Chapter 7

Introduction to Design of Experiments

(Main Reference: Stat 162 Experimental Designs 1 A Handbook of Slide

Presentation by CE Reano and RV Collado, INSTAT, UPLB)

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Experimental Research or Study
• The investigator intentionally manipulates one or more of the
independent variables and observe changes in the dependent
variable.
• Purpose: verify, falsify or establish the validity of a hypothesis.

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• An experiment can be classified as:
• 1. laboratory experiment
• 2. field experiment

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Issues on external validity of a laboratory
experiment
• Setting is very artificial
• Results obtained cannot be generalized to more complex situations
• Subjects in the experiment may be very different from the subjects in
the real world
• Investigator may not have much choice in the selection of his subjects
for not everyone will consent to submit himself to an experiment

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Definition of terms
• FACTOR
• An experimental variable of interest that potentially affects the response
variable

• LEVELS
• Pre-set quantity of a quantitative factor or categories of a factor under
study

• TREATMENT
• Different levels of the factor. If the experiment considers two factors, the
combination of the different levels of each factor are the treatments of the
experiment.
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Definition of terms
• RESPONSE VARIABLE
• Characteristic that is observed to measure the effect of a treatment

• EXPERIMENTAL UNIT (eu)

• Unit or group of units (experimental material or individual) to which a
single treatment is applied.
• For example, a leaf, a tree or a collection of adjacent trees may be an
experimental unit

• SAMPLING UNIT (su)

• Portion of the experimental unit on which the response variable is
observed or measured
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Definition of Terms
• REPLICATION
• number of times a treatment appears in the experiment
• repetition of the basic experiment or an independent repeat run of
each treatment

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• Example
• An experiment was conducted to test the effect of different watering rates
per day on the growth of a flowering plant planted in pots. Three
flowering plant in pots were used for each rate of watering per day
specified as 0.1, 0.5 and 1.0 liter per day.

• Identify the Factor(s), levels of the factor, experimental unit, response

variable, number of replications.
• Factor: watering rates per day
• Levels of the factor: 0.1, 0.5 and 1.0 liter per day
• Treatment: 0.1, 0.5 and 1.0 liter per day
• Experimental unit: flowering plant in a pot
• Response variable: growth of the plant
• Number of replications: three per treatment

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• Example: In an agricultural experiment using barley, the effects of various
commercial fertilizers and planting densities on yield were studied. Six
different commercial fertilizers were used and the barley was planted in
three different densities. Seventy-two plots of uniform characteristic like
soil and drainage, were used for the study with four plots for each
treatment combination. The yield in kilogram per plot are then recorded.

• Factors: kind of commercial fertilizer and planting density

• Levels of factor A (fertilizer): 6 kinds say F1, F2, F3, F4, F5, F6
• Levels of factor B (plnating density): 3 types say A, B, C
• Treatments: 18 in all namely, F1_A, F1_B, F1_C, F2_A, F2_B, F2_C, …, F6_A,
F6_B, F6_C
• Experimental Unit: plot with barley
• Response variable: yield per plot measured in kilograms
• Number of replications: 4 plots per treatment
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Definition of terms
• EXPERIMENTAL ERROR
• Refers to the variation in the observed values of the response variable from
experimental units treated alike
• These variations are produced by a set of unknown factors beyond the control of
the experimenter.

• Sources of experimental error:

• Inherent variability (like genetic variability) of the experimental materials used
• Errors in experimentation (errors arising due to an equipment like a spring
balance which goes out of calibration due to continued use)
• Errors in observations and measurements (e.g. error due to observer’s fatigue)
• Combined effects of all extraneous uncontrolled factors (like influence of the
environment)
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Definition of terms
• SAMPLING ERROR
• Measure of variation among sampling units within an experimental
unit

• LAYOUT
• Refers to the final arrangement of treatment levels over the whole
experimental units to be used

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Steps for setting up an experiment
• Consider this problem:
• A company produces metal sheets and wants to improve the strength
of the sheets. The company determines that the strength of the
sheets is mainly determined by two key chemicals A and B that are
used in making the metal. The goal of the experiment is to study the
relationship between the amounts of these two chemicals and the
strength of the metal sheet.

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Steps for setting up an experiment
1. Determine the goals for the experiment. Formulate hypotheses if
possible.

2. Determine the response variable. It is the variable that is affected

by the other variables in the problem.

3. Determine the independent variables (factors). These are the ones

that can potentially affect the response variable.

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• Independent var could either be controlled, uncontrolled or remain
constant in the experiment

• Controlled – if they are intentionally varied by the experimenter; usually

called the independent variables of the study or the FACTORS in the
experiment

• Uncontrolled var – no control like temp, humidity that might affect the
strength of the metal

• Constant – remains the same throughout the expt like the type of metal
used

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Goal: to determine the relationship between the amount of chemicals A and B present in the metal and
the strength of the metal.

Controlled Variables

Amount of Chemical A Amount of Chemical B

Strength of the Metal (response or dependent variable)

temperature humidity

Other factors

Uncontrolled Variables

Figure 1.1.1. Experiment with Controlled and Uncontrolled Independent Variables.

