4
Sample Design
1. Sampling Design 5. Criteria for Selecting
2. Census and Sample Sampling Procedures
Survey 6. Ch/cs of a Good Sample
3. The Need for Sampling Design
4. Steps in Sampling 7. Types of Sample Design
Design
4.1 Sampling Design
Sampling design deals with the method of selecting items to
be observed for the given study.
A sample design is a definite plan for obtaining a sample
from a given population
Sample design may as well lay down the number of items to
be included in the sample- sample size
Researcher must select/prepare a sample design which
should be reliable and appropriate for his/her research study
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4.2 Census and Sample Survey
Census
A complete enumeration of all items in the ‘population’ is
known as a census inquiry.
all items are covered
no element of chance is left
highest accuracy is obtained
but in practice this may not be true
involves a great deal of time, money and energy
3
4.2 Census and Sample Survey
Census
when the field of inquiry is large, this method becomes
difficult to adopt
this method is practically beyond the reach of ordinary
researchers
government is the only institution which can get the
complete enumeration carried out
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4.2 Census and Sample Survey
Sample
Usually, it is not possible to examine every item in the
population,
sometimes it is possible to obtain sufficiently accurate
results by studying only a part of total population.
in such cases there is no utility of census surveys
when the universe is a small one, it is no use resorting to a
sample survey
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4.2 Census and Sample Survey
Sample
considerations of time and cost almost invariably lead to a
selection of only a few items
The respondents selected should be as representative of
the total population as possible
The selected respondents constitute what is technically
called a ‘sample’ and the selection process is called
‘sampling technique
The survey so conducted is known as ‘sample survey’
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4.2 Census and Sample Survey
Sample
Algebraically, let the population size be N and if a part of
size n (which is < N) of this population is selected according
to some rule for studying some characteristic of the
population
the group consisting of these n units is known as ‘sample’.
Researcher must prepare a sample design for his study
She/he must plan how a sample should be selected and of
what size such a sample would be (method & size)
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4.3 The Need for Sampling
When the field of inquiry is large, implementing census
becomes difficult to adopt because of the resources
involved
Besides, this type of inquiry involves a great deal of time,
money and energy.
Most of the time it is not possible to examine every item in
the population
Even the government adopts census in very rare cases
considerations of time and cost lead to a selection of
respondents in field study
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4.4 Steps in Sampling Design
Type of universe
The first step in developing any sample design is to clearly
define the set of objects, technically called the Universe
The universe can be finite or infinite
In finite universe the number of items is certain (the
number of workers in a factory )
in case of an infinite universe the number of items is
infinite (the number of stars in the sky)
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4.4 Steps in Sampling Design
Sampling unit
A decision has to be taken concerning a sampling unit
before selecting sample
Sampling unit may be:
a geographical one such as state, district, village, etc.,
a construction unit such as house, flat, etc.,
a social unit such as family, club, school, etc.,
an individual
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4.4 Steps in Sampling Design
Source list
It is also known as ‘sampling frame’ from which sample is to
be drawn
It contains the names of all items of a universe (in case of
finite universe only)
If source list is not available, researcher has to prepare it
Such a list should be comprehensive, correct, reliable and
appropriate.
It is extremely important for the source list to be as
representative of the population as possible
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4.4 Steps in Sampling Design
Size of sample
This refers to the number of items to be selected from the
universe to constitute a sample
The size of sample should neither be excessively large, nor
too small
It should be optimum
An optimum sample is one which fulfills the requirements of
efficiency, representativeness, reliability and flexibility
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4.4 Steps in Sampling Design
Size of sample
While deciding the size of sample, researcher must
consider:
the desired precision
an acceptable confidence level for the estimate
the size of population variance (in case of larger variance usually a
bigger sample is needed)
parameters of interest
Costs (budgetary constraint)
13
4.4 Steps in Sampling Design
Parameters of interest
In determining the sample design, one must consider the
question of the specific population parameters which are of
interest
For instance, we may be interested in estimating the
proportion of persons with some characteristic in the
population
or we may be interested in knowing some average or the
other measure concerning the population
All these have a strong impact upon the sample design
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4.4 Steps in Sampling Design
Budgetary constraint
Cost considerations, from practical point of view, have a
major impact upon decisions relating to not only the size of
the sample but also to the type of sample
This fact can even lead to the use of a non-probability sample
Sampling procedure
Finally, the researcher must decide the type of sample he will
use
He/she must decide about the technique to be used in
selecting the items for the sample
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4.5 Criteria for Sampling procedure
two costs are involved in a sampling analysis viz.
