Research method and Sample survey Practice (Stat2032)

By:Sali Suleman

Mizan Tepi University

March 20, 2023

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 outlines

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 Chapter 1. RESEARCH METHODS

Research is defined as human activity based on intellectual application

in the investigation of matter
What is the origin and meaning of the word research?
The word research came from the French word recherché which means
to search closely. Thus research means to investigate thoroughly.
What is the word meaning of research?
Research = re + search ; re means again and search means to find out.
Thus research means to find out again.
What are the basic components to define research?
XProblem
XProcess
XSolution
Components to define Research
Problem ⇒ Process ⇒ Solution
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 Research refers to the process that involves series of systematic activ-
ity to find the solution of a problem related to the business, health,
agriculture, economic,.. for every human activity in-general.
Again, My Troubles
What is the difference betweenResearch,Invention, and Discovery?
Are they same?
or
Are they different?
Clarify, in the support of your answer?

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 Caution: Make the difference

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 General Characteristics of research

It gathers new knowledge or data from primary hands source

It is an exact systematic and accurate investigation
Use certain valid data gathering devices.
Logical and objective
Resists the temptation to seek only the data that support his
hypothesis
Eliminates personal feelings and preferences
Endeavors to organize data in quantitative terms
Patient and unhurried activity
Willing to follow his procedures to the conclusions that may be
unpopular and bring social disapproval
Carefully recorded and reported
Conclusion and generalizations are arrived at carefully and cautiously
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 The Functions of Research
To aid to making a decision concerning the refinement or extension of
knowledge in the particular area
To improve research procedures through the refinement and extension of
knowledge

Objective of research
The purpose of the research is to discover the answer to questions
Generality research have three objectives:

1 Theoretical objective:- theoretical formulate the new theories,

principles or laws. Physics, mathematics
2 Factual objective:- factual(realistic) find out new facts. History
3 Application Objective:- does not contribute a new knowledge in the
fund of human knowledge but suggest new applications

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 Some Groups of the research are:
1 Explanatory or formulative research:- to gain familiarity with a
phenomenon or to achieve new insight into it.
2 Descriptive research:- to portray accurately the characteristics of a
particular individual, situation or a group.
3 Diagnostics Research studies:- To determine the frequency with which
something occurs or with which something it is associated with
something else
4 Hypothesis-testing research studies:-To test a hypothesis of a causal
relationship between variables

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 What are the Steps of Research Proposal (Components of
Research Proposal)
1 Title Page
2 Summary/Abstract
3 Introduction/Background
4 Identification of the problem (statements of the problems)
5 Formulation of hypothesis/Questions
6 Objective/ Aim of the study
7 Review of related literature
8 Conceptual Framework
9 Research methods, materials and procedures (:-study (area, design,
subjects), sample size, sampling methods, Method od data collection,
identification of variables, . . . ..data analysis plan)
10 Work plan
11 Budget
12 Reference
13 Appendices/Annexes 10/94
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 Title page

It should be a summary of the topic and generally not exceed 15 words

Identify the scope and nature of the study & using All capital letter
Under the title:- Put your name, the name of your department /fac-
ulty/college, the name of your advisor(s), and date of delivery

Summary(Abstract)
One page of brief summary of the whole process of thesis proposal Your
summary should enable the reader to:-
XIdentify the basic content of a document quickly and accurately
XDetermine its relevance to their interest
XDeicide whether they need to read the document in its entirely or not

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 Introduction/Background of the study & Statement of the
problem
Provides to the readers:-
Background information for the research proposal
Framework for the research
Put statement which can motivate the reader
Proper acknowledgement of the previous work on which are building
Focused on the research question(s)
Explain the scope of your work, necessary of your work
Statement of the Problem
Most important aspect of a research proposal is the clarity of the research
problem “why does this research need to be study?”.... implication
effective Basically, what gaps your research will addressed which could be
exist really in the society
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 Questions and/or hypothesis
Testable explanations that are proposed before the methodology
Research question:- proposes a r/ship b/n two or more variables
Three types od research question
1. Descriptive:- seeks to identify & describe some phenomenon
2. Difference:- ask if there are difference b/n groups on some phenomenon
3.Relationship:- ask if two or more phenomena are related in some
systematic manner
Hypothesis:- A declarative statement, a sentence instead of a question, of
the cause-effect r/ship b/n two/more variables.

