Survey Methodology
Höfundar: Robert M. Groves, Floyd J. Fowler Jr., Mick P. Couper, James M. Lepkowski, Eleanor Singer, Roger To
3.590 kr.
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Annað
- Höfundar: Robert M. Groves, Floyd J. Fowler Jr., Mick P. Couper, James M. Lepkowski, Eleanor Singer, Roger To
- Útgáfa:2
- Útgáfudagur: 06/29/2009
- Blaðsíður: 488
- Hægt að prenta út 10 bls.
- Hægt að afrita 2 bls.
- Format:ePub
- ISBN 13: 9781118166796
- Print ISBN: 9780470465462
- ISBN 10: 1118166795
Efnisyfirlit
- Front Matter
- PREFACE TO THE FIRST EDITION
- PREFACE TO THE SECOND EDITION
- ACKNOWLEDGMENTS
- CHAPTER ONE AN INTRODUCTION TO SURVEY METHODOLOGY
- A Note to the Reader
- 1.1 Introduction
- 1.2 A Brief History of Survey Research
- 1.2.1 The Purposes of Surveys
- Schuman (1997) on “Poll” Versus “Survey”
- 1.2.2 The Development of Standardized Questioning
- 1.2.3 The Development of Sampling Methods
- 1.2.4 The Development of Data Collection Methods
- 1.2.1 The Purposes of Surveys
- 1.3 Some Examples of Ongoing Surveys
- 1.3.1 The National Crime Victimization Survey
- Table 1.1. Example Survey: National Crime Victimization Survey (NCVS)
- Figure 1.1 Percentage of U.S. households experiencing a crime by type, 1994-2005 National Crime Victimization Survey.
- 1.3.2 The National Survey on Drug Use and Health
- Table 1.2. Example Survey: National Survey of Drug Use and Health (NSDUH)
- Figure 1.2 Percentage of persons reporting illicit drug use in past month, by drug type, 2004-2006
- 1.3.3 The Surveys of Consumers
- Table 1.3. Example Survey: Surveys of Consumers (SOC)
- Figure 1.3 Consumer unemployment expectations and actual change in the U.S. unemployment rate, 1969-2009
- 1.3.4 The National Assessment of Educational Progress
- Table 1.4. Example Survey: National Assessment of Educational Progress (NAEP)
- Figure 1.4 Average scale scores on grade 12 mathematics assessment, by year by type of school.
- 1.3.5 The Behavioral Risk Factor Surveillance System
- Table 1.5. Example Survey: Behavioral Risk Factor Surveillance System (BRFSS)
- Figure 1.5a Percentage of state adults who are obese (body mass index ≥ 30) by state, 1994, BRFSS.
- Figure 1.5b Percentage of state adults who are obese (body mass index ≥ 30) by state, 2001, BRFSS.
- Figure 1.5c Percentage of state adults who are obese (body mass index ≥ 30) by state, 2007, BRFSS.
- 1.3.6 The Current Employment Statistics Program
- Table 1.6. Example Survey: Current Employment Statistics (CES)
- Figure 1.6 Number of employees of all nonfarm employers in thousands, annual estimates 1947-2007, Current Employment Statistics.
- 1.3.7 What Can We Learn From the Six Example Surveys?
- 1.3.1 The National Crime Victimization Survey
- 1.4 What is Survey Methodology?
- 1.5 The Challenge of Survey Methodology
- 1.6 About this Book
- Keywords
- For More In-Depth Reading
- National Crime Victimization Survey
- National Survey of Drug Use and Health
- Surveys of Consumers
- National Assessment of Educational Progress
- Behavioral Risk Factor Surveillance System
- Current Employment Statistics
- Exercises
- CHAPTER TWO INFERENCE AND ERROR IN SURVEYS
- 2.1 Introduction
- Figure 2.1 Two types of survey inference.
- 2.2 The Life Cycle of a Survey From a Design Perspective
- Figure 2.2 Survey lifecycle from a design perspective.
