Study_Designs_in_Epidemiology_Lecture_3,4,5_&_6.pptx

Study Designs in Epidemiology
Lectures: 3,4,5, & 6
Dr. Amin Gordiano Okwahi Tafeng ( PhD.
MPH. MBA. BSc PEH)
A/Professor of Epidemiology
Faculty of Public and Environmental Health
Upper Nile University

Outlines
1. Epidemiological research
2. Classification of designs
• Qualitative methods
• Quantitative methods
 Choice of design

1. Epidemiological Research
 Lab research: applies knowledge of basic sciences
towards development of procedures and strategies to
prevent, control and understand mechanisms of
health-related phenomena
 Epidemic investigations: study of outbreaks, in
local populations, to identify agent(s), transmission
mode(s), and possible control measure(s)
 Population-based (field) research: study of
distribution, determinants, control measures of
health-related phenomena in chosen populations,
followed by application of suitable biostatistical
techniques which may allow generalization of results

Data Collection Methods
 Primary: where the investigator is the first to collect
the data. Sources include: medical examinations,
interviews, observations, etc. Merits: less
measurement error, suits objectives of the study
better. Disadvantage: costly, may not be feasible.
 Secondary: where the data is collected by OTHERS,
for other purposes that those of the current study.
Sources include: individual records (medical /
employment); group records (census data, vital
statistics)

2. Study design: Definition
A study design is a specific plan or
protocol for conducting the study,
which allows the investigator to
translate the conceptual hypothesis
into an operational one.

Study Designs: Types
a) Qualitative
b) Quantitative
–Experimental
–Observational
»Basic
»Hybrid
»Incomplete

Comparison between
Qualitative and Quantitative
Designs

Comparison (I)
Qualitative
 Understanding
 Interview/observation
 Discovering frameworks
 Textual (words)
 Theory generating
 Quality of informant more important
than sample size
 Subjective
 Embedded knowledge
 Models of analysis: fidelity to text or
words of interviewees
Quantitative
 Prediction
 Survey/questionnaires
 Existing frameworks
 Numerical
 Theory testing (experimental)
 Sample size core issue in reliability of
data
 Objective
 Public
 Model of analysis:parametric, non-
parametric

Comparison (II)
Quantitative
 Methods
– Observational
– Experimental
– Mixed
– Sampling: Random
(simple, stratified, cluster,
etc) or purposive
 Quality Assurance:
– Reliability: Internal and
External
– Validity: Construct,
Content, Face
Qualitative
 Methods
– Focus Groups
– Interviews
– Surveys
– Self-reports
– Observations
– Document analysis
– Sampling: Purposive
 Quality Assurance:
– Trustworthiness:
Credibility, Confirmability,
Dependability,
Transferability
– Authenticity: Fairness,
Ontological, Educative,
Tactical, Catalytic

a) Qualitative Research Types
Postpositivist
does not claim to provide
universal answers but
seeks to ask questions
instead
Interpretivist
multiple
interpretations of the
same phenomena
must be allowed for,
and that no truth is
attainable
Critical Alternative/
Arts-Based
Grounded Theory Ethnography
description and
interpretation of a
cultural or social group
or system
Critical
Theory
Personal Experience
Phenomenology:
the science or study of
phenomena, things as
they are perceived
Feminist Narrative Inquiry
Case Study Performance
Life Story/Oral History Portraiture
Biography Collage

Qualitative Research Techniques
 Participant observation (field notes)
 Interviews / Focus group discussions
with key infomants
 Video / Text and Image analysis
(documents, media data)
 Surveys
 User testing

Qualitative Research Techniques
Involves Skills of
 Observing
 Conversing
 Participating
 Interpreting

Qualitative Techniques Skills (1)
 Participant observation
– Gains insight into understanding cultural patterns to
determine what’s necessary and needed in tool
development (complementary to interviews)
 Interviews/Focus groups with stakeholders
– Explores how tools are used and could be used in a novice
programming course
– Gains insight into the meaning of tools for students for
learning to program