Objectives/Aims
Hopes to accomplish with the research
Closely related to the statement of the problem
Objectives should be:- Simple(not complex); Specific(not vague);
Stated in advance
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 General and Specific objectives are there.
They are connected each other; however, specific objectives are a smaller
portions of general objective But, General objective is close related to
statement of the problem

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 Literature Review and questions and/or hypothesis

Description of the literature relevant to particular field/topic

Researcher has obtained sound knowledge with regard to the topic
What has been done? Who are the key writers? Main theories and
hypothesis , research questions, methods and methodologies ..
Conceptual Framework and Objective/aim
Research will have some imaginary view of: What theories are there?
How/why these hypothesis/research question? What are the strengths and
weakness?

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 Methods, Material and procedures

Strategy for research & it is really the heart of the research proposal
What belongs in the ...
To achieve your stated objectives, need to decide exactly How?
Reader to assess the believability of your experiment
Another research to replicate your experiment
Description of your martials, procedure, theory
Calculations, technique, procedure, equipment and standardization
plots
Limitations, assumptions, and range of validity
Description of your analytical methods, including reference to any
specialized statistical software

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 Work plan:- is a schedule, chart or graph w/c contain a specific
time-span
XWhy we need? To monitor project progress and provided timely
feedback for research modification
Budget breakdown:- is contain every cost of the research with
justification
Reference:- from where you get the whole information that you
wrote in your proposal or research
XWe might be adopted Harvard style, or others
Appendices/Annexes:- any additional information that might think
helpful could put here in the appendices Such as:-Questionnaires,
Dummy variable . . . .etc.

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 Chapter 2. Introduction to Sample Survey’s
Introduction
Statistics defined: statistics is the science of data.
It involves collecting, organizing, presenting, analyzing and
interpreting numerical information.
statistics is classified in to two categories. namely descriptive and
inferential statistics

Basic Concepts of Some Statistical Terms:

Population Variable
Sample
Elementary unit (unit of analysis) Qualitative variables .
Sampling units Quantitative variables
Frame
Data Population parameters
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 Basic Concepts and Uses of Surveys
Survey: is a scientific study that deals with an existing population of
units typified by persons, institutions, or physical objects
A survey attempts to acquire knowledge by observing the population
as it naturally exist and making quantitative statements about
aggregate population characteristics.
When we say a study of a population as it naturally exists, it is to
mean that we exclude experimental studies in which the material to
be studied is manipulated by the researcher and the result is observed.
Census Survey: Survey which considers all members of the population
in the study.
Sample Survey: is survey that considers a specific portion of the
population in the study.
In undertaking surveys, it is difficult or even impossible for researchers
to study very large populations.
Hence, they select a smaller proportion, a sample of population for
study. 19/94
Researchers
By: Sali Suleman:chapter who
1 @ MTU apply
(Mizan sample survey use sampling techniques
Tepi University) and 19 / 94
March 20, 2023
 cont...
When sampling is done, the inference that we made concerning the
population can be quite reliable.
Sample survey are used to develop, test, and refine research
hypotheses
In different disciplines such as sociology, social psychology,
demography,
political science, economics, education, and public health.
Why Planning?
For a survey to yield desired results; we need to pay particular
attention to the preparations that precede the field work.
In this regard all surveys require careful and judicious preparations if
they have to be successful.
The development of an adequate survey plan requires sufficient time and
resources and a planning cycle of two years is common for a complex
survey. 20/94
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 Major Items of the Plan
Conducting a good sample survey requires careful planning, implemen-
tation and analysis if it is to yield reliable and valid information
The planning of sample survey has three major steps.
1. Survey Design and Preparation
2. Implementation of field work
3. Survey Analysis

1. Survey Design and Preparation

Setting objectives of survey Conducting pilot survey

Classification and Sources of Data Planning timetable
Preparation of sampling frames
Survey budget proposal
Sample survey design
Method of collecting data
Preparing survey instruments
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 2. Implementation of field work
Organization of field work
Recruiting and training of field workers
Supervision and quality checks
Collecting information
3. Survey Analysis
Preparation for processing (data files and data structures, data
checking, coding, data entry, etc.)
Performing statistical analysis (descriptive and inferential statistics)
Presenting survey findings in the report
Planning for sample survey: Why planning
The best way to sharpen the scientific knowledge and skills in the
respective field of science, it is necessary to conduct research or
survey.
And it is not just a compilation of report after gathering data from
field but it is A systematic phenomenon, a scientific culture that has
to be learnt by a person who conduct it in order to produce a good
quality, so we plan for the quality of the survey. 22/94
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 Steps of a Survey are:

Formulating the Statement of Objectives;

Selection of a survey frame;
Determination of the sample design;
Questionnaire design;
Data collection;
Data capture and coding;
Editing and imputation;
Estimation;
Data analysis;
Data dissemination;
Documentation
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 Sources of Data
Statistical data may be classified into two basic types:Primary data
and secondary data.
Primary (original) data refer to those which are collected to meet
the specific problem needs at hand.
The primary data are collected by the immediate user(s) of the data
to meet the objectives for the experiment or survey being conducted.
The nature and type of primary data would depend largely on the
study objectives and vary from one field to another.
Secondary Data
Secondary data refer to already existing information, which has been
previously collected and reported by some individual or organization
for their own purposes
At latter stage at least some of that data will come to be made
available to other individuals and organizations.
Secondary data can be obtained rapidly and inexpensively.
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 While intending to do a survey, the general rule is to exhaust all pos-
sible means to explore secondary data before deciding to mount on a
comprehensive plan for primary data.
Types of secondary data
Two categories: official and unofficial
1. Official secondary data: comprise all information collected, pro-
cessed and made available by legally constituted organizations, pri-
marily by government departments and designated authorities.
Both State and Federal - collect statistics about their area of respon-
sibility, and many are published in some form.
Annual report, and regular statistical analyses, or occasional re-
ports.
In general there are three approaches of data gathering, namely,administra
records, sample surveys and census.
2. Unofficial secondary data: comprises all other forms of secondary
information sources, such asprivate research results, research re-
ports, research papers, textbooks, opinion polls, market research,
news papers, and on-line databases. 25/94
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 Advantages and Disadvantages of Secondary Data

Main Advantages of using secondary data are as follows:

usually available more cheaply;

The collection is generally significantly quicker and easier than collect-
ing the same data ’from scratch’.
Existing data are likely to be available in more convenient form, involv-
ing dial-up access rather than dust removal.
It can give us access to otherwise-unavailable organizations, individuals
or locations.
It allows the researcher to extend the ’time base’ of their study by
providing data about the earlier state of the system being studied.
The fact that secondary data are likely to be pre- processed eliminates
the time-consuming analysis stage.
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 Disadvantages
The main disadvantages of using secondary data are as follows:

The method by which secondary data were collected is often unknown

to the user of the data.
This means that users are forced to rely on the skills and integrity of
the people who collected and analyzed the data.
There is little or no direct knowledge of the processing methods em-
ployed, and users will rarely have access to the original raw data to
check them, i.e., lack of accuracy
It quickly becomes outdated in an ever-changing environment
Differences in classification or measurement may create incompatibility.

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 Sources of Data in Formal Surveys

In formal surveys, statistical methods and procedures are followed in

designing, implementation and analysis.
Census and sample surveys are the two common sources of social and
demographic statistics in many countries.
The third source is administrative record systems, which is somewhat
better developed for health and vital statistics in most countries.
These three sources, if well planned and executed, can be complemen-
tary in an integrated programme of data collection and compilation.

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 1. Census
This is an investigation that covers every individual unit in the population
being studied. In other words, census is characterized by four essential
features:
Individual enumeration of all units,
Universality within a defined territory,
Simultaneity to express population with reference to point of time,
Defined periodicity to assess changes of population
XThe best known examples are the national censuses of population
and housing, agriculture and industrial, which are conducted by many
countries on regular basis.
XSince these censuses aim at exhaustive coverage of all the units of the
population of interest, they are usually massive operations and are
therefore conducted at regular intervals once in five or ten years.

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 census...cont..

A census can also relate to a much smaller and more specific population.
For example:
a population census of an individual village;
an investigation covering all extension workers in a district;
a study of all customers receiving micro-finance credit services,
a total patients treated in a hospital,

Census is likely to be appropriate for these examples because of two

general circumstances.
XOne is where basic information is needed for general planning purposes.
XThe other is where the population under investigation is small and
readily identifiable

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 2. Statistical Sample Survey
This is an investigation in which only part of the population is studied
Appropriate mainly when resources are not sufficient to cover the whole
population
it is not feasible to consider the whole population in terms of time and
level of treatment.
The information gathered through sample survey must be generalized to
the whole population in order to make overall conclusion.
A sample survey can be of any size.
It can be of large-scale operation such as a national demographic or
agricultural survey for general planning purposes
In sample surveys it is useful to distinguish between the target population
and the survey population.

