Using cluster bootstrapping to analyze nested data with a few clusters
Open accessAbstract
Cluster randomized trials involving participants nested within intact treatment and control groups are commonly performed in various educational, psychological, and biomedical studies. However, recruiting and retaining intact groups present various practical, financial, and logistical challenges to evaluators and often, cluster randomized trials are performed with a low number of clusters (~20 groups). Although multilevel models are often used to analyze nested data, researchers may be concerned of potentially biased results due to having only a few groups under study. Cluster bootstrapping has been suggested as an alternative procedure when analyzing clustered data though it has seen very little use in educational and psychological studies. Using a Monte Carlo simulation that varied the number of clusters, average cluster size, and intraclass correlations, we compared standard errors using cluster bootstrapping with those derived using ordinary least squares regression and multilevel models. Results indicate that cluster bootstrapping, though more computationally demanding, can be used as an alternative procedure for the analysis of clustered data when treatment effects at the group level are of primary interest. Supplementary material showing how to perform cluster bootstrapped regressions using R is also provided.
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Huang showed that a version of a nonparametric bootstrap (cluster bootstrapping) may work well for cRCT data for studies with normally distributed data and designs with 10 or more clusters per treatment group.
“For small numbers of clusters in particular, Huang [26] showed that a version of a nonparametric bootstrap (cluster bootstrapping) may work well for cRCT data for studies with normally distributed data and designs with 10 or more clusters per treatment group.”
This study confirms Huang et al.'s observation that using bootstrap methods for cRCT should have at least 10 clusters per group to have a valid type I error rate.
“We have confirmed Huang et al.’s observation [26] that using bootstrap methods for cRCT should have at least 10 clusters per group to have a valid type I error rate.”
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“…for CST and IRF ± SRF using clustered bootstrap with 1000 replicates to estimate the bias corrected 95% confidence intervals for the area under the curve (AUC), and optimal thresholds for CST were selected based on maximising Youden’s index, defined as sensitivity + specificity – 1 [12, 13].”
MethodTang, Z., Wang, X., Ran, A. R., et al. (2024) · British Journal of Ophthalmology · doi:10.1136/bjo-2023-323871 · Cited by 8 · see citing works
Aydın, B., Algina, J. J., & Leite, W. L. (2018) · Behavior Research Methods · doi:10.3758/s13428-018-1080-1 · Cited by 8 · see citing works
“A relatively recent approach, cluster bootstrapping, has been shown to produce results similar to those of multilevel modeling (MLM), but the results are computationally demanding, especially within a Monte Carlo simulation study (Huang, 2016).”
ResultClientelism and ideological competition: the impact on ideological overlapping
Barreda, M., Felipe, P. O., & Rodríguez, L. M. R. (2023) · Journal of Elections Public Opinion and Parties · doi:10.1080/17457289.2023.2190120 · Cited by 7 · see citing works
“13 Bootstrapping provides di ff erent ways of calculating the con fi dence intervals for the parameters obtained in estimated models (Huang 2018).”
MethodHemming, K., Thompson, J. A., Kristunas, C., Forbes, A., Watson, S., Bowden, R. A., McKenzie, J. E., & Kasza, J. (2025) · Journal of Clinical Epidemiology · doi:10.1016/j.jclinepi.2025.111838 · Cited by 6 · see citing works
Chatterjee, A., Yousuf, A. N., Engelmann, R. M., et al. (2025) · Radiology Imaging Cancer · doi:10.1148/rycan.240156 · Cited by 6 · see citing works
Charnogursky, C. E., Gil, A. I., Ecker, L., et al. (2025) · Open Forum Infectious Diseases · doi:10.1093/ofid/ofaf157 · Cited by 6 · see citing works
“The bootstrap method for clustered data was used to construct the 95% CIs based on 2.5% and 97.5% quantiles from 5000 bootstrap samples [26].”
InfluentialWimmesberger, N., Allen, R., Fink, G., Först, G., Kern, W. V., Farin‐Glattacker, E., Rieg, S., the ID ROLL OUT Study group, Solzbach, U., Friedrich, H., et al. (2021) · Infectious Diseases and Therapy · doi:10.1007/s40121-021-00552-1 · Cited by 6 · see citing works
“Analysis of the Primary and Secondary Outcomes Even with a number of just ten clusters, multilevel modeling may result in unbiased estimations for the regression coefficients and standard errors [47].”
