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J Thorac Cardiovasc Surg 2007;134:1128-1135
© 2007 The American Association for Thoracic Surgery


Surgery for Acquired Cardiovascular Disease

Propensity-score matching in the cardiovascular surgery literature from 2004 to 2006: A systematic review and suggestions for improvement

Peter C. Austin, PhD*

Institute for Clinical Evaluative Sciences, the Department of Public Health Sciences, University of Toronto, and the Department of Health Policy, Management and Evaluation, University of Toronto, Toronto, Ontario, Canada.

Received for publication April 16, 2007; accepted for publication July 31, 2007.

* Address for reprints: Peter C. Austin, PhD, Institute for Clinical Evaluative Sciences, G1 06, 2075 Bayview Ave, Toronto, Ontario M4N 3M5, Canada. (Email: peter.austin{at}ices.on.ca).


    Abstract
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
Objective: I conducted a systematic review of the use of propensity score matching in the cardiovascular surgery literature. I examined the adequacy of reporting and whether appropriate statistical methods were used.

Methods: I examined 60 articles published in the Annals of Thoracic Surgery, European Journal of Cardio-thoracic Surgery, Journal of Cardiovascular Surgery, and the Journal of Thoracic and Cardiovascular Surgery between January 1, 2004, and December 31, 2006.

Results: Thirty-one of the 60 studies did not provide adequate information on how the propensity score–matched pairs were formed. Eleven (18%) of studies did not report on whether matching on the propensity score balanced baseline characteristics between treated and untreated subjects in the matched sample. No studies used appropriate methods to compare baseline characteristics between treated and untreated subjects in the propensity score–matched sample. Eight (13%) of the 60 studies explicitly used statistical methods appropriate for the analysis of matched data when estimating the effect of treatment on the outcomes. Two studies used appropriate methods for some outcomes, but not for all outcomes. Thirty-nine (65%) studies explicitly used statistical methods that were inappropriate for matched-pairs data when estimating the effect of treatment on outcomes. Eleven studies did not report the statistical tests that were used to assess the statistical significance of the treatment effect.

Conclusions: Analysis of propensity score–matched samples tended to be poor in the cardiovascular surgery literature. Most statistical analyses ignored the matched nature of the sample. I provide suggestions for improving the reporting and analysis of studies that use propensity score matching.



    Introduction
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
Propensity score methods are increasingly being used to reduce the impact of treatment-selection bias in the estimation of causal treatment effects using observational data. The propensity score is a subject’s probability of receiving a specific treatment conditional on the observed covariates.1-3Go Matching on the propensity score allows one to balance measured variables between treated and untreated subjects.1,2,4Go However, matching on the propensity score can still result in unmeasured variables being imbalanced between treated and untreated subjects.5,6Go

There are three commonly used propensity score methods: covariate adjustment using the propensity score, stratification on the propensity score, and propensity score matching.7Go Earlier studies have shown that propensity score matching results in the comparison of treated and untreated subjects who are more similar than does stratification on the propensity score.6,7Go However, the analysis of a propensity score–matched sample requires statistical methods appropriate for matched data.

A recently published survey found that statistical errors were present in a high proportion of articles published in two medical journals.8Go A systematic review of articles that employed propensity-score matching and were published in the literature between 1996 and 2003 found that a high proportion of articles contained errors in the application of propensity-score matching.9Go Propensity score matching is frequently used in the cardiovascular surgery literature. The objective of the current study was twofold: first, to systematically examine the use of propensity score matching in the cardiovascular surgery literature; second, to provide recommendations to cardiovascular surgery researchers on the implementation of propensity score matching.


    Statistical Methods for Propensity Score–Matched Samples
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
There are 4 different steps in a propensity score–matched analysis. First, one must specify the propensity score model. Second, one must construct the propensity score–matched sample. Third, one must assess the degree to which matching on the propensity score has resulted in a matched sample in which the distribution of measured baseline variables is similar between treated and untreated subjects. Fourth, one must estimate the effect of the treatment or exposure on the outcomes under consideration. Each of these steps is described in the subsequent subsections.