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 Target population is the population, defined at the planning stage, for
which the results are expected.
Survey population is the population actually covered during the imple-
mentation.
The difference could exist due to the exclusion of some units from a
survey because of non-coverage and non-response.

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 Data from administrative records
Specially, in most countries, government bodies collect administrative data,
which can be used for the production of statistics needed for their own use
and for incorporation in the system of official statistics.
In developed countries, a great part of demographic and social statistics is
derived from such data, for instance, statistics on vital events, education,
health, criminality, transport and communication, etc.
Essential parts of economic statistics are also based on administrative data,
which includes foreign trade statistics and data on the production or sale of
commodities subject to excise taxes.

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 Sources of Data in Non-formal Surveys
Rapid Methods
Rapid methods are used in situations either when little time and re-
sources are available and limited information is still useful, or when no
data are initially available.
This method is one of the non-formal surveys, which includes a va-
riety of investigation techniques used to obtain rapid and sometimes
qualitative information.
It is also feasible to use this method when other methods are not
technically appropriate.
In most social sciences five commonly methods of rapid appraisal are
identified:
Xkey informant interviews, focus group discussions, community/group
interviews, direct observation, and informal surveys.
These methods typically involve an investigator or team working in the
study area, observing or measuring or interviewing the characteristics
of interest. 34/94
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 Limitations of this method

The main limitations are as indicated below.

The reliability and validity of the information generated can be

questionable in many instances, due to factors such as the use of
informal sampling, individual biases of the investigator / interviewer,
and the difficulty in recording, coding, and analyzing the qualitative
data.
Qualitative methods do not generate quantitative data from which
generalizations can be made for a whole population.
The general credibility of these methods is low compared to formal
survey methods. These limitations should be weighted against the
obvious strengths of rapid methods.

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 Case Study

This is an inquiry in which a small number of study units are investi-

gated in great detail.
Selection of units is not necessarily on a random basis.
An example might be an investigation of the allocation of rural women’s
time to different activities, using a detailed time budget approach, in
order to arrive at appropriate definitions and classifications of economic
activities.
Here a small number of women, selected to cover a range of types
of household and of farm and non-farm activity patterns, would be
appropriate.

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 Experimentation

It is a controlled method of observation in which the value of one or

more independent variables is changed in order to assess its causal
effect on one or more dependent variables.
That is, a stimulus is applied to a subject, and the effect observed.
Experiments can be conducted in many settings such as:
Xlaboratory experiments, which are conducted in artificial settings
Xand field experiments, which are conducted in natural settings.
XA considerable body of theory has been developed on the design
and analysis of experiments.
XHere it is presented only to reveal that it is a source or means of
obtaining information.

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 Chapter 3: Sampling frames

In its simplest form a sampling frame is a set of source materials from

which sample is selected.
The units in the frame may be either areas or units of objects covering
the items being investigated in a survey.
The units in the frame may be large or small areas, households, persons,
farms, or any identifiable items, and are generally known as area frame
or list frame.
The definition also encompasses different concepts and the purpose of
the sampling frames.
The frame consists of materials, procedure, and devices that iden-
tify, distinguish, and allow access to the elements of the target
population.
The frame is composed of a finite set of units to which the probability
sampling scheme is applied.
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 The frame also includes auxiliary information (measure of size, de-
mographic information) used for special sampling techniques, such as
stratification and probability proportional to size sample selections, or
special estimation techniques, such as ratio or regression estimation.
Frames in Multi-stage Design
In multistage sampling the sampling units used at the first stage of sampling
are called primary sampling units (PSUs).
Those used at the final (ultimate) stage are called ultimate sampling units
(USUs).
In designs with three or more stages, units used for the intermediate stages
are called secondary or second-stage sampling units (SSUs), third-stage sam-
pling units, and so on.
Therefore, for surveys with multistage sample designs, a frame is needed for
each stage of selection.

