4: Research Designs

Sampling

Criteria for Selecting Sampling

Procedures
Basic Methods of Sampling

Determination of Sample Size

A research design is the total plan of a given study. It

outlines how the study will be executed with the

minimum of complications.
 The two most important functions of a research design are:

1) to conceptualize an operational plan to undertake the various

procedures and tasks required to complete the study; and
2) to ensure that procedures are adequate to obtain valid,
objective and accurate answers to the research questions.
 There are practical limitations in research design.

 Ethical considerations;

 Data difficulties (access, lack, etc.); and

 Resource constraints (time, money, expertise).

4.1. Sampling
What is Sampling?
Sampling is the process of selecting representative

number of elements from a population.

It is important to use appropriate sampling methods in

order to be able to make proper inferences about a

population, and draw conclusions that are valid on the
information of interest.
The sample must be selected to represent the entire

population through proper sampling techniques or

methods.
 Sampling can be accomplished by identifying –

i. The group of people or study population from which we

draw a sample;
ii. How these populations should be selected;

iii.The number of objects or people in the sample; and

iv.The acceptable sampling error (that is, minimizing the

difference between the sample estimate and the actual
population parameter).
 In a nutshell, this will guarantee us, at least, to obtain

unbiased estimates of a sample.

Note that sampling error will always occur when a sample,

and not the whole population, is surveyed.

Why take a sample?
Due to resource (time, finance, manpower, etc.), logistical

and geographical limitations, small portions (or samples)

of the population are normally studied by necessity.
Sampling provides much quicker results than does a

census. When the time between the recognition of the

need of information and the availability of that
information is short, sampling helps not to miss the
information.
Sampling is the only process possible if the population is

infinite.
There is also an argument that the quality of a study is

often better with sampling than with a census. The basis

of the argument is that:
 sampling possesses the possibility of better

interviewing;
 more thorough investigation of missing, wrong, or

suspicious information, better supervision, and better

processing than is possible with complete coverage.
Therefore, we take statistically adequate sample (or

proper sample size) that can reflect most of the

important characteristics of the population.
What are the steps in sampling design?
There are a number of steps in developing a sample
design, the most important points or procedures are
as follows.
1.Type of universe or population:
The first step in developing any sample design is
to define the universe or the population.
The universe or the population can be finite or
infinite. In finite universe, the number of items or
elements is certain.
Examples for finite universe can be the population
of a city, the number of workers in a factory, etc.
Examples for an infinite universe can be listeners
of a specific radio program, number of TV
watchers, stars in the universe, number of
bacteria, etc.
2. Source list or frame:
 It is also known as sampling frame from which sample is to be

drawn. It contains the names of all items of a universe (for finite

universe).
 A source 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.

3. Sampling Unit:
 A decision has to be taken concerning a sampling unit before

selecting sample.
 Sampling unit may be geographical such as region, province,

district, village, etc., or a social unit such as family, household,

school, etc., or it may be an individual.
4. Size of sample:
This refers to the number of items to be selected from

the universe or population to constitute a sample.

The size of sample should neither be excessively large,

nor too small. It should be optimum.

5. Parameters of interest:
In determining the sample design, one must consider

the question of the specific population parameters

which are of interest.
For example – population mean, variance, standard

deviation, proportion, etc.

6. Budgetary constraint:
 Practically, costs have 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 non-probability samples.

However, using probability allocation techniques, it

could be balanced out between costing and sample
without compromising much information coming
out of the research.
7. Sampling procedure:
 Finally, the researcher must decide the type of

sample that can be properly applied. The researcher

must decide about the technique to be used in
selecting the items for the sample based on the
population or the universe being used.
There are several sample designs to choose from, and

the researcher must choose a given sample size and

for a given cost which should result with a smaller
sampling error possible. Of course, the correct
sampling method or methods must be applied.
4.3. Basic Methods of Sampling
There are two broad types of sampling methods. These
are:
a) Probabilistic (or Scientific) Sampling Methods; and
b) Non-Probabilistic (Non-Scientific) Sampling Methods.

