BS ISO 3534-4-2014 Statistics Vocabulary and symbols Survey sampling《统计学 词汇和符号 调查取样》.pdf

1、BSI Standards PublicationBS ISO 3534-4:2014Statistics Vocabulary andsymbolsPart 4: Survey samplingBS ISO 3534-4:2014 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 3534-4:2014.The UK participation in its preparation was entrusted to TechnicalCommittee SS/1, St

2、atistical terminology and symbols.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisions of a contract. Users are responsible for its correctapplication. The British Standards Instituti

3、on 2014. Published by BSI StandardsLimited 2014ISBN 978 0 580 72646 0ICS 01.040.03; 03.120.30Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was published under the authority of theStandards Policy and Strategy Committee on 30 April 2014.Amendmen

4、ts issued since publicationDate Text affectedBS ISO 3534-4:2014 ISO 2014Statistics Vocabulary and symbols Part 4: Survey samplingStatistique Vocabulaire et symboles Partie 4: chantillonnage denquteINTERNATIONAL STANDARDISO3534-4First edition2014-04-15Reference numberISO 3534-4:2014(E)BS ISO 3534-4:2

5、014ISO 3534-4:2014(E)ii ISO 2014 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2014All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on t

6、he internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWe

7、b www.iso.orgPublished in SwitzerlandBS ISO 3534-4:2014ISO 3534-4:2014(E) ISO 2014 All rights reserved iiiContents PageForeword ivIntroduction v1 Scope . 12 Normative references 13 Terms and Definitions 13.1 General terms . 13.2 Terms related to estimation 13Annex A (informative) Methodology used to

8、 develop the vocabulary 19Annex B (informative) Concept diagrams 21Annex C (informative) Index of sampling terms 24Annex D (informative) Alphabetical index of sampling terms .27Bibliography .30BS ISO 3534-4:2014ISO 3534-4:2014(E)ForewordISO (the International Organization for Standardization) is a w

9、orldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented

10、on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.The procedures used to develop this

11、 document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Dir

12、ectives, Part 2 (see www.iso.org/directives). Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the deve

13、lopment of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement.For an explanation on the meaning of ISO

14、 specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary informationThe committee responsible for this document is ISO/TC 69, Applicatio

15、ns of statistical methods, Subcommittee SC 1, Terminology and symbols.ISO 3534 consists of the following parts, under the general title Statistics Vocabulary and symbols: Part 1: General statistical terms and terms used in probability Part 2: Applied statistics Part 3: Design of experiments Part 4:

16、Survey samplingiv ISO 2014 All rights reservedBS ISO 3534-4:2014ISO 3534-4:2014(E)IntroductionSurvey sampling is essentially a strategy of planning for the collection of information on a population. In cases where all entities in the population can be listed, statistical methodologies of sampling wi

17、thout replacement play a key role. The design of a survey and its implementation depends on the type of questions to be addressed, the degree of generality to be attached to the conclusions, and ultimately, the resources available for conducting the survey and analysis of the results.Political polls

18、, customer satisfaction surveys, and personal interviews are pervasive in modern society as mechanisms to provide decision makers with information to formulate or to adjust their strategies. The news media frequently reports results from sampling efforts that typically address a countrys pulse with

19、regard to political leadership. This is by no means a recent phenomenon as sampling (especially census work) has occurred for thousands of years. Survey sampling as a general methodology and finite population sampling as its rigorous theoretical basis are the subject areas of this part of ISO 3534.T

20、he methodology of survey sampling consists of a process of selecting a sample of items from a population, measuring these items, and then estimating population characteristics based on the results from the sample. Reference 4 has defined the concept of a survey with the following description.1) A su

21、rvey concerns a set of items comprising the population.2) A survey involves a population having one or more measurable properties.3) A survey has an objective to describe the population according to one or more parameters defined in terms of these properties.4) A survey requires operationally a repr

22、esentation of the population (frame) such as a list of items in order to facilitate the measurements on individual items.5) A survey is applied to a subset of items from the frame that are selected according to a sampling design consisting of a sample size and a probability mechanism for selection.6

23、) A survey proceeds via extracting measurements of the items in the sample.7) A survey needs an associated estimation process to obtain parameter estimates for the population.This brief introduction by no means captures all of the subtleties and advancements in survey sampling that have evolved over

24、 the centuries and especially in the past several decades with improved computational capabilities. Advancements have progressed in tandem with real applications.Some definitions in this part of ISO 3534 are adopted from ISO 3534-1:2006 or ISO 3534-2:2006. If the adopted definition is identical with

25、 the original one, reference in square brackets is added to the definition and if some differences exist, they are noted. ISO 2014 All rights reserved vBS ISO 3534-4:2014BS ISO 3534-4:2014Statistics Vocabulary and symbols Part 4: Survey sampling1 ScopeThis part of ISO 3534 defines the terms used in

26、the field of survey sampling and can be used in the drafting of other International Standards.2 Normative referencesThe following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applie

27、s. For undated references, the latest edition of the referenced document (including any amendments) applies.ISO 3534-1:2006, Statistics Vocabulary and symbols Part 1: General statistical terms and terms used in probability ISO 3534-2:2006, Statistics Vocabulary and symbols Part 2: Applied statistics

28、 3 Terms and DefinitionsFor the purposes of this document, the terms and definitions given in ISO 3534-1:2006 and ISO 3534-2:2006 and the following apply.3.1 General terms3.1.1populationtotality of items under considerationSOURCE: ISO 3534-1:2006, 1.1Note 1 to entry: A population can be real and fin

