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vii Contents Tables xv Boxes xix Getting Files from the Wiley ftp and Internet Sites xxi Preface to the Fourth edition xxv PART 1 BASIC CONCEPTS 1. Uses of Sample Surveys 1 1.1 Why Sample Surveys are Used, 1 1.2 Designing Sample Surveys, 3 1.2.1 Sample Design, 3 1.2.2 Survey Measurements, 4 1.2.3 Survey Operations, 4 1.2.4 Statistical Analysis and Report Writing, 5 1.3 Preliminary Planning of a Sample Survey, 5 Exercises, 6 Bibliography, 7 2. The Population and the Sample 9 2.1 The Population, 9 2.1.1 Elementary Units, 11 2.1.2 Population Parameters, 11 2.2 The Sample, 16 2.2.1 Probability and Nonprobability Sampling. 16 2.2.2 Sampling Frames, Sampling Units, and Enumeration Units, 17 2.3 Sample Measurements and Summary Statistics, 18 2.2.4 Estimation of Population Characteristics, 20 2.3 Sampling Distributions, 23 2.4 Characteristics of Estimates of Population Parameters, 28 2.4.1 Bias, 29 2.4.2 Mean Square Error, 30 2.4.3 Validity, Reliability, and Accuracy, 33 2.5 Criteria for a Good Sample Design, 34 2.6 Summary, 35 Exercises, 35 Bibliography, 40 PART 2 MAJOR SAMPLING DESIGNS AND ESTIMATION PROCEDURES 3. Simple Random Sampling 41 3.1 What is a Simple Random Sample?, 41 3.1.1 How to Take a Simple Random Sample, 42 3.1.2 Probability of an Element Being Selected, 43 3.2 Estimation of Population Characteristics Under Simple Random Sampling, 45 3.2.1 Estimation Formulas, 45 3.2.2 Numerical Computation of Estimates and Their Standard Errors, 46 3.3 Sampling Distributions of Estimated Population Characteristics, 51 3.4 Coefficients of Variation of Estimated PopulationParameters, 54 3.5 Reliability of Estimates, 57 3.6 Estimation of Parameters for Subdomains, 60 3.7 How Large a Sample Do We Need?, 66 3.8 Why Simple Random Sampling Is Rarely Used, 71 3.9 Summary, 72 Exercises, 72 Bibliography, 75 4. Systematic Sampling 77 4.1 How To Take a Systematic Sample, 77 4.2 Estimation of Population Characteristics, 78 4.3 Sampling Distribution of Estimates, 80 4.4 Variance of Estimates, 84 4.5 A Modification That Always Yields Unbiased Estimates, 92 4.6 Estimation of Variances, 94 4.7 Repeated Systematic Sampling, 97 4.8 How Large a Sample Do We Need?, 105 4.9 Using Frames That Are Not Lists, 107 4.10 Summary, 108 CONTENTS ix Exercises, 108 Bibliography, 114 5. Stratification and Stratified Random Sampling 115 5.1 What is a Stratified Random Sample?, 115 5.2 How to Take a Stratified Random Sample, 116 5.3 Why Stratified Sampling? 116 5.4 Population Parameters for Strata, 122 5.5 Sample Statistics for Strata, 127 5.6 Estimation of Population Parameters from Stratified Random Sampling, 128 5.7 Summary, 133 Exercises, 133 Bibliography, 136 6. Stratified Random Sampling: Further Issues 137 6.1 Estimation of Population Parameters, 137 6.2 Sampling Distributions of Estimates, 138 6.3 Estimation of Standard Errors, 140 6.4 Estimation of Characteristics of Subgroups, 142 6.5 Allocation of Sample to Strata, 144 6.5.1 Equal Allocation, 145 6.5.2 Proportional Allocation: Self-weighting Samples, 145 6.5.3 Optimal Allocation, 152 6.5.4 Optimal Allocation and Economics, 154 6.6 Stratification After Sampling, 162 6.7 How Large a Sample is Needed?, 169 6.8.Construction of Stratum Boundaries and Desired" Number of Strata, 173 6.9 Summary, 177 Exercises, 178 Bibliography, 182 7. Ratio Estimation 183 7.1 Ratio Estimation Under Simple Random Sampling, 184 7.2 Estimation of Ratios for Subdomains Under Simple Random Sampling, 192 7.3 Poststratified Ratio Estimates Under Simple Random Sampling, 194 7.4 Ratio Estimation of Totals Under Simple Random Sampling, 198 7.5 Comparison of Ratio Estimate with Simple Inflation Estimate, 204 7.6 Approximation to the Standard Error of the Ratio Estimated Total, 205 7.7 Determination of Sample Size, 206 7.8 Regression Estimation of Totals, 207 7.9 Ratio Estimation in Stratified Random Sampling, 209 7.10 Summary, 212 Exercises, 212 Bibliography, 216 8. Cluster Sampling: Introduction and Overview 217 8.1 What is Cluster Sampling? 