Why Compare Reference-Based Rules?
When trial participants discontinue the assigned treatment, their later outcomes are unobserved. A reference-based imputation rule specifies how those missing outcomes are predicted relative to outcomes in a reference arm. The rule matters because it encodes an assumption about what happens to the treatment benefit after discontinuation; it does not merely fill in an otherwise neutral blank.
Two common assumptions are jump to reference (J2R) and copy reference (CR). In a simple marginal-mean description, J2R predicts that the outcome mean moves to the reference-arm mean after discontinuation. CR instead retains the mean advantage already achieved on active treatment and applies the reference-arm mean change after discontinuation. They can therefore produce different imputed trajectories and different treatment-effect estimates, even when they use the same observed trial data.
These marginal rules are useful for seeing the assumptions clearly. In an actual reference-based multiple-imputation analysis, predictive distributions may also condition on baseline variables and observed outcome history, and must include appropriate uncertainty. The conditional model determines the precise predictions; the marginal formulas below are a transparent, hypothetical illustration of the contrast between assumptions.
Hypothetical Trial and Assumptions
Consider a randomized trial of 20 participants per arm with a continuous outcome measured at baseline and three follow-up visits. Higher values are better. All values below are hypothetical group means in outcome units. The control-arm means are 0 at baseline, then 2, 4, and 6 at visits 1, 2, and 3. In the active arm, 4 participants complete follow-up and have a visit-3 mean of 10. Eight participants discontinue after visit 1, when their mean is 6. Another 8 discontinue after visit 2, when their mean is 8. For the latter group, their visit-1 mean is also 6.
For this illustration, assume the reference-based marginal predictions are as follows: after dropout, J2R assigns a visit-3 mean of 6 to either dropout pattern; CR applies the control-arm change after each participant group’s last observed visit. The outcome is analyzed as a visit-3 mean difference, active minus control, with each randomized active-arm participant contributing either an observed or imputed visit-3 value. The control mean at visit 3 is 6. These assumptions make the arithmetic explicit; they are not universal predictions for every fitted conditional reference model.
| Active-arm pattern | Number | Last observed visit mean | Visit-3 observed or predicted mean |
|---|---|---|---|
| Completers | 4 | Observed through visit 3 | Observed mean 10 |
| Dropout after visit 1 | 8 | 6 at visit 1 | Imputed under J2R or CR |
| Dropout after visit 2 | 8 | 8 at visit 2 | Imputed under J2R or CR |
The calculation assumes these pattern counts and means are treated as fixed inputs to the worked example. In a real analysis, imputed values vary across imputations, parameter estimates are uncertain, and inferential uncertainty must be carried through using proper multiple-imputation procedures. The earlier material on proper MI variance and Rubin-rule inference addresses that inferential step.
Worked Example: Predicting the Visit-3 Means
Find the visit-3 imputed mean for each dropout pattern under J2R and CR. First, for the group dropping after visit 1, the control-arm change from visit 1 to visit 3 is \(6-2=4\) units.
Under J2R, the group’s visit-3 mean is the reference-arm visit-3 mean, 6. Under CR, the group retains its observed active-arm mean at dropout and receives the reference-arm change: $$ m_{A,3}^{\mathrm{CR}}=6+(6-2)=10. $$
For the group dropping after visit 2, the reference-arm change from visit 2 to visit 3 is \(6-4=2\) units. Its J2R prediction is again 6, while its CR prediction is $$ m_{A,3}^{\mathrm{CR}}=8+(6-4)=10. $$
Thus, both patterns have a J2R visit-3 predicted mean of 6 and a CR predicted mean of 10 under the stated marginal assumptions. The rules differ because CR carries forward the active-arm advantage at the last observed visit, whereas this J2R illustration sets the post-dropout mean to the reference-arm visit-3 mean.
From Predicted Trajectories to Treatment Effects
A trajectory comparison should be made before summarizing the endpoint effect. The control trajectory is \(0,2,4,6\). The observed active means for the two dropout patterns are \(6\) at visit 1 and \(6,8\) through visit 2; completers have a visit-3 mean of 10. Under J2R, post-dropout predictions move to reference means at the later visits. Under CR, they continue from each pattern’s last active mean by adding the corresponding reference-arm change. In this example, both CR patterns reach a visit-3 mean of 10.