Probabilistic (or Scientific) Sampling Methods

A random sampling method is a sampling technique that

gives equal chance of selecting elements in a population

when drawing samples.
These are sampling methods in which the researcher is

required to utilize the principle of randomization (or

chance procedure) in at least one of the stages of the
sample process.
Most scientific researches use random sampling methods.
There are four basic types Probabilistic (or
Scientific) Sampling Methods. These are:
i. Simple Random Sampling,

ii. Stratified Sampling,

iii.Systematic Sampling, and

iv. Cluster Sampling

A combination of these methods, and mostly

referred as multistage sampling method often

used in most surveys.
1. Simple Random Sampling (SRS) Method
It is the most scientific of sampling methods and

is the model on which scientific sampling is based.

It is a method of selecting n units out of N

population units giving each element (or

item/everyone) equal chance of being chosen.
In practice, a SRS is drawn unit by unit, with or

without replacement, from a population.

The procedure for simple random sampling is as follows:

a) First, secure a list of the entire population in which every

subject is listed only once. The list is the sampling frame.
b) Second, number every subject in the list.
c) Third, use a mechanical device (table of random numbers)
to select the subjects that will constitute the sample.
In selecting large sample elements, we use table of random

numbers or computer generated random numbers or

samples nowadays (for example, consult Excel application
software).
Random numbers are sets of digits (i.e., 0, 1, 2, 3, 4, 5, 6,

7, 8, 9) arranged in random order. Because they are

randomly ordered, no individual digit can be predicted
from knowledge of any other digit or group of digits.
A random number table is a listing of random numbers.

Stat Trek's Random Number Generator produces a listing

of random numbers, based on the following User

specifications:
• The quantity of random numbers desired.

• The maximum and minimum values of random numbers in the

table.
• Whether or not duplicate random numbers are permitted.
Points to consider:
In SRS, the selection of an individual or element is
independent of the selection of another individual
or element.
Under this sampling design, every item of the

population has an equal chance of inclusion in the

sample.
It is blind chance alone that determines whether
one item or the other is selected.
Random sampling is considered as the best
technique of selecting a representative sample.
The problem with this method is that it is time

consuming.
ii. Stratified Sampling (SS) Method
It is a method of selecting n units out of N sub-
populations called strata.
To obtain the samples, first divide the population
into Ni non-overlapping sub-populations (or strata)
and then select the n units from each stratum.
 The procedure is as listed below:
a) First, compile a list of the population in which
every subject is listed only once;
b) Second, divide all subjects into groups or strata;
these strata must be defined in such a manner that
no subject appears in more than one stratum; and
c) Third, take either a simple random or a systematic
sample from within each stratum proportional or
disproportional to the strata’s strength/ value in
the population.
suppose we divide a region into five districts (that is,

strata), A, B, C, D and E based on some geographic

characteristics.
And, the corresponding size of the non-overlapping

sub-populations (or strata) are given as –

 N1 = 200, N2 = 300, N3 = 500, N4 = 600 and N =

400
Note that N = ∑Ni = 200 + 300 + 500 + 600 + 400

= 2000, and suppose we want to take sample size

n=100 out of the entire population, N=2000; then
from each stratum we may sample –
n2 = 15 from B(out of N2), n = 25 from C(out of

N3), n = 30 from D (out of N4 ) and n5 = 20 from

E (out of N5)
Therefore, n = n1 + n2 + n3 + n4 + n5 =100

Strata differ not only in size but also in

variability and 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 differences in stratum size

and differences in stratum variability by using

disproportionate sampling design by using the
formula:

Where σi denote the standard deviations for the ith

stratum, Ni denote the size of the ith stratum, and

ni denote the sample size of the ith stratum.

Using the previous example, assume a population is

divided into five strata so that N1=200, N2=300,

N3=500, N4= 600 and N5= 400. Respective

standard deviations are σ1 =5, σ2 =7, σ3 =10, σ4

=15, σ5 =9.
How does a sample of size n=100 be allocated to

the five strata, considering optimum allocation?

Applying disproportionate sampling design, the

optimum sample size for each stratum is calculated

as follows –
 Points to consider

(1) In stratified sampling, each stratum is homogeneous

internally and heterogeneous with other strata.
(2) The more strata used, the closer you come to
maximizing inter- strata differences and minimizing
intra-stratum variances.
 How to form strata?

