Definitions

Observation unit Target population Sample Sampled population Sampling unit Sampling frame

Target Population and Sampling Frame

Types of Surveys
Cross-sectional surveys a specific population at a given point in time will have one or more of the design components
stratification clustering with multistage sampling unequal probabilities of selection

Longitudinal surveys a specific population repeatedly over a period of time

panel rotating samples

Cross Sectional Surveys

Sampling Design Terminology

Methods of Sample Selection

Basic methods simple random sampling systematic sampling unequal probability sampling stratified random sampling cluster sampling two-stage sampling

Simple Random Sampling

0 10 20 30 40 50 60 70 80 90 100

Why? basic building block of sampling sample from a homogeneous group of units How? physically make draws at random of the units under study computer selection methods: R, Stata

Systematic Sampling
0 10 20 30 40 50 60 70 80 90 100

Why? easy can be very efficient depending on the structure of the population How? get a random start in the population sample every kth unit for some chosen number k

Additional Note
Simplifying assumption: in terms of estimation a systematic sample is often treated as a simple random sample Key assumption: the order of the units is unrelated to the measurements taken on them

Unequal Probability Sampling

Why? may want to give greater or lesser weight to certain population units two-stage sampling with probability proportional to size at the first stage and equal sample sizes at the second stage provides a self-weighting design (all units have the same chance of inclusion in the sample) How? with replacement without replacement

With or Without Replacement?

in practice sampling is usually done without replacement the formula for the variance based on without replacement sampling is difficult to use the formula for with replacement sampling at the first stage is often used as an approximation Assumption: the population size is large and the sample size is small sampling fraction is less than 10%

Stratified Random Sampling

0 10 20 30 40 50 60 70 80 90 100

Why? for administrative convenience to improve efficiency estimates may be required for each stratum How? independent simple random samples are chosen within each stratum

Example: Survey of Youth in Custody

first U.S. survey of youths confined to long-term, state-operated institutions complemented existing Children in Custody censuses. companion survey to the Surveys of State Prisons the data contain information on criminal histories, family situations, drug and alcohol use, and peer group activities survey carried out in 1989 using stratified systematic sampling

SYC Design
strata
type (a) groups of smaller institutions type (b) individual larger institutions

sampling units
strata type (a)
first stage institution by probability proportional to size of the institution second stage individual youths in custody

strata type (b)

individual youths in custody

individuals chosen by systematic random sampling

Cluster Sampling
0 10 20 30 40 50 60 70 80 90 100

Why? convenience and cost the frame or list of population units may be defined only for the clusters and not the units How? take a simple random sample of clusters and measure all units in the cluster

Two-Stage Sampling
0 10 20 30 40 50 60 70 80 90 100

Why? cost and convenience lack of a complete frame How? take either a simple random sample or an unequal probability sample of primary units and then within a primary take a simple random sample of secondary units

Synthesis to a Complex Design

Stratified two-stage cluster sampling Strata geographical areas First stage units smaller areas within the larger areas Second stage units households Clusters all individuals in the household

Why a Complex Design?

better cover of the entire region of interest (stratification) efficient for interviewing: less travel, less costly Problem: estimation and analysis are more complex

Ontario Health Survey

carried out in 1990 health status of the population was measured data were collected relating to the risk factors associated with major causes of morbidity and mortality in Ontario survey of 61,239 persons was carried out in a stratified two-stage cluster sample by Statistics Canada

OHS Sample Selection

strata: public health units divided into rural and urban strata first stage: enumeration areas defined by the 1986 Census of Canada and selected by pps second stage: dwellings selected by SRS cluster: all persons in the dwelling

Longitudinal Surveys
Sampling Design

Schematic Representation
Panel Survey
4

3 Time

0 Respondents

Schematic Representation
Rotation Survey
4

3 Time

0 Respondents

Survey Weights

Survey Weights: Definitions

initial weight
equal to the inverse of the inclusion probability of the unit

final weight
initial weight adjusted for nonresponse, poststratification and/or benchmarking interpreted as the number of units in the population that the sample unit represents

Interpretation
Interpretation the survey weight for a particular sample unit is the number of units in the population that the unit represents
Not sampled, Wt = 2, Wt = 5, Wt = 6, Wt = 7

Effect of the Weights

Example: age distribution, Survey of Youth in Custody

Sum of Age Counts Weights 11 1 28 12 9 149 13 53 764 14 167 2143 15 372 3933 16 622 5983 17 634 5189 18 334 2778 19 196 1763 20 122 1164 21 57 567 22 27 273 23 14 150 24 13 128 Totals 2621 25012

Unweighted Histogram
Age Distribution of Youth in Custody
0.3 0.25 Proportion 0.2 0.15 0.1 0.05 0 11 12 13 14 15 16 17 18 19 20 21 22 23 24 Age

Weighted Histogram
Age Distribution of Youth in Custody
0.3 0.25

Proportion

0.2 0.15 0.1 0.05 0 11 12 13 14 15 16 17 18 19 20 21 22 23 24

Age

Weighted versus Unweighted

Weighted and Unweighted Histograms
0.3 0.25 0.2 0.15 0.1 0.05 0 11 12 13 14 15 16 17 18 19 20 21 22 23 24

Proportion

Age Weighted Unweighted

Observations
the histograms are similar but significantly different
the design probably utilized approximate proportional allocation

the distribution of ages in the unweighted case tends to be shifted to the right when compared to the weighted case
older ages are over-represented in the dataset