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S. DHINESH KUMAR 10MBR031 MBA, A 09MB206 RESEARCH METHEDOLOGY SAMPLING PROCESS 15-03-11 14-03-11 Dr.P.KARTHIKEYAN

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Sampling
Sampling is that part of statistical practice concerned with the selection of a subset of individual observations within a population of individuals intended to yield some knowledge about the population of concern, especially for the purposes of making predictions based on statistical inference. Researchers rarely survey the entire population for two reasons (Adr, Mellenbergh, & Hand, 2008): the cost is too high, and the population is dynamic in that the individuals making up the population may change over time. The three main advantages of sampling are that the cost is lower, data collection is faster, and since the data set is smaller it is possible to ensure homogeneity and to improve the accuracy and quality of the data. Each observation measures one or more properties (such as weight, location, color) of observable bodies distinguished as independent objects or individuals. In survey sampling, survey weights can be applied to the data to adjust for the sample design. Results from probability theory and statistical theory are employed to guide practice. In business and medical research, sampling is widely used for gathering information about a population.[1] Process The sampling process comprises several stages:
y y y y y y

Defining the population of concern Specifying a sampling frame, a set of items or events possible to measure Specifying a sampling method for selecting items or events from the frame Determining the sample size Implementing the sampling plan Sampling and data collecting

Population definition Successful statistical practice is based on focused problem definition. In sampling, this includes defining the population from which our sample is drawn. A population can be defined as including all people or items with the characteristic one wishes to understand. Because there is very rarely enough time or money to gather information from everyone or everything in a population, the goal becomes finding a representative sample (or subset) of that population.

Sometimes that which defines a population is obvious. For example, a manufacturer needs to decide whether a batch of material from production is of high enough quality to be released to the customer, or should be sentenced for scrap or rework due to poor quality. In this case, the batch is the population. Although the population of interest often consists of physical objects, sometimes we need to sample over time, space, or some combination of these dimensions. For instance, an investigation of supermarket staffing could examine checkout line length at various times, or a study on endangered penguins might aim to understand their usage of various hunting grounds over time. For the time dimension, the focus may be on periods or discrete occasions. Time spent in making the sampled population and population of concern precise is often well spent, because it raises many issues, ambiguities and questions that would otherwise have been overlooked at this stage. Sampling frame In the most straightforward case, such as the sentencing of a batch of material from production (acceptance sampling by lots), it is possible to identify and measure every single item in the population and to include any one of them in our sample. However, in the more general case this is not possible. There is no way to identify all rats in the set of all rats. Where voting is not compulsory, there is no way to identify which people will actually vote at a forthcoming election (in advance of the election). These imprecise populations are not amenable to sampling in any of the ways below and to which we could apply statistical theory. As a remedy, we seek a sampling frame which has the property that we can identify every single element and include any in our sample. The most straightforward type of frame is a list of elements of the population (preferably the entire population) with appropriate contact information. For example, in an opinion poll, possible sampling frames include an electoral register and a telephone directory. Probability and nonprobability sampling A probability sampling scheme is one in which every unit in the population has a chance (greater than zero) of being selected in the sample, and this probability can be accurately determined. The combination of these traits makes it possible to produce unbiased estimates of population totals, by weighting sampled units according to their probability of selection.

Example: We want to estimate the total income of adults living in a given street. We visit each household in that street, identify all adults living there, and randomly select one adult from each household. (For example, we can allocate each person a random number, generated from a uniform distribution between 0 and 1, and select the person with the highest number in each household). We then interview the selected person and find their income. People living on their own are certain to be selected, so we simply add their income to our estimate of the total. But a person living in a household of two adults has only a one-in-two chance of selection. To reflect this, when we come to such a household, we would count the selected person's income twice towards the total. (In effect, the person who is selected from that household is taken as representing the person who isn't selected.) In the above example, not everybody has the same probability of selection; what makes it a probability sample is the fact that each person's probability is known. When every element in the population does have the same probability of selection, this is known as an 'equal probability of selection' (EPS) design. Such designs are also referred to as 'self-weighting' because all sampled units are given the same weight. Probability sampling includes:    Simple Random Sampling Systematic Sampling Stratified Sampling

