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Unit of Analysis: Definition, Types & Examples

A unit of analysis is what you discuss after your research, probably what you would regard to be the primary emphasis of your research.

The unit of analysis is the people or things whose qualities will be measured. The unit of analysis is an essential part of a research project. It’s the main thing that a researcher looks at in his research.

A unit of analysis is the object about which you hope to have something to say at the end of your analysis, perhaps the major subject of your research.

In this blog post, we will explore and clarify the concept of the “unit of analysis,” including its definition, various types, and a concluding perspective on its significance.

What is a unit of analysis?

A unit of analysis is the thing you want to discuss after your research, probably what you would regard to be the primary emphasis of your research.

The researcher plans to comment on the primary topic or object in the research as a unit of analysis. The research question plays a significant role in determining it. The “who” or “what” that the researcher is interested in investigating is, to put it simply, the unit of analysis.

In his 2001 book Man, the State, and War, Waltz divides the world into three distinct spheres of study: the individual, the state, and war.

Understanding the reasoning behind the unit of analysis is vital. The likelihood of fruitful research increases if the rationale is understood. An individual, group, organization, nation, social phenomenon, etc., are a few examples.

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Types of “unit of analysis”

In business research, there are almost unlimited types of possible analytical units. Data analytics and data analysis are closely related processes that involve extracting insights from data to make informed decisions. Even though the most typical unit of analysis is the individual, many research questions can be more precisely answered by looking at other types of units. Let’s find out,

1. Individual Level

The most prevalent unit of analysis in business research is the individual. These are the primary analytical units. The researcher may be interested in looking into:

Employee actions
Perceptions
Attitudes or opinions.

Employees may come from wealthy or low-income families, as well as from rural or metropolitan areas.

A researcher might investigate if personnel from rural areas are more likely to arrive on time than those from urban areas. Additionally, he can check whether workers from rural areas who come from poorer families arrive on time compared to those from rural areas who come from wealthy families.

Each time, the individual (employee) serving as the analytical unit is discussed and explained. Employee analysis as a unit of analysis can shed light on issues in business, including customer and human resource behavior.

For example, employee work satisfaction and consumer purchasing patterns impact business, making research into these topics vital.

Psychologists typically concentrate on research on individuals. This research may significantly aid a firm’s success, as individuals’ knowledge and experiences reveal vital information. Thus, individuals are heavily utilized in business research.

2. Aggregates Level

Social science research does not usually focus on people. However, by combining individuals’ reactions, social scientists frequently describe and explain social interactions, communities, and groupings. Additionally, they research the collective of individuals, including communities, groups, and countries.

Aggregate levels can be divided into Groups (groups with an ad hoc structure) and Organizations (groups with a formal organization).

The following levels of the unit of analysis are made up of groups of people. A group is defined as two or more individuals who interact, share common traits, and feel connected to one another.

Many definitions also emphasize interdependence or objective resemblance (Turner, 1982; Platow, Grace, & Smithson, 2011) and those who identify as group members (Reicher, 1982) .

As a result, society and gangs serve as examples of groups. According to Webster’s Online Dictionary (2012), they can resemble some clubs but be far less formal.

Siblings, identical twins, family, and small group functioning are examples of studies with many units of analysis.

In such circumstances, a whole group might be compared to another. Families, gender-specific groups, pals, Facebook groups, and work departments can all be groups.

By analyzing groups, researchers can learn how they form and how age, experience, class, and gender affect them. When aggregated, an individual’s data describes the group they belong to.

Sociologists study groups like economists and businesspeople to form teams to complete projects. They continually research groups and group behavior.

Organizations

The next level of the unit of analysis is organizations, which are groups of people set up formally. Organizations could include businesses, religious groups, parts of the military, colleges, academic departments, supermarkets, business groups, and so on.

The social organization includes things like sexual composition, styles of leadership, organizational structure, systems of communication, and so on. (Susan & Wheelan, 2005; Chapais & Berman, 2004) . (Lim, Putnam, and Robert, 2010) say that well-known social organizations and religious institutions are among them.

Moody, White, and Douglas (2003) say social organizations are hierarchical. Hasmath, Hildebrandt, and Hsu (2016) say social organizations can take different forms. For example, they can be made by institutions like schools or governments.

Sociology, economics, political science, psychology, management, and organizational communication are some social science fields that study organizations (Douma & Schreuder, 2013) .

Organizations are different from groups in that they are more formal and have better organization. A researcher might want to study a company to generalize its results to the whole population of companies.

One way to look at an organization is by the number of employees, the net annual revenue, the net assets, the number of projects, and so on. He might want to know if big companies hire more or fewer women than small companies.

Organization researchers might be interested in how companies like Reliance, Amazon, and HCL affect our social and economic lives. People who work in business often study business organizations.

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3. Social Level

The social level has 2 types,

Social Artifacts Level

Things are studied alongside humans. Social artifacts are human-made objects from diverse communities. Social artifacts are items, representations, assemblages, institutions, knowledge, and conceptual frameworks used to convey, interpret, or achieve a goal (IGI Global, 2017).

Cultural artifacts are anything humans generate that reveals their culture (Watts, 1981).

Social artifacts include books, newspapers, advertising, websites, technical devices, films, photographs, paintings, clothes, poems, jokes, students’ late excuses, scientific breakthroughs, furniture, machines, structures, etc. Infinite.

Humans build social objects for social behavior. As people or groups suggest a population in business research, each social object implies a class of items.

Same-class goods include business books, magazines, articles, and case studies. A business magazine’s quantity of articles, frequency, price, content, and editor in a research study may be characterized.

Then, a linked magazine’s population might be evaluated for description and explanation. Marx W. Wartofsky (1979) defined artifacts as primary artifacts utilized in production (like a camera), secondary artifacts connected to primary artifacts (like a camera user manual), and tertiary objects related to representations of secondary artifacts (like a camera user-manual sculpture).

The scientific study of an artifact reveals its creators and users. The artifact researcher may be interested in advertising, marketing, distribution, buying, etc.

Social Interaction Level

Social artifacts include social interaction. Such as:

Eye contact with a coworker
Buying something in a store
Friendship decisions
Road accidents
Airline hijackings
Professional counseling
Whatsapp messaging

A researcher might study youthful employees’ smartphone addictions. Some addictions may involve social media, while others involve online games and movies that inhibit connection.

Smartphone addictions are examined as a societal phenomenon. Observation units are probably individuals (employees).

Anthropologists typically study social artifacts. They may be interested in the social order. A researcher who examines social interactions may be interested in how broader societal structures and factors impact daily behavior, festivals, and weddings.

