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Published on: October 23, 2020
Surrogate Endpoint Evaluation: Principal Stratification Criteria and the Prentice Definition
Peter B Gilbert1, Erin E Gabriel2, Ying Huang1
1Vaccine Infectious Disease Division, Fred Hutchinson Cancer Research Center, Seattle, Washington, 98109, U.S.A. ; Department of Biostatistics, University of Washington, Seattle, Washington, 98105, U.S.A.
Evaluating surrogate endpoints in clinical trials is crucial for future research. This study explores causal effect predictiveness criteria, like average causal necessity and sufficiency, for validating surrogate endpoints, ensuring reliable treatment effect inferences.
Area of Science:
- Biostatistics
- Clinical Trials
- Epidemiology
Background:
- Surrogate endpoints in randomized clinical trials aim to predict clinical outcomes, simplifying future data collection.
- Principal stratification framework offers methods to evaluate surrogate endpoint validity using causal inference.
- Existing criteria for surrogate endpoints, including causal effect predictiveness (CEP), require careful examination.
Purpose of the Study:
- To assess criteria for useful surrogate endpoints based on the CEP surface within the principal stratification framework.
- To investigate the relationships between average causal necessity (ACN), average causal sufficiency (ACS), Prentice definition, and consistency criterion.
- To determine the influence of assumptions on treatment effects for surrogate endpoint validation.
Main Methods:
- Utilizing the principal stratification framework and causal effect predictiveness (CEP) surface.
- Analyzing proposed criteria: average causal necessity (ACN), average causal sufficiency (ACS), and Prentice definition.
- Examining the consistency criterion to prevent the 'surrogate paradox'.
Main Results:
- ACN and a strong version of ACS do not generally imply the Prentice definition or consistency, except in specific cases.
- The converse relationship does not hold, except for binary surrogates under certain conditions.
- Principal strata are identifiable in common practical scenarios, enhancing the utility of the framework for effect modification analysis.
Conclusions:
- Assumptions about pre-surrogate treatment effects significantly impact conclusions regarding Prentice definition and consistency.
- The principal stratification framework is valuable for effect modification analysis when principal strata are identifiable.
- Application to a vaccine trial showed ACN and ACS consistent with data, supporting Prentice definition and consistency for an antibody marker.
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