- 2.2.1 Constructs
- 2.2.2 Measurement
- 2.2.3 Response
- 2.2.4 Edited Response
- 2.2.5 The Target Population
- 2.2.6 The Frame Population
- Illustration—Populations of Inference and Target Populations
- 2.2.7 The Sample
- 2.2.8 The Respondents
- Figure 2.3 Unit and item nonresponse in a survey data file.
- 2.2.9 Postsurvey Adjustments
- 2.2.10 How Design Becomes Process
- Figure 2.4 A survey from a process perspective.
- 2.1 Introduction
- 2.3 The Life Cycle of a Survey from A Quality Perspective
- Figure 2.5 Survey life cycle from a quality perspective.
- 2.3.1 The Observational Gap between Constructs and Measures
- The Notion of Trials
- 2.3.2 Measurement Error: The Observational Gap between the Ideal Measurement and the Response Obtained
- The Notion of Variance or Variable Errors
- 2.3.3 Processing Error: The Observational Gap between the Variable Used in Estimation and that Provided by the Respondent
- 2.3.4 Coverage Error: The Nonobservational Gap between the Target Population and the Sampling Frame
- Figure 2.6 Coverage of a target population by a frame.
- 2.3.5 Sampling Error: The Nonobservational Gap between the Sampling Frame and the Sample
- Figure 2.7 Samples and the sampling distribution of the mean.
- 2.3.6 Nonresponse Error: The Nonobservational Gap between the Sample and the Respondent Pool
- 2.3.7 Adjustment Error
- 2.4 Putting It All Together
- 2.5 Error Notions in Different Kinds of Statistics
- 2.6 Nonstatistical Notions of Survey Quality
- 2.7 Summary
- Keywords
- For More In-Depth Reading
- Exercises
- 3.1 Introduction
- 3.2 Populations and Frames
- 3.3 Coverage Properties of Sampling Frames
- 3.3.1 Undercoverage
- Mulry (2007) on U.S. Decennial Census Coverage
- 3.3.2 Ineligible Units
- 3.3.3 Clustering of Target Population Elements Within Frame Elements
- Figure 3.1 Cluster of target population elements associated with one sampling frame element.
- 3.3.4 Duplication of Target Population Elements in Sampling Frames
- Figure 3.2 Duplication of target population elements by more than one sampling frame element.
- 3.3.5 Complicated Mappings between Frame and Target Population Elements
- Figure 3.3 Clustering and duplication of target population elements relative to sampling frame elements.
- 3.3.1 Undercoverage
- 3.4.1 Area Frames
- 3.4.2 Telephone Number Frames for Households and Persons
- Figure 3.4 Percentage of U.S. adults with wireless telephone service only and percentage without telephones, January, 2004-June, 2008.
- 3.4.3 Frames for Web Surveys of General Populations
- 3.5.1 Customers, Employees, or Members of an Organization
- 3.5.2 Organizations
- 3.5.3 Events
- 3.5.4 Rare Populations
- 3.7.1 The Half-Open Interval
- Figure 3.5 Address list for area household survey block.
- Figure 3.6 Sketch map for area household survey block.
- 3.7.2 Multiplicity Sampling
- 3.7.3 Multiple Frame Designs
- Figure 3.7 Dual frame sample design.
- 3.7.4 Increasing Coverage While Including More Ineligible Elements
- Tourangeau, Shapiro, Kearney, and Ernst (1997) and Martin (1999) on Household Rosters
- 4.1 Introduction
- 4.2 Samples and Estimates
- Figure 4.1 Unknown distribution for variable Y in frame population.
- Figure 4.2 Distributions of y variable from sample realizations samples and the sampling distribution of the mean.
- Figure 4.3 Key notation for sample realization, frame population, and sampling distribution of sample means.