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 cont..
For example, for the three-stage design the sampling units for household
survey are:
XPSUs: Districts (Woredas)
XSSUS: EA (kebeles)
XUSUs: housing units (households
Any sampling frame used for the first stage of selection must cover the
entire survey population (the designated PSUs).
At subsequent stages of selection, frames are needed only for the sample
units selected at the preceding stage.
In those cases, a list of districts (woredas) would be needed for the first
stage of sample selection.
Lists of EAs (Kebeles) would be needed for the second stage, but only
for the sample districts (woredas).
For the final stage, lists of housing units (households) are required only
for sample EAs (Kebeles).
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 Basic consideration in the choice of sampling frames
The choice of suitable frames for all stages of sample selection is a
critical aspect of the design for surveys.
The population coverage, the stages of sampling, the stratification
used, and the process of selection itself and every aspect of design
is influenced by the sampling frames.
Key considerations in the choice of sampling frames, regardless of the
stage of sampling for which they are used, include the following: In-
tended use, frame units, coverage, media, content, and additional in-
formation.
Intended uses: Sampling frames are used for sample selection and for
making estimates based on sample data.
The choice of the sampling method to be used at each stage of selection
is limited by the information available for each frame unit at that stage.
If the information consists only of attributes (e.g., urban/rural classi-
fication, identification of higher-level units), it is necessary to use an
equal probability selection method with or without stratification. 41/94
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 cont...
However, if quantitative information or measure of size (e.g., counts of
persons or household from a recent census) is available for all or virtually
all frame units, this information can be used in connection with sample
selection or estimation, or both.
Frame Units
The frame units are the sampling units included in the frame. The
kinds of units in frames used for surveys include:
An area sampling frame comprises the geographical units of a country
in their hierarchy.
Area units include administrative subdivisions (regions, zones, dis-
tricts, kebeles), census enumeration areas, land areas (segments), and
others. Area units cover specified land areas with defined boundaries.
A listing sampling frame made up of the target population units.
Listing units include housing units, households, persons, nomadic
tribes, institutions, construction camps, and other items, and these
units must have a clear definition. 42/94
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 Coverage

The coverage objective of the frame or frames used for a survey is to

provide access to all of the elementary units in the survey population
and to do so in such a way that every one of those units has a known
(or knowable) probability of selection in the sample for the survey.
Access is achieved by sampling from the frames, usually through two
or more stages of selection and by the use of rules of association that
link elementary units to the units that were selected at the final stage
of selection, i.e., the USUs.
Media
Sampling frames may be stored either on print or electronic media.
For a frame stored on electronic medium, it is relatively easy to produce
a printout of the entire frame or any portion desired, and to organize
in any desired format.
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 Content
The frame contains a record for each frame unit. The only item that
is absolutely indispensable is a unique identifier of each unit.
If a unit is selected, the numerical identifier provides the means of
access to the unit in order to perform subsequent sampling operations
or to collect survey data.
The numerical identifier will be linked with other identifiers, such as
place names or addresses of housing units, either in the frame itself or
on maps or other auxiliary materials.
Additional information
There are a number of possible reasons for collecting additional infor-
mation during the construction of a sampling frame.
One occurs when the definition of the universe or of the sampling unit
to be covered is rather complicated to apply under field conditions, and
also classificatory information is gathered during the frame listing, and
the final decisions as to which units are to be excluded or included can
be made at a latter stage. 44/94
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 cont..
Another common reason is for the purposes of stratification and allocation
in which the stratifying information must be gathered and recorded during
the frame listing.