BackgroundBates, A., King, C., Dhar, M., Fitzpatrick, C., & Laven, R. A. (2022) · Journal of Dairy Science · doi:10.3168/jds.2021-21585 · Cited by 6 · see citing works
A mixed model approach to estimate the survivor average causal effect in cluster‐randomized trials
Wang, W., Tong, G., Hirani, S. P., Newman, S. P., Halpern, S. D., Small, D. S., Li, F., & Harhay, M. O. (2023) · Statistics in Medicine · doi:10.1002/sim.9939 · Cited by 6 · see citing works
“40,41 We randomly sample the treated clusters and the control clusters separately.”
MethodMultisite educational trials: estimating the effect size and its confidence intervals
Singh, A., Uwimpuhwe, G., Li, M., Einbeck, J., Higgins, S., & Kasim, A. (2021) · International Journal of Research & Method in Education · doi:10.1080/1743727x.2021.1882416 · Cited by 6 · see citing works
“However, bootstrapping in education trials requires further research to fully understand the implication of bootstrapping at the level of school or pupils in cluster or multisite randomized trials (Gehlbach et al. 2016; Huang 2018).”
MethodCommon odds ratio test and interval estimation for stratified bilateral and unilateral data
Hua, S., & Ma, C. (2024) · Statistical Methods in Medical Research · doi:10.1177/09622802241267357 · Cited by 5 · see citing works
“For example, cluster bootstrapping, 8,9 though computationally intensive, provides robust standard error and point estimates when dealing with correlated data.”
Multiply robust generalized estimating equations for cluster randomized trials with missing outcomes
Rabideau, D. J., Li, F., & Wang, R. (2024) · Statistics in Medicine · doi:10.1002/sim.10027 · Cited by 5 · see citing works
“…procedure, we resampled entire clusters separately within each randomized group (ie, resampled K ∕ 2 clusters in the treatment arm with replacement and resampled K ∕ 2 clusters in the control group with replacement) to maintain an equal number of clusters per arm across every bootstrap replicate.”
MethodRamírez, N. F., & Hippe, D. S. (2024) · Infant Behavior and Development · doi:10.1016/j.infbeh.2024.101943 · Cited by 6 · see citing works
Sadinski, L. M., Westreich, D., Edmonds, A., Breger, T., Cole, S., Ramirez, C., Brown, T., Ofotokun, I., Konkle-Parker, D., Kassaye, S. G., et al. (2022) · AIDS (London) · doi:10.1097/qad.0000000000003461 · Cited by 3 · see citing works
“We calculated Wald 95% confidence intervals (95% CIs) by employing nonparametric bootstrap methods [43].”
BackgroundMethodWang, C., Kaufman, J. S., Steele, R. J., & Shrier, I. (2024) · BMJ Open Sport & Exercise Medicine · doi:10.1136/bmjsem-2024-002037 · Cited by 6 · see citing works
“39 55 In both a repeated measures RCT and observational study, we would have to account for repeated measures in the analyses (eg, through cluster bootstrapping, 56 mixed models, 57 58 or generalised estimating equations 59 ).”
MethodThe Target Study: A Conceptual Model and Framework for Measuring Disparity
Jackson, J. W., Hsu, Y., Greer, R. C., Boonyasai, R. T., & Howe, C. J. (2025) · Sociological Methods & Research · doi:10.1177/00491241251314037 · Cited by 12 · see citing works
Cluster-robust standard errors with three-level data
Huang, F. L., & Zhang, B. (2025) · Communication in Statistics- Theory and Methods · doi:10.1080/03610926.2025.2461609 · Cited by 6 · see citing works
“However, methodologists (Huang 2016; McNeish, Stapleton, and Silverman 2017) have pointed out that several alternative approaches for the analysis of nested data are possible such as the use of multilevel models (Raudenbush and Bryk 2002), generalized estimating equations (Huang 2022), or cluster…”
Self-citationEvaluating Effects of Multilevel Interventions on Disparity in Health and Healthcare Decisions
Jackson, J. W., Hsu, Y., Zalla, L. C., Carson, K. A., Marsteller, J. A., Cooper, L. A., & the RICH LIFE Project Investigators (2024) · Prevention Science · doi:10.1007/s11121-024-01677-8 · Cited by 5 · see citing works
“For standard errors and confidence intervals that account for the hierarchical structure of the data, we suggest a non-parametric, balanced, stratified cluster bootstrap procedure (Davison & Hinkley, 1997; Field & Welsh, 2007; Gleason, 1988; Huang, 2018; Ren et al., 2010).”
