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ST/ESA/STAT/SER.F/98

asdf

United Nations

Studies in Methods

Series F No. 98

Designing Household Survey Samples: Practical Guidelines

Department of Economic and Social Affiairs

Department of Economic and Social Aairs

e Department of Economic and Social Aairs o f the United Nations Secretariat is a vital inter- face between global policies in the economic, social and environmental spheres and national action. e Department works in three main interlinked areas: (i) it compiles, generates and analyses a wide range of economic, social and environmental data and information on which States Members of the United Nations draw to review common problems and to take stock of policy options; (ii) it faci- litates the negotiations of Member States in many intergovernmental bodies on joint courses of action to address ongoing or emerging global challenges; and (iii) it advises interested Governments on the ways and means of translating policy frameworks developed in United Nations conferences and summits into programmes at the country level and, through technical assistance, helps build national capacities. Note e designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning

the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation

of its frontiers or boundaries.

e term “country" as used in the text of this publication also refers, as appropriate, to territories or

areas.

e designations “developed" and “developing" countries or areas and “more developed", “less develo-

ped" and “least developed" regions are intended for statistical convenience and do not necessarily ex-

press a judgement about the stage reached by a particular country or area in the development process.

Symbols of United Nations documents are composed of capital letters combined with gures. Mention of such a symbol indicates a reference to a United Nations document.

ST/ESA/STAT/SER.F/98

ISBN 978-92-1-161495-4

United Nations Publication

Sales No. E.06.XVII.13

Copyright © United Nations, 2008

All rights reserved

iii

Preface

ffie main purpose of Designing Household Survey Samples: Practical guidelines is to serve as a handbook that includes in one publication the main sample survey design issues that can conven-

iently be referred to by practising national statisticians, researchers and analysts involved in sample

survey work and activities in countries. Methodologically sound techniques that are grounded in statistical theory are used in this handbook, implying the use of probability sampling at each stage of the sample selection process. A well-designed household survey that is properly implemented can generate necessary information of sucient quality and accuracy with speed and at a relatively low cost. ffie contents of this publication can also be used, in part, as a training guide for introductory courses in sample survey design at various statistical training institutions that oer courses in applied statistics, especially survey methodology. In addition, this publication has been prepared to complement other publications dealing with sample survey methodology issued by the United Nations, like the recent publication entitled Household Sample Surveys in Developing and Transition Countries1 and the series under the National Household Survey Capability Programme (NHSCP). More specically, the objectives of the handbook are to: () Provide, in one publication, basic concepts and methodologically sound procedures for designing samples for, in particular, national-level household surveys, emphasizing applied aspects of household sample design;

() Serve as a practical guide for survey practitioners in designing and implementing ecient household sample surveys;

() Illustrate the interrelationship of sample design, data collection, estimation, processing and analysis;

() Highlight the importance of controlling and reducing in household sample surveys. While a sampling background will be helpful to users of the handbook, others with a general knowl-

edge of statistical and mathematical concepts should also be able to use it and apply its contents with

little or no assistance. ffiis is because one of the key aims of the handbook is to present material in

a practical, hands-on format as opposed to stressing the theoretical aspects of sampling. ffieoretical

underpinnings, however, are provided when necessary. It is expected that a basic understanding of

1 Studies on Methods; No. 96 (United Nations publication, Sales No. E.05.XVII.6).

ivDesigning Household Survey Samples: Practical Guidelines

algebra is all that is needed to follow the presentation easily and to apply the techniques. Accordingly,

numerous examples are provided to illustrate the concepts, methods and techniques. A number of experts contributed to the preparation of the handbook. Mr. Anthony Turner, Sampling Consultant, drafted chapters 3, 4 and 5 and reviewed the nal consolidated document; Mr. Ibrahim Yansaneh, Deputy Chief, Cost of Living Division, International Civil Service Commission, drafted chapters 6 and 7; and Mr. Maphion Jambwa, Statistician at the Southern African Development

Community Secretariat, drafted Chapter 9.

