Applied Survey Methods A Statistical Perspective JELKE BETHLEHEM Applied Survey Methods surveymeth-cp.qxd 4/13/2009 7:46 AM Page 1 WILEY SERIES IN SURVEY METHODOLOGY Establishedin Partby WALTERA. SHEWHARTANDSAMUELS. WILKS Editors:Robert M. Groves, Graham Kalton, J. N. K. Rao, Norbert Schwarz, Christopher Skinner A complete list of the titles in this series appears at the end of this volume. Applied Survey Methods A Statistical Perspective JELKE BETHLEHEM CoverdesignimagecopyrightedbypermissionofHayoBethlehem Copyright#2009byJohnWiley&Sons,Inc.Allrightsreserved PublishedbyJohnWiley&Sons,Inc.,Hoboken,NewJersey PublishedsimultaneouslyinCanada Nopartofthispublicationmaybereproduced,storedinaretrievalsystem,ortransmittedinanyformor byanymeans,electronic,mechanical,photocopying,recording,scanning,orotherwise,exceptas permittedunderSection107or108ofthe1976UnitedStatesCopyrightAct,withouteithertheprior writtenpermissionofthePublisher,orauthorizationthroughpaymentoftheappropriateper-copyfee totheCopyrightClearanceCenter,Inc.,222RosewoodDrive,Danvers,MA01923,(978)750-8400, fax(978)750-4470,oronthewebatwww.copyright.com.RequeststothePublisherforpermission shouldbeaddressedtothePermissionsDepartment,JohnWiley&Sons,Inc.,111RiverStreet, Hoboken,NJ07030,(201)748-6011,fax(201)748-6008,oronlineathttp://www.wiley.com/go/ permission. 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Wileyalsopublishesitsbooksinavarietyofelectronicformats.Somecontentthatappearsinprint maynotbeavailableinelectronicformats.FormoreinformationaboutWileyproducts,visitourweb siteatwww.wiley.com. LibraryofCongressCataloging-in-PublicationData: Bethlehem,JelkeG. Appliedsurveymethods:astatisticalperspective/JelkeBethlehem. p.cm.–(Wileyseriesinsurveymethodology) Includesbibliogr aphicalreferencesandindex. ISBN978-0-470-37308-8(cloth) 1. Surveys–Statisticalmethods. 2. Sampling(Statistics) 3. Surveys–Methodology. 4. Estimationtheory. I. Title. QA276.B4292009 001.4033–dc22 2009001788 PrintedintheUnitedStatesofAmerica 10987654321 Contents Preface ix 1. The Survey Process 1 1.1. AboutSurveys, 1 1.2. A Survey, Step-by-Step, 2 1.3. Some History ofSurvey Research, 4 1.4. ThisBook, 10 1.5. Samplonia, 11 Exercises, 13 2. Basic Concepts 15 2.1. TheSurvey Objectives, 15 2.2. TheTarget Population, 16 2.3. TheSampling Frame, 20 2.4. Sampling, 22 2.5. Estimation, 33 Exercises, 41 3. Questionnaire Design 43 3.1. TheQuestionnaire, 43 3.2. Factualand Nonfactual Questions, 44 3.3. TheQuestionText, 45 3.4. Answer Types, 50 3.5. Question Order, 55 3.6. Questionnaire Testing, 58 Exercises, 63 v vi CONTENTS 4. Single Sampling Designs 65 4.1. Simple Random Sampling, 65 4.2. SystematicSampling, 75 4.3. Unequal Probability Sampling, 82 4.4. SystematicSampling with Unequal Probabilities, 89 Exercises, 96 5. CompositeSamplingDesigns 100 5.1. StratifiedSampling, 100 5.2. Cluster Sampling, 108 5.3. Two-StageSampling, 113 5.4. Two-Dimensional Sampling, 122 Exercises, 130 6. Estimators 134 6.1. Use ofAuxiliary Information, 134 6.2. ADescriptiveModel, 134 6.3. TheDirect Estimator, 137 6.4. TheRatio Estimator, 139 6.5. TheRegression Estimator, 143 6.6. ThePoststratification Estimator, 146 Exercises, 149 7. Data Collection 153 7.1. Traditional Data Collection, 153 7.2. Computer-Assisted Interviewing, 155 7.3. Mixed-ModeData Collection, 160 7.4. Electronic Questionnaires, 163 7.5. Data Collection with Blaise, 167 Exercises, 176 8. The Quality of theResults 178 8.1. Errors inSurveys, 178 8.2. Detection and Correction of Errors, 181 8.3. Imputation Techniques, 185 8.4. Data Editing Strategies, 195 Exercises, 206 CONTENTS vii 9. The Nonresponse Problem 209 9.1. Nonresponse, 209 9.2. Response Rates, 212 9.3. Models for Nonresponse, 218 9.4. Analysis of Nonresponse, 225 9.5. Nonresponse Correction Techniques, 236 Exercises, 245 10. Weighting Adjustment 249 10.1. Introduction, 249 10.2. Poststratification, 250 10.3. LinearWeighting, 253 10.4. MultiplicativeWeighting, 260 10.5. Calibration Estimation, 263 10.6. Other Weighting Issues, 264 10.7. Use ofPropensityScores, 266 10.8. A Practical Example, 268 Exercises, 272 11. Online Surveys 276 11.1. ThePopularity ofOnlineResearch, 276 11.2. Errorsin Online Surveys, 277 11.3. TheTheoretical Framework, 283 11.4. Correction by Adjustment Weighting, 288 11.5. Correction Using aReference Survey, 293 11.6. Sampling the Non-Internet Population, 296 11.7. Propensity Weighting, 297 11.8. Simulating the Effects ofUndercoverage, 299 11.9. Simulating the Effects ofSelf-Selection, 301 11.10. Aboutthe Use ofOnlineSurveys, 305 Exercises, 307 12. Analysis and Publication 310 12.1. AboutData Analysis, 310 12.2. TheAnalysis of Dirty Data, 312 12.3. Preparing a Survey Report, 317 12.4. Use ofGraphs, 322 Exercises, 339 viii CONTENTS 13. StatisticalDisclosureControl 342 13.1. Introduction, 342 13.2. The Basic DisclosureProblem, 343 13.3. The Concept ofUniqueness, 344 13.4. DisclosureScenarios, 347 13.5. Models for the DisclosureRisk, 349 13.6. Practical Disclosure Protection, 353 Exercises, 356 References 359 Index 369