Stratification and rerandomization are two well-known methods used in randomized experiments for balancing the baseline covariates. Renowned scholars in experimental design have recommended combining these two methods; however, limited studies have addressed the statistical properties of this combination. This paper proposes two rerandomization methods to be used in stratified randomized experiments, based on the overall and stratum-specific Mahalanobis distances. The first method is applicable for nearly arbitrary numbers of strata, strata sizes, and stratum-specific proportions of the treated units. The second method, which is generally more efficient than the first method, is suitable for situations in which the number of strata is fixed with their sizes tending to infinity. Under the randomization inference framework, we obtain the asymptotic distributions of estimators used in these methods and the formulas of variance reduction when compared to stratified randomization. Our analysis does not require any modeling assumption regarding the potential outcomes. Moreover, we provide asymptotically conservative variance estimators and confidence intervals for the average treatment effect. The advantages of the proposed methods are exhibited through an extensive simulation study and a real-data example.
翻译:分层和重新随机化是用于平衡基线共差的随机实验中两种众所周知的方法。实验设计中的知名学者建议将这两种方法结合起来;然而,有限的研究探讨了这种组合的统计特性。本文件建议了两种分层随机化实验中使用的重新分类方法,其依据是总体和分层特定马哈拉诺比的距离。第一种方法适用于被处理单位的分层、层大小和分层比例的几乎任意数字。第二种方法通常比第一种方法更有效率,适合于在结构大小趋向无限的情况下固定成层数的情况。在随机化推断框架内,我们从这些方法中使用的估算师的无序分布和差异减少公式中,与分层随机化相比,我们的分析并不要求就潜在结果作任何建模假设。此外,我们为平均治疗效果提供了尽可能保守的差异估计和信任间隔。拟议方法的优点是通过广泛的模拟研究和实例展示的。