A Weighting Framework for Clusters as Confounders in Observational Studies
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arXiv
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| Autores principales: | , , |
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| Formato: | Preprint |
| Publicado: |
2026
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| _version_ | 1866917248909705216 |
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| author | Ben-Michael, Eli Feller, Avi Keele, Luke |
| author_facet | Ben-Michael, Eli Feller, Avi Keele, Luke |
| contents | When units in observational studies are clustered in groups, such as students in schools or patients in hospitals, researchers often address confounding by adjusting for cluster-level covariates or cluster membership. In this paper, we develop a unified weighting framework that clarifies how different estimation methods control two distinct sources of imbalance: global balance (differences between treated and control units across clusters) and local balance (differences within clusters). We show that inverse propensity score weighting (IPW) with a random effects propensity score model -- the current standard in the literature -- targets only global balance and constant level shifts across clusters, but imposes no constraints on local balance. We then present two approaches that target both forms of balance. First, hierarchical balancing weights directly control global and local balance through a constrained optimization problem. Second, building on the recently proposed Generalized Mundlak approach, we develop a novel Mundlak balancing weights estimator that adjusts for cluster-level sufficient statistics rather than cluster indicators; this approach can accommodate small clusters where all units are treated or untreated. Critically, these approaches rest on different assumptions: hierarchical balancing weights require only that treatment is ignorable given covariates and cluster membership, while Mundlak methods additionally require an exponential family structure. We then compare these methods in a simulation study and in two applications in education and health services research that exhibit very different cluster structures. |
| format | Preprint |
| id |
arxiv_https___arxiv_org_abs_2602_05041 |
| institution | arXiv |
| publishDate | 2026 |
| record_format | arxiv |
| spellingShingle | A Weighting Framework for Clusters as Confounders in Observational Studies Ben-Michael, Eli Feller, Avi Keele, Luke Methodology When units in observational studies are clustered in groups, such as students in schools or patients in hospitals, researchers often address confounding by adjusting for cluster-level covariates or cluster membership. In this paper, we develop a unified weighting framework that clarifies how different estimation methods control two distinct sources of imbalance: global balance (differences between treated and control units across clusters) and local balance (differences within clusters). We show that inverse propensity score weighting (IPW) with a random effects propensity score model -- the current standard in the literature -- targets only global balance and constant level shifts across clusters, but imposes no constraints on local balance. We then present two approaches that target both forms of balance. First, hierarchical balancing weights directly control global and local balance through a constrained optimization problem. Second, building on the recently proposed Generalized Mundlak approach, we develop a novel Mundlak balancing weights estimator that adjusts for cluster-level sufficient statistics rather than cluster indicators; this approach can accommodate small clusters where all units are treated or untreated. Critically, these approaches rest on different assumptions: hierarchical balancing weights require only that treatment is ignorable given covariates and cluster membership, while Mundlak methods additionally require an exponential family structure. We then compare these methods in a simulation study and in two applications in education and health services research that exhibit very different cluster structures. |
| title | A Weighting Framework for Clusters as Confounders in Observational Studies |
| topic | Methodology |
| url | https://arxiv.org/abs/2602.05041 |