Strata are purposively formed usually based on past

experience and personal judgment of the researcher.

For example, most frequently used strata such us urban
vs rural, high density vs medium density vs low density
areas, etc.
How do we draw a stratified sample?
We can draw a stratified random sample by

separating the population elements into non-

overlapping groups, called strata, and then
selecting subjects or elements from each stratum
by using a simple random method or systematic
sampling method.
When do we use stratified sampling methods?
 When a population has relatively large variability

between strata, stratified sampling is much more

efficient than simple random sampling.
If stratification is not performed, large groups (such as

regions, states, provinces, etc.) will have more samples

than the small groups.
To achieve equal precision for each group, we select the

same number of units, say number of households, in each

sub-group, and later weight the results according to the
actual proportion of the national population in each group
(states, provinces, regions, etc.).
Practical advantages of Stratified Sampling
The variance of the estimator of the population mean is usually

reduced because the variance for the observations within each

stratum is usually smaller than the overall population. In other
words, it is possible to extract more precise estimates from a
homogeneous (measurement vary little within) sub-population
than a heterogeneous (measurement vary a lot within)
population.
Second, the cost of collecting and analyzing the data is

often reduced by the separation of a large population into

smaller strata
Third, separate estimates can be obtained for each individual

stratum without selecting another sample and hence without

additional cost.
Proportional Probability Sampling (PPS)
 PPS takes into consideration the size of each stratum.

 PPS technique will take off the imbalances of sample size in

stratified sampling automatically. It is also known as Proportional

Stratification.
 PPS is applied when some strata have considerably large size, that

is, the basic sampling unit (say, household) in each stratum varies in
size. For example, a country may vary considerably in population
density (some highly populated while others are dispersed).
 If SRS or Systematic Sampling is used for sampling villages, both

large and small communities will have the same probability of being
included, which is incorrect. One way of compensating for these
differences is to choose elements proportional to the sizes of the
strata using PPS method.
iii. Systematic (Quasi-Random)Sampling
 It is a method of sampling every kth unit sample

from regular or arranged units (say, from smallest

to largest observations) within the N population
size. The selection of the first k unit is done
randomly, and then every kth unit thereafter.
 Systematic sampling could be done either in

linear or circular fashion.

 An element of randomness is introduced into this

kind of sampling by using random numbers to

pick up the unit with which to start.
 The following steps will help:

 Assign a sequence number to each member of the

population.
 Determine the skip interval by dividing the number of units

in the population by the sample size.

 I=P/S, where I is interval or skip, P is population size, and S

is sample size.
 Select a starting point in a random digit table (it must be

between 1 and I).

 Include that item in a sample and select every i th item

thereafter until total sample has been selected.

For example, if we want to take 100 samples from

a population of 2000 members, the interval is 20

(i.e 2000/100). The starting point must be
selected randomly from the interval 1 to 20.
Then, every 20th item will be part of the sample.
If the starting point is 5, then the sample must
include elements with sequence numbers of 5,
25, 45, 65, 85, 105, 125 and so forth.
iv. Cluster Sampling
It is a probability sampling method in which each

sampling unit is a collection or cluster of elements,

which are close together.
 For example, it may be a collection or groups of

households that are geographically close together.

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.
 For example, 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 in to a number of smaller non-overlapping
areas and then to randomly select a number of these smaller
areas (clusters), with the ultimate sample consisting of all
units in these small areas or clusters.
 When is a cluster sampling an effective design for

obtaining information at minimum cost?

 When a good frame of listing the population elements are

either unavailable or very costly to obtain.

 When the cost of obtaining increases as the distance

separating the elements increases.