29、ite, real and infinite, or completely hypothetical. Of particular interest in this part of ISO 3534 is a finite population (3.1.2). Much of the field of sample survey (3.1.20) concerns finite populations. The term population has superceded the term universe in usage. Population should be construed t

30、o involve a fixed point in time, as populations can evolve over time.3.1.2finite populationpopulation (3.1.1) which consists of a limited number of itemsNote 1 to entry: Survey sampling (3.1.21) concentrates solely on applications with a finite number of items in the population. The number of items

31、could be very large (for example, hybrid automobiles in Europe, artefacts in a museum, sheep in New Zealand) but their number is finite. The number of items in the population is generally denoted as N. The specific value of N may or may not be known explicitly prior to conducting the survey.EXAMPLE

32、1 The registry of citizens of a country is an example of a finite population with a known size.INTERNATIONAL STANDARD ISO 3534-4:2014(E) ISO 2014 All rights reserved 1BS ISO 3534-4:2014ISO 3534-4:2014(E)EXAMPLE 2 Although, generally, the population size N is known in advance, this situation need not

33、 be the case. For example, the proportion of hybrid cars is of interest and observations could be taken at a checkpoint (e.g. toll booth or toll plaza). The number of cars that pass through the booth on a given day would not be known in advance, although the investigators would likely have a rough i

34、dea of the number from previous history. Perhaps a digital photo is taken of a select number of these vehicles to determine if they are hybrid cars.3.1.3subpopulationwell-defined subset of the population (3.1.1)Note 1 to entry: Sample surveys (3.1.20) often have multiple objectives. Although the pri

35、mary objective may concern the population as a whole, it is possible that select subsets are also of interest. For the example noted in 3.1.2, hybrid vehicles or, alternatively, sub-compact automobiles, comprise subpopulations that may warrant particular interest. In some situations, the actual size

36、 of the subpopulation is unknown (e.g. number of teen-aged children among tourists visiting EuroDisney) and the interest may centre on estimating this value.Note 2 to entry: In ISO 3534-2:2006, 1.2.3, the definition of subpopulation is “part of a population.” For survey sampling (3.1.21), subpopulat

37、ions that are well defined (specifically identifiable) are of primary interest rather than consideration of arbitrary “parts” of a population.EXAMPLE Children in school in a province constitute a subpopulation of residents of the province. Working adults in the province is another subpopulation amon

38、g the residents of the province. Of interest but likely to be more difficult to identify are homeless people in the province. The size of such a subpopulation is usually unknown.3.1.4superpopulationexpanded population (3.1.1) that includes the population of interestNote 1 to entry: For inferential o

39、r assessment purposes, it can prove useful to imagine that the population of interest is embedded in a larger population having the base population as a special case. Such a theoretical construct facilitates the development of optimal sampling designs (3.1.28) and allows the calculation of sampling

40、design properties. The population of values can be treated as a random sample (3.1.10) from a hypothetical superpopulation as opposed to a set of fixed values from which random selection is used to constitute a sample (3.1.8). According to Reference 2, the superpopulation concept can be given severa

41、l interpretations. One of the interpretations is that the finite population (3.1.2) is actually drawn from a larger universe. This is the superpopulation concept in its purest form. The superpopulation approach can be a useful device for incorporating the treatment of non-sampling errors (3.2.10) in

42、 survey sampling (3.1.21).EXAMPLE For a stable country (consistent political boundaries without immigration or emigration), a superpopulation could be the citizenry over the centuries. Thus, a decennial census (3.1.19) in such a country could reflect an individual observation from its population siz

43、e at a specific time.3.1.5sampling unitunitone of the individual parts into which a population (3.1.1) is dividedSOURCE: ISO 3534-2:2006, 1.2.14Note 1 to entry: A population consists of a number of sampling units. The population could be divided into groups of units which are distinct, non-overlappi

44、ng, identifiable, observable, and convenient for sampling. Depending on the circumstances, the smallest part of interest can be an individual, a voucher, a household, a school district, or an administrative unit. This definition allows for the possibility in complex settings to have distinct samplin

45、g units comprised of varying number of units. At a high level, the sampling unit could be school districts. Within various school districts, the sampling unit could be individual households. Within a household, the sampling unit could be school-age children.Note 2 to entry: Every element of the popu

46、lation should belong to exactly one sampling unit. In some cases, the population consists of individual elements, subunits, or items, but owing to the purpose of the sampling study, it may be appropriate to group the individual elements into higher-level entities which then are treated as the sampli

47、ng unit of interest. For instance, the grouping could constitute clusters (3.1.6), each of which consists of a set of elements.2 ISO 2014 All rights reservedBS ISO 3534-4:2014ISO 3534-4:2014(E)EXAMPLE In a multi-stage sampling (3.1.40) project, the first stage could use provinces as the primary samp

48、ling units. In the second stage, the sampling units could be counties. In the third stage, the sampling units could be incorporated towns.3.1.6clusterpart of a population (3.1.1) divided into mutually exclusive groups related in a certain mannerNote 1 to entry: For economies of sampling (3.1.16), it

49、 may be much more efficient to sample collections of sampling units (3.1.5) that constitute clusters. Cluster sampling (3.1.38) is useful when the frame of sampling units is not available. Cluster sampling can also be an integral part of multi-stage sampling (3.1.40), where a first-level stage is given by towns, followed by a stage with apartment/condominium buildings as the next level cluster, and then finally specific floors/stages/levels of the building. At the lowest level stage, all sampling units are examined.Note 2 to ent