Properties of Sampling Frames

The quality of a frame may be assessed in terms of how well its idealized
properties relate to the target population.
Quality related properties of a frame are those properties which make
it possible to minimize non-sampling errors, especially coverage errors
that might occur because of deficiencies in the frame.
Desirable quality related properties are that the frame:
XConsists of well-defined units, meaning that area units have recog-
nized boundaries that are clearly delineated on various types of maps,
and for non-area units a precise standard definition of the unit be es-
tablished.
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 cont..
XUnits have adequate identifiers; usually frame units will have both
unique numerical identifiers (primary identifiers), and the other
identifiers, such as names and addresses (secondary identifiers).The units
in the list must be traceable in the field.
XMust be complete; the completeness of a sampling frame deals with
the extent to which the intended coverage is actually achieved and the
extent to which the desired information for each frame unit is included in
the frame. If incompleteness and duplication exist in a frame it can create
a problem and introduce bias into the survey estimates.
XAre up-to-date; for frames that are to be used more than once,
procedures must be developed for periodic updating to ensure that they
are up-to-date for some are likely to change with time.
X Must have stable units; If there is a choice with respect to the kinds
of units to be used in a frame, it is preferable to choose the most stable
kinds of units available, i.e., those that are least subject to change in
number, definition and size.
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 Cont...
Perhaps the most important of these properties is the inclusion of
accurate and up-to-date supplemental information for each frame unit.
Measure of size, such as population, number of households, number
of agricultural holders, and other size of measure, are useful.
Measure of size can be used in the following ways:
XTo construct sampling units
XTo form strata of units classified by size
XTo determine the allocation of sample PSUs to strata
XTo select units with probability proportionate to size (PPS)
XAs auxiliary variables for ratio or regression estimates.
In summary: the sampling frame plays a central role in the design of
a sample survey.
It determines how well a population is covered, affects the method of
enumeration and influences the efficiency with which a sample can be
designed.
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 cont..
A frame becomes more valuable if it contains some supplementary
information, which can be used to improve sampling and estimation
procedures.
The structure of the frame, the information it contains, and the
quality of that information will determine the type of sample designs
and estimation procedures that can be used in a survey.
Simple frames lacking auxiliary information support simple sample
designs.
For example, if the list contains no information other than the
identifier of the elements, typically very simple sample designs are
used for selecting the sample.
A simple random sample may be selected, or if the list is large, a
systematic sample or a systematic sample of clusters may be used.

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 cont..
Many sample designs use auxiliary data to produce more efficient
samples.
Complex sample designs that are more efficient than simple random
sampling, such as those employing stratification, probability
proportional to size sample selection, or special estimation techniques
such as ratio or regression estimators, require additional information
beyond the identity of the target elements
The sampling frame must be accurate and free from defects.
It should be exhaustive (no units omitted), non-repetitive (each unit
listed once only), current or fresh list must be available (up to date),
the units should be clearly identifiable without ambiguity, and the
units in the list must be traceable in the field.

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 A good sampling frame
A good sampling frame should be:
Relevant: it should contain things directly linked to the research topic.
Complete: it should cover all relevant items.
Precise: it should exclude all the items that are not relevant.
Up-to-date: it should incorporate recent additions and changes, and
have redundant items cleansed from the list.

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 Chapter 4. Sample Survey Design

Probability Sampling Methods

The general aim of all sampling methods is to obtain a random sam-
ple that is representative of the target population by a randomization
process.
as much as possible, the information derived from the sample survey
is the same as we would find if we carried out a census of the target
population.
When selecting a sampling method we need some minimal prior knowl-
edge of the target population;
Xwith this and some reasonable assumptions we can estimate a sample
size How we actually decide which sampling units will be chosen makes
up the sampling method.
Sampling methods can be categorized according to the approach they
take to the probability of a particular unit being included.
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 cont..
If we have 100 units in the frame, and we decide that we should have a
sample size of 10, we can define the probability of each unit being selected
as one in ten, or 0.1 (assuming each unit has the same chance).
There are various sampling methods that we can use to select the units.

Sampling Design
A sampling design is a well coordinated activity that needs a joint effort
of the survey statistician and other experts such as subject matter
specialists, data users, and survey executing agency.
Mostly statisticians require information from other experts in order
to propose a sample design.
i. Selection process
After making an assessment of survey objectives,
Xthe kinds of topic to be covered,
Xdescription of coverage,
Xreporting levels, and other issues raised, the next step in selection
process is to make a choice of design. 52/94
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 Selection of Survey Topic (Reading assignment)

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 Setting objectives and preliminary investigation of the survey
The survey objectives should be clearly specified and precisely stated
at the outset.
Other issues related to the objectives and relevant to the survey must
be assessed at the early stage of the design.
Depending on the scope and topics of the survey it may cover.
XA clear specification of the desired information to be collected in
statistical terms, i.e., to determine the data requirements.
XThe level of breakdowns by which the results are to be tabulated;
regions, age groups, sexes, residences, and any other economic and
social classification.