Qn:-What is the main difference between optimal
construction of strata and construction of clusters?
Strata are to be as homogeneous (alike) as possible

within, but one stratum should differ as much as possible

from another with respect to the characteristics being
measured.
Clusters, on the other hand, should be as heterogeneous

(different) as possible within, and one cluster should look

very much like another in order for the economic
advantages of cluster sampling to pay off.
Summary of differences between stratified sampling and
cluster sampling
Stratified sampling Cluster sampling
 Divide the population into  Divide the population into
a few subgroups, each with many subgroups, each with
many elements in it. The a few elements in it. The
subgroups are selected subgroups are selected
according to some criterion according to some criterion
that is related to the of ease or availability in
variables under study data collection
Secure homogeneity Secure heterogeneity
within subgroups and within subgroups and
heterogeneity between homogeneity between
subgroups subgroups, but we usually
get the reverse
Randomly choose First, randomly choose a
elements from within each number of subgroups, and
subgroup secondly elements within
randomly selected clusters
or subgroups
What is a two-stage cluster sample?
 As seen in the summary above, a two-stage
cluster sample is obtained by first selecting a
probability sample of clusters and then
selecting a probability sample of elements
from each sampled cluster.
When do we use two-stage sampling?
 When a cluster often contains too many
elements to obtain a measurement on each,
or it contains elements so nearly alike that
measurement of only a few elements provides
information on an entire cluster.
When either situation occurs, the
experimenter can select a probability sample
of clusters and then take a probability sample
How do we draw a two-stage cluster
sample?
 To select the sample, we first obtain a frame
listing all clusters in the population.
 Second, from the list or the frame, we draw
a simple random sample of clusters, using the
random sampling procedures (Refer to simple
random sampling method discussed
previously).
 Third, we obtain frames that list all elements
in each of the sampled clusters.
 Finally, we select a simple random sample of
elements or items from each of these frames.
What are the advantages of two-stage
cluster sampling over the other designs?
 A frame listing all elements in the population
may be not possible or costly to obtain,
whereas to obtain a list of all clusters may be
easy. For example, to compile a list of all
secondary students in the country would be
expensive and time consuming, but a list of
secondary schools could be readily acquired.
 The cost of obtaining data may be inflated by
travel costs if the sampled elements are
spread over a large geographic area. Thus, to
sample clusters of elements that are
physically closer together is often economical.
Non-Random Sampling Methods
These are non-scientific methods of sampling. They

do not apply the principle of randomization in their

procedures. The basic ones include the following:
 Quota sampling

Accidental Sampling/ convenience

sampling/grab:
Snowball (Network or Chain) Sampling

Purposive sampling

 Judgment sampling
Quota sampling:
A method that follow identifying groups (age, sex,

political affiliation, religious, etc.) and elements are

sampled from each group at the interviewer‘s discretion;
such selection of respondents by the investigator does
not happen with random sampling methods.
Note that quota sampling has the feature of stratified

sampling and some approximate information on the

number of units in each stratum; however, the number of
units and choosing sample units are left to the interview
him/herself.
Accidental Sampling/ convenience
sampling/grab:
When a sample is adopted for a study just

because the sample happens to be available at

the appropriate time and place, then the study is
said to have used accidental sampling method.
It is very important to understand that such

methods do not show the representativeness of a

sample; and hence, interpreting the estimates
and drawing conclusions are simply dangerous!!
Snowball (Network or Chain) Sampling:
This is a special type of non-probability sampling
where respondents are difficult to identify (who to
ask for and what criteria they should have in terms
of possessions: rich, poor, homeless, etc.), and are
best located through referral networks.
 Perhaps, it can only be used when the target
sample members are involved in some kind of
network with others who share the characteristic
of interest.
A small number of the samples initially selected by
the researcher are then asked to nominate a group
who would be prepared to be interviewed for the
research; these in turn nominate others, and so
forth.
Purposive Sampling:
 This is the deliberate selection of a sample on the basis of the

objectives of research. In other words, it is sampling done on

purpose.

Judgment sampling:
This is a sampling method that an investigator/interviewer

chooses units of the sample that she/he feels are most

representative of the population with respect to the
population characteristics
 Again, greater precaution should be taken in interpreting the

estimates and drawing conclusions. The validity or reliability

of the results depends on the judgment of the investigator!
4.3. Determination of Sample Size
 Determining sample size varies for various types of research

designs and there are several approaches in practice.