- Warning
- 4.3 Simple Random Sampling
- Comment
- Comment
- 4.4 Cluster Sampling
- Figure 4.4 A bird’s-eye view of a population of 30 “” and 30 “” households clustered into six city blocks, from which two blocks are selected.
- Comment
- 4.4.1 The Design Effect and Within-Cluster Homogeneity
- Table 4.1. Mean roh Values for Area Probability Surveys about Female Fertility Experiences in Five Countries by Type of Variable
- Kish and Frankel (1974) on Design Effects for Regression Coefficients
- 4.4.2 Subsampling within Selected Clusters
- 4.5 Stratification and Stratified Sampling
- Figure 4.5 Frame population of 20 establishments sorted alphabetically, with SRS sample realization of size n = 4.
- Figure 4.6 Frame population of 20 establishments sorted by group, with stratified element sample of size nh = 1 from each stratum.
- 4.5.1 Proportionate Allocation to Strata
- Table 4.2. Proportionate Stratified Random Sample Results from a School Population Divided Into Three Urbanicity Strata
- Cochran (1961) on How Many Strata to Use
- Design Effects for the Stratified Mean
- 4.5.2 Disproportionate Allocation to Strata
- Neyman (1934) on Stratified Random Sampling
- Figure 4.7 Frame population of 20 establishments sorted by group with systematic selection; selection interval = 5 and random start = 2.
- Comment
- 4.7.1 Two-Stage Cluster Designs with Probabilities Proportionate to Size (PPS)
- Table 4.3. Block Housing Unit Counts and Cumulative Counts for a Population of Nine Blocks
- 4.7.2 Multistage and Other Complex Designs
- 4.7.3 How Complex Sample Designs Are Described: The Sample Design for the NCVS
- Figure 4.8 Number of 100 blocks of number by number listed within the block, 1986 and 2008. (Source: Survey Sampling, Inc.)
- Figure 5.1 A survey from a process perspective.
- 5.1 Alternative Methods of Data Collection
- Figure 5.2 The evolution of survey technology.
- 5.1.1 Degree of Interviewer Involvement
- 5.1.2 Degree of Interaction with the Respondent
- 5.1.3 Degree of Privacy
- 5.1.4 Channels of Communication
- 5.1.5 Technology Use
- 5.1.6 Implications of these Dimensions
- 5.2 Choosing the Appropriate Method
- 5.3 Effects of Different Data Collection Methods on Survey Errors
- 5.3.1 Measuring the Marginal Effect of Mode
- Table 5.1. Design Issues in Research Comparing Face-to-Face and Telephone Surveys
- Hochstim (1967) on Personal Interviews Versus Telephone Interviews Versus Mail Questionnaires
- The de Leeuw and van der Zouwen (1998) Meta-Analysis of Data Quality in Telephone and Face-to-Face Surveys
- 5.3.2 Sampling Frame and Sample Design Implications of Mode Selection
- 5.3.3 Coverage Implications of Mode Selection
- Figure 5.3 Percentage of U.S. adults who ever use the Internet, quarter 1, 2000, to quarter 3, 2008.
- 5.3.4 Nonresponse Implications of Mode Selection
- 5.3.5 Measurement Quality Implications of Mode Selection
- The Tourangeau and Smith (1996) Study of Mode Effects on Answers to Sensitive Questions
- Figure 5.4 Ratio of proportion of respondents reporting illicit drug use in self-administered versus interviewer-administered questionnaires, by time period by drug.
- 5.3.6 Cost Implications
- 5.3.7 Summary on the Choice of Method
- 5.3.1 Measuring the Marginal Effect of Mode
- 5.4 Using Multiple Modes of Data Collection
- Figure 5.5 Five different types of mixed mode designs.
- 5.5 Summary
- Keywords
- For More In-Depth Reading
- Exercises
- 6.1 Introduction
- 6.2 Response Rates
- 6.2.1 Computing Response Rates
- Merkle and Edelman (2002) on How Nonresponse Rates Affect Nonresponse Error
- 6.2.2 Trends in Response Rates Over Time
- Figure 6.1 Household nonresponse rate, household refusal rate, and person refusal rate for the National Crime Victimization Survey by year.
