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The causal impact of bail on case outcomes for indigent defendants in New York City 保释对纽约市贫困被告案件结果的因果影响
Pub Date : 2021-06-04 DOI: 10.1353/obs.2017.0007
K. Lum, Erwin Ma, M. Baiocchi
Abstract:It has long been observed that defendants who are subject to pre-trial detention are more likely to be convicted than those who are free while they await trial. However, until recently, much of the literature in this area was only correlative and not causal. Using an instrumental variable that represents judge severity, we apply near-far matching–a statistical methodology designed to assess causal relationships using observational data–to a dataset of criminal cases that were handled by the New York Legal Aid Society in 2015. We find a strong causal relationship between bail–an obstacle that prevents many from pre-trial release–and case outcome. Specifically, we find setting bail results in a 34% increase in the likelihood of conviction for the cases in our analysis. To our knowledge, this marks the first time matching methodology from the observational studies tradition has been applied to understand the relationship between money bail and the likelihood of conviction.
摘要:长期以来,人们一直观察到,在候审期间被羁押的被告比被羁押的被告更容易被定罪。然而,直到最近,这一领域的许多文献都只是相关的,而不是因果的。我们使用代表法官严厉程度的工具变量,对纽约法律援助协会(New York Legal Aid Society) 2015年处理的刑事案件数据集应用了近距离匹配(near-far matching)——一种旨在利用观察数据评估因果关系的统计方法。我们发现保释(一个阻碍许多人审前释放的障碍)与案件结果之间存在很强的因果关系。具体来说,我们发现在我们的分析中,保释会使案件定罪的可能性增加34%。据我们所知,这标志着观察研究传统的匹配方法首次被应用于理解保释金与定罪可能性之间的关系。
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引用次数: 1
Regression Discontinuity Designs as Local Randomized Experiments 局部随机实验中的回归不连续设计
Pub Date : 2021-06-04 DOI: 10.1353/obs.2017.0004
Alessandra Mattei, F. Mealli
Abstract:In the seminal paper from 1960, Thistlethwaite and Campbell (1960) introduce the key ideas underlying regression discontinuity (RD) designs, which, even if initially almost completely ignored, have then acted as a fuse of a blowing number of studies applying and extending RD designs starting from the late nineties. Building on the original idea by Thistlethwaite and Campbell (1960), RD designs have been often described as designs that lead to locally randomized experiments for units with a realized value of a so-called forcing variable falling around a pre-fixed threshold. We embrace this perspective, and in this discussion we offer our view on how the original proposal by Thistlethwaite and Campbell (1960) should be formalized. We introduce an explicit local overlap assumption for a subpopulation around the threshold, for which we re-formulate the Stable Unit Treatment Value Assumption (SUTVA), and provide a formal definition of the hypothetical experiment underlying RD designs, by invoking a local randomization assumption. A distinguishing feature of this approach is that it embeds RD designs in a framework that is fully consistent with the potential outcome approach to causal inference. We discuss how to select suitable subpopulation(s) around the threshold with adjustment for multiple comparisons, and how to draw inference for the causal estimands of interest in this framework. We illustrate our approach in a study concerning the effects of University grants on students’ dropout.
摘要:在1960年的开创性论文中,Thistlethwaite和Campbell(1960)介绍了回归不连续(RD)设计的关键思想,尽管最初几乎完全被忽视,但从90年代末开始,这些思想已经成为应用和扩展RD设计的大量研究的导火线。基于Thistlethwaite和Campbell(1960)的原始想法,RD设计通常被描述为导致局部随机实验的设计,这些实验的单位具有所谓的强制变量的实现值落在预先固定的阈值附近。我们接受这一观点,并在本讨论中提出了我们对Thistlethwaite和Campbell(1960)最初的建议应该如何形式化的看法。我们为阈值附近的子种群引入了一个明确的局部重叠假设,为此我们重新制定了稳定单位处理值假设(SUTVA),并通过调用局部随机化假设,为RD设计的假设实验提供了一个正式的定义。这种方法的一个显著特征是,它将RD设计嵌入到一个与因果推理的潜在结果方法完全一致的框架中。我们讨论了如何在阈值周围选择合适的亚群,并对多次比较进行调整,以及如何在该框架中对感兴趣的因果估计进行推断。我们在一项关于大学助学金对学生辍学影响的研究中说明了我们的方法。
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引用次数: 32
Regression Discontinuity Designs in the Econometrics Literature 计量经济学文献中的回归不连续设计
Pub Date : 2021-06-04 DOI: 10.1353/obs.2017.0003
G. Imbens
Abstract:Many decades after being introduced by Thistlewaite and Campbell (1960), regression discontinuity designs have become an important tool for causal inference in social sciences. Researchers have found the methods to be widely applicable in settings where eligibility or incentives for participation in programs is at least partially regulated. Alongside, and motivated by, the many studies applying regression discontinuity methods there have been a number of methodological studies improving our understanding, and implementation, of, these methods. Here I report on some of the recent advances in the econometrics literature.