LEARN ABOUT: Level of Analysis

Even though there is no perfect way to do research, it is generally agreed that researchers should try to find a unit of analysis that keeps the context needed to make sense of the data.

Researchers should consider the details of their research when deciding on the unit of analysis.

They should remember that consistent use of these units throughout the analysis process (from coding to developing categories and themes to interpreting the data) is essential to gaining insight from qualitative data and protecting the reliability of the results.

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Unit of analysis: definition, types, examples, and more

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What is a unit of analysis?

A unit of analysis is an object of study within a research project. It is the smallest unit a researcher can use to identify and describe a phenomenon—the 'what' or 'who' the researcher wants to study.

For example, suppose a consultancy firm is hired to train the sales team in a solar company that is struggling to meet its targets. To evaluate their performance after the training, the unit of analysis would be the sales team—it's the main focus of the study.

Different methods, such as surveys , interviews, or sales data analysis, can be used to evaluate the sales team's performance and determine the effectiveness of the training.

Units of observation vs. units of analysis

A unit of observation refers to the actual items or units being measured or collected during the research. In contrast, a unit of analysis is the entity that a researcher can comment on or make conclusions about at the end of the study.

In the example of the solar company sales team, the unit of observation would be the individual sales transactions or deals made by the sales team members. In contrast, the unit of analysis would be the sales team as a whole.

The firm may observe and collect data on individual sales transactions, but the ultimate conclusion would be based on the sales team's overall performance, as this is the entity that the firm is hired to improve.

In some studies, the unit of observation may be the same as the unit of analysis, but researchers need to define both clearly to themselves and their audiences.

Unit of analysis types

Below are the main types of units of analysis:

Individuals – These are the smallest levels of analysis.

Groups – These are people who interact with each other.

Artifacts –These are material objects created by humans that a researcher can study using empirical methods.

Geographical units – These are smaller than a nation and range from a province to a neighborhood.

Social interactions – These are formal or informal interactions between society members.

Importance of selecting the correct unit of analysis in research

Selecting the correct unit of analysis helps reveal more about the subject you are studying and how to continue with the research. It also helps determine the information you should use in the study. For instance, if a researcher has a large sample, the unit of analysis will help decide whether to focus on the whole population or a subset of it.

Examples of a unit of analysis

Here are examples of a unit of analysis:

Individuals – A person, an animal, etc.

Groups – Gangs, roommates, etc.

Artifacts – Phones, photos, books, etc.

Geographical units – Provinces, counties, states, or specific areas such as neighborhoods, city blocks, or townships

Social interaction – Friendships, romantic relationships, etc.

Factors to consider when selecting a unit of analysis

The main things to consider when choosing a unit of analysis are:

Research questions and hypotheses

Research questions can be descriptive if the study seeks to describe what exists or what is going on.

It can be relational if the study seeks to look at the relationship between variables. Or, it can be causal if the research aims at determining whether one or more variables affect or cause one or more outcome variables.

Your study's research question and hypothesis should guide you in choosing the correct unit of analysis.

Data availability and quality

Consider the nature of the data collected and the time spent observing each participant or studying their behavior. You should also consider the scale used to measure variables.

Some studies involve measuring every variable on a one-to-one scale, while others use variables with discrete values. All these influence the selection of a unit of analysis.

Feasibility and practicality

Look at your study and think about the unit of analysis that would be feasible and practical.

Theoretical framework and research design

The theoretical framework is crucial in research as it introduces and describes the theory explaining why the problem under research exists. As a structure that supports the theory of a study, it is a critical consideration when choosing the unit of analysis. Moreover, consider the overall strategy for collecting responses to your research questions.

Common mistakes when choosing a unit of analysis

Below are common errors that occur when selecting a unit of analysis:

Reductionism

This error occurs when a researcher uses data from a lower-level unit of analysis to make claims about a higher-level unit of analysis. This includes using individual-level data to make claims about groups.

However, claiming that Rosa Parks started the movement would be reductionist. There are other factors behind the rise and success of the US civil rights movement. These include the Supreme Court’s historic decision to desegregate schools, protests over legalized racial segregation, and the formation of groups such as the Student Nonviolent Coordinating Committee (SNCC). In short, the movement is attributable to various political, social, and economic factors.

Ecological fallacy

This mistake occurs when researchers use data from a higher-level unit of analysis to make claims about one lower-level unit of analysis. It usually occurs when only group-level data is collected, but the researcher makes claims about individuals.

For instance, let's say a study seeks to understand whether addictions to electronic gadgets are more common in certain universities than others.

The researcher moves on and obtains data on the percentage of gadget-addicted students from different universities around the country. But looking at the data, the researcher notes that universities with engineering programs have more cases of gadget additions than campuses without the programs.

Concluding that engineering students are more likely to become addicted to their electronic gadgets would be inappropriate. The data available is only about gadget addiction rates by universities; thus, one can only make conclusions about institutions, not individual students at those universities.

Making claims about students while the data available is about the university puts the researcher at risk of committing an ecological fallacy.

The lowdown

A unit of analysis is what you would consider the primary emphasis of your study. It is what you want to discuss after your study. Researchers should determine a unit of analysis that keeps the context required to make sense of the data. They should also keep the unit of analysis in mind throughout the analysis process to protect the reliability of the results.

What is the most common unit of analysis?

The individual is the most prevalent unit of analysis.

Can the unit of analysis and the unit of observation be one?

Some situations have the same unit of analysis and observation. For instance, let's say a tutor is hired to improve the oral French proficiency of a student who finds it difficult. A few months later, the tutor wants to evaluate the student's proficiency based on what they have taught them for the time period. In this case, the student is both the unit of analysis and the unit of observation.

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Chapter 4: Measurement and Units of Analysis

4.4 Units of Analysis and Units of Observation

Another point to consider when designing a research project, and which might differ slightly in qualitative and quantitative studies, has to do with units of analysis and units of observation. These two items concern what you, the researcher, actually observe in the course of your data collection and what you hope to be able to say about those observations. Table 3.1 provides a summary of the differences between units of analysis and observation.

Unit of Analysis

A unit of analysis is the entity that you wish to be able to say something about at the end of your study, probably what you would consider to be the main focus of your study.

Unit of Observation

A unit of observation is the item (or items) that you actually observe, measure, or collect in the course of trying to learn something about your unit of analysis. In a given study, the unit of observation might be the same as the unit of analysis, but that is not always the case. Further, units of analysis are not required to be the same as units of observation. What is required, however, is for researchers to be clear about how they define their units of analysis and observation, both to themselves and to their audiences. More specifically, your unit of analysis will be determined by your research question. Your unit of observation, on the other hand, is determined largely by the method of data collection that you use to answer that research question.