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 Sampling plan
There are different ways of designing a sample survey,
The selection process starts dealing with the preparation of sampling
frames, sample size determination, choice of design to be used, and
sample selection method.
The estimation procedure involves the process for computing the sample
statistics and calculating the reliability of these estimates.
The purpose is to develop a sample design that would meet reliability
requirements at the lowest possible cost, or alternatively, to produce the
most reliable estimates for a fixed expenditure of resources.

i. Selection process
After making an assessment of survey objectives,
Xthe kinds of topic to be covered,
Xdescription of coverage,
Xreporting levels, and other issues raised, the next step in selection
process is to make a choice of design.
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 Choice of design: There are different designs of sample, which are
likely to be appropriate for different types of survey, and in different
circumstances.
Single stage sample design
Un-Stratified single-stage sampling involves sampling techniques such as
simple random sampling, systematic sampling, varying probability sampling
(probability proportional to size-PPS), and cluster sampling.
Stratified single-stage sampling deals with stratified simple random
sampling, and stratified varying probability sampling.
Simple random sampling (SRS)
It is the simplest kind of sampling method. It requires as a sampling frame
a list of sampling units - households, farmers, institutions, or whatever else
is being used - in any convenient order.
A table of random numbers is needed to obtain a random selection of
these numbers, and the items, which have been given the selected
numbers that form the sample chosen for the survey.
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 Linear systematic sample (LSS)
It is operationally a convenient method of selecting a sample. In a
systematic sample we decide the sample size n from a population of
size N.
In this case, however, the population has to be organized in some way,
such that we choose a starting point along the sequence by selecting
the r th unit from one ’end’ of the sequence, where r is less than n, and
is usually chosen between 1 and k randomly.
We then take the rest of the sample by adding k to r, where k is an
integer number equal to N/n. We do this repeatedly until we reach the
end of the sequence.
Varying probability sampling
This method utilizes the values of auxiliary variable such as measure of
size in which the size varies from unit to unit.
Using this measure of size the selection is easily performed with PPS.
A list of units with their estimated size, say Mi, is required, and we
cumulate the values against each unit. Then a predetermined sample
size (n) will be selected by using SRS or systematic sampling. 57/94
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 Cluster Sampling
Clusters can be defined as sampling units containing several elements
that occur in groups naturally or formed artificially.
A cluster has listing units associated with it in which the units can be
geographical, temporal, or spatial in nature.
Thus, cluster sampling can be defined as any sampling plan that uses
a frame consisting of clusters of listing units.
Stratified random sampling
On occasion we may suspect that the target population actually consists
of a series of separate domains, each of which may have, on average,
different values for the properties we are studying.
Thus, there are various reasons for stratifications and one must investigate
these issues in detail before resorting to it.
The reasons could be to increase precision, separate estimates may be
required, administrative convenience, and the nature of the population
may force to use it. 58/94
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 Sample size estimation

The sample size for a survey must be decided upon at the planning
stage.
If done properly, the correct estimation of sample size is a significant
statistical exercise.
The sample size required depends upon three factors
the level of precision required in the estimate, this requires specifying
the acceptable margin of error and the confidence level;
the level of variability of the variables to be estimated, which could be
measured by the standard error or coefficient of variation;
and the sample design to be used, in which different designs will
produce different levels of precision for the same sample size, or
conversely different sample sizes for the same level of precision.

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 Multi-stage sample design
For studies of large or geographically dispersed populations it is more
convenient to use a multi-stage sample design.
It is particularly appropriate where a large-scale survey is to be con-
ducted, and where for logistic and organizational reasons it is conve-
nient for the sample to be grouped together in a more limited number
of geographical areas, rather than being spread thinly and dispersed
across the whole country.
Multi-stage sampling is adopted in a number of situations like:
XSampling frames may not be available for all the ultimate observa-
tional units in the entire.
Xit may be more convenient than a single stage sampling of the ul-
timate units, as the cost of surveying and supervision, in large scale
survey can be very high due to travel, identification and contact.
XIt can be convenient means of reducing response errors and improv-
ing sampling efficiency by reducing intra-class correlation coefficient
observed in natural sampling units. 60/94
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 Self-weighting Design in Two-stage sampling
In multi-stage sampling, there are different sample designs to choice
from.
For example, for two-stage sample with constant sampling fraction, an
appropriate design would be SRS or LSS at first stage for selection of
PSUs and again SRS or LSS at second-stage to select the second stage
units, i.e., at both stages simple random sample is used (SRS/SRS).
Example: Let us assume that the two Kebeles A and B were selected
by SRS from a population of 100 Kebeles.
Assume that Kebele A has 500 households and Kebele B has 50 house-
holds.

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 Example
Suppose we have the following list of kebeles together with their
individual and cumulative numbers of households.
We wish to select a total of 15 households from three kebeles. The
first step is to select three kebeles using PPs sampling.