A good representative sample of a population is a sample that

is drawn from a population by using a random sampling

technique. Note that a random sampling method selects
elements from a population by giving the elements equal
chance of being selected; hence, this randomization
guarantees representativeness of a sample.
Sample accuracy: refers to how close a random sample’s

statistic (e.g. mean, variance, proportion) is to the population’s

value it represents (mean, variance, proportion).
Sample Size Axioms: To properly understand how to
determine sample size, it helps to understand the
following axioms.
The only perfectly accurate sample is a census;

A probability sample will always have some

inaccuracy (sample error);

 The larger a probability sample is, the more

accurate it is (less sample error); and

Probability sample accuracy (error) can be calculated

with a simple formula, and expressed as a +/- %

value.
Sample Size Formula: The formulas for calculating
sample size depend on the objective of the survey, and
there are divided into two categories. The objective of the
survey might be
 To measure a single proportion or quantity

 To demonstrate whether a significant difference exists

between two proportions or quantities

 For sample size estimation, we must initially obtain or

estimate some basic figures. If the sample size is too small

the desired precision might not be achieved; if the sample
size is too large unnecessary costs may be incurred. Here
are some optimal sample size estimation methods.
Sample size, n, is a function of:
(1) the variability in the population,
(2) precision or accuracy needed,
(3) confidence level desired,
(4) type of sampling plan used (for example,
simple random sampling versus stratified
random sampling), and
(5) the number of independent variables in a
model.
1. Sample Size with Single Proportion –
Formula A
 To calculate the sample size, n, needed using
estimated population proportion, p, evaluate –

 where z is the z-value yielding the desired degree

of confidence, p is an estimate of the population
proportion, and e is the absolute size of the error
in estimating p that the researcher is willing to
permit.
If no previous estimate of p is available, using p =
0.5 in the sample size formula will yield the
maximum size n required for any given e and z.
Any other values of p will yield a smaller n. Note
Example:
To calculate a good representative sample size for the
micro-enterprise survey, the study focused on micro-
enterprises supported by special five rural banking
groups which comprises about 92% (p=0.92) of the total
micro-enterprises supported by both rural banking
groups and streamline commercial banks in the area.
Hence, for 95% (Z=1.96) level of confidence, within 5%
(e=0.05) margin of error, and taking into account the
proportion of micro-enterprises supported by rural
banking groups only, the sample size, n, was obtained as
follows –

and adding 5% for a possibility of non-respondents, the

sample size is 119 (113 + 113 x 0.05 = 119)
businesswomen.
Suppose we plan to collect data on
households who had access to rural credit and
on those who had no access to rural credit,
how do you determine a representative and
adequate sample that does not inject
biasedness and inefficiency in the sample
characteristics or estimates?
 Data set is stratified into two groups, those
who benefit from a particular project and
those who do not benefit; adopt a technology,
or not adopt a technology; have access to
credit or do not have access to credit, etc.
 If it is intended to compare two groups or
strata, and to determine the sample size for
the survey, the optimal sample size for each
EXAMPLE: Estimate the sample size required to
determine the prevalence of iron deficiency in women.
If we expect to find 45 anemic pregnant women out of
every 100 pregnant women, our anticipated proportion
will be 0.45. The normal level of confidence on
estimates is set at ± 5%. However, for sub-national
estimates we may be satisfied with ±10%.
 p = previously known prevalence = 0.45, e = %
error within = ± 5%. For confidence of 95%, Z=1.96
(2-tailed test)
 Therefore,