Polyomavirus Antibodies for Merkel Cell Carcinoma Recurrence Detection
Gunnell, L., Hippe, D. S., Park, S. Y., et al. (2025) · JAMA Dermatology · doi:10.1001/jamadermatol.2025.3155 · Cited by 3 · see citing works
Political trust and informal traders in African cities
Resnick, D., & Sivasubramanian, B. (2023) · The Journal of Modern African Studies · doi:10.1017/s0022278x23000125 · Cited by 3 · see citing works
Biswas, D., Hippe, D. S., Winter, A. M., et al. (2024) · Frontiers in Oncology · doi:10.3389/fonc.2024.1437506 · Cited by 3 · see citing works
Womack, T. A., Palardy, G. J., & Park, S. (2024) · Journal of Research on Educational Effectiveness · doi:10.1080/19345747.2024.2342850 · Cited by 2 · see citing works
“The procedure and its rationale are described in Huang (2018).”
Multicenter evaluation of machine and deep learning methods to predict glaucoma surgical outcomes
Barry, S., & Wang, S. Y. (2025) · Frontiers in Artificial Intelligence · doi:10.3389/frai.2025.1636410 · Cited by 2 · see citing works
“Confidence intervals were calculated via clustered bootstrapping (Ying et al., 2022; Huang, 2018) to account for within-patient clustering, as some patients underwent multiple surgeries and thus contributed multiple observations to the dataset.”
Liu, F., Schrack, J. A., Walker, K. A., Walston, J. D., Mathias, R. A., Griswold, M. E., Palta, P., Windham, B. G., & Jackson, J. W. (2025) · European Journal of Epidemiology · doi:10.1007/s10654-025-01282-1 · Cited by 2 · see citing works
“We estimated the 95% confidence intervals using 1000 samples from the non-parametric cluster bootstrap [45], where individuals were sampled with replacement and all of their follow-up observations were retained.”
Chen, Y. A., Kazerouni, A. S., Phelps, M. D., et al. (2025) · Journal of Breast Imaging · doi:10.1093/jbi/wbae089 · Cited by 2 · see citing works
Dissanayake, M. V., Jackson, J. W., Martin, C. L., Urrutia, R. P., Funk, M. J., & Wood, M. E. (2025) · American Journal of Epidemiology · doi:10.1093/aje/kwaf072 · Cited by 2 · see citing works
Inference of random effects for linear mixed-effects models with a fixed number of clusters
Chang, C., Huang, H., & Ing, C. (2022) · Annals of the Institute of Statistical Mathematics · doi:10.1007/s10463-022-00825-7 · Cited by 2 · see citing works
“The research of Hsin-Cheng Huang is supported by ROC Ministry of Science and Technology grant MOST 106-2118-M-001-002-MY3.”
BackgroundInfluentialBest Linear Unbiased Prediction of Latent Means in Three-Level Data
Aydın, B., & Algina, J. J. (2021) · The Journal of Experimental Education · doi:10.1080/00220973.2021.1873088 · Cited by 2 · see citing works
“This clustered structure is often accounted by model based or design based methods, with multilevel modeling (also called hierarchical linear modeling and mixed effects models), a model based method, argued to be the predominant choice in the field of social sciences (Gardiner et al., 2009; Hoffman & Rovine, 2007; Hua…”
MethodAderanti, O., Srinivasan, C. S., & Zanello, G. (2025) · Feminist Economics · doi:10.1080/13545701.2025.2548289 · Cited by 1 · see citing works
“Hitomi Komatsu, Hazel J. Malapit, and Sophie Theis (2018) found that women’s agricultural time use is associated with a reduction in the consumption of diverse diets among women in Mozambique.”
Sadinski, L. M., Edwards, J. K., Herce, M. E., et al. (2025) · AIDS · doi:10.1097/qad.0000000000004387 · Cited by 1 · see citing works
Evaluating ESCO skill classifiers
Marconi, G., Baer, I., Silveira, M. D., et al. (2025) · Statistical Journal of the IAOS · doi:10.1177/18747655251395229 · Cited by 2 · see citing works
“35,36 In our case, we need to consider clustering of the standard error at the skill and at the job ad level.”
