Doubly Flexible Estimation under Label Shift

In studies ranging from clinical medicine to policy research, complete data are usually available from a population $\mathscr{P}$, but the quantity of interest is often sought for a related but different population $\mathscr{Q}$ which only has partial data. In this paper, we consider the setting that both outcome $Y$ and covariate ${\bf X}$ are available from $\mathscr{P}$ whereas only ${\bf X}$ is available from $\mathscr{Q}$, under the so-called label shift assumption, i.e., the conditional distribution of ${\bf X}$ given $Y$ remains the same across the two populations. To estimate the parameter of interest in $\mathscr{Q}$ via leveraging the information from $\mathscr{P}$, the following three ingredients are essential: (a) the common conditional distribution of ${\bf X}$ given $Y$, (b) the regression model of $Y$ given ${\bf X}$ in $\mathscr{P}$, and (c) the density ratio of $Y$ between the two populations. We propose an estimation procedure that only needs standard nonparametric technique to approximate the conditional expectations with respect to (a), while by no means needs an estimate or model for (b) or (c); i.e., doubly flexible to the possible model misspecifications of both (b) and (c). This is conceptually different from the well-known doubly robust estimation in that, double robustness allows at most one model to be misspecified whereas our proposal can allow both (b) and (c) to be misspecified. This is of particular interest in our setting because estimating (c) is difficult, if not impossible, by virtue of the absence of the $Y$-data in $\mathscr{Q}$. Furthermore, even though the estimation of (b) is sometimes off-the-shelf, it can face curse of dimensionality or computational challenges. We develop the large sample theory for the proposed estimator, and examine its finite-sample performance through simulation studies as well as an application to the MIMIC-III database

Evaluation of Transplant Benefits with the Us Scientific Registry of Transplant Recipients by Semiparametric Regression of Mean Residual Life

Kidney transplantation is the most effective renal replacement therapy for end stage renal disease patients. With the severe shortage of kidney supplies and for the clinical effectiveness of transplantation, patient’s life expectancy posttransplantation is used to prioritize patients for transplantation; however, severe comorbidity conditions and old age are the most dominant factors that negatively impact posttransplantation life expectancy, effectively precluding sick or old patients from receiving transplants. It would be crucial to design objective measures to quantify the transplantation benefit by comparing the mean residual life with and without a transplant, after adjusting for comorbidity and demographic conditions. To address this urgent need, we propose a new class of semiparametric covariate-dependent mean residual life models. Our method estimates covariate effects semiparametrically efficiently and the mean residual life function nonparametrically, enabling us to predict the residual life increment potential for any given patient. Our method potentially leads to a more fair system that prioritizes patients who would have the largest residual life gains. Our analysis of the kidney transplant data from the U.S. Scientific Registry of Transplant Recipients also suggests that a single index of covariates summarize well the impacts of multiple covariates, which may facilitate interpretations of each covariate’s effect. Our subgroup analysis further disclosed inequalities in survival gains across groups defined by race, gender and insurance type (reflecting socioeconomic status)

Evaluation of transplant benefits with the U.S. Scientific Registry of Transplant Recipients by semiparametric regression of mean residual life

Kidney transplantation is the most effective renal replacement therapy for end stage renal disease patients. With the severe shortage of kidney supplies and for the clinical effectiveness of transplantation, patient's life expectancy post transplantation is used to prioritize patients for transplantation; however, severe comorbidity conditions and old age are the most dominant factors that negatively impact post-transplantation life expectancy, effectively precluding sick or old patients from receiving transplants. It would be crucial to design objective measures to quantify the transplantation benefit by comparing the mean residual life with and without a transplant, after adjusting for comorbidity and demographic conditions. To address this urgent need, we propose a new class of semiparametric covariate-dependent mean residual life models. Our method estimates covariate effects semiparametrically efficiently and the mean residual life function nonparametrically, enabling us to predict the residual life increment potential for any given patient. Our method potentially leads to a more fair system that prioritizes patients who would have the largest residual life gains. Our analysis of the kidney transplant data from the U.S. Scientific Registry of Transplant Recipients also suggests that a single index of covariates summarize well the impacts of multiple covariates, which may facilitate interpretations of each covariate's effect. Our subgroup analysis further disclosed inequalities in survival gains across groups defined by race, gender and insurance type (reflecting socioeconomic status).Comment: 68 pages, 13 figures. arXiv admin note: text overlap with arXiv:2011.0406

Observation of forbidden phonons and dark excitons by resonance Raman scattering in few-layer WS2_2

The optical properties of the two-dimensional (2D) crystals are dominated by tightly bound electron-hole pairs (excitons) and lattice vibration modes (phonons). The exciton-phonon interaction is fundamentally important to understand the optical properties of 2D materials and thus help develop emerging 2D crystal based optoelectronic devices. Here, we presented the excitonic resonant Raman scattering (RRS) spectra of few-layer WS$_2$ excited by 11 lasers lines covered all of A, B and C exciton transition energies at different sample temperatures from 4 to 300 K. As a result, we are not only able to probe the forbidden phonon modes unobserved in ordinary Raman scattering, but also can determine the bright and dark state fine structures of 1s A exciton. In particular, we also observed the quantum interference between low-energy discrete phonon and exciton continuum under resonant excitation. Our works pave a way to understand the exciton-phonon coupling and many-body effects in 2D materials.Comment: 14 pages, 11 figure

Anomalous Frequency Trends in MoS2 Thin Films Attributed to Surface Effects

The layered dichalcogenide MoS2 has many unique physical properties in low dimensions. Recent experimental Raman spectroscopies report an anomalous blue shift of the in-plane E2g1 mode with decreasing thickness, a trend that is not understood. Here, we combine experimental Raman scattering and theoretical studies to clarify and explain this trend. Special attention is given to understanding the surface effect on Raman frequencies by using a force constants model based on first-principles calculations. Surface effects refer to the larger Mo-S force constants at the surface of thin film MoS2, which results from a loss of neighbours in adjacent MoS2 layers. Without surface effects, the frequencies of both out-of-plane A1g and in-plane E2g1 modes decrease with decreasing thickness. However, the E2g1 mode blue shifts while the A1g mode red shifts once the surface effect is included, in agreement with the experiment. Our results show that competition between the thickness effect and the surface effect determines the mechanical properties of two-dimensional MoS2, which we believe applies to other layered materials

A Nested Semiparametric Method for Case-control study with missingness

We propose a nested semiparametric model to analyze a case-control study where genuine case status is missing for some individuals. The concept of a noncase is introduced to allow for the imputation of the missing genuine cases. The odds ratio parameter of the genuine cases compared to controls is of interest. The imputation procedure predicts the probability of being a genuine case compared to a noncase semiparametrically in a dimension reduction fashion. This procedure is flexible, and vastly generalizes the existing methods. We establish the root-n asymptotic normality of the odds ratio parameter estimator. Our method yields stable odds ratio parameter estimation owing to the application of an efficient semiparametric sufficient dimension reduction estimator. We conduct finite sample numerical simulations to illustrate the performance of our approach, and apply it to a dilated cardiomyopathy study