    Specifying the Propensity Score Model
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
I briefly provide some guidance on specifying the propensity score model. Rosenbaum and Rubin1Go demonstrated that the propensity score is a balancing score: conditioning on the propensity score results in treated and untreated subjects having similar distributions of baseline variables. Ho and associates10Go refer to the propensity score tautology as the fact that one has correctly specified the propensity score model when matching on the propensity score results in a matched sample in which treated and untreated subjects have similar distributions of measured baseline variables. This reflects Rosenbaum and Rubin’s2Go use of an iterative process for specifying the propensity score. Recently, along with Grootendorst and Anderson, I6Go published an article on variable selection for propensity score models. I demonstrated that including variables that are related to exposure but that are independent of the outcome in the propensity score model can result in the formation of fewer matched pairs. This can result in less precise estimates of the treatment effect. Including only the confounders of the treatment–outcome relationship, or all the variables associated with the outcome, resulted in the formation of a greater number of matched pairs and more precise estimates of treatment effect. Furthermore, it was shown that the receiver operating characteristic curve area (c-statistic) of the propensity score model did not provide any information about whether important confounders had been omitted. I propose the following steps in specifying the propensity score model: First, derive a list of measured baseline variables that are likely related to exposure and/or the outcome. The variables in this list can be selected from reviews of the literature, from prior studies, and from expert opinion. Importantly, the list should only include variables measured at baseline, before exposure. The list should not include the outcome, nor should it include variables in the causal pathway. Second, derive an initial propensity score model by including all variables in the list as main effects. Third, assess whether matching on the propensity score results in a matched sample in which measured baseline variables are balanced between treated and untreated subjects. Fourth, in the event of imbalance, modify the propensity score, possibly by using methods described in more detail by Rosenbaum and Rubin.2Go The third and fourth steps can be repeated iteratively until the baseline variables are balanced between treated and untreated subjects. If the final propensity score model contains variables that are associated with treatment but that are independent of the outcome, then one can examine whether, by dropping these variables, one can form a larger number of propensity score–matched pairs without increasing systematic differences in prognostic variables between treated and untreated subjects.


    Propensity Score Matching
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
The propensity score is usually estimated by a logistic regression model in which treatment (yes/no; 1/0) is regressed on baseline characteristics. The estimated propensity score is then the predicted probability of exposure to the treatment from the logistic regression model. Once the propensity score has been estimated for each subject, treated and untreated subjects are matched on the propensity score. Typically, nearest neighbor matching within a specified caliper width is used. By this method, treated subjects are randomly sorted. Then, the first treated subject is matched to the untreated subject with the closest propensity score within a specified range (the caliper width). If no untreated subject has a propensity score that lies within a specified caliper width of the treated subject’s propensity score, then that treated subject is left unmatched and is not used in subsequent analyses. Matching without replacement is usually employed: once an untreated subject has been matched to a given treated subject, this untreated subject is no longer considered as a possible match for subsequent treated subjects. This process is then repeated until all possible matches have been formed. Because the propensity score is a probability, it takes on values that lie between 0 and 1. If two subjects have propensity scores of 0.12345678 and 0.12345123, then these subjects have propensity scores that match on the first five digits (0.12345). Another common approach is to attempt to match treated and untreated subjects on the first five digits of the propensity score. If no match is found for a specific treated subject, then matching is attempted on the first four digits. If no suitable untreated subject exists, then matches are attempted on the first three, first two, and finally, the first digit of the propensity score.11Go I refer to this method as 5->1 digit matching. A recent study found that matching on the logit of propensity score, using calipers of width 0.2 of the standard deviation of the logit of the propensity score, tended to have superior performance compared with other competing methods that are used in the medical literature. [Austin PC. The performance of different propensity-score matching methods used in the medical literature. Under review.]