摘要:在Thistlewaite和Campbell(1960)提出回归不连续设计几十年后,回归不连续性设计已成为社会科学中因果推理的重要工具。研究人员发现,这些方法广泛适用于参与项目的资格或激励措施至少部分受到监管的环境。除了应用回归不连续性方法的许多研究之外,还有许多方法论研究提高了我们对这些方法的理解和实施。在这里,我报告了计量经济学文献的一些最新进展。
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引用次数: 0
Book review of “Causality in a Social World” by Guanglei Hong 洪光磊《社会世界中的因果关系》书评
Pub Date : 2021-06-04 DOI: 10.1353/obs.2016.0001
K. Frank, G. Saw, Ran Xu
As the introduction of Guanglei Hong’s Causality in a Social World makes clear, this book would not be necessary if all treatments we wished to study had constant effects through simple mechanisms on independent individuals who were randomly assigned to treatments. While, such conditions may hold in some idealized agricultural settings, this is not the phenomenon we encounter in a social policy oriented world with human agency. In response, Hong presents a coherent theoretical and empirical framework for estimating causality when people choose their own treatments, when they encounter mediating and moderating effects of treatments and when they influence others’ choices and outcomes. The book is presented in four large sections: overview, moderation, mediation and spillover, with a chapter introducing the core ideas in each section (chapters 4, 7, 11 and 14 respectively). Beyond merely consolidating her own foundational work, the book is steeped in deep and historical statistical principles of sampling, propensity score analysis, mediation and moderation, and spill-over mechanisms. Ultimately, the book will mark a passageway from underlying statistical principles to a framework that may endure and expand beyond even what Hong anticipates.
正如洪光磊《社会世界中的因果关系》一书的引言所表明的那样,如果我们希望研究的所有治疗方法都通过简单的机制对随机分配到治疗组的独立个体产生持续的影响,那么这本书就没有必要了。虽然,这种情况在一些理想化的农业环境中可能存在,但这不是我们在一个以人类为主体的社会政策导向的世界中遇到的现象。作为回应,Hong提出了一个连贯的理论和经验框架,用于估计当人们选择自己的治疗时,当他们遇到治疗的中介和调节效应时,以及当他们影响他人的选择和结果时的因果关系。本书分为四大部分:概述、适度、调解和溢出,每一部分都有一章介绍核心思想(分别为第4、7、11和14章)。除了巩固她自己的基础工作,这本书是沉浸在抽样,倾向得分分析,调解和调节,溢出机制的深刻和历史统计原则。最终,这本书将标志着从基本的统计原理到一个框架的通道,这个框架甚至可能比洪的预期更持久和扩展。
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引用次数: 0
Potential for Bias Inflation with Grouped Data: A Comparison of Estimators and a Sensitivity Analysis Strategy 分组数据的偏差通货膨胀潜力:估计值与敏感性分析策略的比较
Pub Date : 2021-06-04 DOI: 10.1353/obs.2018.0016
M. Scott, Ronli Diakow, J. Hill, J. Middleton
Abstract:We are concerned with the unbiased estimation of a treatment effect in the context of non-experimental studies with grouped or multilevel data. When analyzing such data with this goal, practitioners typically include as many predictors (controls) as possible, in an attempt to satisfy ignorability of the treatment assignment. In the multilevel setting with two levels, there are two classes of potential confounders that one must consider, and attempts to satisfy ignorability conditional on just one set would lead to a different treatment effect estimator than attempts to satisfy the other (or both). The three estimators considered in this paper are so-called “within,” “between” and OLS estimators. We generate bounds on the potential differences in bias for these competing estimators to inform model selection. Our approach relies on a parametric model for grouped data and omitted confounders and establishes a framework for sensitivity analysis in the two-level modeling context. The method relies on information obtained from parameters estimated under a variety of multilevel model specifications. We characterize the strength of the confounding and corresponding bias using easily interpretable parameters and graphical displays. We apply this approach to data from a multinational educational evaluation study. We demonstrate the extent to which different treatment effect estimators may be robust to potential unobserved individual- and group-level confounding.