Qualitative Techniques Skill: (II)
 Data analysis
– Themes arising from data would provide insight into current
“learning to program” issues and see what is important to
students / teachers / administrators
 Survey
– Useful for verifying results on a larger scale
 User Testing
– Useful for triangulating results

Rigor ( characters) in Qualitative
Research
 Dependability
 Credibility
 Transferability
 Confirmability

Quantitative designs
 Observational: studies that do not
involve any intervention or
experiment.
 Experimental: studies that entail
manipulation of the study factor
(exposure) and randomization of
subjects to treatment (exposure)
groups

Observation Methods
 Selected Units: individuals, groups
 Study Populations: cross-sectional,
longitudinal
 Data collection timing: prospectively,
retrospectively, combination
 Data collection types: primary,
secondary

Study populations
 Cross-sectional: where only ONE set of
observations is collected for every unit in the study, at
a certain point in time, disregarding the length of time
of the study as a whole
 Longitudinal: where TWO or MORE sets of
observations are collected for every unit in the study,
i.e. follow-up is involved in order to allow monitoring
of a certain population (cohort) over a specified
period of time. Such populations are AT RISK
(disease-free) at the start of the study.

Observational Designs
(Classification I)
 Exploratory: used when the state of
knowledge about the phenomenon is poor:
small scale; of limited duration.
 Descriptive: used to formulate a certain
hypothesis: small / large scale. Examples:
case-studies; cross-sectional studies
 Analytical: used to test hypotheses: small /
large scale. Examples: case-control, cross-
sectional, cohort.

Observational Designs
(Classification II)
 Preliminary (case-reports, case-series)
 Basic (cross-sectional, case-control,
cohort [prospective, retrospective] )
 Hybrid (two or more of the above,
nested case-control within cohort, etc)
 Incomplete (ecological, PMR, etc)
 Others (repeated, case cross-over,
migrant, twin, etc)

Case-series:
Clinical case series
 Clinical case-series: usually a coherent and
consecutive set of cases of a disease (or similar
problem) which derive from either the practice of one
or more health care professionals or a defined health
care setting, e.g. a hospital or family practice.
 A case-series is, effectively, a register of cases.
 Analyse cases together to learn about the disease.
 Clinical case-series are of value in epidemiology for:
– Studying symptoms and signs
– Creating case definitions
– Clinical education, audit and research

Case series:
Population based
 When a clinical case-series is complete for a
defined geographical area for which the
population is known, it is, effectively, a
population based case-series consisting of a
population register of cases.
 Epidemiologically the most important case-
series are registers of serious diseases or
deaths (usually NCDs), and of health service
utilisation, e.g. hospital admissions.
 Usually compiled for administrative and legal
reasons.

Case series:
Natural history and spectrum
 By delving into the past circumstances of these
patients, including examination of past medical
records, and by continuing to observe them to
death (and necropsy as appropriate), health
professionals can build up a picture of the
natural history of a disease.
 Population case-series is a systematic extension
of this series but which includes additional
cases, e.g. those dying without being seen by the
clinicians.
 Add breadth to the understanding of the
spectrum and natural history of disease.

Case series: Population
 Full epidemiological use of case-series data needs
information on the population to permit calculation
of rates
 Key to understanding the distribution of disease in
populations and to the study of variations over time,
between places and by population characteristics
 Case-series can provide the key to sound case
control and cohort studies and trials
 Design of a case-series is conceptually simple
 Defines a disease or health problem to be studied
and sets up a system for capturing data on the
health status and related factors in consecutive
cases

Case series:
Requirements for interpretation
To make sense of case-series data the key requirements
are:
 The diagnosis (case definition) or, for mortality, the
cause of death
 The date when the disease or death occurred (time)
 The place where the person lived, worked etc (place)
 The characteristics of the person (person)
 The opportunity to collect additional data from medical
records (possibly by electronic data linkage) or the
person directly
 The size and characteristics of the population at risk

Case series: Additional data
 Case-series data can be linked to other health data
either in the past or the future, e.g. mortality data
can be linked to hospital admissions including at
birth and childhood, cancer registrations and other
records to obtain information on exposures and
disease.
 Cases may also be contacted for additional
information.
 This type of action may turn a case-series design
into a cohort design.