To demonstrate these differences, let us look at the topic of students’ addictions to their cell phones. We will consider first how different kinds of research questions about this topic will yield different units of analysis. Then we will think about how those questions might be answered and with what kinds of data. This leads us to a variety of units of observation.

If I were to ask, “Which students are most likely to be addicted to their cell phones?” our unit of analysis would be the individual. We might mail a survey to students on a university or college campus, with the aim to classify individuals according to their membership in certain social classes and, in turn, to see how membership in those classes correlates with addiction to cell phones. For example, we might find that students studying media, males, and students with high socioeconomic status are all more likely than other students to become addicted to their cell phones. Alternatively, we could ask, “How do students’ cell phone addictions differ and how are they similar? In this case, we could conduct observations of addicted students and record when, where, why, and how they use their cell phones. In both cases, one using a survey and the other using observations, data are collected from individual students. Thus, the unit of observation in both examples is the individual. But the units of analysis differ in the two studies. In the first one, our aim is to describe the characteristics of individuals. We may then make generalizations about the populations to which these individuals belong, but our unit of analysis is still the individual. In the second study, we will observe individuals in order to describe some social phenomenon, in this case, types of cell phone addictions. Consequently, our unit of analysis would be the social phenomenon.

Another common unit of analysis in sociological inquiry is groups. Groups, of course, vary in size, and almost no group is too small or too large to be of interest to sociologists. Families, friendship groups, and street gangs make up some of the more common micro-level groups examined by sociologists. Employees in an organization, professionals in a particular domain (e.g., chefs, lawyers, sociologists), and members of clubs (e.g., Girl Guides, Rotary, Red Hat Society) are all meso-level groups that sociologists might study. Finally, at the macro level, sociologists sometimes examine citizens of entire nations or residents of different continents or other regions.

A study of student addictions to their cell phones at the group level might consider whether certain types of social clubs have more or fewer cell phone-addicted members than other sorts of clubs. Perhaps we would find that clubs that emphasize physical fitness, such as the rugby club and the scuba club, have fewer cell phone-addicted members than clubs that emphasize cerebral activity, such as the chess club and the sociology club. Our unit of analysis in this example is groups. If we had instead asked whether people who join cerebral clubs are more likely to be cell phone-addicted than those who join social clubs, then our unit of analysis would have been individuals. In either case, however, our unit of observation would be individuals.

Organizations are yet another potential unit of analysis that social scientists might wish to say something about. Organizations include entities like corporations, colleges and universities, and even night clubs. At the organization level, a study of students’ cell phone addictions might ask, “How do different colleges address the problem of cell phone addiction?” In this case, our interest lies not in the experience of individual students but instead in the campus-to-campus differences in confronting cell phone addictions. A researcher conducting a study of this type might examine schools’ written policies and procedures, so his unit of observation would be documents. However, because he ultimately wishes to describe differences across campuses, the college would be his unit of analysis.

Social phenomena are also a potential unit of analysis. Many sociologists study a variety of social interactions and social problems that fall under this category. Examples include social problems like murder or rape; interactions such as counselling sessions, Facebook chatting, or wrestling; and other social phenomena such as voting and even cell phone use or misuse. A researcher interested in students’ cell phone addictions could ask, “What are the various types of cell phone addictions that exist among students?” Perhaps the researcher will discover that some addictions are primarily centred on social media such as chat rooms, Facebook, or texting, while other addictions centre on single-player games that discourage interaction with others. The resultant typology of cell phone addictions would tell us something about the social phenomenon (unit of analysis) being studied. As in several of the preceding examples, however, the unit of observation would likely be individual people.

Finally, a number of social scientists examine policies and principles, the last type of unit of analysis we will consider here. Studies that analyze policies and principles typically rely on documents as the unit of observation. Perhaps a researcher has been hired by a college to help it write an effective policy against cell phone use in the classroom. In this case, the researcher might gather all previously written policies from campuses all over the country, and compare policies at campuses where the use of cell phones in classroom is low to policies at campuses where the use of cell phones in the classroom is high.

In sum, there are many potential units of analysis that a sociologist might examine, but some of the most common units include the following:

Individuals
Organizations
Social phenomena.
Policies and principles.

Table 4.1. Units of analysis and units of observation: A hypothetical study of students’ addictions to cell phones.

Which students are most likely to be addicted to their cell phones?	Individuals	Survey of students on campus.	Individuals	Media majors, men, and students with high socioeconomic status are all more likely than other students to become addicted to their cell phones.
Do certain types of social clubs have more cell phone -addicted members than other sorts of clubs?	Group	Survey of students on campus.	Individuals	Clubs with a scholarly focus have more cell phone-addicted members than more socially focused clubs.
How do different colleges address the problem of addiction to cell phones?	Organizations	Content analysis of policies.	Documents	Campuses without policies prohibiting cell phone use in the classroom have high levels of cell phone addiction.
What are the various types of cell phone addictions?	Social phenomena	Observations of students	Individual	There are two main types of cell phone addictions: social and antisocial.
What are the most effective policies against cell phone addiction?	Policies and principles	Content analysis of policies and student records.	Documents	Policies that require students with cell phone addictions to attend group counselling for a minimum of one semester have been found to treat addictions more effectively than those that call for expulsion of addicted students.

Research Methods for the Social Sciences: An Introduction Copyright © 2020 by Valerie Sheppard is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Unravelling the “Unit of Analysis”: A Comprehensive Guide to the 5 Key Aspects

Exploring the essential aspects of the “Unit of Analysis” in research

Introduction

Every research starts with a question- what are we studying? How do we measure and categorize it? When faced with such conundrums, a pivotal component of research that experts consistently rely on is the Unit of Analysis. This essential building block defines the main entity being analyzed in a study, be it individuals, groups, institutions, or social interactions. Comprehending the Unit of Analysis is crucial, as it establishes the foundation for consequent stages for the research process.

Unit of Analysis

The Unit of Analysis is a pivotal concept in the realm of research and data collection . In layman’s terms, it refers to the primary entity or subject under observation or study in any research endeavor. We are studying and analyzing the ‘What and ‘Who’, for example while studying a students performance in academics, the student becomes the Unit of Analysis. Understanding and correctly identifying this unit is essential as it impacts the subsequent phases of research, from data collection to result interpretation.

Types of Units

There are a variety of entities that can function as the Unit of Analysis and it is important to acknowledge their presence.

