized controlled trials?
Randomized controlled trials (RCTs) have long been recognized as the gold standard for establishing causal relationships in clinical research. Despite that, various limitations of RCTs prevent its widespread implementation, ranging from the ethicality of withholding potentially-lifesaving treatment from a group to relatively poor external validity due to stringent inclusion criteria, amongst others. However, with the introduction of propensity score matching (PSM) as a retrospective statistical tool, new frontiers in establishing causation in clinical research were opened up. PSM predicts treatment effects using observational data from existing sources such as registries or electronic health records, to create a matched sample of participants who received or did not receive the intervention based on their propensity scores, which takes into account characteristics such as age, gender and comorbidities. Given its retrospective nature and its use of observational data from existing sources, PSM circumvents the aforementioned ethical issues faced by RCTs. Majority of RCTs exclude elderly, pregnant women and young children; thus, evidence of therapy efficacy is rarely proven by robust clinical research for this population. On the other hand, by matching study patient characteristics to that of the population of interest, including the elderly, pregnant women and young children, PSM allows for generalization of results to the wider population and hence greatly increases the external validity. Instead of replacing RCTs with PSM, the synergistic integration of PSM into RCTs stands to provide better research outcomes with both methods complementing each other. For example, in an RCT investigating the impact of mannitol on outcomes among participants of the Intensive Blood Pressure Reduction in Acute Cerebral Hemorrhage Trial, the baseline characteristics of comorbidities and current medications between treatment and control arms were significantly different despite the randomization protocol. Therefore, PSM was incorporated in its analysis to create samples from the treatment and control arms that were matched in terms of these baseline characteristics, thus providing a fairer comparison for the impact of mannitol. This literature review reports the applications, advantages, and considerations of using PSM with RCTs, illustrating its utility in refining randomization, improving external validity, and accounting for non-compliance to protocol. Future research should consider integrating the use of PSM in RCTs to better generalize outcomes to target populations for clinical practice and thereby benefit a wider range of patients, while maintaining the robustness of randomization offered by RCTs.
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