Probability Proportional to Size Sampling, and Cluster or Multistage Sampling. These various ways of probability sampling have two things in common. Every element has a known nonzero probability of being sampled and Involves random selection at some point. Nonprobability sampling is any sampling method where some elements of the population have no chance of selection (these are sometimes referred to as 'out of coverage'/'under covered'), or where the probability of selection can't be accurately determined. It involves the selection of elements based on assumptions regarding the population of interest, which forms the criteria for selection. Hence, because the selection of elements is non-random, nonprobability sampling does not allow the estimation of sampling errors. These conditions give rise to exclusion bias, placing limits on how much information a sample can provide about the population. Information about the relationship between sample and population is limited, making it difficult to extrapolate from the sample to the population.

Example: We visit every household in a given street, and interview the first person to answer the door. In any household with more than one occupant, this is a nonprobability sample, because some people are more likely to answer the door (e.g. an unemployed person who spends most of their time at home is more likely to answer than an employed housemate who might be at work when the interviewer calls) and it's not practical to calculate these probabilities. Nonprobability Sampling includes:  Accidental Sampling,  Quota Sampling  Purposive Sampling In addition, nonresponsive effects may turn any probability design into a nonprobability design if the characteristics of no response are not well understood, since nonresponsive effectively modifies each element's probability of being sampled. Sampling methods Within any of the types of frame identified above, a variety of sampling methods can be employed, individually or in combination. Factors commonly influencing the choice between these designs include:      Nature and quality of the frame Availability of auxiliary information about units on the frame Accuracy requirements, and the need to measure accuracy Whether detailed analysis of the sample is expected Cost/operational concerns

Simple random sampling In a simple random sample ('SRS') of a given size, all such subsets of the frame are given an equal probability. Each element of the frame thus has an equal probability of selection: the frame is not subdivided or partitioned. Furthermore, any given pair of elements has the same chance of selection as any other such pair (and similarly for triples, and so on). This minimises bias and simplifies analysis of results. In particular, the variance between individual results within the sample is a good indicator of variance in the overall population, which makes it relatively easy to estimate the accuracy of results. However, SRS can be vulnerable to sampling error because the randomness of the selection may result in a sample that doesn't reflect the

makeup of the population. For instance, a simple random sample of ten people from a given country will on average produce five men and five women, but any given trial is likely to over represent one sex and under represent the other. Systematic and stratified techniques, discussed below, attempt to overcome this problem by using information about the population to choose a more representative sample Systematic sampling Systematic sampling relies on arranging the target population according to some ordering scheme and then selecting elements at regular intervals through that ordered list. Systematic sampling involves a random start and then proceeds with the selection of every kth element from then onwards. In this case, k=(population size/sample size). It is important that the starting point is not automatically the first in the list, but is instead randomly chosen from within the first to the kth element in the list. A simple example would be to select every 10th name from the telephone directory (an 'every 10th' sample, also referred to as 'sampling with a skip of 10'). As long as the starting point is randomized, systematic sampling is a type of probability sampling. It is easy to implement and the stratification induced can make it efficient, if the variable by which the list is ordered is correlated with the variable of interest. 'Every 10th' sampling is especially useful for efficient sampling from databases. Example: Suppose we wish to sample people from a long street that starts in a poor district (house #1) and ends in an expensive district (house #1000). A simple random selection of addresses from this street could easily end up with too many from the high end and too few from the low end (or vice versa), leading to an unrepresentative sample. Selecting (e.g.) every 10th street number along the street ensures that the sample is spread evenly along the length of the street, representing all of these districts. (Note that if we always start at house #1 and end at #991, the sample is slightly biased towards the low end; by randomly selecting the start between #1 and #10, this bias is eliminated.) Stratified sampling Where the population embraces a number of distinct categories, the frame can be organized by these categories into separate "strata." Each stratum is then sampled as an independent sub-population, out of which individual elements can be randomly selected. There are several potential benefits to stratified sampling.