1. the cost of collecting the data
2. the cost of an incorrect inference resulting from the data
Researcher must keep in view the two causes of incorrect
inferences viz.
1. systematic bias
2. sampling error
A systematic bias results from errors in the sampling
procedures, and it cannot be reduced or eliminated by
increasing the sample size.
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4.5 Criteria for Sampling procedure
Usually a systematic bias is the result of one or more of the
following factors:
Inappropriate sampling frame
Defective measuring device- if the device is constantly in error
Non-respondents
Indeterminacy principle-sometimes we find that individuals act
differently when kept under observation than what they do when
kept in non-observed situations
Natural bias in the reporting of data-People in general understate
their incomes if asked about it for tax purposes, but they
overstate the same if asked for social status
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4.5 Criteria for Sampling procedure
Sampling errors
are the random variations in the sample estimates around
the true population parameters.
Since they occur randomly and are equally likely to be in
either direction, their nature happens to be of
compensatory type and the expected value of such errors
happens to be equal to zero.
Sampling error decreases with the increase in the size of
the sample, and it happens to be of a smaller magnitude in
case of homogeneous population.
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4.5 Criteria for Sampling procedure
Sampling errors
Sampling error can be measured for a given sample design
and size
The measurement of sampling error is usually called the
‘precision of the sampling plan
If we increase the sample size, the precision can be
improved
the effective way to increase precision is usually to select a
better sampling design
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4.6 Ch/cs of a Good Sample Design
Sample design:
must result in a truly representative sample
must be such which results in a small sampling error
must be viable in the context of funds available for the
research study
must be such so that systematic bias can be controlled in a
better way
should be such that the results of the sample study can be
applied, in general, for the universe with a reasonable level of
confidence.
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4.7 Types of Sample Designs
There are different types of sample designs based on two
factors viz.
the representation basis
the element selection technique
On the representation basis:
Probability sampling-random selection
non-probability sampling-non-random selection
On element selection basis,
Unrestricted-each sample element is drawn individually
restricted- all other forms
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4.7 Types of Sample Designs
Probability Sampling
Probability sampling is also known as random sampling or
chance sampling
every item of the universe has an equal chance of inclusion in
the sample
a lottery method in which individual units are picked up from
the whole group not deliberately but by some mechanical
process
it is blind chance alone that determines whether one item or
the other is selected
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4.7 Types of Sample Designs
How to Select a Random Sample?
We can write each of the possible samples on a slip of
paper, mix these slips thoroughly in a container and
then draw as a lottery either blindfolded or by rotating a
drum or by any other similar device
we can write the name of each element of a finite
population on a slip of paper, put the slips of paper so
prepared into a box or a bag and mix them thoroughly
and then draw (without looking) the required number of
slips
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4.7 Types of Sample Designs
How to Select a Random Sample?
For instance we have a finite population of 6 elements and we want
to select a sample of size 3, the probability of drawing any one
element for our sample in the first draw is 3/6
the probability of drawing one more element in the second draw is
2/5
the probability of drawing one more element in the third draw is ¼
Since these draws are independent, the joint probability of the three
elements which constitute our sample is the product of their
individual probabilities and this works out to 3/6 × 2/5 × 1/4 = 1/20.