Hochberg, C. H., Yan, L., Card, M. E., Berry, S. A., Brodie, D., Rotello, L. C., Nader, A., Chatterjee, S., Sahetya, S. K., Iwashyna, T. J., et al. (2026) · Annals of the American Thoracic Society · doi:10.1093/annalsats/aaoaf048 · Cited by 1 · see citing works
Postow, M. A., Zang, P. D., Pal, S. K., Mauguen, A., Farwell, M. D., Gordon, M. S., Hays, D., Wong, J. Y. C., Chen, D. L., Ulaner, G. A., et al. (2026) · Journal for ImmunoTherapy of Cancer · doi:10.1136/jitc-2025-012208 · Cited by 2 · see citing works
McCurdy, S., Sheng, E., Jalaleddini, K., et al. (2026) · Multiple Sclerosis Journal · doi:10.1177/13524585261439680 · Cited by 1 · see citing works
“95% Confidence intervals for these estimates were obtained via cluster bootstrapping, 18 using the 2.5 and 97.5 quantiles from 2,000 replicates.”
InfluentialSenevirathne, D. M., Yang, S.-I., Zhao, D., et al. (2026) · Forest Ecology and Management · doi:10.1016/j.foreco.2026.123935 · Cited by 1 · see citing works
Liao, W.-C., Huang, H.-Y., Chen, Y.-H., Huang, H.-B., Liaw, W., & Hsu, Y. (2026) · CardioVascular and Interventional Radiology · doi:10.1007/s00270-026-04533-0 · Cited by 1 · see citing works
“Between-modality differences with 95% CIs were obtained via patient-level cluster bootstrap resampling (B = 1,000) [18], resampling patients and retaining all sites to account for within-patient correlation.”
Park, J. W., Dulin, A., Scarpaci, M. M., Dionne, L. A., Needham, B. L., Sims, M., Kanaya, A. M., Kandula, N. R., Loucks, E. B., Fava, J. L., et al. (2023) · American Journal of Epidemiology · doi:10.1093/aje/kwad159 · Cited by 1 · see citing works
“To account for within-neighborhood clustering of CVD events in the secondary analyses, we used cluster boot-strapping with 200 repetitions to obtain the 95% confidence intervals (CIs) (40, 43, 44).”
MethodIdentification of Kappaphycus alvarezii seaweed based on phylogenetic and carrageenan conten
Satriani, G. I., Soelistyowati, D. T., Alimuddin, A., et al. (2024) · Jurnal Akuakultur Indonesia · doi:10.19027/jai.23.1.1-11 · Cited by 1 · see citing works
“The method neighbor-joining (NJ) and replication bootstrap 1000 times constructs the phylogenetic tree (Huang, 2018).”
MethodCherkezova, S. (2024) · Environment and Social Psychology · doi:10.54517/esp.v9i5.2313 · Cited by 3 · see citing works
Design of field trials for the evaluation of transmissible vaccines in animal populations
Sheen, J. K., Kennedy‐Shaffer, L., Levy, M. Z., & Metcalf, C. J. E. (2025) · PLoS Computational Biology · doi:10.1371/journal.pcbi.1012779 · Cited by 1 · see citing works
“Alternatively, investigators may also include all originally sampled animals from each resampled cluster, among other resampling approaches [46].”
Learning Gaussian graphical models from correlated data
Song, Z., Gunn, S., Monti, S., et al. (2025) · Frontiers in Systems Biology · doi:10.3389/fsysb.2025.1589079 · Cited by 1 · see citing works
“This is consistent with the well-known limitation that the bootstrap estimate of the standard error is not accurate when the number of clusters is small and the test statistics tends to be too liberal (Huang, 2018).”
Upstrap for Estimating Power and Sample Size in Complex ModelsPreprint
Karas, M., & Crainiceanu, C. M. (2021) · bioRxiv (Cold Spring Harbor Laboratory) · doi:10.1101/2021.08.21.457220
Tian, R., Stojanovski, E., & Miller, D. (2023) · MODSIM · doi:10.36334/modsim.2023.tian126
Schuetze, B. A., Yan, V. X., & Carvalho, P. F. (2024) · doi:10.31234/osf.io/yu8tr
Schuetze, B. A., Yan, V. X., & Carvalho, P. F. (2025) · doi:10.31234/osf.io/yu8tr_v2
Schuetze, B. A., Yan, V. X., & Carvalho, P. F. (2025) · International Journal of Artificial Intelligence in Education · doi:10.1007/s40593-025-00508-3
“We used cluster bootstrapping (Huang, 2018) with 1000 replicates to calculate mean RMSE, AUC, classification accuracy, and bias to compute appropriate 95% confidence intervals of these statistics.”