218 8.2 Why is Cluster Sampling Widely Used? 220 8.3 A Disadvantage of Cluster Sampling: High Standard Errors, 222 8.4 How Cluster Sampling is Treated in This Book, 223 8.5 Summary, 223 Exercises, 224 Bibliography, 224 9. Simple One-Stage Cluster Sampling 225 9.1 How to Take a Simple One-Stage Cluster Sample, 226 9.2 Estimation of Population Characteristics, 226 9.3 Sampling Distributions of Estimates, 244 9.4 How Large a Sample Is Needed? 248 9.5 Reliability of Estimates and Costs Involved, 250 9.6 Choosing a Sampling n Design Based on Cost and Reliability, 252 9.7 Summary, 257 Exercises, 257 Bibliography, 262 10. Two-Stage Cluster Sampling: Clusters Sampled with Equal Probability 263 10.1 Situation in Which all Clusters Have the Same Number, NI, of Enumeration Units, 264 10.1.1 How to Take a Simple Two-Stage Cluster Sample, 264 10.1.2 Estimation of Population Characteristics, 265 10.1.3 Estimation of Standard Errors, 267 10.1.4 Sampling Distribution of Estimates, 278 10.1.5 How Large a Sample is Needed? 283 10.1.6 Choosing the Optimal Cluster Size n Considering Costs, 286 10.1.7 Some Shortcut Formulas for Determining the Optimal Number n , 289 10.2 Situation in Which All Clusters Do Not Have the Same Number Ni of Enumeration Units, 294 10.2.1 How to Take a Simple Two-Stage Cluster Sample for this Design, 294 10.2.2 Estimation of Population Characteristics, 295 10.2.3 Estimation of Standard Errors of Estimates, 295 10.2.4 Sampling Distributions of Estimates, 305 10.2.5 How Large a Sample Do We Need? 308 10.2.6 Choosing the Optimal Cluster Size n Considering Costs, 311 10.3 Systematic Sampling as Cluster Sampling, 313 10.4 Summary, 314 Exercises, 315 Bibliography, 324 11. Cluster Sampling in Which Clusters Are Sampled with Unequal Probability: Probability Proportional to Size Sampling 325 11.1 Motivation for Not Sampling Clusters with Equal Probability, 326 11.2 Two General Classes of Estimators Valid for Sample Designs in Which Units Are Selected with Unequal Probability, 330 1 1.2.1 The Horvitz-Thompson Estimator, 330 1 1.2.2 The Hansen-Hurwitz Estimator, 331 11.3 Probability Proportional to Size Sampling, 334 11.3.1 Probability Proportional to Size Sampling with Replacement: Use of the Hansen-Hurwitz Estimator, 336 11.3.2 PPS Sampling When the Measure of Size Variable is not the Number of Enumeration Units, 344 11.3.3 How to Take a PPS Sample with Replacement, 347 11.3.4 Sequential Methods of PPS Sampling with Replacement- Chromy?s Probability with Minimum Replacement (PMR) Method, 347 11.3.5 How Large a Sample is Needed for a Two-Stage Sample in Which Clusters Are Selected PPS with Replacement? 350 11.3.6 Telephone PPS Sampling: The Mitofsky-Waksberg Method of Random Digit Dialing, 353 11.4 Further Comment on PPS Sampling, 355 11.5 Summary, 355 Exercises, 356 Bibliography, 358 12. Variance Estimation in Complex Sample Surveys 361 12.1 Linearization, 362 12.2 Replication Methods, 367 12.2.1 The Balanced Repeated Replication Method, 367 12.2.2 Jackknife Estimation, 375 12.2.3 Estimation of Interviewer Variability by Use of Replicated Sampling (Interpenetrating Samples), 378 12.3 Summary, 380 Exercises, 381 Technical Appendix, 384 Bibliography, 386 PART 3 SELECTED TOPICS IN SAMPLE SURVEY METHODOLOGY 13. Nonresponse and Missing Data in Sample Surveys 389 13.1 Effect of Nonresponse on Accuracy of Estimates, 389 13.2 Methods of Increasing the Response Rate in Sample Surveys, 391 13.2.1 Increasing the Number of Households Contacted Successfully, 391 13.2.2 Increasing the Completion Rate in Mail Questionnaires, 392 13.2.3 Decreasing the Number of Refusals in Face-to-Face Telephone Interviews, 392 13.2.4 Using Endorsements, 393 13.3 Mail