The DOI matches its Crossref record; 46 of the 46 references it cites were found in a registry or an index.
Identification of Causal Effects Using Instrumental Variables
Abstract
We outline a framework for causal inference in settings where assignment to a binary treatment is ignorable, but compliance with the assignment is not perfect so that the receipt of treatment is nonignorable. To address the problems associated with comparing subjects by the ignorable assignment—an “intention-to-treat analysis”—we make use of instrumental variables, which have long been used by economists in the context of regression models with constant treatment effects. We show that the instrumental variables (IV) estimand can be embedded within the Rubin Causal Model (RCM) and that under some simple and easily interpretable assumptions, the IV estimand is the average causal effect for a subgroup of units, the compliers. Without these assumptions, the IV estimand is simply the ratio of intention-to-treat causal estimands with no interpretation as an average causal effect. The advantages of embedding the IV approach in the RCM are that it clarifies the nature of critical assumptions needed for a causal interpretation, and moreover allows us to consider sensitivity of the results to deviations from key assumptions in a straightforward manner. We apply our analysis to estimate the effect of veteran status in the Vietnam era on mortality, using the lottery number that assigned priority for the draft as an instrument, and we use our results to investigate the sensitivity of the conclusions to critical assumptions.
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In the citing paper
“Angrist et al. (1996) and Heckman and Vytlacil (2005) further refined this analysis by considering a variety of causal effect measures, each applicable to a special (albeit non-identifiable and transient) segment of the population.”
From Causal inference in statistics: An overview (2009) · cites this paper as Angrist et al. (1996)
In the citing paper
“the algebraic machinery offered by the counterfactual notation, Y x (u), once a problem is properly formalized, can be extremely powerful in refining assumptions (Angrist et al., 1996, Heckman andVytlacil, 2005), deriving consistent estimands (Robins, 1986), bounding probabilities of necessary and sufficient causation (Tian and Pearl, 2000), and combining data from experimental and nonexperimental”
From An Introduction to Causal Inference (2010) · cites this paper as Angrist et al., 1996
In the citing paper
“One analytical approach to accounting for incomplete adoption is to use Complier Average Causal Effect (commonly known as CACE) modeling (3, 9, 60).”
From An Overview of Research and Evaluation Designs for Dissemination and Implementation (2017) · cites this paper as [3]
In the citing paper
“IV analysis was first proposed a century ago and is an approach to causal inference that uses an IV, or “instrument” — which is related to the exposure but not the outcome of interest other than through its association with the exposure — to make causal effect estimates in the presence of unobserved confounding of the exposure and the outcome.”
From Mendelian randomization (2022) · cites this paper as [2]
In the citing paper
“When instrumental variable estimation is used to obtain effect estimates, a fourth assumption should then be stated: typically, an assumption of effect homogeneity53 or monotonicity.54”
From Strengthening the Reporting of Observational Studies in Epidemiology using Mendelian Randomisation (STROBE-MR): explanation and elaboration. (2021) · cites this paper as [54]
In the citing paper
“If the instrumental variable criteria are satisfied, the resulting estimator is consistent even in the presence of unmeasured confounding and reverse causation.”
From Network Mendelian randomization: using genetic variants as instrumental variables to investigate mediation in causal pathways. (2015) · cites this paper as [6]
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Metadata
- Authors
- Angrist, J. D., Imbens, G. W., & Rubin, D. B.
- Affiliations
- Massachusetts Institute of Technology (US)
- Harvard University (US)
- Venue
- Journal of the American Statistical Association
- Publisher
- Informa UK Limited
- Published
- 1996-06
- Volume
- 91
- Issue
- 434
- Pages
- 444-455
- ISSN
- 0162-1459 (ISSN-L)
- 1537-274X
- OpenAlex
- W3124658416
- Cited by
- 4,230
- References
- 46
- Citations by year
- 2026: 207 · 2025: 293 · 2024: 268 · 2023: 306 · 2022: 309 · 2021: 248 · 2020: 298 · 2019: 218 · 2018: 214 · 2017: 196 · 2016: 222 · 2015: 168 · 2014: 171 · 2013: 142 · 2012: 154
- FWCI
- 16.57
- Type
- journal article
- Language
- en
- Open access
- closed
- Locations
- Journal of the American Statistical Association (publishedVersion)
- Topics
- Physical Sciences › Mathematics › Statistics and Probability › Advanced Causal Inference Techniques
- Physical Sciences › Mathematics › Statistics and Probability › Statistical Methods and Bayesian Inference
- Physical Sciences › Mathematics › Statistics and Probability › Statistical Methods in Clinical Trials
- Keywords
- instrumental variables, causal inference, non-compliance, compliers, intention-to-treat analysis, potential outcomes, binary treatment, average causal effect, sensitivity analysis, draft lottery, veteran status, Vietnam War, mortality
About these checks
Registry, retraction, Cites and statistics results are computed, not judged, with one exception: a printed reference that no index lists is read once by a model before it counts as a citation error. Claims are extracted by a model and kept only when their quote appears verbatim in the text; each cited source is then checked, with a model’s help, for whether it says what the claim relies on. Those verdicts can be wrong — read the claim’s quote and the cited source before relying on one.
Statistics and arithmetic are recomputed, not judged.
Confidence bands are shown only for fields calibrated on our annotated test set. None is calibrated yet, so no band is shown.
What counts as a claim ›How we measure confidence ›How we check this ›
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