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Winning the War of Attrition? Sampling, response analysis and weighting using the National Pupil Database James Halse Young People Analysis, DCSF james.halse@dcsf.gsi.gov.uk

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Overview The way we were – sampling from school records for the Youth Cohort Studies (YCS) A new way of sampling for the Longitudinal Study of Young People in England (LSYPE) Analysis of response rates and non response bias using NPD Weighting for non-response on LSYPE Applying the lessons learned to the next cohort of the YCS

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The way we were - the YCS Youth Cohort Studies were a multimode panel study of young people starting in the spring after year 11 and following these young people 1, 2 and 3 years later In theory a simple random sample - the Department wrote to all schools and asked for names and addresses of pupils born on 3 dates within any month (e.g. 5 th, 15 th, 25 th ) Issued sample drawn from information provided by schools Some attempt to correct for school non-response For cohorts 11 and 12, attempt to increase the number of young people from ethnic minorities by over sampling in LAs with high proportion of pupils from minority ethnic groups

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YCS response Non-response and attrition are a big problem Attempts to deal with this by increasing the sample size CohortInitial Issued Sample response rate (per cent) at sweep (age of cohort): Latest sweep achieved sample as a % of initial issued sample Achieved sample size at latest sweep 16171819 922,50065666576214,800 1025,00056747177235,600 1130,00056767579216,200 1230,0004770 64154,400

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Non-response bias But the real concern is differential non-response, especially over 4 sweeps Year 11 attainment PopulationSweep 1Sweep 2Sweep 3Sweep 4 8+ A*-C36%49%54%56%60% 5-7 A*-C15%17%16% 15% 1-4 A*-C24%22%20%18%17% 1+ D-G20%9%8%7%6% None4% 3%2%1% YCS cohort 11 respondents at each sweep by year 11 attainment

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Achieved sample sizes by selected characteristics and sweep: YCS cohort 12 Sweep 1Sweep 2Sweep 3 Black Caribbean1529260 Black African19314098 Indian495380279 Pakistani382260179 Bangladeshi15610679 Mixed316203147 <5 D-G (no A*-C)27013782 No qualifications24011862

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YCS: Weighting for non-response Cell weighting at sweep 1 (attainment, region, school type and sex) CHAID for sweep 2 onwards using information collected at previous sweeps Lowest response rate is at initial sweep, but this is the stage at which we have least information for non-response weighting

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Problems with the YCS Burden on schools to provide details for sample frame Boosting number of sample members from LAs or schools with high proportion of minority ethnic pupils was inefficient Declining response rates and differential non-response led to very small sample sizes for some groups by 3 rd or 4 th sweep Little information for sweep 1 non-response weighting Large differentials in non-response weights leading to large design effects and reduced sample efficiency (55% efficient at 11.4)

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Things can only get better: the Longitudinal Study of Young People in England (LSYPE) Similar to YCS in that it is a study of transitions from compulsory education, but: –Face to face –Started when pupils were in year 9 (age 13/14) –Plan to continue till young people are aged 25 –Includes interviews with parents –Much more detailed (e.g. attitudes to school, bullying, parental employment histories) –Used incentives (conditional at wave 1, unconditional thereafter) For LSYPE use a 2 stage Probability Proportional to Size (PPS) design with schools as PSUs Sample drawn directly from PLASC But had to approach schools for contact details so drew a large enough sample to allow for some non-cooperation from schools

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LSYPE: Sampling schools Maintained schools stratified into deprived/non-deprived Deprived schools sampled with fraction 1.5 times greater than non-deprived Within each stratum, a size measure was calculated dependent on number of pupils from major ethnic minority groups (Indian, Pakistani, Bangladeshi, Black African, Black Caribbean, Mixed) in year 8 at that school A small sample of independent schools also selected

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Sampling pupils Within each school, selection probabilities were calculated for pupils to ensure issued sample target numbers of 1000 from each of the main ethnic minority groups Importantly, the way ethnic minorities were boosted means that all pupils within an ethnic group and within a school deprivation stratum were sampled with the same probability as one another

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LSYPE response About 3 quarters of schools sampled cooperated Of the issued sample, the overall response rate was 74% (including partial responses) Some evidence of response bias

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Analysis of LSYPE response Use NPD to analyse school non-response and pupil level non response separately Run logistic regression models to find variables associated with propensity to respond Start with variables in sample frame and add attainment variables For school non-response, significant terms in the model were deprivation strata and whether or not the school was in London For pupil non-response, significant terms are attainment, ethnicity and region, plus an interaction between white and region

