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Inference for Treatment Effects Conditional on Generalized Principal Strata using Instrumental Variables

Yuehao Bai, Shunzhuang Huang, Sarah Moon, Andres Santos, Azeem M. Shaikh, Edward J. Vytlacil

arXiv 7 Nov 2024 · Econometrics

arXiv:2411.05220 · PDF · DOI · OpenAlex · Extracted main text

Abstract

We propose a general approach for inference for a broad class of treatment effect parameters in a setting of a discrete valued treatment and instrument with a general outcome variable. The class of parameters considered are those that can be expressed as the expectation of a function of the response type conditional on a generalized principal stratum. Here, the response type refers to the vector of potential outcomes and potential treatments, and a generalized principal stratum is a set of possible values for the response type. In addition to instrument exogeneity, the main substantive restriction imposed rules out certain values for the response types in the sense that they are assumed to occur with probability zero. It is shown through a series of examples that this framework includes a wide variety of parameters and assumptions that have been considered in the previous literature. A key result in our analysis is a characterization of the identified set for such parameters under these assumptions in terms of existence of a non-negative solution to linear systems of equations with a special structure. We propose methods for inference exploiting this special structure and recent results in Fang et al. (2023).

Citation extraction

48
references
126
in-text mentions
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distinct cited
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Most heavily cited references

The works this paper leans on most, across its whole bibliography — not restricted to papers in our corpus. Ranked by composite intensity, which combines how often a work is mentioned, how many sections mention it, and how much of that falls in the main text rather than the appendix.

ReferenceIntensityMentionsSectionsMain text
1Heckman, James J and Pinto, Rodrigo (2018) Unordered monotonicity1.000114100%
2Machado, Cecilia and Shaikh, Azeem M and Vytlacil, Edward J (2019) Instrumental variables and the sign of the average treatment effect self0.9285480%
3Cheng, Jing and Small, Dylan S (2006) Bounds on causal effects in three-arm trials with non-compliance0.8947371%
4Kline, Patrick and Walters, Christopher R (2016) Evaluating public programs with close substitutes: The case of Head Start0.87452100%
5Manski, Charles F (1997) Monotone treatment response0.87452100%
6Imbens, Guido W and Angrist, Joshua D (1994) Identification and estimation of local average treatment effects0.81142100%
7Fang, Zheng and Santos, Andres and Shaikh, Azeem M and Torgovitsky,… (2023) Inference for Large-Scale Linear Systems With Known Coefficients self0.76620545%
8Bai, Yuehao and Huang, Shunzhuang and Moon, Sarah and Shaikh, Azeem… (2024) On the Identifying Power of Generalized Monotonicity for Average Treatment Effects self0.73732100%
9Kirkeboen, Lars J. and Leuven, Edwin and Mogstad, Magne (2016) Field of Study, Earnings, and Self-Selection0.73732100%
10Bai, Yuehao and Huang, Shunzhuang and Tabord-Meehan, Max (2025) Sharp Testable Implications of Encouragement Designs self0.64422100%

Showing the top 10 of 48 scored citations.

Cited by, within the corpus

arXiv econ.EM papers that cite this one, ranked by how heavily they lean on it.

Citing paperIntensityMentionsSections
1Testing Exclusion and Shape Restrictions in Potential Outcomes Models0.64442
2Sharp Testable Implications of Encouragement Designs0.64422
3Bounds for within-household encouragement designs with interference0.51121
4Representativeness and Efficiency in Overidentified IV0.51121
5Identification in Multiple Treatment Models under Discrete Variation0.40511
6On the Identifying Power of Generalized Monotonicity for Average Treatment Effects0.40511
7Reasonable uncertainty: Confidence intervals in empirical Bayes discrimination detection0.40511
8Evaluating Counterfactual Policies Using Instruments0.40511
9On the falsification of instrumental variable models for heterogeneous treatment effects0.40511