- Figure 6.2 Nonresponse and refusal rates for the Current Population Survey by year.
- Figure 6.3 Nonresponse rate and refusal rate for the Survey of Consumers by year.
- Figure 6.4 Median nonresponse rate across states, Behavioral Risk Factor Surveillance System, 1987-2007.
- 6.2.1 Computing Response Rates
- Figure 6.5 Estimates of the absolute value of the relative nonresponse bias for 959 estimates by nonresponse rate of survey.
- Figure 6.6 Alternative models for relationship between response propensity (P) and survey variable (Y), involving auxiliary variables (S, Z).
- 6.5.1 Unit Nonresponse Due to Failure to Deliver the Survey Request
- Figure 6.7 Causal influences on contact with sample household.
- Figure 6.8 Percentage of eligible sample households by calls to first contact for five surveys.
- Figure 6.9 Percentage household contacted among those previously uncontacted by call number by time of day. (National Survey of Family Growth, Cycle 6.)
- Figure 6.10 Percentage nonresponse bias for estimated proportion of single person households, by number of calls required to reach the house hold, for four surveys.
- 6.5.2 Unit Nonresponse Due to Refusals
- The “I’m Not Selling Anything” Phenomenon
- Figure 6.11 Two sample persons with different leverages for attributes of a survey request.
- What Interviewers Say
- 6.5.3 Unit Nonresponse Due to the Inability to Provide the Requested Data
- Figure 6.12 Tools for reducing unit nonresponse rates.
- What Interviewers Say about Approaching Sample Households
- Berlin, Mohadjer. Waksberg, Kolstad, Kirsch, Rock, and Yamamoto (1992) on Incentives and Interviewer Productivity
- Morton-Williams (1993) on Tailoring Behavior by Interviewers
- Figure 6.13 Beatty-Herrmann model of response process for item-missing data.
- 7.1 Alternatives Methods of Survey Measurement
- 7.2 Cognitive Processes in Answering Questions
- Figure 7.1 A simple model of the survey response process.
- 7.2.1 Comprehension
- 7.2.2 Retrieval
- 7.2.3 Estimation and Judgment
- 7.2.4 Reporting
- 7.2.5 Other Models of the Response Process
- Comments on Response Strategies
- 7.3.1 Encoding Problems
- Fowler (1992) on Unclear Terms in Questions
- 7.3.2 Misinterpreting the Questions
- 7.3.3 Forgetting and Other Memory Problems
- Figure 7.2 Recall accuracy for types of personal information.
- Table 7.1. Summary of Factors Affecting Recall
- Neter and Waksberg (1964) on Response Errors
- 7.3.4 Estimation Processes for Behavioral Questions
- Overreporting and Underreporting
- Schwarz, Hippler, Deutsch, and Strack (1985) on Response Scale Effects
- 7.3.5 Judgment Processes for Attitude Questions
- 7.3.6 Formatting the Answer
- 7.3.7 Motivated Misreporting
- 7.3.8 Navigational Errors
- Figure 7.3 Example questions from Jenkins and Dillman (1997).
- 7.4.1 Nonsensitive Questions About Behavior
- 7.4.2 Sensitive Questions About Behavior
- 7.4.3 Attitude Questions
- 7.4.4 Self-Administered Questions
- Figure 7.4 Illustration of use of visual contrast to highlight the response box.
- 8.1 Introduction
- 8.2 Expert Reviews
- 8.3 Focus Groups
- 8.4 Cognitive Interviews
- Presser and Blair (1994) on Alternative Pretesting Methods
- 8.5 Field Pretests and Behavior Coding
- Table 8.1. Examples of Behavior Codes for Interviewer and Respondent Behaviors
- 8.6 Randomized or Split-Ballot Experiments
- Oksenberg, Cannell, and Kalton (1991) on Probes and Behavior Coding
- Percent of problems per question
- Oksenberg, Cannell, and Kalton (1991) on Probes and Behavior Coding
- Table 8.2. Studies Comparing Question Evaluation Methods
- 8.9.1 Validity
- Estimating Validity with Data External to the Survey.