Surveys Combined with Interviews of Nonrespondents, 394 13.3.1 Determination of Optimal Fraction of Initial Nonrespondents to Subsample for lntensive Effort, 395 13.3.2 Determination of Sample Size Needed for aTwo-Stage Mail Survey, 397 13.4 Other Uses of Double Sampling Methodology, 398 13.5 Item Nonresponse: Methods of Imputation, 400 13.5.1 Mechanisms by Which Missing Values Arise, 400 13.5.2 Some Methods for Analyzing Data in the Presence of Missing Values, 403 13.5.3 Some Imputation Methods, 404 13.6 Multiple Imputation, 408 13.7 Summary, 411 Exercises, 411 Bibliography, 417 14. Selected Topics in Sample Design and Estimation Methodology 419 14.1 World Health Organization EPI Surveys: A Modification of PPS Sampling for Use in Developing Countries, 419 14.2 Quality Assurance Sampling, 421 14.3 Sample Sizes for Longitudinal Studies, 424 14.3.1 Simple Random Sampling, 425 14.3.2 Simple One-Stage Cluster Sampling, 426 14.3.3 Cluster Sampling with More Than One Domain, 427 14.4 Estimation of Prevalence of Diseases from Screening Studies, 428 14.5 Estimation of Rare Events: Network Sampling, 432 14.6 Estimation of Rare Events: Dual Samples, 436 14.7 Estimation of Characteristics for Local Areas: Synthetic Estimation, 438 14.8 Extraction of Sensitive Information: Randomized Response Techniques, 441 14.9 Summary, 443 Exercises, 443 Bibliography, 444 15. Telephone Survey Sampling 447 Michael W. Link and Mansour Fahimi 15.1 Introduction, 447 15.1.1 The Twentieth Century, 447 15.1.2 The Twenty-First Century, 448 15.2 History of Telephone Sampling in the United States, 448 15.2.1 Early Design of Telephone Surveys, 449 15.2.2 Random Digit Dialing, 449 15.2.3 Mitofsky-Waksberg Sampling Method, 450 15.2.4 List Assisted Random Digit Dialing Methods, 450 15.3 Within-Household Selection Techniques, 451 15.3.1 Probability-Based Methods, 452 15.3.2 Quasi-Probability Methods, 452 15.3.3 Non-Probability Methods, 452 15.3.4 Minimally Intrusive Method, 453 15.4 Steps in the Telephone Survey Process, 453 15.4.1 Computer-Assisted Telephone Interviewing, 454 15.4.2 Quality Control in Telephone Surveys, 455 15.5 Drawing and Managing a Telephone Survey, 455 15.5.1 Drawing the Sample, 455 15.5.2 Managing the Sample, 456 15.5.3 Developing an Analysis File, 457 15.5.4 Data Weighting and Adjusting, 458 15.6 Post-Survey Data Enhancement Procedures, 458 15.6.1 Data Weighting, 458 15.6.2 Steps in the Weighting Process, 458 15.6.3 Compensation for Exclusion of Nontelephone Households, 466 15.7 Imputation of Missing Data, 468 15.8 Declining Coverage and Response Rates, 469 15.9 Addressing the Problems with Cell Phones, 470 15.9.1 Research on Cell Phone Surveys, 470 15.9.2 Sampling from the Cell Phone Frame, 471 15.10 Address-Based Sampling, 474 Exercises, 475 Bibliography, 475 16. Constructing the Sampling Weights 481 Paul P. Biemer and Sharon L. Christ 16.1 Introduction, 481 16.2 Objectives of Weighing, 484 16.2.1 Basic Concepts, 484 16.2.2 Weighting to Reduce Frame Bias, 486 16.2.3 Weighting to Recduce Nonresponse Bias, 487 16.2.4 Weighting to Reduce Sampling Variance, 488 16.3 Constructing the Sampling Weights, 490 16.3.1 Base Weights, 491 16.3.2 Nonresponse Adjustments, 493 16.3.3 Frame Coverage Adjustments, 497 16.3.4 Constructing the Final Weights, 502 16.4 Estimation and Analysis Issues, 503 16.4.1 Effect of Weighting on the Variance, 503 16.4.2 Using Weights in Analysis, 505 16.5 Summary, 506 Bibliography, 507 CONTENTS xv 17 Strategies for Design-Based Analysis of Sample Survey Data 509 17.1 Steps Required for Performing a Design-Based Analysis, 510 17.2 Analysis Issues for ?Typical? Sample Surveys, 520 17.3 Summary, 527 Technical Appendix, 527 Bibliography, 528 Appendix 529 Answers to Selected Exercises 535 Index 563

Library of Congress Subject Headings for this publication:

Population -- Statistical methods.

Sampling (Statistics).