At visit 3, the J2R active-arm mean is the weighted average of the observed completer mean and the imputed means for the two dropout patterns: $$ \widehat{\mu}_{A,3}^{\mathrm{J2R}} = \frac{4(10)+8(6)+8(6)}{20} = \frac{40+48+48}{20} = \frac{136}{20} = 6.8. $$ The treatment-effect estimate is therefore $$ \widehat{\Delta}_{3}^{\mathrm{J2R}} = \widehat{\mu}_{A,3}^{\mathrm{J2R}}-\widehat{\mu}_{C,3} = 6.8-6 = 0.8\text{ outcome units}. $$
Under CR, the observed completers have mean 10 and both dropout patterns have predicted means of 10: $$ \widehat{\mu}_{A,3}^{\mathrm{CR}} = \frac{4(10)+8(10)+8(10)}{20} = \frac{200}{20} = 10. $$ Therefore, $$ \widehat{\Delta}_{3}^{\mathrm{CR}} = 10-6 = 4.0\text{ outcome units}. $$ The CR estimate is \(4.0-0.8=3.2\) outcome units higher than the J2R estimate. This difference is driven by the different post-dropout predictions, not by any change in the observed completer outcomes or the control-arm mean.
Worked Example: Checking Each Pattern’s Contribution
A useful audit is to compute the active-arm endpoint total by pattern before dividing by the full randomized sample size. Under J2R, the completers contribute \(4(10)=40\); the early-dropout pattern contributes \(8(6)=48\); and the later-dropout pattern contributes another \(8(6)=48\). The total is \(40+48+48=136\), so the mean is \(136/20=6.8\).
Under CR, the contributions are \(4(10)=40\), \(8(10)=80\), and \(8(10)=80\). The total is \(40+80+80=200\), so the mean is \(200/20=10.0\). Subtracting the same control mean, 6, gives estimates of 0.8 and 4.0 outcome units, respectively.
This check makes the weighting explicit: the denominator is 20 because all randomized active-arm participants are represented in the endpoint mean. The 16 participants with missing visit-3 outcomes contribute through imputations rather than disappearing from the calculation.
Why the Rules Differ: A Short Derivation
Under the CR mean rule, the predicted post-dropout value at visit 3 can be rewritten as the reference endpoint mean plus the active-minus-reference difference at dropout: $$ m_{A,d}+\left(m_{C,3}-m_{C,d}\right) = m_{C,3}+\left(m_{A,d}-m_{C,d}\right). $$
The equality follows by adding and subtracting \(m_{C,d}\): the active mean at dropout is \(m_{C,d}+(m_{A,d}-m_{C,d})\). Adding the reference change \(m_{C,3}-m_{C,d}\) leaves \(m_{C,3}+(m_{A,d}-m_{C,d})\). Thus CR carries the dropout-time mean difference forward on the additive outcome scale. Here the difference at either dropout time is 4 units: at visit 1, \(6-2=4\); at visit 2, \(8-4=4\). The CR endpoint prediction is consequently \(6+4=10\) for each pattern. J2R, as specified for this example, instead predicts 6 at visit 3 without retaining that mean difference.
This derivation also identifies a substantive assumption. CR does not assert that participants remain on active treatment; it assumes that the mean difference accumulated by dropout persists while subsequent mean change follows the reference arm. J2R assumes that the post-dropout mean follows the reference level. Neither rule is established by the observed data alone.
Comparison, Diagnostics, and Limitations
| Feature | J2R in this example | CR in this example |
|---|---|---|
| Post-dropout mean rule | Use the reference-arm mean at the later visit | Keep the dropout-time active mean difference and add the reference change |
| Visit-3 prediction for either dropout pattern | 6 | 10 |
| Visit-3 active-minus-control estimate | 0.8 outcome units | 4.0 outcome units |
| Main interpretation | Post-dropout mean moves to the reference level | Mean advantage at dropout is retained as the reference trajectory continues |
These rules are alternatives to one another, and to other missing-data assumptions such as MAR-based imputation. They should not be treated as two estimators of a single uniquely identified treatment effect: their difference reflects different assumptions about unobserved outcomes. The result is a sensitivity comparison. It does not establish which missing-outcome model is correct.