- Estimating Validity with Multiple Indicators of the Same Construct.
- Figure 8.1 Path diagram representing Yαi = λαμi + ɛαi, a measurement model for μi.
- Using Data on Individual Target Population Elements.
- Table 8.3. Percentage of Known Hospitalizations Not Reported, by Length of Stay and Time Since Discharge
- Using Population Statistics Not Subject to Survey Response Error.
- Repeated Interviews with the Same Respondent.
- Table 8.4. Indexes of Inconsistency for Various VictimizationIncident Characteristics, NCVS
- Using Multiple Indicators of the Same Construct.
- Table 8.5. Illustrative Intercorrelations among MHI-5 Items
- O’Muircheartaigh (1991) on Reinterviews to Estimate Simple Response Variance
- 9.1 The Role of the Interviewer
- 9.2 Interviewer Bias
- 9.2.1 Systematic Interviewer Effects on Reporting of Socially Undesirable Attributes
- 9.2.2 Systematic Interviewer Effects on Topics Related to Observable Interviewer Traits
- Schuman and Converse (1971) on Race of Interviewer Effects in the United States
- Percentage Answering in Given Category by Race of Interviewer
- Schuman and Converse (1971) on Race of Interviewer Effects in the United States
- 9.2.3 Systematic Interviewer Effects Associated with Interviewer Experience
- Table 9.1. Percentage Reporting Lifetime Use of Any Illicit Substance by Interview Order by Interviewer Experience (1998 NSDUH)
- 9.3.1 Randomization Requirements for Estimating Interviewer Variance
- 9.3.2 Estimation of Interviewer Variance
- Kish (1962) on Interviewer Variance
- Statistics Showing High Values of ρint
- Kish (1962) on Interviewer Variance
- 9.4.1 The Role of the Interviewer in Motivating Respondent Behavior
- 9.4.2 Changing Interviewer Behavior
- 9.5.1 Minimizing Questions that Require Nonstandard Interviewer Behavior
- 9.5.2 Professional, Task-Oriented Interviewer Behavior
- 9.5.3 Interviewers Reading Questions as They Are Worded
- 9.5.4 Interviewers Explaining the Survey Process to the Respondent
- 9.5.5 Interviewers Probing Nondirectively
- 9.5.6 Interviewers Recording Answers Exactly as Given
- 9.5.7 Summary on Strategies to Reduce Interviewer Variance
- 9.7.1 Interviewer Selection
- Conrad and Schober (2000) on Standardized versus Conversational Interviewing Techniques
- 9.7.2 Interviewer Training
- Table 9.2. Percentage of Interviewers Rated Excellent or Satisfactory for Six Criteria by Length of Interviewer Training
- 9.7.3 Interviewer Supervision and Monitoring
- 9.7.4 The Size of Interviewer Workloads
- 9.7.5 Interviewers and Computer Use
- Table 9.3. Percentage of Interviewers Detecting Falsifying for Three Surveys Conducted by the U.S. Bureau of the Census
- 10.1 Introduction
- Figure 10.1 Flow of processing steps in paper surveys.
- Figure 10.2 Flow of processing steps in computer-assisted surveys.
- 10.2 Coding
- 10.2.1 Practical Issues of Coding
- 10.2.2 Theoretical Issues in Coding Activities
- Figure 10.3 Comprehension and judgment task of the coder.
- 10.2.3 “Field Coding”—An Intermediate Design
- Table 10.1. Illustration of Field Coding in the NCVS for the Question “Where Did This Incident Happen?”
- Collins and Courtenay (1985) on Field versus Office Coding
- 10.2.4 Standard Classification Systems
- The Standard Occupational Classification (SOC).