The term "greedy matching" refers to any matching algorithm in which, at a specific step in the matching process, the nearest untreated subject is matched to the treated subject in question, even if that untreated subject would have been a better match for a subsequent treated subject.12Go The term "greedy" does not provide any information about the calipers that were used in the matching process. The alternative to using a "greedy" approach is to use an "optimal" matching strategy that makes matches so as to minimize a weighted average of the within-pair distance over all possible matches.12Go In the above, I have assumed matching without replacement. One can also use matching with replacement, in which an untreated subject can serve as a match for more than one treated subject. Thus, it is possible to have multiple matched pairs, each consisting of a different treated subject, but each consisting of the same untreated subject. When matching with replacement is used, statistical methods for estimating the treatment effect must take into account the lack of independence in outcomes for the same untreated subject that is contained in multiple matched sets. Throughout the remainder of the manuscript, I will assume that matching without replacement is being used.


    Statistical Methods for Assessing Balance
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
The propensity score is a balancing score: matching on the true propensity score results in a matched sample in which the distribution of each baseline characteristic is similar between treated and untreated subjects. In reality, except in controlled experiments, one does not know the true propensity score, and it must be estimated from the data. Ho and colleagues10Go refer to the propensity score tautology as the fact that one knows that one has properly specified the propensity score model when matching on the estimated propensity score balances baseline variables between treated and untreated subjects. Thus, an important component of any propensity score–matched analysis is comparing the balance in baseline variables between treated and untreated subjects.

There is clear consensus among statisticians as to the inappropriateness of using significance test to compare the distribution of baseline covariates between different arms of a randomized controlled trial.13-19Go Imai, King, and Stuart20Go have proposed two criteria for appropriate methods for comparing baseline variables between treated and untreated subjects in observational studies. First, because balance is a property of a sample, and not of a hypothetical super-population, the measure for assessing balance must be a property of the sample. Second, the method for assessing balance must not be influenced by the size of the sample. Both of these criteria rule out the use of significance testing for assessing balance in baseline variables between treated and untreated subjects. The second criterion is important, for if the method to assess balance were influenced by sample size, then the matched sample may appear to have better balance solely because of the reduction in sample size that results from matching. Several authors have proposed the use of standardized differences for assessing balance in observational studies.5,6,21,22Go The standardized difference is defined as follows:


Formula

where Formula and Formula are the mean of the variable among the treated and untreated subjects, respectively, while Formula and Formula are the sample standard deviation of covariate in the treated and untreated subjects, respectively. Ho and associates10Go describe other possible measures to assess balance, including quantile–quantile plots.


    Estimating the Treatment Effect
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
The need to account for the matched nature of the sample
The propensity score–matched sample was created by matching pairs of subjects with a similar propensity score. Therefore, treated and untreated subjects within the same matched pair have a similar propensity score. Thus, these treated and untreated subjects within the same matched pair have baseline variables that come from the same multivariate distribution.1Go Randomly chosen treated and untreated subjects are likely to differ systematically in their baseline variables. Hence, treated and untreated subjects within the same matched pair are, on average, more similar than two randomly selected treated and untreated subjects. Because outcomes are influenced by baseline characteristics (otherwise there would be no confounding), then outcomes are more similar within the matched pair than between randomly selected treated and untreated subjects. This within-pair homogeneity means that subjects within the same matched pair are not independent. Therefore, by construction, the propensity score–matched sample does not consist of independent observations. The need to account for matching in the statistical analyses is well described in the epidemiology literature.23,24Go

Statistical methods for estimating the treatment effect
The final analytic step is to estimate the effect of treatment on the outcomes. This must be done in a manner that accounts for the matched nature of the propensity score–matched sample. The statistical significance of the effect of exposure on continuous outcomes can be assessed by a paired t test25Go or the Wilcoxon signed rank test.26Go Proportions can be compared by the McNemar test for correlated binary proportions, or extensions thereof for categorical variables with more than two levels.27Go Agresti and Min28Go describe methods for estimating relative risks and odds ratios in matched samples and for constructing appropriate confidence intervals. Kaplan–Meier survival curves can be compared by a test described by Klein and Moeschberger.29Go As a brief description of this test, let D1 denote the number of matched pairs in which the treated subject experiences the event first, while D2 denotes the number of matched pairs in which the untreated subject experiences the event first. The test statistic is as follows:


Formula

which has a standard normal distribution under the null hypothesis and when the number of matched pairs is large (the matched pairs in which the smaller of the two times is a censored observation makes no contribution to the test statistic). The log–rank test, which assumes independent strata, is not appropriate for comparing survival curves in matched samples.29,30Go The standard Cox regression model is not appropriate for matched-pairs data, as it assumes independent samples.31Go However, for analyzing survival data, using a Cox proportional hazards models stratified on the matched pairs would be appropriate.32Go Another approach would be to use a Cox proportional hazards model with robust standard errors that account for the clustering in matched pairs.33Go Similarly, conventional logistic regression would not be appropriate.34Go However, for analyzing binary outcomes, conditional logistic regression or logistic regression models estimated using generalized estimating equation methods take into account the matched nature of the data can be used.35Go


    Survey of Propensity Score Matching in the Cardiovascular Surgery Literature
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
Identification of Published Articles Using Propensity Score Matching
I used a search strategy similar to that of a recently published systematic review of propensity score methods in the medical literature.36Go I used both PubMed and the Science Citation Index to identify studies that used propensity score matching. I identified studies that included the keyword propensity, using a keyword search in PubMed. I restricted my search to articles published between January 1, 2004, and December 31, 2006, in the following cardiovascular surgery journals: Annals of Thoracic Surgery, European Journal of Cardio-thoracic Surgery, Journal of Cardiovascular Surgery, Journal of Heart and Lung Transplant, and the Journal of Thoracic and Cardiovascular Surgery. Using the Science Citation Index, I also searched for articles that cited one of the important papers on propensity score methods.1,2,37-40Go The combined search identified 115 articles. I then examined these 115 articles and selected only those that used propensity score matching. The combined search strategy resulted in the identification of 60 studiesE1-E60Go that used propensity score matching in the following journals: Annals of Thoracic Surgery (31 articles), European Journal of Cardio-thoracic Surgery (9 articles), Journal of Cardiovascular Surgery (1 article), and the Journal of Thoracic and Cardiovascular Surgery (19 articles).

Abstraction of Analytic Methods in Propensity Score–Matched Samples
I abstracted the following information from each of the published articles:

1 The method by which propensity score–matched pairs were formed.
2 Whether the authors assessed the balance in baseline characteristics between treated and untreated subjects in the matched sample. When the authors compared balance of baseline variables between treated and untreated subjects, I examined the methods that the authors used.
3 The statistical methods used to assess the effect of treatment on the outcome, and whether this method was appropriate for matched-pairs data.


    Results of Systematic Review
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
I critically examined 60 articles published in the cardiovascular surgery literature between 2004 and 2006 that used propensity score matching. I report our results separately for each of the three items that were abstracted.


    Propensity Score Matching
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
Seventeen (28%) of the studies did not report the manner by which propensity score–matched pairs were formed. An additional 4 reported that greedy matching was used, and 10 stated that nearest neighbor matching was used. As noted earlier, the use of the term "greedy matching" does not provide any details about the required similarity of the propensity score between matched treated and untreated subjects. Similarly, the use of the term "nearest neighbor matching" is also uninformative, because it does not provide any details on the caliper widths that were used in the matching process. Taken to the extreme, if a caliper width was not used, then a matched untreated subject would be able to be found for each treated subject, because there is no specification that their propensity scores are required to be similar. In total, 31 (52%) of the studies did not provide adequate information about how the matching was done. This has important consequences in that it does not permit other researchers to reproduce the studies’ methods. Among studies that fully describe how matches were formed, 20 used 5->1 digit matching, 1 study matched on the logit of the propensity score using calipers of width 0.2 standard deviations of the logit of the propensity score, and other studies matched on the propensity score using the following calipers: 0.1 (1 study), 0.05 (2 studies), 0.02 (1 study), 0.015 (1 study), 0.01 (2 studies), and 0.001 (1 study).