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4.7 Types of Sample Designs
How to Select a Random Sample?
For instance we have a finite population of 6 elements and we want
to select a sample of size 3, the probability of drawing any one
element for our sample in the first draw is 3/6
the probability of drawing one more element in the second draw is
2/5
the probability of drawing one more element in the third draw is ¼
Since these draws are independent, the joint probability of the three
elements which constitute our sample is the product of their
individual probabilities and this works out to 3/6 × 2/5 × 1/4 = 1/20.
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4.7 Types of Sample Designs
Complex Random Sampling Designs
Probability sampling under restricted sampling techniques,
may result in complex random sampling designs
the probability of drawing one more element in the second
draw is 2/5
Such designs may as well be called ‘mixed sampling designs’
for many of such designs may represent a combination of
probability and non-probability sampling procedures
Some of the popular complex random sampling designs are
as follows:
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4.7 Types of Sample Designs
Systematic Sampling
In some instances, the most practical way of sampling is to
select every ith item on a list
Sampling of this type is known as systematic sampling
An element of randomness is introduced into this kind of
sampling by using random numbers to pick up the unit with
which to start
For instance, if a 4 per cent sample is desired, the first item
would be selected randomly from the first twenty-five and
thereafter every 25th item would automatically be included
27
4.7 Types of Sample Designs
Systematic Sampling
Thus, in systematic sampling only the first unit is selected randomly
and the remaining units of the sample are selected at fixed intervals.
Advantages
spread more evenly over the entire population
an easier and less costlier method (convenient in case of large population)
Disadvantage
If there is a hidden periodicity in the population, systematic sampling will
prove to be an inefficient method of sampling (For instance, every 25th
item produced by a certain production process is defective)
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4.7 Types of Sample Designs
Stratified sampling
If a population from which a sample is to be drawn does not constitute
a homogeneous group, stratified sampling technique is generally
applied in order to obtain a representative sample
Under stratified sampling the population is divided into several sub-
populations that are individually more homogeneous than the total
population
the different sub-populations are called strata) and then we select
items from each stratum to constitute a sample
Since each stratum is more homogeneous than the total population,
we are able to get more precise estimates for each stratum
29
4.7 Types of Sample Designs
Stratified sampling
The following three questions are highly relevant in the context of
stratified sampling
a. How to form strata?
b. How should items be selected from each stratum?
c. How many items be selected from each stratum or how to allocate the
sample size of each stratum?
Regarding the first question, we can say that the strata be formed on
the basis of common characteristics of the items to be put in each
stratum (to ensure elements being most homogeneous within each
stratum and most heterogeneous between the different strata)
30
4.7 Types of Sample Designs
Stratified sampling
In respect of the second question, we can say that the usual method,
for selection of items for the sample from each stratum, resorted to is
that of simple random sampling
Systematic sampling can be used if it is considered more appropriate
in certain situations
Regarding the third question, we usually follow the method of
proportional allocation under which the sizes of the samples from the
different strata are kept proportional to the sizes of the strata
if Pi represents the proportion of population included in stratum i, and
n represents the total sample size, the number of elements selected
from stratum i is n*Pi. 31
4.7 Types of Sample Designs
Stratified sampling
To illustrate it, let us suppose that we want a sample of size n = 30 to
be drawn from a population of size N = 8000 which is divided into three
strata of size N1 = 4000, N2 = 2400 and N3 = 1600
Adopting proportional allocation, we shall get the sample sizes as
under for the different strata:
for strata with N1 = 4000, we have P1 = 4000/8000 and hence n1 = n .