Mr. Jeremiah Banda, United Nations Statistics Division, who served as the project"s editor-in-chief and technical coordinator, authored chapter 1, 2 and 8 including annex I. Ms. Clare Menozzi helped

edit the rst draft of various chapters; and Ms. Bizugenet Kassa provided invaluable secretarial assist-

ance while Ms. Pansy Benjamin assisted in harmonizing the formats. e draft chapters were reviewed by an Expert Group Meeting organized by the Statistics Division, held in New York from 3 to 5 December 2003. e list of participants is contained in annex II. In addition, the handbook was peer reviewed by Dr. Alfredo Bustos, Ms. Ana María Landeros and Mr. Eduardo Ríos, from the Mexican National Institute of Statistics, Geography and Informatics (INEGI), who provided very valuable comments. P C

Director

United Nations Statistics Division

Department for Economic and Social Aairs

v

Contents

Page

Chapter 1

Sources of data for social and demographic statistics

Chapter 2

Planning and execution of surveys

Chapter 3

Sampling strategies

viDesigning Household Survey Samples: Practical Guidelines Page

3.2. Probability sampling versus other sampling methods for household surveys............... 29

3.2.1. Probability sampling.................................................. 29

3.2.2. Non-probability sampling methods ...................................... 31

3.3. Sample size determination for household surveys ................................... 34

3.3.1. Magnitudes of survey estimates ......................................... 34

3.3.2. Target population.................................................... 35

3.3.3. Precision and statistical condence....................................... 35

3.3.4. Analysis groups: domains.............................................. 36

3.3.5. Clustering eects .................................................... 38

3.3.6. Adjusting sample size for anticipated non-response .......................... 39

3.3.7. Sample size for master samples.......................................... 39

3.3.8. Estimating change or level ............................................. 40

3.3.9. Survey budget....................................................... 40

3.3.10. Sample size calculation................................................ 41

3.4. Stratication............................................................... 43

3.4.1. Stratication and sample allocation ...................................... 43

3.4.2. Rules of stratication ................................................. 44

3.4.3. Implicit stratication ................................................. 45

3.5. Cluster sampling............................................................ 46

3.5.1. Characteristics of cluster sampling....................................... 48

3.5.2. Cluster design eect.................................................. 48

3.5.3. Cluster size......................................................... 49

3.5.4. Calculating the design eect (de)....................................... 50

3.5.5. Number of clusters................................................... 50

3.6. Sampling in stages .......................................................... 51

3.6.1. Benets of sampling in stages........................................... 51

3.6.2. Use of dummy stages .................................................

52

3.6.3. ffie two-stage design ................................................. 54

3.7. Sampling with probability proportionate to size and with probability proportionate

to estimated size ............................................................ 54

3.7.1. Sampling with probability proportionate to size............................. 55

3.7.2. Sampling with probability proportionate to estimated size..................... 58

3.8. Options in sampling......................................................... 59

3.8.1. Equal-probability sampling, sampling with probability proportionate to size, xed-size and xed-rate sampling........................................ 59

3.8.2. Demographic and Health Survey (DHS).................................. 62

3.8.3. Modied cluster design: Multiple Indicator Cluster Surveys (MICS)............. 63

3.9. Special topics: two-phase samples and sampling for trends............................ 65

3.9.1. Two-phase sampling.................................................. 65

3.9.2. Sampling to estimate change or trend..................................... 66

3.10. When implementation goes wrong.............................................. 69

3.10.1. Target population denition and coverage................................. 69

3.10.2. Sample size too large for survey budget ................................... 70

3.10.3. Cluster size larger or smaller than expected ................................ 70

3.10.4. Handling non-response cases ........................................... 70

3.11. Summary guidelines......................................................... 71 References and further reading ................................................. 72

Contentsvii

Page

Chapter 4

Sampling frames and master samples

Chapter 5

Documentation and evaluation of sample designs

Chapter 6

Construction and use of sample weights

viiiDesigning Household Survey Samples: Practical Guidelines Page

6.5. Adjustment of sample weights for non-response .................................... 118

6.5.1. Reducing non-response bias in household surveys ........................... 118

6.5.2. Compensating for non-response......................................... 118

6.5.3. Non-response adjustment of sample weights................................ 119

6.6. Adjustment of sample weights for non-coverage .................................... 121

6.6.1. Sources of non-coverage in household surveys .............................. 121

6.6.2. Compensating for non-coverage in household surveys........................ 122

6.7. Increase in sampling variance due to weighting .................................... 123

6.8. Trimming of weights ........................................................ 124

6.9. Concluding remarks......................................................... 126

References and further reading ................................................. 127

Chapter 7

7.1. Introduction............................................................... 129

7.1.1. Sampling error estimation for complex survey data .......................... 129

7.1.2. Overview .......................................................... 130

7.2. Sampling variance under simple random sampling.................................. 131

7.3. Other measures of sampling error............................................... 136

7.3.1. Standard error ...................................................... 136

7.3.2. Coecient of variation................................................ 136

7.3.3. Design eect........................................................ 136

7.4. Calculating sampling variance for other standard designs ............................ 136

7.4.1. Stratied sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . 137

7.5. Common features of household survey sampledesigns and data ........................ 140

7.5.1. Deviations of household survey designs from simple random sampling ........... 140

7.5.2. Preparation of data les for analysis ...................................... 140

7.5.3. Types of survey estimates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . 141

7.6. Guidelines for presentation of informationon sampling errors ......................... 142

7.6.1. Determining what to report............................................ 142

7.6.2.