    Assessing Balance Between Treated and Untreated Subjects
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
Eleven (18%) studies did not report whether matching on the propensity score resulted in a matched sample in which the distribution of baseline characteristics was similar between treated and untreated subjects. One additional study reported that balance was achieved, but did not report a table comparing the distribution of baseline characteristics between treated and untreated subjects in the matched sample. The remaining 48 studies (80%) reported a table in which the distribution of baseline characteristics was compared between treated and untreated subjects.

Of the 49 studies that reported comparing the distribution of baseline characteristics between treated and untreated subjects, 47 studies used statistical significance testing, 1 study relied on visual comparison, and 1 study did not report the methods that were used. Of the 47 studies that used statistical significance testing, 1 study explicitly stated that correct statistical methods were used for matched-pairs data,E28Go 35 (58%) studies explicitly used statistical hypothesis testing methods that did not incorporate the matched nature of the sample, and 1 study used appropriate statistical hypothesis tests for some variables but inappropriate statistical hypothesis tests for other variables. Ten studies did not report what statistical tests were used to compare the distribution of baseline characteristics between treated and untreated subjects—only significance levels were reported, but not the statistical tests used to obtain these significance levels. Importantly, none of the studies reported using appropriate methods for assessing balance in baseline variables between treated and untreated subjects. As discussed in the "Statistical Methods for Assessing Balance" section, statistical hypothesis testing (regardless of whether it accounts for the matched nature of the sample) is not appropriate for comparing baseline balance of measured covariates. No studies reported using standardized differences or other comparable methods.


    Estimating the Effect of Treatment or Exposure on the Outcome
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
Eight (13%) of the 60 articles explicitly stated that methods appropriate for the analysis of matched data were used in estimating the treatment effect and its statistical significance. These studies used McNemar’s test,E8Go regression models estimated generalized estimating equation methods to account for the matched-pairs nature of the sample,E16,E36,E39,E46Go Cox proportional hazards regression stratified on the matched pairs,E42Go and conditional logistic regression.E43,E54Go Two additional studies used methods appropriate for correlated data for some outcomes, but not for other outcomes.E33,E49Go

Thirty-nine (65%) studies explicitly used inappropriate statistical methods for assessing the statistical significance of the effect of treatment on the outcomes. Common errors included using the log–rank test to compare Kaplan–Meier survival curves in the matched sample, using Cox proportional hazards models in the matched sample, using logistic regression in the matched sample, using {chi}2 tests to compare proportions in the matched sample, and using Wilcoxon rank sum tests or standard t tests to compare continuous variables in the matched sample. Eleven studies did not describe the statistical methods that were used to compare the outcome between treated and untreated subjects.E5,E12,E14,E15,E19,E20,E22,E24,E28,E44,E45Go In general, these studies were comparing proportions, means, medians, or Kaplan–Meier survival curves between treated and untreated subjects.


    Discussion
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
The objective of the current study was to critically examine the use of propensity score matching in the cardiovascular surgery literature. None of the 60 studies compared the distribution of baseline variables between treated and untreated subjects in the matched sample and explicitly documented using appropriate statistical methods to assess whether measured characteristics were balanced between treated and untreated subjects in the matched sample. Eight (13%) of the 60 studies explicitly used appropriate statistical methods for all analyses examining the impact of treatment on outcomes. I make the following recommendations for the design, analysis, and reporting of studies that use propensity score matching. I summarize my recommendations for the implementation of propensity score matching in Table E1.