P1 = 30 (4000/8000) = 15
for strata with N2 = 2400, we have n2 = n . P2 = 30 (2400/8000) = 9
for strata with N3 = 1600, we have n3 = n . P3 = 30 (1600/8000) =6
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4.7 Types of Sample Designs
Stratified sampling
using proportional allocation, the sample sizes for different strata are
15, 9 and 6 respectively which is in proportion to the sizes of the strata
viz., 4000 : 2400 : 1600
Proportional allocation is considered most efficient and an optimal
design when the cost of selecting an item is equal for each stratum,
there is no difference in within-stratum variances, and the purpose of
sampling happens to be to estimate the population value of some
characteristic
But in case the purpose happens to be to compare the differences
among the strata, then equal sample selection from each stratum
would be more efficient even if the strata differ in sizes 33
4.7 Types of Sample Designs
Stratified sampling
In cases where strata differ not only in size but also in variability and it
is considered reasonable to take larger samples from the more
variable strata and smaller samples from the less variable strata, we
can then account for both (differences in stratum size and differences
in stratum variability) by using disproportionate sampling design by
requiring:n1/N1s1 = n2 /N2s2 = ......... = nk /Nksk
where s1, s2 , ... and sk denote the standard deviations of the k strata,
N1, N2,…, Nk denote the sizes of the k strata and n1, n2,…, nk denote
the sample sizes of k strata. This is called ‘optimum allocation’ in the
context of disproportionate sampling.
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4.7 Types of Sample Designs
Stratified sampling
The allocation in such a situation results in the following formula for
determining the sample sizes different strata:
𝑛 . 𝑁𝑖𝑠𝑖
𝑛 𝑖=
N 1 s 1+ N 2 s 2+− − Nksk
Illustration 1
A population is divided into three strata so that N1 = 5000, N2 = 2000
and N3 = 3000. Respective standard deviations are:
s1 = 15, s2 = 18 and s3 = 5; How should a sample of size n = 84 be
allocated to the three strata, if we want optimum allocation using
disproportionate sampling design?
35
4.7 Types of Sample Designs
Stratified sampling
Solution: Using the disproportionate sampling design for optimum
allocation, the sample sizes for different strata will be determined as
under: Sample size for strata with N1 = 5000 :
84 ( 5000) (15) = 6300000/126000= 50
𝑛1=
5000(15)+2000(18)+3000(5)
A population is divided into three strata so that N1 = 5000, N2 = 2000
and N3 = 3000. Respective standard deviations are:
Sample size for strata with N2 = 2000?
84 (2000 ) (1 8) = 3024000/126000 = 24
𝑛2=
5000 (15)+2000(18)+3000(5) 36
4.7 Types of Sample Designs
Stratified sampling
Sample size for strata with N3 = 3000
84 (3000 ) (5) 1260000/126000 = 10
𝑛 3=
5000 (15)+2000 (18)+3000 (5)
From what has been stated above in respect of stratified sampling, we
can say that the sample so constituted is the result of successive
application of purposive (involved in stratification of items) and
random sampling methods
As such it is an example of mixed sampling
The procedure wherein we first have stratification and then simple
random sampling is known as stratified random sampling
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4.7 Types of Sample Designs
Cluster sampling
If the total area of interest happens to be a big one, a convenient way
in which a sample can be taken is to divide the area into a number of
smaller non-overlapping areas and then to randomly select a number
of these smaller areas (usually called clusters), with the ultimate
sample consisting of all (or samples of) units in these small areas or
clusters
Thus in cluster sampling the total population is divided into a number
of relatively small subdivisions which are themselves clusters of still
smaller units and then some of these clusters are randomly selected
for inclusion in the overall sample
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4.7 Types of Sample Designs
Cluster sampling
Suppose we want to estimate the proportion of machine parts in an
inventory which are defective.
