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雷达卡
Sampling and Household Listing Manual
2012年版，共109页
1 DEMOGRAPHIC AND HEALTH SURVEYS SAMPLING POLICY ........................................ 1
1.1 General principles ............................................................................................ 1
1.1.1 Existing sampling frame ......................................................................... 1
1.1.2 Full coverage ........................................................................................ 1
1.1.3 Probability sampling .............................................................................. 2
1.1.4 Suitable sample size .............................................................................. 2
1.1.5 Simple design ....................................................................................... 2
1.1.6 Household listing and pre-selection of households ...................................... 2
1.1.7 Good sample documentation ................................................................... 2
1.1.8 Confidentiality ...................................................................................... 3
1.1.9 Exactness of survey implementation ........................................................ 3
1.2 Survey objectives and target population .............................................................. 3
1.3 Survey domain ................................................................................................ 4
1.4 Sampling frame ............................................................................................... 4
1.4.1 Conventional sampling frame .................................................................. 5
1.4.2 Alternative sampling frames ................................................................... 5
1.4.3 Evaluation of the sampling frame ............................................................ 6
1.5 Stratification ................................................................................................... 6
1.6 Sample size .................................................................................................... 7
1.6.1 Sample size and sampling errors ............................................................. 7
1.6.2 Sample size determination .................................................................... 10
1.7 Sample allocation ............................................................................................ 12
1.8 Two-stage cluster sampling procedure ............................................................... 15
1.9 Sample “take” per cluster ................................................................................. 16
1.9.1 Optimum sample take ........................................................................... 16
1.9.2 Variable sample take for self-weighting ................................................... 17
1.10 Household listing ............................................................................................ 19
1.11 Household selection in the central office ............................................................. 20
1.12 Household interviews ....................................................................................... 21
1.13 Sampling weight calculation .............................................................................. 22
1.13.1 Why we need to weight the survey data .................................................. 22
1.13.2 Design weights and sampling weights ..................................................... 22
1.13.3 How to calculate the design weights ........................................................ 23
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1.13.4 Correction of unit non-response and calculation of sampling weights............ 24
1.13.5 Normalization of sampling weights .......................................................... 26
1.13.6 Standard weights for HIV testing ............................................................ 27
1.13.7 De-normalization of standard weights for pooled data ................................ 28
1.14 Calibration of sampling weights in case of bias .................................................... 29
1.15 Data quality and sampling error reporting ........................................................... 30
1.16 Sample documentation .................................................................................... 31
1.17 Confidentiality ................................................................................................ 31
2 HOUSEHOLD LISTING OPERATION ........................................................................... 32
2.1 Introduction ................................................................................................... 32
2.2 Definition of terms .......................................................................................... 32
2.3 Responsibilities of the listing staff ...................................................................... 33
2.4 Locating the cluster ......................................................................................... 34
2.5 Preparing location and sketch maps ................................................................... 35
2.6 Collecting a GPS waypoint for each cluster .......................................................... 36
2.7 Listing of households ....................................................................................... 37
2.8 Segmentation of large clusters .......................................................................... 38
2.9 Quality control ................................................................................................ 39
2.10 Prepare the household listing forms for household selection .................................. 39
Appendix 2.1 Example listing forms ............................................................................. 41
Appendix 2.2 Symbols for mapping and listing .............................................................. 46
Appendix 2.3 Examples of completed mapping and listing forms ...................................... 48
3 SELECTED SAMPLING TECHNIQUES ......................................................................... 52
3.1 Simple random sampling .................................................................................. 52
3.2 Equal probability systematic sampling ................................................................ 53
3.2.1 Sampling theory .................................................................................. 53
3.2.2 Excel templates for systematic sampling .................................................. 55
3.3 Probability proportional to size sampling ............................................................. 64
3.3.1 Sampling theory .................................................................................. 64
3.3.2 Operational description and examples ..................................................... 65
3.4 Complex sampling procedures ........................................................................... 70
4 SURVEY ERRORS ...................................................................................................... 73
4.1 Errors of coverage and non-response ................................................................. 73
4.1.1 Coverage errors ................................................................................... 73
4.1.2 Deliberate restrictions of coverage .......................................................... 74
4.1.3 Non-response ...................................................................................... 74
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4.1.4 Response rates .................................................................................... 76
4.2 Sampling errors .............................................................................................. 78
5 SAMPLE DOCUMENTATION ....................................................................................... 80
5.1 Introduction ................................................................................................... 80
5.2 Sample design document ................................................................................. 80
5.2.1 Introduction ........................................................................................ 80
5.2.2 Sampling frame ................................................................................... 81
5.2.3 Structure of the sample and the sampling procedure ................................. 82
5.2.4 Selection probability and sampling weight ................................................ 84
5.3 Sample file ..................................................................................................... 85
5.4 Results of Survey implementation ..................................................................... 88
5.5 Sampling errors .............................................................................................. 90
5.6 Sampling parameters in DHS data files ............................................................... 91
Glossary of terms ................................................................................................................ 93
References .......................................................................................................................... 97
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