Case series: Strengths
Population case-series permit two arguably unique
forms of epidemiological analysis and insight.
 Paint a truly national and even international
population perspective on disease.
 The disease patterns can be related to aspects of
society or the environment that affect the
population but have no sensible measure at the
individual level e.g. ozone concentration at ground
level and the thickness of the ozone layer in the
earth's atmosphere.

Cross-sectional Studies
(Community health studies, surveys)
 Characteristics: detects point prevalence; relative
conditions; allows for stratification
 Merits: feasible; quick; economic; allows study of
several diseases / exposures; useful for estimation of
the population burden, health planning and priority
setting of health problems
 Limitations: temporal ambiguity (cannot determine
whether the exposure preceded outcome); possible
measurement error; not suitable for rare conditions;
liable to survivor bias
 Effect measure: Odds Ratio

Case - Control Studies
 Characteristics: two source populations; assumption
that non-cases are representative of the source
population of cases.
 Merits: least expensive; least time-consuming;
suitable for study of rare diseases (especially NCDs)
 Limitations: not suitable for rare exposures; liable to
selection bias and recall bias; not suitable for
calculation of frequency measures.
 Effect measure: Odds Ratio

Cohort Studies
 Characteristics: follow-up period (prospective;
retrospective)
 Merits: no temporal ambiguity; several
outcomes could be studied at the same time;
suitable for incidence estimation
 Limitations (of prospective type): expensive;
time-consuming; inefficient for rare diseases;
may not be feasible
 Effect measure: Risk Ratio (Relative Risk)

C
oh
o
rt
D
es
ig
n
time
Study begins here
Study
population
free of
disease
Factor
present
Factor
absent
disease
no disease
disease
no disease
present
future

Ecological studies (I)
 These are studies where exposure data relating to a place
(say hardness of water, which could be collected on
individuals) are correlated with health data collected on
individuals but summarised by place (say CHD rates).
 Conceptually, the ecological component in this kind of
study is an issue of data analysis and not study design.
 What is missing: relationship between exposure and
outcome at the individual level (incomplete design)

Ecological studies (II)
 Cross-sectional, case-control and cohort studies and trials
(and not just population case-series) could also be
analysed in relation to such "ecological" variables and
such units of analysis.
 Most ecological analyses are based on population case-
series.
 Ecological analyses are subject to the ecological fallacy.

Ecological fallacy: example
 Imagine a study of the rate of coronary heart disease in the
capital cities of the world relating the rate to average
income.
 Within the cities studied, coronary heart disease is higher in
the richer cities than in the poorer ones.
 We might predict from such a finding that being rich
increases your risk of heart disease.
 In the industrialised world the opposite is the case - within
cities such as London, Washington and Stockholm, poor
people have higher CHD rates than rich ones.
 The ecological fallacy is usually interpreted as a major
weakness of ecological analyses.
 Ecological analyses, however, informs us about forces
which act on whole populations.

Experimental Study Design
A study in which a population is selected
for a planned trial of a regimen, whose
effects are measured by comparing the
outcome of the regimen in the
experimental group versus the outcome
of another regimen in the control group.
Such designs are differentiated from
observational designs by the fact that
there is manipulation of the study factor
(exposure), and randomization (random
allocation) of subjects to treatment
(exposure) groups.