Also assume that there are 20000 machine parts in the inventory at a
given point of time, stored in 400 cases of 50 each
Now using a cluster sampling, we would consider the 400 cases as
clusters and randomly select ‘n’ cases and examine all the machine
parts in each randomly selected case
Cluster sampling, no doubt, reduces cost by concentrating surveys in
selected clusters
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4.7 Types of Sample Designs
Cluster sampling
But certainly it is less precise than random sampling
There is also not as much information in ‘n’ observations within
a cluster as there happens to be in ‘n’ randomly drawn
observations
Cluster sampling is used only because of the economic
advantage it possesses
estimates based on cluster samples are usually more reliable
per unit cost
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4.7 Types of Sample Designs
Area sampling
If clusters happen to be some geographic subdivisions, in that
case cluster sampling is better known as area sampling
In other words, cluster designs, where the primary sampling
unit represents a cluster of units based on geographic area, are
distinguished as area sampling
The plus and minus points of cluster sampling are also
applicable to area sampling.
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4.7 Types of Sample Designs
Multi-stage sampling
Multi-stage sampling is a further development of the principle of
cluster Sampling
Suppose we want to investigate the working efficiency of nationalized
banks in Ethiopia and we want to take a sample of few banks for this
purpose. The first stage is to select large primary sampling unit such
as regional states in a country. Then we may select certain zonal
administrations and interview all banks in the chosen areas.
This would represent a two-stage sampling design with the ultimate
sampling units being clusters of zonal administrations.
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4.7 Types of Sample Designs
Multi-stage sampling
If instead of taking a census of all banks within the selected
zonal administrations, we select certain towns and interview all
banks in the chosen towns. This would represent a three-stage
sampling design.
If instead of taking a census of all banks within the selected
towns, we randomly sample banks from each selected town,
then it is a case of using a four-stage sampling plan.
If we select randomly at all stages, we will have what is known
as ‘multi-stage random sampling design’.
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4.7 Types of Sample Designs
Non-probability sampling
Non-probability sampling is that sampling procedure which
does not afford any basis for estimating the probability that
each item in the population has of being included in the sample
Non-probability sampling is also known by different names such
as deliberate sampling, purposive sampling and judgement
sampling
In this type of sampling, items for the sample are selected
deliberately by the researcher; his choice concerning the items
remains supreme
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4.7 Types of Sample Designs
Non-probability sampling
In other words, under non-probability sampling the organizers of the
inquiry purposively choose the particular units of the universe for
constituting a sample on the basis that the small mass that they so
select out of a huge one will be typical or representative of the whole.
For instance, if economic conditions of people living in a state are to
be studied, a few towns and villages may be purposively selected for
intensive study on the principle that they can be representative of the
entire state.
Thus, the judgement of the organizers of the study plays an important
part in this sampling design
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4.7 Types of Sample Designs
Non-probability sampling
In such a design, personal element has a great chance of entering
into the selection of the sample. The investigator may select a
sample which shall yield results favorable to his point of view and
if that happens, the entire inquiry may get vitiated.
Thus, there is always the danger of bias entering into this type of
sampling technique.
But if the investigators are impartial, work without bias and have
the necessary experience so as to take sound judgement, the
results obtained from an analysis of deliberately selected sample
may be tolerably reliable.
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4.7 Types of Sample Designs
Non-probability sampling
However, in such a sampling, there is no assurance that every
element has some specifiable chance of being included.
Sampling error in this type of sampling cannot be estimated and
the element of bias, great or small, is always there.
As such this sampling design is rarely adopted in large inquires of
importance
However, in small inquiries and researches by individuals, this
design may be adopted because of the relative advantage of
time and money inherent in this method of sampling.
Quota sampling is also an example of non-probability sampling
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4.7 Types of Sample Designs
Non-probability sampling
Under quota sampling the interviewers are simply given quotas to
be filled from the different strata, with some restrictions on how they
are to be filled.
In other words, the actual selection of the items for the sample is left
to the interviewer’s discretion
This type of sampling is very convenient and is relatively
inexpensive. But the samples so selected certainly do not possess
the characteristic of random samples. Quota samples are essentially
judgement samples and inferences drawn on their basis are not
amenable to statistical treatment in a formal way.
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End of chapter 4
49