摘要:我们关注的是在分组或多级数据的非实验研究中对治疗效果的无偏估计。当以此为目标分析这些数据时,从业者通常会包括尽可能多的预测因素(对照),以满足治疗分配的可忽略性。在具有两个水平的多水平设置中,必须考虑两类潜在的混杂因素,并且试图满足仅一个集合的可忽略性将导致与试图满足另一个(或两者)不同的治疗效果估计量。本文考虑的三种估计量是所谓的“内部”、“之间”和OLS估计量。我们为这些竞争估计器生成潜在偏差的边界,以告知模型选择。我们的方法依赖于分组数据的参数模型和省略的混杂因素,并在两级建模环境中建立了敏感性分析框架。该方法依赖于从各种多级模型规范下估计的参数中获得的信息。我们使用易于解释的参数和图形显示来表征混杂的强度和相应的偏倚。我们将这种方法应用于一项跨国教育评估研究的数据。我们证明了不同的治疗效果估计量在多大程度上对潜在的未观察到的个体和群体水平的混杂因素具有稳健性。
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引用次数: 2
The Choice of Neighborhood in Regression Discontinuity Designs 回归不连续设计中邻域的选择
Pub Date : 2021-06-04 DOI: 10.1353/obs.2017.0002
M. D. Cattaneo, Cattaneo
The seminal paper of Thistlethwaite and Campbell (1960) is one of the greatest breakthroughs in program evaluation and causal inference for observational studies. The originally coined Regression-Discontinuity Analysis, and nowadays widely known as the Regression Discontinuity (RD) design, is likely the most credible and internally valid quantitative approach for the analysis and interpretation of non-experimental data. Early reviews and perspectives on RD designs include Cook (2008), Imbens and Lemieux (2008) and Lee and Lemieux (2010); see also Cattaneo and Escanciano (2017) for a contemporaneous edited volume with more recent overviews, discussions, and references. The key design feature in RD is that units have an observable running variable, score or index, and are assigned to treatment whenever this variable exceeds a known cutoff. Empirical work in RD designs seeks to compare the response of units just below the cutoff (control group) to the response of units just above (treatment group) to learn about the treatment effects of interest. It is by now generally recognized that the most important task in practice is to select the appropriate neighborhood near the cutoff, that is, to correctly determine which observations near the cutoff will be used. Localizing near the cutoff is crucial because empirical findings can be quite sensitive to which observations are included in the analysis. Several neighborhood selection methods have been developed in the literature depending on the goal (e.g., estimation, inference, falsification, graphical presentation), the underlying assumptions invoked (e.g., parametric specification, continuity/nonparametric specification, local randomization), the parameter of interest (e.g., sharp, fuzzy, kink), and even the specific design (e.g., single-cutoff, multi-cutoff, geographic). We offer a comprehensive discussion of both deprecated and modern neighborhood selection approaches available in the literature, following their historical as well as methodological evolution over the last decades. We focus on the prototypical case of a continuously distributed running variable for the most part, though we also discuss the discrete-valued case towards the end of the discussion. The bulk of the presentation focuses on neighborhood selection for estimation and inference, outlining different methods and approaches according to, roughly speaking, the size of a typical selected neighborhood in each case, going from the largest to smallest neighborhood. Figure 1 provides a heuristic summary, which we
Thistlethwaite和Campbell(1960)的开创性论文是观察性研究中程序评估和因果推断的最大突破之一。最初创造的回归不连续性分析,现在被广泛称为回归不连续(RD)设计,可能是分析和解释非实验数据的最可信和内部有效的定量方法。早期对RD设计的评论和观点包括Cook(2008)、Imbens和Lemieux(2008)以及Lee和Lemiux(2010);另请参见Cattaneo和Escanciano(2017),以获取同期编辑的卷,其中包含更新的概述、讨论和参考文献。RD的关键设计特征是,单元具有可观察的运行变量、分数或指数,并且每当该变量超过已知临界值时,就被分配给治疗。RD设计中的经验工作试图将刚好低于临界值的单位(对照组)的响应与刚好高于临界值的单元(治疗组)的反应进行比较,以了解感兴趣的治疗效果。到目前为止,人们普遍认为,实践中最重要的任务是在截止点附近选择合适的邻域,也就是说,正确地确定将使用截止点附近的哪些观测值。在截止点附近定位是至关重要的,因为经验发现对分析中包含的观察结果非常敏感。文献中已经开发了几种邻域选择方法,这些方法取决于目标(例如,估计、推断、伪造、图形表示)、调用的基本假设(例如,参数规范、连续性/非参数规范、局部随机化)、感兴趣的参数(例如,尖锐、模糊、扭结)、,甚至是特定的设计(例如,单截止、多截止、地理)。我们对文献中的废弃和现代邻域选择方法进行了全面的讨论,遵循了它们在过去几十年中的历史和方法论演变。我们在很大程度上关注连续分布运行变量的原型情况,尽管在讨论的最后我们也讨论了离散值情况。演示的大部分内容集中在用于估计和推断的邻域选择上,粗略地说,根据每种情况下典型选定邻域的大小,从最大邻域到最小邻域,概述了不同的方法和方法。图1提供了一个启发式总结,我们
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引用次数: 42
Statistical Criticism, Self-Criticism and the Scientific Method 统计批评、自我批评与科学方法
Pub Date : 2021-06-04 DOI: 10.1353/obs.2018.0007
D. Rindskopf
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引用次数: 0
Understanding Regression Discontinuity Designs As Observational Studies 将回归不连续性设计理解为观察性研究
Pub Date : 2021-06-04 DOI: 10.1353/obs.2017.0005
J. Sekhon, R. Titiunik
Thistlethwaite and Campbell (1960) proposed to use a “regression-discontinuity analysis” in settings where exposure to a treatment or intervention is determined by an observable score and a fixed cutoff. The type of setting they described, now widely known as the regression discontinuity (RD) design, is one where units receive a score, and a binary treatment is assigned according to a very specific rule. In the simplest case, all units whose score is above a known cutoff are assigned to the treatment condition, and all units whose score is below the cutoff are assigned to the control (i.e., absence of treatment) condition. Thistlethwaite and Campbell insightfully noted that, under appropriate assumptions, the discontinuity in the probability of treatment status induced by such an assignment rule could be leveraged to learn about the effect of the treatment at the cutoff. Their seminal contribution led to what is now one of the most rigorous non-experimental research designs across the social and biomedical sciences. See Cook (2008), Imbens and Lemieux (2008) and Lee and Lemieux (2010) for reviews, and the recent volume edited by Cattaneo and Escanciano (2017) for recent specific applications and methodological developments.
