提出新方法精准计算临床预测模型最小样本量,避免过拟合。
Sample Size Calculations for Developing Clinical Prediction Models: Overview and pmsims R package
- 用模拟+学习曲线+优化算法动态估算所需样本
- 不同方法下样本需求差异大,新方法更稳定可靠
- 适合开发医疗模型的研究者使用,支持自定义指标
临床预测模型在医疗决策中日益重要,但其开发所需的最小样本量仍是一个关键且未解决的挑战。样本量不足会导致过拟合、泛化能力差和预测偏差。现有方法如经验法则、解析公式和基于模拟的方法,在复杂数据结构和机器学习模型上灵活性与准确性不一。本文综述了当前预测建模中的样本量估计方法,提出一个区分均值型与保障型标准的概念框架。在此基础上,设计了一种新型基于模拟的方法,结合学习曲线、高斯过程优化和保障原则,识别出以高概率达成目标性能所需的样本量。该方法已实现为开源、模型无关的R包pmsims。案例研究显示,不同方法、性能指标和建模策略下的样本量估算结果差异显著。相比现有工具,pmsims提供灵活、高效且可解释的解决方案,能适应多种模型和用户自定义指标,并明确考虑模型性能的变异性。本研究的框架与软件提升了临床预测建模的样本量方法,兼具灵活性与计算效率。未来工作应拓展至分层与多模态数据,纳入公平性与稳定性指标,并应对缺失数据和复杂依赖结构等挑战。
原文摘要 · Abstract (English)
Background: Clinical prediction models are increasingly used to inform healthcare decisions, but determining the minimum sample size for their development remains a critical and unresolved challenge. Inadequate sample sizes can lead to overfitting, poor generalisability, and biased predictions. Existing approaches, such as heuristic rules, closed-form formulas, and simulation-based methods, vary in flexibility and accuracy, particularly for complex data structures and machine learning models. Methods: We review current methodologies for sample size estimation in prediction modelling and introduce a conceptual framework that distinguishes between mean-based and assurance-based criteria. Building on this, we propose a novel simulation-based approach that integrates learning curves, Gaussian Process optimisation, and assurance principles to identify sample sizes that achieve target performance with high probability. This approach is implemented in pmsims, an open-source, model-agnostic R package. Results: Through case studies, we demonstrate that sample size estimates vary substantially across methods, performance metrics, and modelling strategies. Compared to existing tools, pmsims provides flexible, efficient, and interpretable solutions that accommodate diverse models and user-defined metrics while explicitly accounting for variability in model performance. Conclusions: Our framework and software advance sample size methodology for clinical prediction modelling by combining flexibility with computational efficiency. Future work should extend these methods to hierarchical and multimodal data, incorporate fairness and stability metrics, and address challenges such as missing data and complex dependency structures.
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