1. Individuals: People are often the most studied entities.

2. Groups: This could range from families and friend groups to companies.

3. Artefacts: Physical entities like books, photos, or tools.

4. Geographical Units: Regions, cities, or towns.

5. Social Interactions: Tweets, Facebook likes, or any form of social media interaction.

Importance in Research

The significance of correctly identifying the Unit of Analysis cannot be overstated. It’s akin to knowing the ingredients before baking a cake. It:

Provides clarity regarding data collection methods.

Helps in identifying relevant statistical techniques.

Determines the scope of generalisations.

Avoids the pitfalls of the ecological fallacy and reductionism.

Common Mistakes

There’s no beating around the bush here; even seasoned researchers can occasionally trip up:

Ecological Fallacy: Incorrectly deducing individual behaviour from group data.

Reductionism: Oversimplifying a complex process by ignoring certain variables.

Unit of Analysis vs. Unit of Observation

While they appear similar, they have their differences. The Unit of Analysis is about what is studied, and Unit of Observation is the source of the data. For example, while researching the impact of workplace culture on employee morale, the company might be the unit of analysis, but the individual employees providing data are the units of observation.

Tips for Selection

Finding the right Unit of Analysis is sometimes formidable task, so:

Start by clearly defining the research question.

Determine the level at which you wish to generalise results.

Keep in mind the availability of data.

Role in Different Fields

The role of Unit of Analysis varies across different disciplines:

In Sociology

Here, researchers often study social groups, institutions, and structures. They delve into topics like group dynamics, societal norms, and institutions’ influence on individuals.

In Economics

Economists can analyse a gamut of entities, from individual consumers or businesses to entire countries. They might study spending habits, company growth, or global trade patterns.

In Environmental Studies

Research in this area of study centers around particular ecosystems, species, or geographical locations. They can examine the effects of pollution on organisms in the water or the influence of urban development on the quality of air.

In Literature

Literary critics might analyse a particular genre, an author’s body of work, or even individual books or poems. They would study themes, narrative techniques, or cultural contexts.

In Political Science

This might involve studying political parties, government policies, or public opinion. Research could revolve around election patterns, policy impacts, or citizens’ political behaviour.

Applications in Modern Technology

The digital era has significantly expanded the boundaries of the Unit of Analysis.

In Digital Marketing

In the realm of digital engagements, marketers assess a wide range of online interactions, such as clicks, views, thumbs-ups, shares and even the timing and duration of the engagement.

In Machine Learning

Datasets might comprise individual data points, clusters, or even entire databases. Analysts need to be spot-on with their units to train models effectively.

In E-commerce

From user reviews and product ratings to sales data, the e-commerce realm offers a myriad of Units of Analysis.

In Cybersecurity

Security experts examine the possible dangers and cyber attacks, and the attributes of potential hackers.

What is the primary purpose of the Unit of Analysis in research?

It helps in specifying the focus of the study, ensuring clarity in data collection, and accuracy in result interpretation.

How is the Unit of Analysis different from the Unit of Observation?

The former is what you study, and the latter is where you get your data from.

Can a research study have multiple Units of Analysis?

Absolutely! A study can analyse multiple entities simultaneously, provided the research design supports it.

Why is it crucial to correctly identify the Unit of Analysis?

Mistakes can lead to ecological fallacies of oversimplification, jeopardizing the study’s validity.

How has the digital age influenced the concept of the Unit of Analysis?

It has expanded the scope, introducing new units like clicks, views, and digital interactions.

Are there specific fields where the Unit of Analysis plays a more pivotal role?

Its importance is ubiquitous, but its nature might vary from fields like sociology to machine learning.

The Unit of Analysis is undeniably the cornerstone of any research study. From laying the groundwork to influencing data interpretation, it’s an element that demands attention, understanding, and precision. As the world of research evolves in this digital era, it becomes crucial for researchers to adjust and innovate, thus guaranteeing that the Unit of analysis integrates seamlessly with research goals. It’s a concept that, despite its intricacies, can truly elevate the quality of any research endeavor.

External Links/ Sources:

Unit of analysis

UNIT OF ANALYSIS AND UNIT OF OBSERVATION

The Unit of Analysis Explained

10 Miraculous Benefits of Cluster Sampling: A Comprehensive Guide

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Research Design Review

A discussion of qualitative & quantitative research design, qualitative data analysis: the unit of analysis.

As discussed in two earlier articles in Research Design Review (see “The Important Role of ‘Buckets’ in Qualitative Data Analysis” and “Finding Connections & Making Sense of Qualitative Data” ), the selection of the unit of analysis is one of the first steps in the qualitative data analysis process. The “unit of analysis” refers to the portion of content that will be the basis for decisions made during the development of codes. For example, in textual content analyses, the unit of analysis may be at the level of a word, a sentence (Milne & Adler, 1999), a paragraph, an article or chapter, an entire edition or volume, a complete response to an interview question, entire diaries from research participants, or some other level of text. The unit of analysis may not be defined by the content per se but rather by a characteristic of the content originator (e.g., person’s age), or the unit of analysis might be at the individual level with, for example, each participant in an in-depth interview (IDI) study treated as a case. Whatever the unit of analysis, the researcher will make coding decisions based on various elements of the content, including length, complexity, manifest meanings, and latent meanings based on such nebulous variables as the person’s tone or manner.

Deciding on the unit of analysis is a very important decision because it guides the development of codes as well as the coding process. If a weak unit of analysis is chosen, one of two outcomes may result: 1) If the unit chosen is too precise (i.e., at too much of a micro-level than what is actually needed), the researcher will set in motion an analysis that may miss important contextual information and may require more time and cost than if a broader unit of analysis had been chosen. An example of a too-precise unit of analysis might be small elements of content such as individual words. 2) If the unit chosen is too imprecise (i.e., at a very high macro-level), important connections and contextual meanings in the content at smaller (individual) units may be missed, leading to erroneous categorization and interpretation of the data. An example of a too-imprecise unit of analysis might be the entire set of diaries written by 25 participants in an IDI research study, or all the comments made by teenagers on an online support forum. Keep in mind, however, that what is deemed too precise or imprecise will vary across qualitative studies, making it difficult to prescribe the “right” solution for all situations.

Although there is no perfect prescription for every study, it is generally understood that researchers should strive for a unit of analysis that retains the context necessary to derive meaning from the data. For this reason, and if all other things are equal, the qualitative researcher should probably err on the side of using a broader, more contextually based unit of analysis rather than a narrowly focused level of analysis (e.g., sentences). This does not mean that supra-macro-level units, such as the entire set of transcripts from an IDI study, are appropriate; and, to the contrary, these very imprecise units, which will obscure meanings and nuances at the individual level, should be avoided. It does mean, however, that units of analysis defined as the entirety of a research interview or focus group discussion are more likely to provide the researcher with contextual entities by which reasonable and valid meanings can be obtained and analyzed across all cases.

