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Overview: Non-Response
Motivation: Why non-response is important Definitions, types, components Causes Objectives: What can we do about non-response? Studying Non-Response: How can we find out about the nature of non-response? Quality indicators: Response rates and other indicators Minimising non-contacts Minimising refusals Minimising panel attrition
Definitions of Non-Response
Non-response is the failure to obtain complete measurements on the (eligible) survey sample. [eligible = in-scope = in-population] This incompleteness can be within units (item non-response) or across units (unit nonresponse). [unit = sample element = sample member = case] Unit non-response A sample unit does not provide any of the data required by the survey. Item non-response A sample unit participates but data for some survey items are not available for analysis.
Response Pattern
We can define the survey response pattern by a matrix R = [rjk], where rjk = 1 if item j is observed for unit k, and rjk = 0 otherwise. Possible response patterns include: Unit (k) y1k y2k y3k 1 2 3 4 1 1 1 0 1 0 0 0 1 1 0 0 yqk 1 1 1 0 full response item non-response item non-response unit non-response
Note that, due to item non-response, the set of units available for analysis depends on the item or item required.
Errors of Non-Observation
2
(1)
(1)
Population
Sampling Frame
Responding units
Nonresponding units
1: Frame over-coverage (no error, if identified) 2: Frame under-coverage (coverage error) 3: Non-sampled units (sampling error) 4: Non-responding units (non-response error) 5: Responding units (observational error)
Non-Response Error
Survey response as a deterministic vs. probabilistic process Deterministic model (Groves 1989):
NT N R (YR YR ) E ( y R y T ) = (YR YT ) = ~ N T
NT = N R + N R ~
E ( y R YT ) =
Cov( yi , i )
( yr yt ) = nT nR ( yR yR ) ~
nT
Thus, non-response error has two elements: - the non-response rate; - the difference between responding and non-responding units in terms of y . The aim of the survey researcher should be to seek effective ways to minimise both components, noting that - the components are not independent; - the second component is estimate-specific.
Policy 2: Issue only wave 1 responding cases at each subsequent wave. 9 possible patterns:
Wave: 1 2 3 4 5 6 7 8 9 1 2 3 4
Policy 3: At each wave, issue only cases responding to previous wave. 5 possible patterns:
Wave: 1 2 3 4 5 1 2 3 4
Studying Non-Response
Designs for Estimating Characteristics of Non-respondents: - Special studies of non-respondents - Using information on the sampling frame - Asking others about non-respondents or having interviewer provide information about them (example on next page) - Comparison of respondent characteristics by call number - Comparison of respondent characteristics to census or other external information - Studying persons who drop out of a panel survey after an initial interview
ALL RESIDENTIAL ADDRESSES (CONTACTS AND NON-CONTACTS INCLUDING VACANTS) 17. Does the address have an entryphone? 22a. SAMPLED DWELLING IS: Yes No 18. Which of the following are visible at the sampled address? CODE ALL THAT APPLY Burglar alarm 1 Security gate over front door Bars/grilles on any windows Other security device(s) Estate/block security lodge/guards None of these INTERVIEWER ASSESSMENTS: 19. Are the houses/flats in this immediate area in a good or bad physical state? Mainly good Mainly fair Mainly bad Mainly very bad 20. Is the sampled house/flat in a better or worse condition outside than the others in this area? Better Worse About the same Does not apply 21. Do you know or think that the occupants are probably white black Asian Other: __________________ Dont know 1 2 3 4 5 e. 1 2 3 4 10th 1 2 3 4 c. BUILDING HAS: Fewer than 5 floors 5 floors or more Unable to code d. FLOOR LEVEL OF MAIN ACCOMMODATION: Basement/semi-basement Ground floor/street level First floor 2nd/3rd 4th 9th floor floor 1 2 3 4 5 6 1 2 3 2 3 4 5 0 b. 1 2 Whole house: detached Semi-detached IF NO DWELLING SELECTED, CODE FOR ADDRESS mid-terrace end terrace Maisonette Flat: purpose-built converted Rooms, bedsitter Unable to code IF FLAT ETC (5-7 AT a.) ANSWER b-e. OTHERS - END CODE TYPE OF FLAT ETC: Self-contained Not self-contained Dont know 1 2 8 1 2 3 4 5 6 7 8 9
floor or higher
BUILDING HAS: Common entrance: lockable Common entrance: not lockable No common entrance
1 2 3
Source: Lynn P (1996) Weighting for non-response, in Survey and Statistical Computing 1996, Chesham: Association for Statistical Computing
Response rate 91.1% 85.1% 81.7% 76.4% 74.1% 69.1% 62.6% 59.6%
Selected sample % 18.0 13.0 15.0 8.1 9.1 14.5 14.4 7.8 4,542
Responding sample % 21.4 14.5 16.1 8.1 8.8 13.1 11.8 6.1 3,469
Source: Baldazzi et al (2002) Interviewers effect on refusal risk in the Italian Multipurpose Survey: a multilevel approach, paper presented at the annual conference of the Italian Statistical Society, May 2002.