 Inflate to account for non-responders by 10%, that

is,
380 + (380 x 0.10) = 418
It very difficult to predict what the design effect will be
before carrying out the study. After the survey is finished,
the design effect can be calculated more accurately and
can be used to calculate the actual margin of error.
A design effect of 2 is usually used for most variables
(unless the literature suggests otherwise). Hence,
2 x 418 = 836 Therefore, to estimate within ± 5% margin
of error, and to be 95% sure, 836 pregnant women should
be screened for the iron deficiency indicator.
Now, how do we estimate the number of households we
must visit? To estimate the number of households that are
required for the survey, we must know first the average
household size (6 persons per household is the national
estimate for Malawi) and the proportion of women of
childbearing age in the population.
If
 The average household size is 6 persons
 5% of the population is made up of pregnant women
 836 women should be screened
Then, we should visit 836/ (6x0.05) = 2787
households
Note that: We can reduce the sample size by
lowering the level of confidence to 90%, then Z-
score =1.64. This tells us that the smaller the
confidence interval, the smaller the sample size
is needed for the actual survey.
2. Sample size with Double Proportion
How do we determine sample size when two
proportions are given for a single population
estimate? Formula:
EXAMPLE: Estimate the sample size required to
determine whether the prevalence of anemia in
pregnant women has decreased within the previous 12-
month intervention period.
 Previously, 45% of pregnant women were iron deficient.
After 12 months of intervention, the expected decrease
in prevalence of anemia would be 10% resulting in a
predicted new prevalence of 35%. Calculate the sample
size required to demonstrate the difference between
the proportions.
 The estimated prevalence, p1 = 0.45
 The expected new prevalence, p2 = 0.35
The difference, d = 0.45 - 0.35 = 0.1 Accept a
Power = 80% u=0.842 (one tailed) Z-value of a normal
distribution corresponding to power 80% v=1.645
(one tailed) Z-value of a normal distribution
corresponding to 95% significance
 Inflate to account for non-respondents by 10%,
that is, 319 + (319 x 0.1) = 350.9
Choose an appropriate design effect
Again, use a design effect of 2 for anemia
variable to adjust the sample size as follows.
2 x 350.9 = 701.8 Therefore to detect a true
difference of 10% (i.e., a reduction from 45%
to 35%) with a confidence level of 95%, a
survey would require 702 pregnant women.
Then, the number of households that must be
visited
n = [702/(6x0.05)] = 2340
3. Sample Size with Variance
How do we determine sample size when only
variance or standard deviation is available?
To calculate the sample size n needed using a
population variance, evaluate –

The value for σ frequently must be estimated, if

not use sample variance. A rule of thumb to
estimate σ if no similar studies have been done is
that σ is approximately equal to 1/6 of the
difference between the highest and lowest value in
the population.
EXAMPLEs:
1. A small agricultural credit institution wanted to
estimate the sample size from 1, 200, 000 of its
clients. It has information that the standard
deviation of the sample mean is 5 Birr or the
maximum loan given was Birr 2000 and the
minimum was Birr 500. With allowable error of
10%, estimate the sample size, n, that is
required at the moment. Thus,

2. The standard deviation of the amount of maize

consumed per month by households in a certain
village is 50 bags. How large sample must be
taken for the estimate of the true mean
consumption to have a 95% probability within 5
bags of maize of the true mean? Thus,
When proportions and population size are
known, how do you determine a sample size?
The following formula can be employed to
calculate the sample size (Kothari, 2004) when
population size and population proportion of major
interest areZavailable.
2
pqN
n 2
e ( N  1)  Z 2 pq

Where: n = sample size, p = proportion of the

population containing the major interest, q = 1-p, z
= number of standard deviation at a given
confidence level ( α= 0.1), e = acceptable error
(precision) and N is the population size
iv. Sample size and a model
 The bigger controversy arises when determining adequate
sample size to run a regression model. For example, if one
considers that n=40 is sufficient to run ordinary statistical
tests, then does it mean this sample size is adequate to run a
model that has 5 or more independent variables? The answer
is NO;
We have to reconcile sample size that are determined using
some formulae and the minimum sample size required to run
a model with a number of variables included in the model.
Therefore, what is suggested by most statisticians and
econometricians is that to take into consideration the number
of variables in the model; and determine the sample required.
Thus, using n = 10 times the number of relevant independent
variables in a given model = 10K, where K is the number of
relevant independent variables included in the model and as
long as, 10K greater than n=30 (the magic number in
parametric statistics!)
So far we have discussed sample size in the context of
precision and confidence with respect to one variable only.
In research, however, the theoretical framework has
several variables of interest, and the question arises how
one should come up with a sample size when all the
factors are taken into account.
Krejcie and Morgan (1970) greatly simplified the sample
size decision by providing a table that ensures a good
decision model. The interested student is advised to read
Krejcie and Morgan (1970), as well as, Cohen (1969) for
decisions on sample size.
 In multivariate research (including multiple regression
analysis), the sample size should be several times
(preferably 10 times or more) as large as the number of
variables in the study.
 For simple experimental research with tight experimental
controls (matched pairs, etc.), successful research is
possible with samples as small as 10 to 20 in size.
Sample Size (n) for a given Population Size (N)