First, dividing the population into distinct, independent strata can enable researchers to draw inferences about specific subgroups that may be lost in a more generalized random sample. Second, utilizing a stratified sampling method can lead to more efficient statistical estimates (provided that strata are selected based upon relevance to the criterion in question, instead of availability of the samples). Even if a stratified sampling approach does not lead to increased statistical efficiency, such a tactic will not result in less efficiency than would simple random sampling, provided that each stratum is proportional to the groups size in the population A stratified sampling approach is most effective when three conditions are met 1. Variability within strata are minimized 2. Variability between strata are maximized 3. The variables upon which the population is stratified are strongly correlated with the desired dependent variable. Advantages over other sampling methods 1. 2. 3. 4. Focuses on important subpopulations and ignores irrelevant ones. Allows use of different sampling techniques for different subpopulations. Improves the accuracy/efficiency of estimation. Permits greater balancing of statistical power of tests of differences between strata by sampling equal numbers from strata varying widely in size.

Disadvantages 1. Requires selection of relevant stratification variables which can be difficult. 2. Is not useful when there are no homogeneous subgroups. 3. Can be expensive to implement. Post stratification Stratification is sometimes introduced after the sampling phase in a process called "post stratification". This approach is typically implemented due to a lack of prior knowledge of an appropriate stratifying variable or when the experimenter lacks the necessary information to create a stratifying variable during the sampling phase. Although the method is susceptible to the pitfalls of post hoc approaches, it can provide several benefits in the right situation. Implementation usually follows a simple random sample. In addition to

allowing for stratification on an ancillary variable, post stratification can be used to implement weighting, which can improve the precision of a sample's estimates. Oversampling Choice-based sampling is one of the stratified sampling strategies. In choice-based sampling, the data are stratified on the target and a sample is taken from each stratum so that the rare target class will be more represented in the sample. The model is then built on this biased sample. The effects of the input variables on the target are often estimated with more precision with the choicebased sample even when a smaller overall sample size is taken, compared to a random sample. The results usually must be adjusted to correct for the oversampling. Probability proportional to size sampling In some cases the sample designer has access to an "auxiliary variable" or "size measure", believed to be correlated to the variable of interest, for each element in the population. These data can be used to improve accuracy in sample design. One option is to use the auxiliary variable as a basis for stratification, as discussed above. Another option is probability-proportional-to-size ('PPS') sampling, in which the selection probability for each element is set to be proportional to its size measure, up to a maximum of 1. In a simple PPS design, these selection probabilities can then be used as the basis for Poisson sampling. However, this has the drawback of variable sample size, and different portions of the population may still be over- or under-represented due to chance variation in selections. To address this problem, PPS may be combined with a systematic approach. Example: Suppose we have six schools with populations of 150, 180, 200, 220, 260, and 490 students respectively (total 1500 students), and we want to use student population as the basis for a PPS sample of size three. To do this, we could allocate the first school numbers 1 to 150, the second school 151 to 330 (= 150 + 180), the third school 331 to 530, and so on to the last school (1011 to 1500). We then generate a random start between 1 and 500 (equal to 1500/3) and count through the school populations by multiples of 500. If our random start was 137, we would select the schools which have been allocated numbers 137, 637, and 1137, i.e. the first, fourth, and sixth schools

Cluster sampling Sometimes it is cheaper to 'cluster' the sample in some way e.g. by selecting respondents from certain areas only, or certain time-periods only. (Nearly all samples are in some sense 'clustered' in time - although this is rarely taken into account in the analysis) Cluster sampling is an example of 'two-stage sampling' or 'multistage sampling' in the first stage a sample of areas is chosen; in the second stage a sample of respondents within those areas is selected. This can reduce travel and other administrative costs. It also means that one does not need a sampling frame listing all elements in the target population. Instead, clusters can be chosen from a cluster-level frame, with an element-level frame created only for the selected clusters. Cluster sampling generally increases the variability of sample estimates above that of simple random sampling, depending on how the clusters differ between themselves, as compared with the within-cluster variation. Nevertheless, some of the disadvantages of cluster sampling are the reliance of sample estimate precision on the actual clusters chosen. If clusters chosen are biased in a certain way, inferences drawn about population parameters from these sample estimates will be far off from being accurate. Multistage sampling Multistage sampling is a complex form of cluster sampling in which two or more levels of units are embedded one in the other. The first stage consists of constructing the clusters that will be used to sample from. In the second stage, a sample of primary units is randomly selected from each cluster (rather than using all units contained in all selected clusters). In following stages, in each of those selected clusters, additional samples of units are selected, and so on. All ultimate units (individuals, for instance) selected at the last step of this procedure are then surveyed. This technique, thus, is essentially the process of taking random samples of preceding random samples. It is not as effective as true random sampling, but it probably solves more of the problems inherent to random sampling. Moreover, It is an effective strategy because it banks on multiple randomizations. As such, it is extremely useful. Multistage sampling is used frequently when a complete list of all members of the population does not exist and is inappropriate. Moreover, by avoiding the