How to report sampling error information................................. 142

7.6.3. Rule of thumb in reporting standard errors ................................ 143

7.7. Methods of variance estimation for household surveys............................... 143

7.7.1. Exact methods ...................................................... 144

7.7.2. Ultimate cluster method............................................... 144

7.7.3. Linearization approximations........................................... 148

7.7.4. Replication......................................................... 149

7.7.5. Some replication techniques............................................ 151

7.8. Pitfalls of using standard statistical software packages to analyse household survey data ..... 155

7.9. Computer software for sampling error estimation................................... 156

7.10. General comparison of software packages......................................... 159

7.11. Concluding remarks......................................................... 159 References and further reading ................................................. 160

Chapter 8

8.1. Introduction............................................................... 163

Contentsix

Page

8.2. Bias and variable error........................................................ 164

8.2.1. Variable component .................................................. 166

8.2.2. Systematic error (bias)................................................. 166

8.2.3. Sampling bias....................................................... 166

8.2.4. Further comparison of bias and variable error .............................. 167

8.3. Sources of non-sampling error ................................................. 167

8.4. Components of non-sampling error ............................................. 168

8.4.1. Specication error.................................................... 168

8.4.2. Coverage or frame error ............................................... 168

8.4.3. Non-response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . 170

8.4.4. Measurement error................................................... 171

8.4.5. Processing errors..................................................... 172

8.4.6. Errors of estimation .................................................. 172

8.5. Assessing non-sampling error .................................................. 173

8.5.1. Consistency checks................................................... 173

8.5.2. Sample check/verication.............................................. 173

8.5.3. Post-survey or reinterview checks........................................ 173

8.5.4. Quality control techniques............................................. 174

8.5.5. Study of recall errors.................................................. 174

8.5.6. Interpenetrating sub-sampling .......................................... 175

8.6. Concluding remarks......................................................... 175

References and further reading ................................................. 175

Chapter 9

9.1. Introduction............................................................... 177

9.2. ffie household survey cycle.................................................... 177

9.3. Survey planning and the data-processing system ................................... 179

9.3.1. Survey objectives and content........................................... 179

9.3.2. Survey procedures and instruments ...................................... 179

9.3.3.

Design for data-processing systems in household surveys...................... 182

9.4. Survey operations and data processing ........................................... 185

9.4.1. Frame creation and sample design ....................................... 185

9.4.2. Data collection and data management .................................... 187

9.4.3. Data preparation .................................................... 187

9.5. Appendix ................................................................. 202

9.5.1. ffie Microsoft Oce ................................................. 202

9.5.2. Visual Basic ........................................................ 203

9.5.3. CENVAR.......................................................... 203

9.5.4. PC CARP.......................................................... 203

9.5.5. Census and Survey Processing System (CSPro) ............................. 203

9.5.6. Computation and Listing of Useful Statistics on Errors of Sampling (CLUSTERS) . 203

9.5.7. Integrated System for Survey Analysis (ISSA)............................... 204

9.5.8. Statistical Analysis System (SAS) ........................................ 204

9.5.9. Statistical Package for the Social Sciences (SPSS)............................ 204

9.5.10. Survey Data Analysis ................................................. 204

References and further reading ................................................. 204 xDesigning Household Survey Samples: Practical Guidelines Page

Annex I

Basics of survey sample design

Annex II

List of experts

Tables

n Y

Contentsxi

Page 7.15. Balanced repeated replication method (Drop PSU 2 From Strata 1 and 3; PSU 1 from stratum 2)............................................................. 155 7.16. Using various software packages to estimate the variances of survey estimates, with the proportion of women who were seropositive among women with recent birth, Burundi,

1988-1989

................................................................ 156

8.1. Classication of survey errors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . 164

9.1. Example of a survey ‘s objects/units of analysis taken from the Zimbabwe Intercensal Demographic Survey, 1987.................................................... 183

9.2. Household and individual les used in the Zimbabwe Intercensal Demographic Survey, 1987 196

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