View this table:
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[in a new window]

 
Table E1 Components of a propensity score-matched analysis
 
Describing the Matching Method
The method by which the propensity score–matched pairs were formed should be explicitly described. This allows other researchers to replicate the study methods. It is insufficient to state that either "greedy" matching or "nearest neighbor" matching was used. If calipers of a fixed width were used, then this should be explicitly described. If 5->1 digit matching was used, then this should be stated explicitly. A recent study found that matching on the logit of the propensity score using calipers of width 0.2 of the standard deviation of the logit of the propensity score tended to have superior performance compared with other competing methods. [Austin PC. The performance of different propensity-score matching methods used in the medical literature. Under review.] Furthermore, this method also has stronger theoretical justification.41Go

Reporting the Balance of Baseline Variables Between Treated and Untreated Subjects in the Matched Sample
The CONSORT statement recommends that baseline demographic and clinical data be reported for each arm in a randomized controlled trial.42Go In a randomized controlled trial, reporting baseline characteristics in each arm of the study allows the reader to assess whether there was potentially a breakdown in randomization, since randomization should, on average, result in similar distributions of baseline variables between the different arms of the study. Although observational studies are, by definition, nonrandomized, matching on the propensity score allows one to balance measured baseline variables between treated and untreated subjects. Describing the balance in measured variables between treated and untreated subjects in the matched sample allows both the researcher and the reader to assess whether the propensity model was adequately specified.

Appropriate statistical methods should be used to compare the distribution of the baseline covariates between treated and untreated subjects. Statistical methods for assessing balance in baseline variables should not be affected by sample size and should reflect the fact that balance is a property of a sample and not refer to a super-population.20Go I encourage researchers to use standardized differences to compare distributions between treated and untreated subjects.6,7,21Go Unlike P values, the standardized difference is not confounded with sample size, and thus balance in the initial sample can be compared with that in the matched sample. It can also be used to compare the relative balance of variables measured in different units.

Some studies that use propensity score matching compare characteristics of matched treated subjects with those of unmatched treated subjects. This comparison can provide useful information on differences between treated patients who were used in estimating the treatment effect and the treated patients who were excluded from these analyses. These comparisons can provide useful clinical information and information on generalizability of the results. However, I do not consider the decision concerning their inclusion or exclusion to be a statistical one. Furthermore, their inclusion or exclusion does not affect the quality of statistical methods for assessing balance in measured variables between treated and untreated subjects in the matched sample and for estimating the significance of the treatment effect.

Statistical Methods for Estimating the Effect of Treatment on Outcomes
Researchers should explicitly report that methods appropriate for the analysis of matched data were used. In the section titled "Statistical Methods for Estimating the Treatment Effect," appropriate methods are described for estimating the treatment effect in propensity score–matched samples. Some researchers have used conditional logistic regression for the analysis of propensity score–matched samples. Whereas conditional logistic regression is appropriate for matched-pairs data, it has been shown to result in biased estimation of odds ratios when used in propensity score–matched samples43Go since propensity score methods allow one to estimate marginal treatment effects and not conditional treatment effects.44Go A marginal treatment effect is the average effect at the population level, whereas the conditional treatment effect is the average effect at the subject level. The odds ratio is not collapsible, meaning that the marginal treatment effect is different from the conditional treatment effect.45Go However, risk differences are collapsible, whereas the relative risk is collapsible under certain circumstances.45Go The use of conditional logistic regression is thus discouraged. Because the matched sample has reduced or eliminated systematic differences in measured variables between treated and untreated subjects, regression adjustment should rarely be needed. Researchers are encouraged to report risk differences or relative risks, rather than odds ratios. Agresti and Min28Go describe statistical methods for estimating relative risks and associated confidence intervals in matched data. When researchers want to adjust for possible residual baseline differences between treated and untreated subjects, regression methods that account for the matched nature of the sample should be incorporated. Appropriate statistical methods for different types of outcomes are summarized in Table E2, which appears online only.


