Understanding the Different Units of Randomization in Research Design

1. Choosing the level of randomization Module 4.2

2. Unit of Randomization: Individual?

3. Unit of Randomization: Individual?

4. Unit of Randomization: Cluster?

5. Unit of Randomization: Which Cluster?

6. Unit of Randomization: Class?

7. Unit of Randomization: Class?

8. Unit of Randomization: Class?

9. Unit of Randomization: School?

10. Steps in individual level randomization

11. Steps in individual level randomization

12. Steps in group level randomization

13. Steps in group level randomization

14. Considerations for level of randomization Unit of measurement Feasibility and fairness Spillovers Attrition Compliance Statistical power Clustering on the ground

15. Measurement and unit of randomization Randomization cannot take place at a lower level than our outcome is measured Outcome is quality of school building, cant randomize at level of class, teacher, or child Outcome is election of MP from a minority group, cant randomize at level lower than MP constituency Note if our outcome is self reported voting for a minority candidate then can randomize individually

16. Feasibility and unit of randomization Usually randomization is at the level at which the program is implemented Community health program is randomized by community School improvement program is randomized by school Randomizing below this level means changing how program implemented Eg nutritional supplement program normally done by school but randomized by individual has to keep track of which children are treatment, adding to cost of program

17. Political feasibility and perceived fairness Randomizing at a higher level can make randomization be perceived as fair Important to understand what is seen as fair in a given context It may seem fair that some schools are selected for a pilot program, if schools have a fair (random) chance of being selected for the pilot Providing some individual students with a program and excluding others within a school may be seen as less fair

18. Spillovers When a program changes outcomes for those not directly participating we call this impacts spillovers Physical spillovers a farmer draws water from an aquifer and there is less for others (negative spillover) Behavioral spillovers if some children go to school more this may encourage others to go (positive spillover) Informational if one mother learns the benefits of breastfeeding she may tell her friends (positive spillover) Market or general equilibrium If some firms reduce cost of production and price this may affect the price other firms can charge for their product (negative spillover)

19. Spillovers and randomization unit Spillovers mean outcomes for the comparison groups may be impacted by the program The comparison group is no longer a good counterfactual Q: if positive benefits of the program spillover to the comparison group, will this lead to an under or over estimate of program impact?

20. Positive spillover bias true impact True impact = 3 months measured impact bias Measured impact = 2 months Bias = Measured impact True impact = - 1 month

21. Negative spillover bias true impact True impact = 3 months measured impact bias Measured impact = 2 months Bias = Measured impact True impact = - 1 month

22. Containing spillovers within treatment group Child given free meal at school will share with friends treatment comparison Spillovers (would have been comparison but are influenced by treatment) share with friends

23. Containing spillovers within treatment group Containing spillovers by randomizing at a higher level Child given free meal at school will share with friends Treatment child has no need to share with friends Comparison child has no lunch to share with friends Randomizing at level of school solves the problem treatment comparison friends

24. Creating a buffer to absorb spillovers We can randomize at the individual level if our sample individuals are far enough apart to avoid spillovers Farmers given new variety of rice, sample farmers live far from each other. Live on their farms so no obvious community to randomize by Not sampled

25. A design to measure spillovers We can randomize at a level where some of the comparison experience spillovers and some dont In our farmer example, farmers near treatment farmers are spillover farmers (purple), and can be compared to those near comparison farmers (green) The spillover effect is the difference in outcomes between these two groups (purple vs green farmers)

26. Example: deworming If a child is dewormed they are less likely to infect children in the neighborhood While most of the spillovers would occur within schools, but some children lived near those who went to neighboring schools Miguel and Kremer (2004) randomized at the school level but also measured outcomes in near by schools

27. Attrition and unit of randomization Attrition is when we cannot collect data on all our sample Usually attrition occurs when people move or are not at home when enumerators call If people feel a study is unfair they can refuse to cooperate, leading to attrition Sometimes providing benefits to some but not their neighbors is seen as unfair and can cause attrition It is important that randomization is seen as fair for many reasons, reducing attrition is one of them Randomizing at a higher level can help

28. Compliance and unit of randomization Full compliance is when all those in the treatment group get the program and all those in the comparison dont get it Low level randomization may lead to sharing which undermines compliance Example: iron supplements in Indonesia Iron supplements aimed at older people Only providing supplements to some in the family might lead to sharing with others, diluting effect Providing supplements to everyone in the family increased compliance Source: Thomas et al, 2006.

29. Compliance and unit of randomization Simple to implement designs achieve higher compliance Avoid having one person implement two versions of a program Example: adding health insurance to micro credit One microcredit officer serves 10 groups in an area If randomize some groups to be offered health insurance and some not, credit officer will need to keep straight who can apply for insurance and who cant May need to randomize at the credit officer level

30. Power and unit of randomization Statistical power is the ability to detect an effect of a given size Individual randomization gives more power than group randomization (for a given sample size) We get more information from 20 children individually randomized than from 20 children in two schools (one treatment and one comparison) We will return to this subject in much more detail Many factors push as to randomize at higher levels, power pushes us to randomize lower

31. Clustering on the ground Clusters by which we randomize must make sense on the ground Administrative boundaries do not always correspond to how people interact with each other People may cluster and interact in smaller groups than administrative neighborhoods or villages We can randomize by these natural neighborhoods and have more power than if we randomized by administrative neighborhood Or administrative neighborhoods may blend into each other with little real difference evident on the ground Risk that implementers may not know who is in treatment and who in comparison

32. Example: hamlets vs. villages in India Rural areas in India are divided into villages or panchayats, but in much of India a lot of social interaction happens within a hamlet Some interventions can be randomized by hamlet Hamlets Villages

33. Example: farmers in Western Kenya In some parts of Kenya people live on their farms and randomizing by administrative village may make little sense Some researchers have randomized farming programs by which school households send their children to as this may represent a more natural locus of interaction (Duflo, Kremer, Robinson, 2007) Villages Schools School related clusters