In the end, the researcher needs to consider the particular circumstances of the study and define the unit of analysis keeping in mind that broad, contextually rich units of analysis — maintained throughout coding, category and theme development, and interpretation — are crucial to deriving meaning in qualitative data and ensuring the integrity of research outcomes.

Milne, M. J., & Adler, R. W. (1999). Exploring the reliability of social and environmental disclosures content analysis. Accounting, Auditing & Accountability Journal , 12 (2), 237–256.

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What is a unit of analysis?

The unit of analysis is an important concept whether you are conducting quantitative or qualitative research. It is related to another concept – the unit of observation. Though both are often used interchangeably (and can actually mean the same thing in some studies) they are not exactly the same conceptually.

This paper takes a closer look at what a unit of analysis is.

Unit of analysis explained

A unit of analysis is the main subject or entity whom the researcher intends to comment on in the study. It is mainly determined by the research question. Simply put, the unit of analysis is basically the ‘who’ or what’ that the researcher is interested in analyzing. For instance, an individual a group, organization, country, social phenomenon, etc.

Unit of observation explained

A unit of observation is any item from which data can be collected and measured. The unit of observation determines the data collection and measurement techniques to be used. Just like a unit of analysis, an individual, group, country, social phenomenon, etc can also be a unit of observation.

The examples below highlight the way varying research questions can bring about varying units of analysis. They will also examine how different units of observation can arise due to the types of data used to find answers to the research questions.

Consider the question “Which nation has the brightest chance of winning the forthcoming senior world cup.” Here, the unit of analysis is a country. To answer this question may require sampling the opinions of some soccer aficionados or experts. Hence, a survey can be conducted to aggregate expert views (e.g., coaches, players, analysts, reporters, administrators, etc) all over the world.

The objectives of the survey can include finding out if variables like continent of origin, venue of the tournament, climatic conditions, quality of players, level of preparation, and administrative efficiency play any role in the emergence of the champion. The survey’s findings may indicate that the quality of players, level of preparation, and the efficiency of a country’s soccer administrators are the most important determinants for winning the trophy.

Suppose an alternative question is asked, say “what are the differences and similarities in the ways countries prepare for the senior world cup.” One way to answer this question (assuming it is a world cup season) is to closely observe the preparation programmes of participating countries, including camping and physical training activities.

It can be deduced from the above examples that the unit of analysis is different in each case. In the first question, the country is the unit of analysis while in the second, a social phenomenon – preparation programme is the unit of analysis. In both examples, the unit of observation is the same – countries.

As noted in the definitions above, groups can also constitute a unit of analysis. In the question about which country is likely to win the senior world cup, for example, a group survey of a couple of soccer clubs can also be used to elicit responses. In this case, the unit of analysis is a group [say a professional football club].

For organizations, take the senior world cup example mentioned above as an example. Suppose a researcher poses the question “Are the levels of funding provided by soccer associations enough for them to challenge for the world cup?” Note that the main concern here is on soccer administrators and not on the teams of players. To determine the adequacy or otherwise of national teams’ funding, the researcher might need to source for and study various forms of documents. This means that documents are the unit of observation in this scenario. If he decides to make country-by-country comparisons on national team funding, then his unit of analysis will be the countries investigated.

Rules, policies, and principles are yet another form of units of analysis. Policy research, for example, will most likely involve analyzing several documents. Consider a soccer association that employs a lawyer to help draft a code of conduct for players [unit of analysis] preparing for the world cup in a closed camp. To come up with an acceptable code of conduct, the lawyer may decide to study all past code of conduct documents [unit of observation] of the association and maybe how the rules in the code have been observed and otherwise as well as the kind of penalties for the various violations of camp rules.

Unit of analysis and unit of observation as one

It has been suggested above that both concepts can be one and the same in some situations. For instance, a tutor can be hired to improve the oral or spoken English proficiency of a student struggling in that area. After a couple of months, the tutor decides to assess and evaluate the proficiency levels of his or her student based on what has been taught thus far. In this example, the student is both a unit of analysis as well as a unit of observation.

As noted from the discussion above, both the unit of analysis and the unit of observation are research concepts. These units can be individuals, groups, countries, organizations, social phenomena, etc. Though both concepts can be the same in some studies, differences also exist between them in other studies. Because of this confusing tendency, it is necessary that the researcher is as clear as possible when explaining the similarities or differences between both concepts.

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The Unit of Analysis Explained

By DiscoverPhDs
October 3, 2020

The unit of analysis refers to the main parameter that you’re investigating in your research project or study. Example of the different types of unit analysis that may be used in a project include:

Individual people
Groups of people
Objects such as photographs, newspapers and books
Geographical unit based on parameters such as cities or counties
Social parameters such as births, deaths, divorces

The unit of analysis is named as such because the unit type is determined based on the actual data analysis that you perform in your project or study.

For example, if your research is based around data on exam grades for students at two different universities, then the unit of analysis is the data for the individual student due to each student having an exam score associated with them.

Conversely if your study is based on comparing noise level data between two different lecture halls full of students, then your unit of analysis here is the collective group of students in each hall rather than any data associated with an individual student.

In the same research study involving the same students, you may perform different types of analysis and this will be reflected by having different units of analysis. In the example of student exam scores, if you’re comparing individual exam grades then the unit of analysis is the individual student.

On the other hand, if you’re comparing the average exam grade between two universities, then the unit of analysis is now the group of students as you’re comparing the average of the group rather than individual exam grades.

These different levels of hierarchies of units of analysis can become complex with multiple levels. In fact, its complexity has led to a new field of statistical analysis that’s commonly known as hierarchical modelling.

As a researcher, you need to be clear on what your specific research questio n is. Based on this, you can define each data, observation or other variable and how they make up your dataset.

A clarity of your research question will help you identify your analysis units and the appropriate sample size needed to obtain a meaningful result (and is this a random sample/sampling unit or something else).

In developing your research method, you need to consider whether you’ll need any repeated observation of each measurement. You also need to consider whether you’re working with qualitative data/qualitative research or if this is quantitative content analysis.

The unit of analysis of your study is the specifically ‘who’ or what’ it is that your analysing – for example are you analysing the individual student, the group of students or even the whole university. You may have to consider a different unit of analysis based on the concept you’re considering, even if working with the same observation data set.

The unit of analysis refers to the main parameter that you’re investigating in your research project or study.

