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Identification and efficient estimation of compliance and network causal effects in cluster-randomized trials

整群随机试验中依从效应与网络因果效应的识别和有效估计

Treatment noncompliance is pervasive in infectious disease cluster-randomized trials. Although all individuals within a cluster are assigned the same treatment condition, the treatment uptake status may vary across individuals due to noncompliance. We propose a semiparametric framework to evaluate the individual compliance effect and network assignment effect within principal stratum exhibiting different patterns of noncompliance. The individual compliance effect captures…

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Estimating Heterogeneous Treatment Effects for Spatio-Temporal Causal Inference

时空因果推断中的异质性处理效应估计

Scholars from diverse fields increasingly rely on high-frequency spatio-temporal data. Yet, causal inference with these data remains challenging due to spatial spillover and temporal carryover effects. We develop methods to estimate heterogeneous treatment effects by allowing for arbitrary spatial and temporal causal dependencies. We focus on common settings where the treatment and outcomes are time-varying spatial point patterns and where moderators are either spatial or…

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Low-rank Covariate Balancing Estimators under Interference

存在单位间干扰时的低秩协变量平衡估计

A key methodological challenge in observational studies with interference between units is twofold: (1) each unit's outcome may depend on many others' treatments, and (2) treatment assignments may exhibit complex dependencies across units. We develop a general statistical framework for constructing robust causal effect estimators to address these challenges. We first show that, without restricting the patterns of interference, the standard inverse probability weighting (IPW)…

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Bipartite causal inference with interference, time series data, and a random network

具有干扰、时间序列数据与随机网络的二部因果推断

In bipartite causal inference with interference, interventional units might receive treatment or control, and they might affect the outcome of outcome units through their connections on a bipartite network. We study bipartite causal inference with interference based on observational data across time and a changing bipartite network. Under an exposure mapping framework, we define the immediate and carryover causal effects for each outcome unit, representing contrasts of…

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Spatial vertical regression for spatial panel data: Evaluating the effect of the Florentine tramway's first line on commercial vitality

空间面板数据的空间纵向回归:佛罗伦萨首条电车线对商业活力的影响

Synthetic control methods are commonly used in panel data settings to evaluate the effect of an intervention. In many of these cases, the treated and control units correspond to spatial units such as regions or neighborhoods. Our approach addresses the challenge of understanding how an intervention applied at specific locations influences the surrounding area. Traditional synthetic control applications may struggle with defining the effective area of impact, the extent of…

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Spatial causal inference in the presence of unmeasured confounding and interference

未测混杂与干扰并存时的空间因果推断

This manuscript unites causal inference and spatial statistics, presenting novel insights for causal inference in spatial data analysis, and drawing from tools in spatial statistics to estimate causal effects. We introduce spatial causal graphs to highlight that spatial confounding and interference can be entangled, in that investigating the presence of one can lead to wrongful conclusions in the presence of the other. Moreover, we show that spatial dependence in the…

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Spatiotemporal causal inference with arbitrary spillover and carryover effects: Airstrikes and insurgent violence in the Iraq War

允许任意溢出与延续效应的时空因果推断:伊拉克战争中的空袭与叛乱暴力

Social scientists now routinely draw on high-frequency, high-granularity ''microlevel'' data to estimate the causal effects of subnational interventions. To date, most researchers aggregate these data into panels, often tied to large-scale administrative units. This approach has two limitations. First, data (over)aggregation obscures valuable spatial and temporal information, heightening the risk of mistaken inferences. Second, existing panel approaches either ignore spatial…

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Causal Inference when Intervention Units and Outcome Units Differ

干预单位与结果单位不同时的因果推断

We study causal inference in settings characterized by interference with a bipartite structure. There are two distinct sets of units: intervention units to which an intervention can be applied and outcome units on which the outcome of interest can be measured. Outcome units may be affected by interventions on some, but not all, intervention units, as captured by a bipartite graph. Examples of this setting can be found in analyses of the impact of pollution abatement in…

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Effective treatment allocation strategies under partial interference

部分干扰下的有效处理分配策略

Interference occurs when the potential outcomes of a unit depend on the treatment of others. Interference can be highly heterogeneous, where treating certain individuals might have a larger effect on the population's overall outcome. A better understanding of how covariates explain this heterogeneity may lead to more effective interventions. In the presence of clusters of units, we assume that interference occurs within clusters but not across them. We define novel causal…

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Addressing selection bias in cluster randomized experiments via weighting

通过加权处理整群随机试验中的选择偏差

In cluster randomized experiments, individuals are often recruited after the cluster treatment assignment, and data are typically only available for the recruited sample. Post-randomization recruitment can lead to selection bias, inducing systematic differences between the overall and the recruited populations, and between the recruited intervention and control arms. In this setting, we define causal estimands for the overall and the recruited populations. We prove, under…

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Clarifying Selection Bias in Cluster Randomized Trials: Estimands and Estimation

厘清整群随机试验的选择偏差:目标参数与估计

In cluster randomized trials, patients are typically recruited after clusters are randomized, and the recruiters and patients may not be blinded to the assignment. This often leads to differential recruitment and consequently systematic differences in baseline characteristics of the recruited patients between intervention and control arms, inducing post-randomization selection bias. We rigorously define causal estimands in the presence of selection bias. We elucidate the…

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