Brown, A. R., Gajewski, B. J., Mayo, M. S., Ellerbeck, E. F., & Befort, C. A. (2025) · International Journal of Clinical Biostatistics and Biometrics · doi:10.23937/2469-5831/1510058
Multiparametric breast MRI to problem-solve mammographically detected suspicious calcifications
Park, V. Y., Hippe, D. S., Kazerouni, A. S., et al. (2025) · European Journal of Radiology · doi:10.1016/j.ejrad.2025.112467
Nikolla, D. A., Bowers, K. M., Mudrakola, V., et al. (2025) · Women s Health Issues · doi:10.1016/j.whi.2025.10.006
Milella, G., Fiorella, M. L., Velucci, V., et al. (2025) · Journal of Neural Transmission · doi:10.1007/s00702-025-03069-w
van Lith, L., Ejbye-Ernst, P., Borghuis, E. E., & Hutter, R. I. (2026) · Policing: An International Journal · doi:10.1108/pijpsm-08-2025-0146
Eddy, C. L., Herman, K. C., Huang, F. L., Weigand, T., Venkat, S., & Conway, C. (2026) · Journal of School Psychology · doi:10.1016/j.jsp.2026.101561
Self-citationHsueh, H., Wu, Y., Chuang, T., et al. (2026) · Brain Communications · doi:10.1093/braincomms/fcag113
“33,34 Significance was defined when the confidence interval of the difference did not cross zero, with P values being adjusted for multiple comparisons by using the Holm method.”
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“One possible approach would be to construct con fi dence intervals using a cluster-bootstrapping procedure (Huang, 2018, and references therein) that resamples at both the subject and trial levels, re-estimates subject-speci fi c PCs, and fi ts the model to each bootstrap sample.”
ctDNA or Merkel Virus Antibodies for Surveillance of Merkel Cell Carcinoma Recurrence
Thakuria, M., Akaike, T., Silk, A. W., et al. (2026) · JAMA Dermatology · doi:10.1001/jamadermatol.2026.2153
Changsheng, L., Luo, D., Jiangping, F., et al. (2026) · Ecological Indicators · doi:10.1016/j.ecolind.2026.115139
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Abdelsalam, Y., Peitek, N., Maurer, A.-M., Toneva, M., & Apel, S. (2026) · ACM/IEEE International Conference on Software Engineering: Companion Proceedings (ICSE-Companion) · doi:10.1145/3744916.3773219 · Cited by 3 · see citing works
“The procedure consists of four main steps.”
- Authors
- Huang, F. L.
- Affiliations
- University of Missouri (US)
- Corresponding author
- Huang, Francis L.
- ORCID
- Huang, Francis L.
- Venue
- Educational and Psychological Measurement
- Publisher
- SAGE Publications
- Published
- 2016-11-24
- Volume
- 78
- Issue
- 2
- Pages
- 297-318
- ISSN
- 0013-1644 (ISSN-L)
- 1552-3888
- PMC
- PMC5965657
- OpenAlex
- W2554437640
- Cited by
- 107
- References
- 65
- Citations by year
- 2026: 22 · 2025: 22 · 2024: 18 · 2023: 12 · 2022: 10 · 2021: 13 · 2020: 3 · 2019: 2 · 2018: 2 · 2017: 3
- FWCI
- 2.36
- Type
- journal article
- Language
- en
- Open access
- green
- www.ncbi.nlm.nih.gov
- Locations
- Educational and Psychological Measurement (publishedVersion)
- Europe PMC (PubMed Central) (publishedVersion)
- PubMed Central (publishedVersion)
- PubMed (publishedVersion)
- Topics
- Physical Sciences › Mathematics › Statistics and Probability › Statistical Methods and Bayesian Inference
- Physical Sciences › Mathematics › Statistics and Probability › Statistical Methods in Clinical Trials
- Physical Sciences › Mathematics › Statistics and Probability › Advanced Causal Inference Techniques
- Keywords
- small number of clusters, nested data, multilevel models, standard errors, intraclass correlation coefficient, cluster size
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