Randomization and Blocking

Randomization and Blocking in the Improve Phase - Six Sigma Black Belt Guide

Introduction to Randomization and Blocking

Randomization and blocking are two fundamental experimental design techniques used in the Improve phase of Six Sigma to control variability and increase the precision of experimental results. These methods help isolate the effects of process variables while minimizing the impact of nuisance factors.

Why Randomization and Blocking Are Important

Randomization is critical because it:

• Prevents bias in experimental assignments
• Ensures that unknown or uncontrolled factors are distributed evenly across treatment groups
• Allows for valid statistical inference and hypothesis testing
• Protects against confounding variables that could distort results
• Enables the use of parametric statistical tests that assume random sampling

Blocking is important because it:

• Reduces experimental error by accounting for known sources of variability
• Increases the sensitivity of the experiment to detect true treatment effects
• Improves precision by isolating nuisance factors into separate blocks
• Increases statistical power without requiring additional observations
• Makes experiments more efficient and cost-effective

What Is Randomization?

Randomization is the process of randomly assigning experimental units to different treatment levels or groups. This random assignment ensures that:

• Each experimental unit has an equal probability of receiving any treatment
• Differences between groups are due to treatment effects, not assignment bias
• Unknown confounding variables are balanced across groups on average

Example: If testing two different manufacturing processes (A and B), you would randomly assign production batches to each process rather than assigning the first 50 batches to Process A and the next 50 to Process B.

What Is Blocking?

Blocking is a technique where experimental units are grouped into homogeneous subsets (blocks) based on a known source of variability called a nuisance factor or blocking factor. Treatments are then applied within each block separately.

Key Concepts:

• Nuisance Factor: A variable that affects the response but is not the primary focus of the experiment
• Block: A group of experimental units that are similar with respect to the nuisance factor
• Within-Block Randomization: Treatments are randomly assigned within each block

Example: When testing a new assembly method, machine operator skill is a known source of variation. You would create blocks based on operator experience level (novice, intermediate, expert) and test both methods with each operator level. This controls for the operator factor rather than letting it create unexplained variation.

How Randomization Works

Steps for Implementing Randomization:

1. List all experimental units: Create a complete list of all items, samples, or observations to be used in the experiment
2. Assign identification numbers: Number each unit sequentially (1, 2, 3, etc.)
3. Generate random numbers: Use a random number generator, random number table, or statistical software to create a randomization scheme
4. Assign treatments: Based on the randomization, assign each unit to its designated treatment group
5. Conduct the experiment: Perform experiments in the randomized order to prevent systematic bias

Randomization Methods:

• Simple Randomization: Each unit has an equal chance of receiving any treatment
• Stratified Randomization: First divide units into strata, then randomize within each stratum
• Blocked Randomization: Ensures balanced treatment assignment within predefined blocks

How Blocking Works

Steps for Implementing Blocking:

1. Identify nuisance factors: Determine which known variables could affect the response but are not of primary interest
2. Define block levels: Decide how to group experimental units based on the nuisance factor (e.g., machine type, operator experience, batch date)
3. Create homogeneous blocks: Ensure units within each block are as similar as possible with respect to the nuisance factor
4. Assign treatments within blocks: Randomly assign treatments within each block separately
5. Conduct experiments: Run all treatments in each block to collect data
6. Analyze data: Use blocked analysis of variance (ANOVA) to account for block effects

Example of a Blocked Design: Testing a new welding technique across three machines:

• Block 1 (Machine 1): 5 units with old method, 5 units with new method
• Block 2 (Machine 2): 5 units with old method, 5 units with new method
• Block 3 (Machine 3): 5 units with old method, 5 units with new method

Machine-to-machine variation is now separated from the treatment effect, increasing experimental precision.

Randomization vs. Blocking: Key Differences

Aspect	Randomization	Blocking
Purpose	Control unknown confounding variables	Control known nuisance factors
Variable Type	Unknown sources of variation	Known sources of variation
Implementation	Randomly assign treatments	Group units, then randomize within groups
Effect	Distributes bias evenly	Removes systematic variation
Statistical Power	Enables valid inference	Increases sensitivity to detect effects

Common Misconceptions

Misconception 1: "Randomization and blocking are mutually exclusive."
Reality: They work together. You randomize within blocks to get the benefits of both techniques.

Misconception 2: "Blocking eliminates the need for randomization."
Reality: Blocking controls known factors, but randomization is still needed within blocks to control unknown factors.

Misconception 3: "More blocks always improve the experiment."
Reality: Blocks should be based on actual sources of variation. Too many unnecessary blocks reduce statistical power.

Practical Applications in Six Sigma

Manufacturing Process Improvement: Testing a new production method across multiple shift times (blocks) with random assignment of batches to old vs. new method within each shift.

Service Process Enhancement: Evaluating a new customer service script across different service channels (blocks) with random assignment of calls to representatives using old vs. new script.

Product Development: Testing different material suppliers (blocks) while randomly assigning parts to different manufacturing processes within each supplier block.

Exam Tips: Answering Questions on Randomization and Blocking

Tip 1: Understand the Distinction
Exam questions often test whether you can distinguish between randomization and blocking. Remember: randomization controls unknown factors; blocking controls known factors. If the question mentions a known source of variation, think blocking. If it emphasizes preventing bias from unidentified factors, think randomization.