use of all sample units in all selected clusters, multistage sampling avoids the large, and perhaps unnecessary, costs associated traditional cluster sampling. Matched random sampling A method of assigning participants to groups in which pairs of participants are first matched on some characteristic and then individually assigned randomly to groups. The procedure for matched random sampling can be briefed with the following contexts, 1. Two samples in which the members are clearly paired, or are matched explicitly by the researcher. For example, IQ measurements or pairs of identical twins. 2. Those samples in which the same attribute, or variable, is measured twice on each subject, under different circumstances. Commonly called repeated measures. Examples include the times of a group of athletes for 1500m before and after a week of special training; the milk yields of cows before and after being fed a particular diet. Quota sampling In quota sampling, the population is first segmented into mutually exclusive sub-groups, just as in stratified sampling. Then judgment is used to select the subjects or units from each segment based on a specified proportion. For example, an interviewer may be told to sample 200 females and 300 males between the age of 45 and 60. It is this second step which makes the technique one of non-probability sampling. In quota sampling the selection of the sample is non-random. For example interviewers might be tempted to interview those who look most helpful. The problem is that these samples may be biased because not everyone gets a chance of selection. This random element is its greatest weakness and quota versus probability has been a matter of controversy for many years. Convenience sampling or Accidental Sampling Convenience sampling (sometimes known as grab or opportunity sampling) is a type of nonprobability sampling which involves the sample being drawn from that part of the population which is close to hand. That is, a sample population selected because it is readily available and convenient. It may be through meeting the person or including a person in the sample when one meets them or chosen by finding them through technological means such as the

internet or through phone. The researcher using such a sample cannot scientifically make generalizations about the total population from this sample because it would not be representative enough. For example, if the interviewer was to conduct such a survey at a shopping centre early in the morning on a given day, the people that he/she could interview would be limited to those given there at that given time, which would not represent the views of other members of society in such an area, if the survey was to be conducted at different times of day and several times per week. This type of sampling is most useful for pilot testing. Several important considerations for researchers using convenience samples include: 1. Are there controls within the research design or experiment which can serve to lessen the impact of a non-random convenience sample, thereby ensuring the results will be more representative of the population? 2. Is there good reason to believe that a particular convenience sample would or should respond or behave differently than a random sample from the same population? 3. Is the question being asked by the research one that can adequately be answered using a convenience sample? In social science research, snowball sampling is a similar technique, where existing study subjects are used to recruit more subjects into the sample. Line-intercept sampling Line-intercept sampling is a method of sampling elements in a region whereby an element is sampled if a chosen line segment, called a transect, intersects the element. Panel sampling Panel sampling is the method of first selecting a group of participants through a random sampling method and then asking that group for the same information again several times over a period of time. Therefore, each participant is given the same survey or interview at two or more time points; each period of data collection is called a "wave". This sampling methodology is often chosen for large scale or nation-wide studies in order to gauge changes in the population with regard to any number of variables from chronic illness to job stress to weekly food expenditures. Panel sampling can also be used to inform researchers about within-person health changes due to age or help explain changes in continuous dependent variables such as spousal interaction. There have been several proposed methods of analyzing panel sample data, including MANOVA, growth curves, and structural equation modeling with