- Table 10.2. 23 Group Standard Occupational Classification
- The North American Industry Classification System (NAICS).
- Table 10.3. Comparison of SIC Divisions and NAICS Sectors
- Table 10.4. NAICS Structure and Nomenclature
- The Standard Occupational Classification (SOC).
- 10.2.5 Other Common Coding Systems
- 10.2.6 Quality Indicators in Coding
- Weaknesses in the Coding Structure.
- Coder Variance.
- Table 10.5. Coder Variance Statistics for Occupation Coding
- Summary of Editing.
- 10.5.1 Weighting with a First-Stage Ratio Adjustment
- 10.5.2 Weighting for Differential Selection Probabilities
- 10.5.3 Weighting to Adjust for Unit Nonresponse
- Table 10.6. Hypothetical Equal Allocation for Latinos, with Nonresponse Adjustments
- 10.5.4 Poststratification Weighting
- Table 10.7. Weighted Sample Distribution and Poststratification for Hypothetical NCVS Sample by Gender, Age, and Ethnicity
- 10.5.5 Putting All the Weights Together
- Ekholm and Laaksonen (1991) on Propensity Model Weighting to Adjust for Unit Nonresponse
- Figure 10.4 Unit and item nonresponse in a survey data file.
- Table 10.8. Illustration of Sequential Hot-Deck Imputation for Family Income, Imputed Data, and Imputation Flag Variable
- Taylor Series Estimation.
- Balanced Repeated Replication and Jackknife Replication.
- Figure 10.5 Illustration of printable codebook section for the National Crime Victimization Survey.
- 11.1 Introduction
- 11.2 Standards for the Conduct of Research
- Table 11.1. Key Terminology in Research Misconduct
- Table 11.2. Percentage of Interviewers Detected Falsifying for Three Surveys Conducted by the U.S. Bureau of the Census
- 11.3 Standards for Dealing with Clients
- 11.4 Standards for Dealing with the Public
- Table 11.3. Elements of Minimal Disclosure (AAPOR Code)
- 11.5 Standards for Dealing with Respondents
- 11.5.1 Legal Obligations to Survey Respondents
- The Tuskegee Study of Syphilis
- 11.5.2 Ethical Obligations to Respondents
- 11.5.3 Informed Consent: Respect for Persons
- Table 11.4. Essential Elements of Informed Consent
- Project Metropolitan
- 11.5.4 Beneficence: Protecting Respondents from Harm
- 11.5.5 Efforts at Persuasion
- 11.5.1 Legal Obligations to Survey Respondents
- 11.6 Emerging Ethical Issues
- 11.7 Research About Ethical Issues In Surveys
- 11.7.1 Research on Informed Consent Protocols
- Research on Respondents’ Reactions to Informed Consent Protocols.
- Table 11.5. Self-Reports on Type of Questions Considered Offensive to the Respondent Among Respondents Saying Researchers “Had No Business Asking” Sensitive Questions
- Singer (1978) on Comprehension of Informed Consent
- Research on Informed Consent Complications in Methodological Studies.
- Research on Written versus Oral Informed Consent.
- Summary of Research on Informed Consent in Surveys.
- Research on Respondents’ Reactions to Informed Consent Protocols.
- 11.7.2 Research on Confidentiality Assurances and Survey Participation
- 11.7.1 Research on Informed Consent Protocols
- 11.8 Administrative and Technical Procedures for Safeguarding Confidentiality
- 11.8.1 Administrative Procedures
- Figure 11.1 Pledge made by research team members about respondent privacy.
- Table 11.6. Principles and Practices for Protection of Sensitive Data
- 11.8.2 Technical Procedures
- Restricting Access to the Data.
- Restricting the Contents of the Survey Data That May Be Released.
- 11.8.1 Administrative Procedures
- 12.1 Introduction
- 12.2 The Questions and Their Answers
- REFERENCES
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