Tip 2: Look for "Known" vs. "Unknown" Language
When reading exam questions, highlight keywords like "known variability," "nuisance factor," "identified source," or "background variable." These signal blocking. Words like "unknown factors," "potential bias," "confounding," or "unidentified variables" signal randomization.

Tip 3: Recognize Blocking Scenarios
Exam questions often present scenarios where blocking is appropriate:

• Testing across multiple machines, operators, or locations
• Multi-day or multi-shift experiments
• Supplier variation or batch effects
• Environmental or facility differences

In these cases, the correct answer usually involves creating blocks for each machine, operator, location, etc.

Tip 4: Identify Randomization Requirements
Questions asking about preventing bias, ensuring valid statistical inference, or controlling for unknown confounders are asking about randomization. The answer should involve randomly assigning treatments or randomly selecting the order of experimentation.

Tip 5: Recognize Combined Designs
Most realistic exam questions describe scenarios where both randomization and blocking should be used together. The correct answer often involves:

• Creating blocks based on known nuisance factors
• Randomly assigning treatments within each block
• Analyzing results using blocked ANOVA

Look for this combined approach when designing experiments.

Tip 6: Analyze Design Defects
Some exam questions present flawed experimental designs and ask you to identify problems. Common defects include:

• Missing randomization: Assigning first half to treatment A, second half to treatment B (introduces selection bias)
• Missing blocking: Not accounting for known variation sources, leading to inflated error variance
• Confounded blocking: Not randomizing within blocks, so treatment effects are confused with block effects

Practice spotting these errors.

Tip 7: Understand ANOVA Implications
Know how randomization and blocking affect ANOVA:

Completely Randomized Design: Uses one-way ANOVA; treatments randomly assigned to all units

Randomized Block Design: Uses two-way ANOVA; accounts for both treatment and block effects

Blocking reduces error variance, making treatment effects easier to detect

Questions may ask which ANOVA model to use based on the design; match the design type to the correct ANOVA.

Tip 8: Know Blocking Factor vs. Treatment Factor
Exam questions may ask you to identify which variable is the blocking factor and which is the treatment factor. Remember:

• Treatment factor: The variable the experimenter is actively testing (what changes by design)
• Blocking factor: The variable that affects response but isn't the focus (controlled to reduce noise)

The treatment factor is your independent variable of interest; the blocking factor is a control variable.

Tip 9: Calculate Block and Treatment Effects
Some exams require calculating or interpreting blocked designs. Be prepared to:

• Calculate overall means, block means, and treatment means
• Interpret sum of squares partitioned into total, blocks, treatments, and error
• Compare randomized vs. blocked designs in terms of error reduction

Practice calculating these values.

Tip 10: Write Clear Explanations
If the exam includes short-answer or essay questions, structure your response around this framework:

1. Identify the known sources of variation (suggest blocking for these)
2. Describe how to create blocks based on these factors
3. Explain randomization within each block
4. State the benefit: reduced error variance and increased sensitivity to detect treatment effects

Tip 11: Scenario-Based Questions
Prepare for scenario questions where you must recommend experimental design. Your response should include:

• Identification of the treatment factor being tested
• Identification of likely nuisance factors (blocking candidates)
• Description of how to randomize within blocks
• Why this design is superior to a simple randomized design

Tip 12: Common Exam Question Types
Type 1 - Identification: "Which of the following is a blocking factor in this experiment?"
Strategy: The blocking factor is the known source of variation that's not the main treatment. Look for factors like machine, operator, time, location, batch.

Type 2 - Design Recommendation: "How would you improve this experimental design?"
Strategy: Suggest blocking for known sources of variation you identify in the scenario and ensuring randomization within blocks.

Type 3 - Defect Identification: "What is wrong with this experimental design?"
Strategy: Look for missing randomization (selection bias) or missing blocking (uncontrolled known variation).

Type 4 - Statistical Analysis: "Which statistical test should be used?"
Strategy: If blocked design, suggest two-way ANOVA (one factor for treatments, one for blocks). If not blocked, suggest one-way ANOVA.

Tip 13: Remember the Goals
When answering any randomization or blocking question, keep these core goals in mind:

• Randomization Goal: Valid, unbiased inference (protection against unknown confounders)
• Blocking Goal: Precision and power (detecting true effects by controlling known variation)
• Combined Goal: Robust, sensitive, efficient experiments

If your answer achieves these goals, you're likely correct.

Tip 14: Use Visual Thinking
For complex scenarios, mentally map out the experimental structure:

• List treatments (what varies by design)
• List blocks (how units are grouped)
• Show randomization (how treatments are assigned within blocks)
• Identify what's controlled (block factor) and what's being tested (treatment factor)

This visual clarity helps you answer questions correctly.

Tip 15: Study Real Examples
Review actual case studies and examples from Six Sigma projects that used randomization and blocking. Be familiar with typical applications:

• Manufacturing: Machine, operator, time period, batch
• Service: Location, day of week, shift, customer type
• Product Development: Supplier, production line, environmental condition

Seeing these patterns helps you recognize them on the exam.

Summary

Randomization and blocking are essential tools in Six Sigma's Improve phase for designing robust experiments. Randomization protects against unknown confounding variables by randomly assigning treatments, ensuring valid statistical inference. Blocking increases experimental precision by controlling known sources of variation. The most powerful experimental designs use both techniques together: creating homogeneous blocks and randomly assigning treatments within each block. Master these concepts, recognize when each is appropriate, and understand their combined power to advance your Six Sigma expertise.