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Chapter 6

Causation and experimental

design

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•Identifying causes—figuring out why things happen—is the goal of most social science research.

•Unfortunately, valid explanations of the causes of social phenomena do not come easily.

•To determine which possibilities could contribute to the causes of something, we must design our research strategies carefully.

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Causal explanationCausal explanation

•A cause is an explanation for some characteristic, attitude, or behavior of groups, individuals, or other entities (such as families, organizations, or cities) or for events.

•Most social scientists seek causal explanations that reflect tests of the types of hypotheses with which you are familiar.

• The independent variable is the presumed cause, and the dependent variable is the potential effect.

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Causal effect:Causal effect: The finding that change in one variable leads to change in another variable, ceteris paribus (other things being equal).

Example: Individuals arrested for domestic assault tend to commit fewer subsequent assaults than similar individuals who are accused in the same circumstances but are not arrested.

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Five criteria should be considered in trying to establish a Five criteria should be considered in trying to establish a causal relationship.causal relationship.

• The first three criteria are generally considered as requirements for identifying a causal effect:

(1) empirical association(2) temporal priority of the independent variable(3) nonspuriousness.

• You must establish these three to claim a causal relationship.

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Evidence that meets the other two criteria can considerably Evidence that meets the other two criteria can considerably strengthen causal explanations.strengthen causal explanations.

(4) identifying a causal mechanism(5) specifying the context in which the effect occur

•Research designs that allow us to establish these criteria require careful planning, implementation, and analysis.

•Many times, researchers have to leave one or more of the criteria unmet and are left with some important doubts about the validity of their causal conclusions, or they may even avoid making any causal assertions.

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1.1. AssociationAssociation. An empirical (or observed) association between the independent and dependent variables is the first criterion for identifying a nomothetic causal effect.

We can determine whether an association exists between the independent and dependent variables in a true experiment because there are two or more groups that differ in terms of their value on the independent variable.

In nonexperimental research, the test for an association between the independent and dependent variables is like that used in experimental research—seeing whether values of cases that differ on the independent variable tend to differ in terms of the dependent variable.

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22. Time Order. Time Order.. Association is a necessary criterion for establishing a causal effect, but it is not sufficient.

We must also ensure that the variation in the dependent variable occurred after the variation in the independent variable. This is the criterion of time order.

Our research design determines our ability to determine time order.

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3. Nonspuriousness3. Nonspuriousness. This is another essential criterion for establishing the existence of a causal effect of an independent variable on a dependent variable; in some respects, it is the most important criterion.

We say that a relationship between two variables is not spurious when it is not due to variation in a third variable.

SpuriousSpurious. Nature of a presumed relationship between two variables that is actually due to variation in a third variable.

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4. A causal mechanism4. A causal mechanism is some process that creates the connection between variation in an independent

variable and the variation in the dependent variable it is hypothesized to cause.

5.5. Causal contextCausal context means that identification of the context in which a causal relationship occurs can help us to understand that relationship.

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Insert exhibit 6.1

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Why experiment?Why experiment?

• Experimental research provides the most powerful design for testing causal hypotheses because it allows us to confidently establish the first three criteria for causality— association, time order, and nonspuriousness.

• True experimentTrue experiment: Experiment in which subjects are assigned randomly to an experimental group that receives a treatment or other manipulation of the independent variable and a comparison group that does not receive the treatment or receives some other manipulation. Outcomes are measured in a posttest.

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•We can determine whether an association exists between the independent and dependent variables in a true experiment because two or more groups differ in terms of their value on the independent variable.

•One group receives some “treatment” that is a manipulation of the value of the independent variable.

•This group is termed the experimental group.experimental group.

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•In a simple experiment, there may be one other group that does not receive the treatment; it is termed the control group.control group.

•In an experiment, the groups that have been exposed to different treatments, or values of the independent variable, are called comparison groups.comparison groups.

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•All true experiments have a posttestposttest—that is, a measurement of the outcome in both groups after the experimental group has received the treatment.

• Many true experiments also have pretestspretests that measure the dependent variable before the experimental intervention.

•A pretest is exactly the same as a posttest, just administered at a different time.

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Insert exhibit 6.2

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•Randomization, or random assignmentRandomization, or random assignment, is what makes the comparison group in a true experiment such a powerful tool for identifying the effects of the treatment.

•The random assignment of subjects to experimental and comparison groups is not the same as random sampling of individuals from some larger population.

•What random assignment does—create two (or more) equivalent groups—is useful for ensuring internal validity, not generalizability.

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•MatchingMatching is another procedure sometimes used to equate experimental and comparison groups, but by itself it is a poor substitute for randomization.

•Matching of individuals in a treatment group with those in a comparison group might involve pairing persons on the basis of similarity of gender, age, year in school, or some other characteristic.

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Quasi-ExperimentsQuasi-Experiments

•Often, testing a hypothesis with a true experimental design is not feasible with a desired subjects and in the desiredsetting.

•Such a test may be too costly or take too long to carry out; it may not be ethical to randomly assign subjects to the different conditions; or it may be too late to do so.

•Researchers may instead use “quasi-experimental” designs that retain several components of experimental design but differ in important details.

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•A quasi-experimental designquasi-experimental design is one in which the comparison group is predetermined to be comparable to the treatment group in critical ways, such as being eligible for the same services or being in the same school cohort (Rossi & Freeman 1989:313).

•These research designs are only “quasi” experimental because subjects are not randomly assigned to the comparison and experimental groups.

•As a result, we cannot be as confident in the comparability of the groups as in true experimental designs.