Social Class Non-manual Manual Self-employed Unclassifiable Base Source: Lynn P (1996)
Source: Lynn P, Clarke P, Martin J and Sturgis P (2002) The effects of extended interviewer efforts on nonresponse bias, in Survey Nonresponse (ed.s R M Groves, D A Dillman, J L Eltinge and R J A Little), New York: Wiley.
Minimising Non-Contact
A conceptual model for contacting sample households (Groves & Couper 1998):
Social environmental attributes Socio-demographic attributes Physical impediments Accesible at-home patterns Likelihood of contact
X
Number of calls
Timing of calls
Interviewer attributes
Contact likelihood is a function of three factors: 1) Physical impediments that prevent visiting interviewers from alerting the household to their presence 2) When household members are at home 3) When and how many times the interviewer visits the household.
5. The timing of first contact is related to the outcome of that call . . . For example, * An immediate interview is most likely if contact is made on a weekday morning or afternoon * An appointment is most likely if contact is made on a weekday or Sunday evening. However, no evidence that the time of day or day of week affects the likelihood of the final outcome of the case (i.e., certain call combinations do not lead to a higher refusal rate.) 6. A variety of different calling strategies can be used by interviewers as long as they increase the number of calls if a sub-optimal strategy is adopted. Four interviewer groups were created based on their percentage of weekday evening calls:
Interviewer Group Time of First Contact Weekend Weekday morning or afternoon Weekday evening AA 18 45 37 AB 22 51 27 BA 15 64 21 BB 17 68 14
Number of Calls:
Interviewer Group AA AB BA BB Percentage of Average number of Final Noncontact rate calls made on calls made per weekday evenings address achieved 34 24 19 14 2.06 2.20 2.31 2.36 4.3 3.4 4.2 4.8
Household
Interviewer
Length of the interview being requested. A basic indicator of the response burden. Topic of the survey. Helps to determine the respondents level of interest and knowledge in the survey. Use of respondent incentives. To motivate and to invoke the norm of reciprocity. Design and content of advance letters / covering letters / questionnaires.
3. Social Validation One is more likely to comply with a request to the degree that one believes that similar others would comply with (Groves, Cialdini, Couper 1992). 4. Liking One should be more willing to comply with the requests of liked others. A variety of factors (e.g. similarity of attitude, background, dress, praise) have been shown to increase the liking of strangers, and these cues may be used to guide the decision in evaluating the interviewers request. (Groves, Couper 1998). 5. Authority People are more likely to comply with a request is it comes from a properly constituted authority, someone who is sanctioned by the society to make such requests and to expect compliance. (Groves, Couper 1998). 6. Scarcity One should be more willing to comply with requests to secure opportunities that are scarce.
Contact attempt
Office refusal
Ineligible
- Insufficent address - Not traced - Not yet built - Vacant/ derelicted / demolished - Empty - Business/industrial only - Other
Single DU
1) List in systematic order by flat number 2) random selection of the dwelling unit
Respondent contacted
Completed interview
Refusal Personal refusal by respondent Broken appointment, no recontact Proxy refusal on behalf of selected respondent
Other reason for non-response Ill at home Away/in hospital during survey period Senile/incapacitated
Inadequate English
Other
Respondent Incentives
Used most commonly on Market surveys Surveys where extensive burden is involved (e.g. Surveys involving diary-keeping; longitudinal surveys) Ethical issues, especially re. differential incentives for resistant sample members Effect depends on amount Prepaid more effective than conditional upon participation Money or money-equivalent more effective than gifts or lottery entries Budget issues.
Source: Lynn P, Thomson K and Brook L (1998) An experiment with incentives on the British Social Attitudes Survey, Survey Methods Newsletter 18:2, 12-14.
Re-issues
The idea is to re-issue some sample cases that have been returned as non-response usually to a different (more experienced) interviewer. This includes refusal conversion attempts and attempts to make contact with sample members previously classified as non-contact. May add 2 to 5% to response rate Typically around 1 in 4 are converted BHPS had best conversion rate among Rs whose concern had to do with the survey rather than a personal issue Expensive (especially for f-to-f, less so for telephone) Time-consuming Consider alternative strategies (prevention)? Effect of conversion can be long-lasting for panel surveys
See: Burton, J., Laurie, H. & Lynn, P. (2006) 'The long-term effectiveness of refusal conversion procedures on longitudinal surveys'. Journal of the Royal Statistical Society Series A (Statistics in Society), 169(3): 459-478.
On this survey, three reminder mailings were sent. Each can be seen to have boosted the response rate
Source: Lynn P (1996). Quality and Error in Self-Completion Surveys, Survey Methods Centre Newsletter, 16(2), 4-9.