Why Performed ?
1. Provide stronger evidence of the effect
(outcome) compared to observational designs,
with maximum confidence and assurance
2. Yield more valid results, as variation is minimized
and bias controlled
3. Determine whether experimental treatments are
safe and effective under “controlled
environments” (as opposed to “natural settings”
in observational designs), especially
when the margin of expected benefit is doubtful /
narrow (10 - 30%)

Ex
pe
ri
m
en
ta
l
De
si
gn
time
Study begins here (baseline point)
Study
population
Intervention
Control
outcome
no outcome
outcome
no outcome
baseline
future
RANDOMIZATION

Types of trials
Blinded Not blinded
Random ised Not random ised
Controlled Not controlled
Tria l

RCT Advantages (I)
– the “gold standard” of research designs.
They thus provide the most convincing
evidence of relationship between exposure
and effect. Example:
»trials of hormone replacement
therapy in menopausal women
found no protection for heart
disease, contradicting findings of
prior observational studies

RCT Advantages (II)
 Best evidence study design
 No inclusion bias (using blinding)
 Controlling for possible confounders
 Comparable Groups (using
randomization)

RCT Disadvantages
 Large trials (may affect statistical power)
 Long term follow-up (possible losses)
 Compliance
 Expensive
 Public health perspective ?
 Possible ethical questions

Choice of Design (I)
Depends on:
–Research Questions
–Research Goals
–Researcher Beliefs and Values
–Researcher Skills
–Time and Funds

Choice of design (II)
It is also related to:
 Status of existent knowledge
 Occurrence of disease
 Duration of latent period
 Nature and availability of information
 Available resources

Comparing study designs
 Theme
 Ease
 Timing
 Maintenance and continuity
 Costs
 Ethics
 Data utilisation
 Main contribution
 Observer bias
 Selection bias
 Analytic output

Overlap in the conceptual basis
of quantitative study designs
 The cross-sectional study can be repeated
 If the same sample is studied for a second time i.e. it is followed up,
the original cross-sectional study now becomes a cohort study.
 If, during a cohort study, possibly in a subgroup, the investigator
imposes an intervention, a trial begins.
 Cohort study also gives birth to case-control studies, using incident
cases (nested case control study).
 Cases in a case-series, particularly a population based one, may be
the starting point of a case-control study or a trial.
 Not every epidemiological study fits neatly into one of the basic
designs.

Conclusion (I)
 Qualitative designs are complementary to quantitative
designs, are important in study of social determinants of
health problems
 Quantitative designs have a common goal to understand the
frequency and causes of health-related phenomena
 Seeking causes starts by describing associations between
exposures (causes) and outcomes

Conclusion (II)
 Case-series is a coherent set of cases of a disease (or similar
problem).
 Cases are compared with reference group, we have a case
control study
 In a population studied at a specific time and place (a cross-
section) the primary output is prevalence data, though
association between risk factors and disease can be
generated.
 In cross-sectional studies, we are looking for both exposure
and outcome
 In case-control studies, we know the outcome, looking for the
exposure
 In cohort studies, we know the outcome, following up looking
for the outcome in question

Conclusion (III)
 If the population in a cross-sectional survey is followed up to
measure health outcomes, this study design is a cohort study.
 If the population of such a study are, at baseline, divided into two
groups, and the investigators impose a health intervention upon
one of the groups the design is that of a trial.
 Studies based on aggregated data are commonly referred to as
ecological studies.
 Mostly, ecological studies are mode of analysis, rather than a
design.
 Interpretation and application of data are easier when the
relationship between the population observed and the target
population is understood
 RCTs represent the “gold standard” of research designs. They
thus provide the most convincing evidence of relationship
between exposure and effect..

Headlines
 Epidemiological research
 Classification of designs
 Qualitative methods
 Quantitative methods
 Choice of design

References
1. Porta M. A dictionary of epidemiology. 5th
edition. Oxford, New York: Oxford University Press,
2008.
2. Rothman J, Greenland S. Modern epidemiology.
Second edition. Lippincott - Raven Publishers,
1998.
3. Bhopal R. Study design. University of Edinburgh.
4. NLM. An introduction to Clinical trials. U.S.
National Library of Medicine, 2004
5. Songer T. Study designs in epidemiological
research. In: South Asian Cardiovascular Research
Methodology Workshop. Aga-Khan and Pittsburgh
universities.

Thanks for your kind attention
and listening

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