lagged effects. For a more thorough look at analytical techniques for panel data, see Johnson (1995). Event sampling methodology Event sampling methodology (ESM) is a new form of sampling method that allows researchers to study ongoing experiences and events that vary across and within days in its naturally-occurring environment. Because of the frequent sampling of events inherent in ESM, it enables researchers to measure the typology of activity and detect the temporal and dynamic fluctuations of work experiences. Popularity of ESM as a new form of research design increased over the recent years because it addresses the shortcomings of cross-sectional research, where once unable to, researchers can now detect intra-individual variances across time. In ESM, participants are asked to record their experiences and perceptions in a paper or electronic diary. There are three types of ESM: 1. Signal contingent random beeping notifies participants to record data. The advantage of this type of ESM is minimization of recall bias. 2. Event contingent records data when certain events occur 3. Interval contingent records data according to the passing of a certain period of time Replacement of selected units Sampling schemes may be without replacement ('WOR' - no element can be selected more than once in the same sample) or with replacement ('WR' - an element may appear multiple times in the one sample). For example, if we catch fish, measure them, and immediately return them to the water before continuing with the sample, this is a WR design, because we might end up catching and measuring the same fish more than once. However, if we do not return the fish to the water (e.g. if we eat the fish), this becomes a WOR design. Formulas Where the frame and population are identical, statistical theory yields exact recommendations on sample size. However, where it is not straightforward to define a frame representative of the population, it is more important to understand the cause system of which the population are outcomes and to ensure that all sources of variation are embraced in the frame. Large number of observations is of no value if major sources of variation are neglected in the study. In other words, it is taking a sample group that matches the survey category and is easy to survey. Bartlett, Kortrijk, and Higgins (2001)

published a paper titled Organizational Research: Determining Appropriate Sample Size in Survey Research Information Technology, Learning, and Performance Journal that provides an explanation of Cochrans (1977) formulas. A discussion and illustration of sample size formulas, including the formula for adjusting the sample size for smaller populations, is included. A table is provided that can be used to select the sample size for a research problem based on three alpha levels and a set error rate. Steps for using sample size tables 1. Postulate the effect size of interest, , and . 2. Check sample size table 1. Select the table corresponding to the selected 2. Locate the row corresponding to the desired power 3. Locate the column corresponding to the estimated effect size. The intersection of the column and row is the minimum sample size required

Sampling and data collection Good data collection involves:

Following the defined sampling process Keeping the data in time order Noting comments and other contextual events Recording non-responses

Most sampling books and papers written by non-statisticians focus only in the data collection aspect, which is just a small though important part of the sampling process Errors in sample surveys Survey results are typically subject to some error. Total errors can be classified into sampling errors and non-sampling errors. The term "error" here includes systematic biases as well as random errors.

Sampling errors and biases Sampling errors and biases are induced by the sample design. They include: 1. Selection bias: When the true selection probabilities differ from those assumed in calculating the results. 2. Random sampling error: Random variation in the results due to the elements in the sample being selected at random. Non-sampling error Non-sampling errors are caused by other problems in data collection and processing. They include: 1. Over coverage: Inclusion of data from outside of the population. 2. Under coverage: Sampling frame does not include elements in the population. 3. Measurement error: E.g. when respondents misunderstand a question, or find it difficult to answer. 4. Processing error: Mistakes in data coding. 5. Non-response: Failure to obtain complete data from all selected individuals. After sampling, a review should be held of the exact process followed in sampling, rather than that intended, in order to study any effects that any divergences might have on subsequent analysis. A particular problem is that of non-response. Two major types of no response exist: unit no response (referring to lack of completion of any part of the survey) and item no response (submission or participation in survey but failing to complete one or more components/questions of the survey). In survey sampling, many of the individuals identified as part of the sample may be unwilling to participate, not have the time to participate (opportunity cost), or survey administrators may not have been able to contact them. In this case, there is a risk of differences, between respondents and no respondents, leading to biased estimates of population parameters. Reference: http://en.wikipedia.org/wiki/Sampling http://www.socialresearchmethods.net/kb/sampling.php http://www.mbaknol.com/research-methodology/