论文标题

使用阴性对照来识别具有无效仪器变量的因果效应

Using negative controls to identify causal effects with invalid instrumental variables

论文作者

Dukes, Oliver, Richardson, David B., Shahn, Zachary, Robins, James M., Tchetgen, Eric J. Tchetgen

论文摘要

许多关于因果效应的识别的建议都需要一个满足强,不可检验的不满意和排除限制假设的仪器变量。在本文中,我们展示了如何通过利用负面对照人群或结果来违反这些假设的因果关系。该策略允许人们利用暴露于堕胎的子选集,并要求仪器库存协会满足一定的平行趋势条件。我们为通用仪器变量模型开发了半参数效率理论,并获得了对该处理中平均治疗效应的多重稳健,局部有效的估计器。在模拟研究和生命跨度研究的分析中证明了估计量的效用。

Many proposals for the identification of causal effects require an instrumental variable that satisfies strong, untestable unconfoundedness and exclusion restriction assumptions. In this paper, we show how one can potentially identify causal effects under violations of these assumptions by harnessing a negative control population or outcome. This strategy allows one to leverage sub-populations for whom the exposure is degenerate, and requires that the instrument-outcome association satisfies a certain parallel trend condition. We develop the semiparametric efficiency theory for a general instrumental variable model, and obtain a multiply robust, locally efficient estimator of the average treatment effect in the treated. The utility of the estimators is demonstrated in simulation studies and an analysis of the Life Span Study.

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