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What is unit of analysis and why is it important for qualitative dissertations

A ll researchers must deal with questions related to their unit of analysis and the related idea of unit of observation. Unit of analysis helps the researcher define what is being studied as well as what aspects are being studied. For dissertations, the importance of this concept is that it provides guardrails to know what is in the scope of your dissertation and what is outside the bounds of what you are examining. More specifically, the unit of analysis describes the level at which you are conducting your study. Are you researching states, universities, schools/colleges, departments, presidents, deans, professors, or students just to name a few levels. If you determine that you are studying universities, this leads to a different focus than if you are studying departments. In this post, I will describe unit of analysis and why it is important for qualitative dissertations.

One of the best ways to help identify your unit of analysis is to think about what you want to make recommendations about when you finish your dissertation.

Do you want to recommend new policies at a university level? Then, your unit of analysis is likely organization. If you want to recommend faculty in the natural dbol australia sciences try new teaching approaches, then your unit of analysis is likely a group (a group of science faculty in this example).

Typical units of analysis include individual, group, organizations, social phenomena, and policies/values/principles.

Doctoral students as novice researchers struggle with defining the unit of analysis for their qualitative research. Often, the challenge is confusion regarding what is their unit of analysis versus their unit of observation.

A unit of observation is the level at which you are collecting data. For example, you might collect data from individuals (such as through interviews), groups (such as observing a class), or documents.

For qualitative researchers, the difference between units of analysis and observation can be particularly fuzzy because they could be the same or different. For instance, you could study student preparation for final exams by interviewing students in which the unit of analysis is individual and the unit of observation is individual.

In this case, both are individual. On the other hand, you could study student preparation for final exams by interviewing students in which the unit of analysis is the department and the unit of observation is still individual.

In the second study, your goal might be to compare how different departments prepare so your analysis will focus on how the departments are similar or different.

The reason that unit of analysis and unit of observation are important is that they provide important boundaries for your study particularly your data analysis.

In qualitative research, researchers can struggle to identify what is germane and what is not. By clearly identifying the level and what you are studying, you will be better able to stay focused on what is most important for your dissertation.

As you define your specific research questions and refine your interests related to your dissertation topic, you will likely narrow your focus. As part of this process, you may find that you thought you were interested at one unit of analysis but now are focusing more on another.

Changing your unit of analysis at this stage of the process is not a problem. Indeed, the unit of analysis can be revisited as much as necessary. In fact, you can change your unit of analysis even at later stages of the process although this is not something I recommend to doctoral students.

The later you are in the dissertation, you will have made some research design and data collection decisions based on your unit of analysis. While you can change and in some circumstances this may well be necessary, but I always suggest discussing this with your dissertation chair first. A change may require you to change your design or collect additional data which can obviously slow your dissertation process.

A final point that can be useful for dissertation students is to pick a unit of analysis that is commonly used when studying your topic.

As part of your conclusions and recommendations, you will want to draw comparisons between your dissertation and other research on your topic. If your unit of analysis is substantively much different, making these comparisons and injectable steroids otherwise drawing information from the research literature can be unnecessarily complicated.

Moreover, as a new researcher, unit of analysis is probably not the best area to try to be different or unique. Sticking with a commonly used unit of analysis can provide helpful clarity throughout the process and quite simply make the entire dissertation process easier.

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One of the most important ideas in a research project is the unit of analysis . The unit of analysis is the major entity that you are analyzing in your study. For instance, any of the following could be a unit of analysis in a study:

individuals
artifacts (books, photos, newspapers)
geographical units (town, census tract, state)
social interactions (dyadic relations, divorces, arrests)

Why is it called the ‘unit of analysis’ and not something else (like, the unit of sampling)? Because it is the analysis you do in your study that determines what the unit is . For instance, if you are comparing the children in two classrooms on achievement test scores, the unit is the individual child because you have a score for each child. On the other hand, if you are comparing the two classes on classroom climate, your unit of analysis is the group, in this case the classroom, because you only have a classroom climate score for the class as a whole and not for each individual student. For different analyses in the same study you may have different units of analysis. If you decide to base an analysis on student scores, the individual is the unit. But you might decide to compare average classroom performance. In this case, since the data that goes into the analysis is the average itself (and not the individuals’ scores) the unit of analysis is actually the group. Even though you had data at the student level, you use aggregates in the analysis. In many areas of social research these hierarchies of analysis units have become particularly important and have spawned a whole area of statistical analysis sometimes referred to as hierarchical modeling . This is true in education, for instance, where we often compare classroom performance but collected achievement data at the individual student level.

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The unit of analysis is the entity that you're analyzing. It's called this because it's your analysis (what you want to examine) that determines what this unit is, rather than the data itself.

For instance, let's say that you have a dataset with 40 students, divided between two classrooms of 20 students each, and a test score for each student. You can analyze this data in several ways:

Individual unit of analysis: Compare the test scores of each student to the other students. (You're analyzing students, individuals.)
Group unit of analysis: Compare the average test score of the two classrooms. (You're analyzing the classrooms, comparing two groups of individuals.)

Knowing your unit of analysis is helpful, because it helps you determine what kind of data you need. The other piece of this puzzle is whether you need macrodata (aggregated data) or microdata.

Microdata & Macrodata

So what is the difference between macrodata (aggregated data) and microdata ?

MICRODATA Contains a record for every individual (e.g., person, company, etc.) in the survey/study. Source for US Census microdata: IPUMS
MACRODATA (Aggregated Data) Higher-level data compiled from smaller (individual) units of data. For example, Census data in Social Explorer has been aggregated to preserve the confidentiality of individual respondents. Source for US Census macrodata: Social Explorer
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Unit of Analysis

A unit of analysis is the entity that you wish to be able to say something about at the end of your study, probably what you would consider to be the main focus of your study.

Unit of Observation

In sum, there are many potential units of analysis that a sociologist might examine, but some of the most common units include the following:

Individuals
Organizations
Social phenomena.
Policies and principles.

Table 4.1 Units of analysis and units of observation: A hypothetical study of students’ addictions to cell phones.


Which students are most likely to be addicted to their cell phones?	Individuals	Survey of students on campus.	Individuals	Media majors, men, and students with high socioeconomic status are all more likely than other students to become addicted to their cell phones.
Do certain types of social clubs have more cell phone -addicted members than other sorts of clubs?	Group	Survey of students on campus.	Individuals	Clubs with a scholarly focus have more cell phone-addicted members than more socially focused clubs.
How do different colleges address the problem of addiction to cell phones?	Organizations	Content analysis of policies.	Documents	Campuses without policies prohibiting cell phone use in the classroom have high levels of cell phone addiction.
What are the various types of cell phone addictions?	Social phenomena	Observations of students	Individual	There are two main types of cell phone addictions: social and antisocial.
What are the most effective policies against cell phone addiction?	Policies and principles	Content analysis of policies and student records.	Documents	Policies that require students with cell phone addictions to attend group counselling for a minimum of one semester have been found to treat addictions more effectively than those that call for expulsion of addicted students.

