1.1 General principles ............................................................................................ 1

1.1.1 Existing sampling frame ......................................................................... 1

1.1.2 Full coverage ........................................................................................ 1

1.1.3 Probability sampling .............................................................................. 2

1.1.4 Suitable sample size .............................................................................. 2

1.1.5 Simple design ....................................................................................... 2

1.1.6 Household listing and pre-selection of households ...................................... 2

1.1.7 Good sample documentation ................................................................... 2

1.1.8 Confidentiality ...................................................................................... 3

1.1.9 Exactness of survey implementation ........................................................ 3

1.2 Survey objectives and target population .............................................................. 3

1.3 Survey domain ................................................................................................ 4

1.4 Sampling frame ............................................................................................... 4

1.4.1 Conventional sampling frame .................................................................. 5

1.4.2 Alternative sampling frames ................................................................... 5

1.4.3 Evaluation of the sampling frame ............................................................ 6

1.5 Stratification ................................................................................................... 6

1.6 Sample size .................................................................................................... 7

1.6.1 Sample size and sampling errors ............................................................. 7

1.6.2 Sample size determination .................................................................... 10

1.7 Sample allocation ............................................................................................ 12

1.8 Two-stage cluster sampling procedure ............................................................... 15

1.9 Sample “take” per cluster ................................................................................. 16

1.9.1 Optimum sample take ........................................................................... 16

1.9.2 Variable sample take for self-weighting ................................................... 17

1.10 Household listing ............................................................................................ 19

1.11 Household selection in the central office ............................................................. 20

1.12 Household interviews ....................................................................................... 21

1.13 Sampling weight calculation .............................................................................. 22

1.13.1 Why we need to weight the survey data .................................................. 22

1.13.2 Design weights and sampling weights ..................................................... 22

1.13.3 How to calculate the design weights ........................................................ 23

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1.13.4 Correction of unit non-response and calculation of sampling weights............ 24

1.13.5 Normalization of sampling weights .......................................................... 26

1.13.6 Standard weights for HIV testing ............................................................ 27

1.13.7 De-normalization of standard weights for pooled data ................................ 28

1.14 Calibration of sampling weights in case of bias .................................................... 29

1.15 Data quality and sampling error reporting ........................................................... 30

1.16 Sample documentation .................................................................................... 31

1.17 Confidentiality ................................................................................................ 31

2.1 Introduction ................................................................................................... 32

2.2 Definition of terms .......................................................................................... 32

2.3 Responsibilities of the listing staff ...................................................................... 33

2.4 Locating the cluster ......................................................................................... 34

2.5 Preparing location and sketch maps ................................................................... 35

2.6 Collecting a GPS waypoint for each cluster .......................................................... 36

2.7 Listing of households ....................................................................................... 37

2.8 Segmentation of large clusters .......................................................................... 38

2.9 Quality control ................................................................................................ 39

2.10 Prepare the household listing forms for household selection .................................. 39

Appendix 2.1 Example listing forms ............................................................................. 41

Appendix 2.2 Symbols for mapping and listing .............................................................. 46

Appendix 2.3 Examples of completed mapping and listing forms ...................................... 48

3.1 Simple random sampling .................................................................................. 52

3.2 Equal probability systematic sampling ................................................................ 53

3.2.1 Sampling theory .................................................................................. 53

3.2.2 Excel templates for systematic sampling .................................................. 55

3.3 Probability proportional to size sampling ............................................................. 64

3.3.1 Sampling theory .................................................................................. 64

3.3.2 Operational description and examples ..................................................... 65

3.4 Complex sampling procedures ........................................................................... 70

4.1 Errors of coverage and non-response ................................................................. 73

4.1.1 Coverage errors ................................................................................... 73

4.1.2 Deliberate restrictions of coverage .......................................................... 74

4.1.3 Non-response ...................................................................................... 74

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4.1.4 Response rates .................................................................................... 76

4.2 Sampling errors .............................................................................................. 78

5.1 Introduction ................................................................................................... 80

5.2 Sample design document ................................................................................. 80

5.2.1 Introduction ........................................................................................ 80

5.2.2 Sampling frame ................................................................................... 81

5.2.3 Structure of the sample and the sampling procedure ................................. 82

5.2.4 Selection probability and sampling weight ................................................ 84

5.3 Sample file ..................................................................................................... 85

5.4 Results of Survey implementation ..................................................................... 88

5.5 Sampling errors .............................................................................................. 90

5.6 Sampling parameters in DHS data files ............................................................... 91