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Steps for setting up an expt
• 4. For each factor of the experiment, choose the different LEVELS to be
used.
• The levels of the factor are the different values that the factor assumes
during the experiment.

• Ex. Levels of chemical A. You can choose 2, 3 or more levels.

• Ex. Suppose chem A has 2 levels (H and L) and chem B has 3 levels (H, M
and L), then the possible test runs or treatments of the expt are:
• Level of A: H H H L L L
HH, HM, HL, LH, LM, LL
• Level of B: H M L H M L

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Steps for setting up an expt
• 5. Choose a DESIGN for the experiment. Decisions has to be made including:
• Which of the test runs will be used? (all, half – which half, etc)
• Should any test runs be duplicated? If so, how many times?
• In what order should we make the test runs? Which should be done first, last?

• 6. Plan how to analyze the data with the intent of answering the questions in the
objectives or goals and try to imagine if the conclusions can answer the goals of
the study.

• 7. Run the experiment and collect the data.

• 8. Analyze the data and make conclusion and recommendations.
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Why need a good design?
• 1. We want to be sure that the data we collect is sufficient to answer
the questions asked in the goals.

• 2. The response variable varies from run to run – partly due to the
different values of the controlled variables and partly due to the
uncontrolled variables.

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Why need a good design?
• Need to set up our design in such a way that the variability in
response due to uncontrolled variables (sometimes called
experimental error) is not so great that it mask the effects of the
controlled variables.
• This allows for valid conclusions using statistical inference.

• 3. We want to design experiments that are efficient, that is, designs

where we can answer the questions of interest with a minimal
amount of data because of the expense associated with data
collection.
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Experimental design
• It involves the assignment of runs or TREATMENTS to the
EXPERIMENTAL UNITS (or the subjects on which the measurements
are made) and a thorough understanding of the analysis to be
performed once the data become available.

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Experimental design
• Designs are classified by their characteristics which may include
• 1. the number of factors
• 2. the types of factors
• categorical vs. numerical variable
• number of levels
• fixed vs random
• 3. type of randomization used, i.e., how the assignment of factor levels is
made.
• 4. replication structure, i.e., how many times each type of test run is
repeated.

• Note: It is possible to have more than one design for a particular problem.
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• Example

• A study wanted to determine the level of copper in water that affects

aquatic life. Daphnia, which are small aquatic animals will be used for
the study. They are the experimental units of the study, or the
subjects on which the measurements are made. The effect on three
levels of copper is examined.

• One possible design is to have separate chambers for each daphnia,

e.g., 30 chambers for 30 daphnia. Ten chambers are assigned to each
level of copper, hence the study has 10 replications.
• Another possible design is to have only six chambers. So each
chamber will have 5 daphnia. Then two chambers are assigned to
each level of copper.

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Some typical questions or goals that could be of
interest in a problem are:
• Determine whether there is a difference between the mean of the
response variable for the levels of a factor.
• Determine which factor influences the response variable the most.
• Determine a functional relationship between the factors
(independent variables) and the response variable.
• Determine how the factors relate to each other.
• Determine the settings for the factors that maximize or minimize the
response variable.

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Fixed Model
• Fixed Model – all factors of the experiment are fixed factors

• Fixed factor – when the levels of the factors are selected on purpose

• Ex. Compare the growth of flowering plants under three different

watering rates
• Factor – different watering rates: 0.1, 0.5 and 1.0 liter per day(fixed)

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Random Model
• Random Model – all factors of the experiment are random factors

• Random factor – when the levels of the factors tested are taken as a
random sample from a large population

• Example:
• Compare the growth of plants under randomly chosen farms
• Factor – farms (random)

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The three basic principles of experimental
designs:

• 1. Replication
• 2. Randomization
• 3. Local control (error control)

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Replication
• -number of times a treatment appears in the experiment
• -repetition of the basic experiment

• Functions:
• To provide an estimate of the experimental error
• To increase the precision of the estimates of the parameter
• To increase the scope of the experiment
• The number of replications depends upon many factors like the
homogeneity of experimental material, the number of treatments, the
degree of precision required etc.
• As a rough rule, the number of replications should provide at least 10 to 15
degrees of freedom for computing the experimental error variance.
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Randomization
• Method of allocating the treatments to the eu using some chance
mechanism such that eu’s are equally likely to be assigned to a treatment
• the order in which the individual runs of the experiment are to be
performed are also to be randomly determined

• Functions:
• To have a valid measure of experimental error
• To eliminate systematic bias in assigning the treatments to the
experimental units
• To satisfy the assumption of the independence of errors
• To minimize errors associated with experimental units that are adjacent in
space and time
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Local Control (error control)
• Refers to all practices or techniques used to minimize the experimental error

• means the control of all factors except the ones about which we are investigating.

• For example, if an experimental field is heterogeneous with respect to soil

fertility, then the field can be divided into smaller blocks such that plots within
each block tend to be more homogeneous. This kind of homogeneity of plots
(experiment units) ensures an unbiased comparison of treatment means.

• Makes the design more efficient making the test of significance more sensitive or
the test procedure more powerful

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