Research Methods, Data Collection and Ethics Copyright © 2020 by Valerie Sheppard is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Science-Education-Research

Prof. Keith S. Taber's site

Unit of analysis

A topic in research methodology

Unit of analysis is a term used in experimental research, and refers to how the data will be conceptualised and grouped during analysis. For example, if research investigates school learning, the unit of analysis might be the lesson, or the learner, or the teacher, or the curriculum subject? This will depend upon the research question being investigated, and should be established at the outset of the research before data collection commences.

"An important term used in discussing experimental research is ' unit of analysis '. An experiment may, for example, be comparing outcomes between different learners, different classes, different year groups, or different schools… It is important at the outset of an experimental study to clarify what the unit of analysis is, and this should be explicit in research reports so that readers are aware what is being compared" ( Taber, 2019 , p.72)

"The unit of analysis refers to the types of 'things' that will be characterised and perhaps compared in a study. In educational research the unit of analysis could be a student, a lesson, a class, a teacher, a school, a group within a class, a question asked, an explanation given, a conversational exchange, a test script, a scheme of work, a lesson plan, etc. That is, we might characterise and compare different students; we might characterise and compare different lessons; we might characterise and compare different classes, etc.

So, in a study looking at teacher beliefs about pedagogy , the unit of analysis is likely to be the teacher .
In a study of the relationship between school ethos and exclusion rates, the unit of analysis is likely to be the school .
In a study of student understanding of creation myths in different cultures, the unit of analysis is likely to be the student .
In a study on the effect of gender on school science group work, the unit of analysis is likely to be the group (although a group does not have a gender, and so the gender composition of the group will need to be seen as the 'independent' (or input) variable" ( Taber, 2013 , p.254).

Units of analysis in experiments

In experimental research, in a 'true' experiment , the units of analysis must be randomly assigned to conditions:

So, for example, if a researcher has to compare two existing classes, then the unit if analysis should be the class, not the individual learners (which has consequences for the ability to use statistics to test for statistically different outcomes). "If the units of analysis are schools, it may be difficult to enrol a large enough number of schools into the sample for the statistical methods to be used – especially in those national contexts that rely on schools responding to invitations to volunteer (this is less of a problem when research access is granted at regional/district or state level)" ( Taber, 2019 , p.74).

"So one might consider 50 students who were to be part of a study where it was intended to use individual student test results as a measure of learning to explore whether some teaching approach brought about greater learning than some other teaching approach. If it is possible to randomly assign the 50 students into two groups of 25, then there are 25 ' units of analysis ' [n=25] in each group. However, if the researchers are required to work with existing classes then the most randomisation that is possible is to assign whole classes to the two conditions. This would mean the units of analysis were whole classes (one in each condition). To consider this a true experiment (meeting the requirement of randomisation , see Figure) there would need to be one measure of learning from each class, but it would be difficult to use statistics to infer anything useful when comparing just two values" ( Taber, 2019 , p.84)

"A random control trial ( R.C.T. ) is an experiment where the units of analysis are randomly assigned to different conditions, and statistical methods are used to determine whether any overall difference in the measured outcomes in those conditions is (probably) due to the intervention….A R.C.T. is referred to as a ' true experiment ' because there is randomisation of the ' units of analysis ' (people, classes, schools, etc.) to conditions" ( Taber, 2019 , p.73).

Sources cited:

Taber, K. S. (2013). Classroom-based Research and Evidence-based Practice: An introduction (2nd ed.). London: Sage.

Taber, K. S. (2019). Experimental research into teaching innovations: responding to methodological and ethical challenges . Studies in Science Education . doi:10.1080/03057267.2019.1658058

My introduction to educational research:

Unit of Analysis: Individual, Organization, Groups, and Data Series

Units of Analysis are the objects of study within a research project. In sociology, the most common units of analysis are individuals, groups, social interactions, organizations and institutions, and social and cultural artifacts. In many cases, a research project can require multiple units of analysis.

Identifying your units of analysis is an important part of the research process. Once you have identified a research question, you will have to select your units of analysis as part of the process of deciding on a research method and how you will operationalize that method. Let’s review the most common units of analysis and why a researcher might choose to study them.

Individuals

Individuals are the most common units of analysis within sociological research. This is the case because the core problem of sociology is understanding the relationships between individuals and society, so we routinely turn to studies composed of individual people in order to refine our understanding of the ties that bind individuals together into a society. Taken together, information about individuals and their personal experiences can reveal patterns and trends that are common to a society or particular groups within it, and can provide insight into social problems and their solutions.

For example, researchers at the University of California-San Francisco found through interviews with individual women who have had abortions that the vast majority of women do not ever regret the choice to terminate the pregnancy. Their findings prove that a common right-wing argument against access to abortion–that women will suffer undue emotional distress and regret if they have an abortion–is based on myth rather than fact.

Organizations

Organizations differ from groups in that they are considered more formal and, well, organized ways of collecting people together around specific goals and norms. Organizations take many forms, including corporations, religious congregations and whole systems like the Catholic Church, judicial systems, police departments, and social movements, for example.

Social scientists who study organizations might be interested in, for example, how corporations like Apple, Amazon, and Walmart impact various aspects of social and economic life, like how we shop and what we shop for, and what work conditions have become normal and/or problematic within the U.S. labor market. Sociologists who study organizations might also be interested in comparing different examples of similar organizations to reveal the nuanced ways in which they operate, and the values and norms that shape those operations.

Sociologists are keenly interested in social ties and relationships, which means that they often study groups of people, be they large or small. Groups can be anything from romantic couples to families, to people who fall into particular racial or gender categories, to friend groups, to whole generations of people (think Millennials and all the attention they get from social scientists). By studying groups sociologists can reveal how social structure and forces affect whole categories of people on the basis of race, class, or gender, for example.

Sociologists have done this in pursuit of understanding a wide range of social phenomena and problems, like for example this study that proved that living in a racist place leads to Black people having worse health outcomes than white people; or this study that examined the gender gap across different nations to find out which are better or worse at advancing and protecting the rights of women and girls.

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[Explained] The Unit of Analysis in Qualitative Research

Have you ever wondered how social scientists choose what unit of analysis to use in their research? The answer may surprise you – it’s not always a simple decision! In this article, we’ll explore the different factors that social scientists must consider when choosing a unit of analysis.

What is a Unit of Analysis?

A unit of analysis is the basic element that social scientists study in their research. It can be a person, a group of people, an organization, or even a country. The unit of analysis is important because it helps determine the scope and focus of the research. When choosing a unit of analysis, social scientists must consider several factors, including the nature of the phenomenon being studied, the research question, and the data available.