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TABLE E2 Statistical methods for estimating treatment effect for different outcomes
 
Comparison of Propensity Score Matching With Other Propensity Score Methods
In the introduction, I stated that there were three commonly used propensity score methods: propensity score matching, stratification on the propensity score, and covariate adjustment using the propensity score. In this review, I have focused on propensity score matching. Propensity score matching may require more analytic steps than competing propensity score methods. However, there are several arguments for the use of propensity score matching. First, propensity score matching allows for the direct comparability of treated and untreated subjects in the matched sample. Both researchers and readers of the published research can assess the degree to which matching on the propensity score resulted in a matched sample in which systematic differences between treated and untreated subjects were reduced or eliminated. When stratification on the propensity score (usually the quintiles) is employed, balance must be assessed within each of the strata, requiring a more complex assessment of balance. Second, prior empirical and theoretical research that my colleagues and I6,7Go have published has demonstrated that propensity score matching tends to result in the elimination of a greater degree of the systematic differences between treated and untreated subjects than does stratification on the propensity score. Third, when covariate adjustment using the propensity score is employed, it is unclear how to assess whether the propensity score model has been correctly specified. With propensity score matching, one knows that the propensity score model has been adequately specified when matching on the estimated propensity score results in treated and untreated subjects having similar distributions of measured baseline variables. Fourth, with propensity score matching and, to a lesser extent, with stratification on the propensity score, one can directly assess the degree of overlap between treated and untreated subjects. This is less apparent when covariate adjustment using the propensity score is employed. Fifth, covariate adjustment using the propensity score is a model-based approach and thus requires the assumption that the outcomes model is correctly specified. Sixth, with covariate adjustment using the propensity score, one loses the ability to compute measures of effect such as risk differences or relative risks when examining the effect of exposures on binary outcomes. Seventh, sensitivity analyses for assessing the impact of potential unmeasured confounders on the treatment effect have been proposed for propensity score–matching methods.12Go

Limitations
There is a limitation to this current systematic review. First, the quality of articles employing propensity score matching was assessed using published articles in the cardiovascular surgery literature. It is possible that authors had provided greater details on the analyses and results, but that these were removed during the revision and editorial process. However, this limitation is tempered by the fact that 65% of the reviewed articles explicitly used statistical methods inappropriate for matched-pairs data when estimating the effect of treatment on the outcome. Furthermore, 47 (78%) of articles used statistical significance testing to compare differences in baseline variables between treated and untreated subjects in the matched sample, despite this not being appropriate. Most of the errors that were highlighted were errors of commission, rather than errors of omission.


    Conclusions
 Top
 Abstract
 Introduction
 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
 Survey of Propensity Score...
 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
 E-References (systematic review...
 
In conclusion, propensity score matching tended to be poorly implemented in the cardiovascular surgery literature. The majority of studies ignored the matched nature of the propensity score–matched sample in the subsequent analyses. I have provided suggestions for improving the analysis of propensity score–matched samples and for improving the reporting of these analyses.


    Footnotes
 
The Institute for Clinical Evaluative Sciences (ICES) is supported in part by a grant from the Ontario Ministry of Health and Long Term Care. The opinions, results and conclusions are those of the author and no endorsement by the Ministry of Health and Long-Term Care or by the Institute for Clinical Evaluative Sciences is intended or should be inferred. Dr Austin is supported in part by a New Investigator award from the Canadian Institutes of Health Research (CIHR).


    References
 Top
 Abstract
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 Statistical Methods for...
 Specifying the Propensity Score...
 Propensity Score Matching
 Statistical Methods for...
 Estimating the Treatment Effect
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 Estimating the Effect of...
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 Propensity Score Matching
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 Results of Systematic Review
 Propensity Score Matching
 Assessing Balance Between...
 Estimating the Effect of...
 Discussion
 Conclusions
 References
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M. Chiu, D. T. Ko, P. C. Austin, E. A. Cohen, J. L. Velianou, R. Goeree, G. Blackhouse, and J. V. Tu
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P. C. Austin
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