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Types of quasi-experimental designsTypes of quasi-experimental designs

1.1. Nonequivalent control group designsNonequivalent control group designs. Nonequivalent control group designs have experimental and comparison groups that are designated before the treatment occurs and are not created by random assignment.

2. Before-and-after designs2. Before-and-after designs. Before-and-after designshave a pretest and posttest but no comparison group. In other words, the subjects exposed to the treatment serve, at an earlier time, as their own controls.

3. Ex post facto control group designs—These designs use

nonrandomized control groups designated after the fact.

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Nonequivalent control group designsNonequivalent control group designs

•In this type of quasi-experimental design, a comparison group is selected to be as comparable as possible to the treatment group.

•Two selection methods can be used: individual matching and aggregate matching.

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•In individual matchingindividual matching, individual cases in the treatment group are matched with similar individuals in the comparisongroup.

• In aggregate matchingaggregate matching, a comparison group is identifiedthat matches the treatment group in the aggregate rather than trying to match individual cases.

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Before-and-after designsBefore-and-after designs

•The common feature of before-and-after designs is the absence of a comparison group.

•Because all cases are exposed to the experimental treatment, the basis for comparison is provided by comparing the pretreatment to the posttest measures.

•These designs are thus useful for studies of interventions that are experienced by virtually every case in some population.

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Types of before-and-after designsTypes of before-and-after designs

1.1. Multiple group before-and-after designMultiple group before-and-after design.. In this design, several before-and-after comparisons are made involving the same variables but different groups.

2.2. Repeated measures panel designs.Repeated measures panel designs. These include several pretest and posttest observations.

3.3. Time series designsTime series designs. . These include many (preferably 30 or more) such observations in both pretest and posttest periods.

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Validity in experimentsValidity in experiments

•Like any research design, experimental designs must be evaluated in terms of their ability to yield valid conclusions.

•True experiments are particularly well suited to producing valid conclusions about causality (internal validity), but they are likely to fare less well in achieving generalizability.

•Quasi-experiments may provide more generalizable results than true experiments but are more prone to problems of internal invalidity

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Insert exhibit 6.6

Threats to internal validityThreats to internal validity

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Noncomparable groupsNoncomparable groups

• The problem of noncomparable groups occurs when the experimental group and the control group are not really comparable—that is, when something interferes with the two groups being essentially the same at the beginning (or end) of a study.

1. Selection bias. When characteristics of the experimental and comparison group subjects differ.

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2.2. MortalityMortality. Even when random assignment works as planned, the groups can become different over time because of mortality, or differential attrition; this can also be called “deselection.”

3.3. Instrument DecayInstrument Decay. Measurement instruments of all sorts wear out, producing different results for cases studied later in the research.

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Endogenous changeEndogenous change

• This occurs when the subjects develop or change during the experiment as part of an ongoing process independent of the experimental treatment.

1.1. TestingTesting. Taking the pretest can itself influence posttest scores.2.2. Maturation.Maturation. Changes in outcome scores during experiments

that involve a lengthy treatment period may be due to maturation. Subjects may age, gain experience, or grow

in knowledge.3.3. RegressionRegression. Subjects who are chosen for a study because

they received very low scores on a test may show improvement in the posttest, on average, simply because

some of the low scorers were having a bad day.

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• History, or external eventsHistory, or external events during the experiment (things that happen outside the experiment), could change subjects’ outcome scores. Examples are newsworthy eventsthat have to do with the focus of an experiment and major disasters to which subjects are exposed.

•ContaminationContamination occurs in an experiment when the comparison and treatment groups somehow affect each other. When comparison group members know they are being compared, they may increase their efforts just to be more competitive.

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• Treatment misidentification.Treatment misidentification. Variation in the independent variable (the treatment) is associated with variation in the observed outcome, but the change occurs through a process that the researcher has not identified.

• The following are three possible sources:

1. Expectancies of experiment staff2. Placebo effect3. Hawthorne effect

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GeneralizabilityGeneralizability

•The need for generalizable findings can be thought of as the Achilles heel of true experimental design.

•Sample Generalizability.Sample Generalizability. Subjects who can be recruited for a laboratory experiment, randomly assigned to a group, and kept under carefully controlled conditions for the duration of the study are unlikely to be a representative sample of any large population of interest to social scientists.

•Cross-Population Generalizability. Researchers often are interested in determining whether treatment effects identified in an experiment hold true across different populations, times, or settings.

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Interaction of testing and treatmentInteraction of testing and treatment

•A variant on the problem of external validity occurs when the experimental treatment has an effect only when particular conditions created by the experiment occur.

•One such problem occurs when the treatment has an effect only if subjects have had the pretest.

•The pretest sensitizes the subjects to some issue, so that when they are exposed to the treatment, they react in a way that differs from how they would have reacted had they not taken the pretest.

• In other words, testing and treatment interact to produce the outcome.

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Protection of subjectsProtection of subjects

•In spite of the ethical standard of “informed consent” by subjects, deception is an essential part of many experimental designs.

•As a result, contentious debate continues about theinterpretation of this standard.

•Deception.Deception. Deception is used in social experiments to create more “realistic” treatments, often within the confines of a laboratory.

•Deception occurs when subjects are misled about research procedures in order to determine how they would react to

the treatment if they were not research subjects.

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•One ethical issue that is somewhat unique to field experiments is the distribution of benefits:distribution of benefits: How much are subjects harmed by the way treatments are distributed in the experiment?

•Is it ethical to give some potentially advantageous or disadvantageous treatment to people on a random basis?