Stratified factorial experiments are widely used in industrial engineering, clinical trials, and social science to measure the joint effects of several factors on an outcome. Researchers often use a linear model and analysis of covariance to analyze experimental results; however, few studies have addressed the validity and robustness of the resulting inferences because assumptions for a linear model might not be justified by randomization. In this paper, we establish the finite-population joint central limit theorem for usual (unadjusted) factorial effect estimators in stratified $2^K$ factorial experiments. Our theorem is obtained under randomization-based inference framework, making use of an extension of the vector form of the Wald--Wolfowitz--Hoeffding theorem for a linear rank statistic. It is robust to model misspecification, arbitrary numbers of strata, stratum sizes, and propensity scores across strata. To improve the estimation and inference efficiency, we propose three covariate adjustment methods and show that under mild conditions, the resulting covariate-adjusted factorial effect estimators are consistent, jointly asymptotically normal, and generally more efficient than the unadjusted estimator. In addition, we propose Neyman-type conservative estimators for the asymptotic variances to facilitate valid inferences. Simulation studies demonstrate the benefits of covariate adjustment methods. Finally, we apply the proposed methods to analyze a real dataset from a clinical trial to evaluate the effects of the addition of bevacizumab and/or carboplatin on pathologic complete response rates in patients with stage II to III triple-negative breast cancer.
翻译:工业工程、临床试验和社会科学广泛采用分层因素实验来测量若干因素对结果产生的共同影响。研究人员经常使用线性模型和分析共变模型来分析实验结果;然而,很少有研究涉及由此推论的有效性和可靠性,因为随机化可能无法证明线性模型的假设是合理的。在本文中,我们为常规(未经调整的)因子值作用估计器(未经调整的)因子值效果设定了有限-人口联合中央限值值。在随机化的2 ⁇ K$因子值实验中,我们用随机化的临床推断框架获取了我们的方位,利用了Wald-Wolfowitz-Hoffinging 向导导线性等级统计的矢量形式扩展了Wald-Wolfowitz-Hoffing the 线性线性线性线性线性线性线性线性线性线性线性线性模型的延伸和稳性。为了提高估算和推算效率,我们提出了三种静态性调整方法,我们提议在温和评估条件下,由此导致的变异性调整后因因因素效果的内置变变变变变变变变变的内调结果,我们用调的内置的内置的内置方法,作为正常的内置的内置的内置系统化方法,用来显示的内置的内置的内置的内置的内置的内置的内置的内置的内置方法,作为的内置式的内置的内置的内置式调整结果的内置式的内置式的内置式的内置式的内置式的内置式的内置式的内置式的内置式的内置方法,作为演示的内置式的内置式的内置结果的内置结果。