Why is Choosing the Right Unit of Analysis Important?

The choice of unit of analysis can influence the results of a study in several ways. First, it can determine what type of data the researcher will be able to collect. Second, it can affect the way that data is analyzed. And finally, it can determine the conclusions that can be drawn from the research.

For example, let’s say a researcher is interested in studying how climate change affects agricultural production. One potential unit of analysis would be individual farmers. However, this unit of analysis might not be ideal because it would be difficult to collect data on every individual farmer in the world.

Alternatively, the researcher could choose to study countries as their unit of analysis. This would allow for more reliable and comprehensive data, but it would also mean that the conclusions drawn from the study might be less applicable to individual farmers.

Read also: List of MBA Scholarships in the USA to Consider

How does Social Scientist Choose a Unit of Analysis?

There is no single answer to this question – social scientists must consider a variety of factors when choosing a unit of analysis. Some of the key considerations include:

The nature of the research question: What are you trying to answer with your research? This will often dictate the most appropriate unit of analysis.
The type of data you have available: Do you have access to individual-level data, or are you limited to aggregate data?
The level of analysis you want to conduct: Are you interested in looking at individuals, groups, organizations, or something else?
The resources you have available: Do you have the time and/or money to collect and analyze data at the individual level?

Ultimately, there is no right or wrong answer when it comes to choosing a unit of analysis. It is important to carefully consider all of the above factors before making a decision.

Factors to Consider when Choosing a Unit of Analysis

When choosing a unit of analysis, social scientists must consider a variety of factors. The most important factor is usually the research question. What are you trying to answer with your research? Once you have a clear research question, you can begin to narrow down your options for units of analysis.

Furthermore, other important factors to consider include the type of data you have, the geographical area you’re studying, and the timeframe of your research. For example, if you’re studying voting patterns in the United States, your unit of analysis would likely be the individual voter. However, if you’re looking at economic growth in Europe, your unit of analysis would be countries or regions.

Read also: Guide to Study MBA in Canada Without GMAT

What are the Four Units of Analysis?

There are four main units of analysis that social scientists can use: individuals, groups, organizations, and societies. Each unit of analysis has its strengths and weaknesses and choosing the right unit of analysis is crucial to conducting successful research.

Individuals are the most common unit of analysis in social science research. Studying individuals allows researchers to analyze data at a very detailed level. However, individuals are also the most difficult unit of analysis to study, because they can be hard to track and access.

Groups are another common unit of analysis in social science research. Groups are easier to study than individuals because they are more accessible. However, groups are also less detailed than individuals, so researchers must be careful not to lose important information when studying groups.

Organizations are another unit of analysis that social scientists can use. Organizations offer a unique perspective on social phenomena because they are often at the center of social interactions. However, organizations can be difficult to study because they often have close access and require special permission from researchers.

Societies are the largest unit of analysis. Researchers who study societies look at how different groups within society interact with each other. They also examine how societies change over time.

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Historical environmental Kuznets curve for the USA and the UK: cyclical environmental Kuznets curve evidence

Published: 17 September 2024

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Tolga Omay ORCID: orcid.org/0000-0003-0263-2258 1 ,
Julide Yildirim ORCID: orcid.org/0000-0002-4739-6028 2 &
Nazmiye Balta-Ozkan ORCID: orcid.org/0000-0002-2848-5535 3

Human activities, including population growth, industrialization, and urbanization, have increasingly impacted the environment. Despite the benefits of economic growth to individual welfare, its negative environmental consequences necessitate a thorough assessment. The environmental Kuznets curve (EKC), positing an inverted U-shaped relationship between income per capita and environmental degradation, has been extensively studied since its proposition by Grossman and Krueger (Environmental impacts of a North American free trade agreement, National Bureau of Economic Research working paper, 1991. https://doi.org/10.3386/w3914 ). However, empirical evidence on the validity and shape of the EKC varies due to methodological differences, country-specific dynamics, and other factors. Examining the historical growth paths of individual countries helps explain the mixed findings in empirical EKC research. Long-term data allow researchers to determine the EKC's shape and turning points, aiding policymakers in devising appropriate environmental policies for each economic growth cycle within the framework of global environmental governance. Accordingly, this study contributes to the literature by taking a historical perspective on the EKC, focusing specifically on the United States and the United Kingdom. Drawing on data spanning from 1850, we employ advanced econometric techniques, including fractional frequency flexible Fourier form Dickey–Fuller-type unit root tests and structural breaks unit root tests, to overcome limitations of traditional linearized EKC estimations. Moreover, the classical polynomial regression approach is employed to model the long-term cycles based on the scatterplot inspection of per capita carbon dioxide (CO 2 ) and per capita GNP series. Contrary to conventional expectations, our empirical findings do not support the existence of a clear inverted U-shaped EKC relationship between CO 2 emissions and economic growth for either country. Instead, our analysis reveals the presence of multiple regimes, indicating a cyclical pattern where economic growth affects environmental quality with varying severity over time. Furthermore, we demonstrate proper modeling techniques for the EKC, highlighting the importance of identification and misspecification tests. Our study identifies cyclical EKC patterns for both the UK and the USA, with the UK exhibiting two cycles and the USA exhibiting three, shaped by varying economic, social, and technological contexts. By revealing the nuances of the economic growth-environmental degradation nexus for these early developer countries, our study provides valuable insights for policymakers seeking to devise evidence-based and environmentally sustainable growth policies within the framework of global environmental governance. These findings underscore the importance of considering historical context and structural changes when analyzing the EKC, providing valuable insights for policymakers aiming to design adaptive and sustainable economic growth strategies.

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Data availability

The datasets used and/or analyzed during the current study are available from the corresponding author upon reasonable request.

The technical details of these tests are given in supplementary material as technical annex.

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Omay, T., Yildirim, J. & Balta-Ozkan, N. Historical environmental Kuznets curve for the USA and the UK: cyclical environmental Kuznets curve evidence. Environ Dev Sustain (2024). https://doi.org/10.1007/s10668-024-05320-y

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Historical environmental Kuznets curve for the USA and the ...
Human activities, including population growth, industrialization, and urbanization, have increasingly impacted the environment. Despite the benefits of economic growth to individual welfare, its negative environmental consequences necessitate a thorough assessment. The environmental Kuznets curve (EKC), positing an inverted U-shaped relationship between income per capita and environmental ...

Unit of Analysis: Definition, Types & Examples

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Historical environmental Kuznets curve for the USA and the UK: cyclical environmental Kuznets curve evidence