Thistlethwaite和Campbell(1960)提出,在接受治疗或干预的情况下,使用“回归不连续性分析”是由可观察的分数和固定的截止值决定的。他们描述的设置类型,现在被广泛称为回归不连续性(RD)设计,是一种单元获得分数,并根据非常具体的规则分配二元处理的设置。在最简单的情况下,将得分高于已知临界值的所有单元分配给治疗条件,将得分低于临界值的全部单元分配给对照(即不治疗)条件。Thistlethwaite和Campbell深刻地指出,在适当的假设下,可以利用这种分配规则引起的治疗状态概率的不连续性来了解截止时治疗的效果。他们的开创性贡献导致了现在社会科学和生物医学领域最严格的非实验研究设计之一。参见Cook(2008)、Imbens和Lemieux(2008)以及Lee和Lemiux(2010)的综述,以及Cattaneo和Escanciano(2017)编辑的最新一卷的最新具体应用和方法发展。
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引用次数: 18
The non-zero mean SIMEX: Improving estimation in the face of measurement error 非零均值SIMEX:面对测量误差改进估计
Pub Date : 2021-06-04 DOI: 10.1353/obs.2015.0005
Nabila Parveen, E. Moodie, B. Brenner
Abstract:The simulation extrapolation method developed by Cook and Stefanski (1995) is a simulation based technique for estimating and reducing bias due to additive measurement error armed only with knowledge of the variance of the measurement error distribution. However there are many instances in which validation data are not available, and measurement error is known not to have mean zero. For example, in assessing phylogenetic cluster size of HIV viruses, cluster size is systematically underestimated since clustering can only be performed on the viruses of those individuals who have presented for testing. In this setting, it is not possible to obtain validation data; however, using knowledge gleaned from the literature, the distribution of the errors may be estimated. In this work, we extend the simulation extrapolation procedure to accommodate errors with non-zero means, motivated by an interest in determining behavioural correlates of HIV phylogenetic cluster size. We provide theoretical justification for the generalization to the non-zero mean measurement error case, proving its consistency and demonstrating its performance via simulation. We then apply the result to data from a the province of Quebec in Canada to show that findings from a naïve analysis are robust to a substantial range of possible measurement error distributions.
摘要:Cook和Stefanski(1995)开发的模拟外推方法是一种基于模拟的技术,用于估计和减少由于附加测量误差引起的偏差,只需了解测量误差分布的方差。然而,在许多情况下,验证数据不可用,并且已知测量误差不为零。例如,在评估HIV病毒的系统发育簇大小时,簇大小被系统地低估了,因为只能对那些提交测试的个体的病毒进行聚类。在此设置中,无法获取验证数据;然而,使用从文献中收集的知识,可以估计误差的分布。在这项工作中,我们扩展了模拟外推程序,以适应非零均值的误差,这是出于对确定HIV系统发育簇大小的行为相关性的兴趣。我们为推广到非零平均测量误差情况提供了理论依据,证明了其一致性,并通过仿真证明了其性能。然后,我们将结果应用于加拿大魁北克省的数据,以表明天真分析的结果对大量可能的测量误差分布是稳健的。
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引用次数: 3
Observational Studies and Study Designs: An Epidemiologic Perspective 观察性研究和研究设计:一个流行病学的视角
Pub Date : 2021-06-04 DOI: 10.1353/obs.2015.0025
T. J. Vander Weele
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引用次数: 0
期刊
Observational studies
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