Several checks can reveal when a calculation or model is going wrong:
- Check the dropout timing. A reference rule applies after dropout, not to observed active-treatment outcomes before it. Each pattern’s last observed visit determines the CR increment and the start of the post-dropout rule.
- Check reference changes by interval. For early dropout here, CR adds \(6-2=4\), not the later-interval change \(6-4=2\). For later dropout it adds 2.
- Plot observed and imputed trajectories. Look for unintended jumps, reversals, or implausible levels at dropout. A large gap between J2R and CR predictions is not automatically an error, but it deserves clinical interpretation.
- Check pattern counts and weights. The three active-arm pattern counts sum to \(4+8+8=20\). An incorrect denominator or duplicated participant changes the endpoint mean.
- Inspect predictive distributions, not just means. Implausible spread, impossible values, or strong dependence on a small reference arm may indicate unstable or unsuitable predictive models. A plausible mean alone does not validate the full imputation distribution.
A common mistake is to average only the observed completers and call that the treatment effect, or to replace every active-arm outcome—including observed pre-dropout outcomes—with a reference value. The first discards the missing patterns and changes the target population; the second applies the post-dropout rule too early. The correction is to retain observed data through each participant’s dropout time, impute only later missing outcomes under the chosen rule, and then combine observed and imputed outcomes with the correct pattern counts.
The simple marginal calculations have important limits. Real longitudinal analyses generally require conditional predictive distributions that respect correlations among repeated measures and incorporate parameter uncertainty. The CR arithmetic shown here is an additive mean-scale illustration; nonlinear outcome scales, changing treatment effects, covariate distributions, or departures from the assumed reference trajectory can alter the predictions. The J2R and CR labels alone do not specify every modeling detail, so an analysis must make its conditioning and distributional assumptions clear.
Worked Example: Changing the Dropout-Pattern Mix
Suppose a second hypothetical trial has 20 active-arm participants: 6 completers with a visit-3 mean of 10, and 14 participants who drop out and receive a J2R visit-3 prediction of 6. The control mean remains 6. The J2R active mean is $$ \widehat{\mu}_{A,3}^{\mathrm{J2R}} = \frac{6(10)+14(6)}{20} = \frac{60+84}{20} = 7.2, $$ so the active-minus-control estimate is \(7.2-6=1.2\) outcome units. If CR predicts 10 for all 14 missing outcomes, the active mean is \(\{6(10)+14(10)\}/20=10\), giving an estimate of \(10-6=4.0\) outcome units. The change in pattern proportions changes the J2R estimate, while the CR estimate in this particular setup remains 4.0 because every observed or imputed active mean equals 10. This is a direct consequence of the stated numbers, not a general invariance property of CR.
Check Your Understanding
Answer each question, then compare your reasoning with the solutions.
- For the early-dropout pattern, calculate the CR visit-3 prediction using the stated means.
- Under the original pattern counts, what is the J2R active-arm visit-3 mean? Show the weighted total and denominator.
- What are the J2R and CR active-minus-control estimates, and how many outcome units separate them?
- Why does CR use a different reference-arm increment for dropout after visit 1 than for dropout after visit 2?
- Does the larger CR estimate show that CR is the correct missing-outcome assumption? Explain.
Solutions. (1) The early group has observed mean 6 at visit 1, and the reference change from visit 1 to visit 3 is \(6-2=4\); its CR prediction is \(6+4=10\). (2) The weighted total is \(4(10)+8(6)+8(6)=40+48+48=136\), and \(136/20=6.8\). (3) The estimates are \(6.8-6=0.8\) under J2R and \(10-6=4.0\) under CR; their difference is \(4.0-0.8=3.2\) outcome units. (4) The reference change starts at the last observed visit: it is \(6-2=4\) after visit 1 and \(6-4=2\) after visit 2. (5) No. The higher estimate follows from CR’s assumption of retaining the dropout-time mean difference; observed data alone do not prove that assumption correct.