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LSYPE non-response weighting – wave 1 School non-response and pupil non-response treated separately Logistic regression model used to estimate probability of response p To create weights, take reciprocal of p (i.e. 1/p) and rescale by dividing by mean of 1/p School non-response and pupil level non-response weights combined with design weights to create final weight Generally speaking, non-response weights are inversely correlated with design weights – small loss of efficiency

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LSYPE waves 2 and 3 response Good response rates (89% wave 2, 93% wave 3) Model response using both NPD variables and information collected at earlier sweeps NPD variables had stronger association with propensity to response at wave 2 than at wave 1 Adding survey variables to the model only explains a bit more than the NPD variables

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YCS 13 Similar sample design to LSYPE: –Face to face –2 stage PPS design –Over sample ethnic minorities using school census But: –Over sample low attainers (defined as those with no A*-Cs and less than 5 D-Gs) by a factor of 2 –Postcode sectors are PSUs as opposed to schools (smaller design effects) –Full address collected through school census by-passing need to go through schools

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YCS 13 response (maintained sector) Note the high proportion of movers and address problems Cases with a final outcome:10380 100.0% Response7174 69.1% No contact696 6.7% Refusal889 8.6% Could not find address/address inaccessible224 2.2% Mover896 8.6% Other unproductive448 4.3% Ineligible53 0.5%

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YCS 13 response by selected characteristics CharacteristicsIssuedAchievedResponse rate Very low attainers (< 5 D-G) 2138119456% Others 7713564273% Indian 51437773% Pakistani 62847075% Bangladeshi 49036975% Black Caribbean 67239559% Black African 71042760% Mixed 47030565% White 6366449371%

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Benefits of sampling from the NPD Wealth of information from which to design your sample Run simulations to help decide on the optimum design for your requirements and budget Easy to over sample key groups of interest and/or those least likely to respond Lots of information to use for non-response weighting Now that addresses are collected through school census, school non-cooperation is not an issue Can follow up drop outs longitudinally through the admin data

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Drawbacks of sampling from the NPD Address information missing or not up to date…but 2006 was the first year in which schools were required to supply addresses in the school census so this should improve Data quality in school census is a potential problem, e.g. discrepancies between census report and self reported ethnicity

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Any questions? For more information on LSYPE see our page at ESDS longitudinal: http://www.esds.ac.uk/longitudinal/access/lsype/L5545.asp http://www.esds.ac.uk/longitudinal/access/lsype/L5545.asp YCS downloads and documentation: http://www.esds.ac.uk/search/indexSearch.asp?ct=xmlSn&q1=332 33

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LSYPE sampling technical slides Taken from A new method for sample designs with disproportionate stratification paper given to AAPOR annual conference 2005 by Peter Lynn, Patten Smith and Iain Noble

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Sampling Method for LSYPE Construct size measure S i in each PSU (school): S i = (N ik (n k /N k )) Where: S i = the size measure for PSU i; N ik = the number in sub-population group k in PSU i; n k = number required in issued sample in sub-population group k; N k = number in sub-population group k in the population. Select m PSUs with probability proportional to S i : P(PSU) = mS i / S i

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Method Within each PSU, select 2 nd stage units with probability P jk | i : P jk | i = (n (s) /S i ) * (n k /N k ) Where: P jk|i = conditional probability of selecting 2 nd stage unit j in sub-population group k in PSU i. n (s) = total number to be selected in each PSU

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Result Overall probability of selection of 2 nd stage unit P jk is constant within sub-population k: P jk = n k /N k Total number selected in each PSU is fixed at n (s) Therefore avoid precision losses through corrective (design) weighting and excessive variation in cluster sizes

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LSYPE: some complications 1.Sample deprived schools (top quintile in % students entitled to free school meals) at 1.5 times the rate of other schools 2.Calculations resulted in P>1 for some schools 3.Calculations resulted in P>1 for students in some small schools (happens when S i < (n k /N k )* n (s) ) 4.Small schools covering small proportion of student population: fieldwork inefficiencies 5.No data on current number of year 9 students

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Dealing with the complications 1.Deprived schools: separate stratum with higher sampling fraction 2.Schools for which calculations give P>1: sample with certainty and select pupils with appropriate sampling fraction for ethnic group 3.Small schools where students in a group for which calculations give P>1: select all pupils in the group and apply weight 4.Small schools: for fieldwork efficiency reasons omit schools for which no. students selected would be less than 12 5.No information on no. Year 9s: use previous no. year 8s as proxy, and then select new year 9 pupils during interviewer school visits

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