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 cont...
For the selection of sample, we need four-digit random numbers, be-
cause the total cumulative size, 5831 has four-digits. Using SRS and an
appropriate random numbers table, the first random number is 4010,
which is associated with the cumulative size of kebele H.
The second random number is 1163 and related to kebele C. The third
random number is 5094, which corresponds to kebele K.
The final sample of three kebeles therefore consists of kebeles H, C,
and K. A fixed sample of five households would then be taken in each
kebele using SRS or LSS methods.
The probability of selecting a household in each of the three kebeles is
calculated as follows.
The probability of selecting kebeke x probability of selecting household
1140 5
Kebele C: 5831 × 1140 = 0.0009
270 5
Kebele H: 5831 × 270 = 0.0009
217 5
Kebele K: 5831 × 217 = 0.0009
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 ii) Estimation Procedure
The estimation characteristics will be a major objective in surveys.
The main concern in estimation is dealing with inferential statistics,
which has two principal functions:
To predict or estimate a population parameter from a random sample
To test statistically based hypotheses (testing the null hypotheses)

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 Chapter 5: Methods of Collecting the Data
We distinguish three basically different methods of collecting data.
These are:
XExtraction of data from records
XSelf-administered questionnaire
XDirect investigation-measurement (observation) of the subject and
interviewing (Face-to-face, telephone)
Our first step is to decide on which of these three methods to use.
1. Extraction of data from records
It is usually possible to answer some of the questions a survey is intended
to cover from available data.
2. Self-administered questionnaire
Mail and Self-administered questionnaire
It is a method of data collection in which researchers can give
questionnaires with instructions directly to respondents or mail them to
respondents who read instructions and questions, 65/94
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 Advantages
It is the cheapest and can be conducted by a single researcher
A researcher can send questionnaires to a wide geographical area
The respondent can complete the questionnaire when it is convenient and
can check personal records if necessary.
Mail questionnaires offer anonymity and avoid interviewer bias.
They are very effective, and response rates may be high for a target
population

Disadvantages
A low response rate is the biggest problem;
A researcher cannot control the conditions under which a mail
questionnaire is completed.
Researchers cannot visually observe the respondent’s reactions to
questions, physical characteristics, or settings.
Mail questionnaire is not suitable for illiterate community
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 3. Direct investigation-measurement (observation) and interviewing
(Face-to-face,telephone)
Measurement or observation of the subject and interviewing a respon-
dent and obtaining the report on the matter are two approaches, which
are by no means exclusive.
It is very common indeed to find both being used in the same survey.
Some topics can only be investigated by one or other approach, but
many can be investigated using either,
and in such cases it is necessary to assess which is more suitable in the
circumstances of the particular study.
Measurements or Observations
Information on a topic can be gathered by measurement if it is physi-
cally measurable or observable.
Common types of data collected by observation and Xmeasurement
include:
Xland area measurement
Xcrop output measurement 67/94
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 cont...
Xanthropometrics measurements
Xanimal weight gain
Xinstrument recordings or readings (e.g. rainfall, temperature, etc.)
Xphysical measurement or examination of people
Xcounts of human, animal and plant populations
Xdirect observations of work
Xexchange activities (e.g. purchase and sale prices)
Data collection by measurement can be undertaken in several ways. Some
of these are:
Xthe direct measurement of a physical characteristic using an instrument;
Xthe observation of people engaged in an activity; and
Xrecording of relevant aspects of their activities

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 Interviewing (Face-to-face, telephone)
Face-to face interview is a social process that involves the interviewer
and respondent.
It is the process in which the interviewer meets the respondents, ex-
plains the purpose of the study, forwards a set of questions and records
the answers.
It is widely used in economic and social surveys.
Some advantages of face-to face interviews:
Face-to face interviews have the highest response rate and permit the longest
questionnaires.
Interviewers control the sequence of questions and can use some probes.
Respondent is likely to answer all the questions alone.
Interviewers also can observe the surroundings and can use nonverbal com-
munication and visual aids.
Well-trained interviewers can ask all types of questions including complex
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 The disadvantages of this method may include the following
Cost is high- that is, recruiting, training, travel, supervision, and
personnel costs for interviews can be high.
Interviewer bias is also high in this method.
The appearance, tone of voice, question wording, and so forth of the
interview may affect the respondent.

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 Chapter 6:Instruments of Data Collection
Type of Instruments
A data collection instrument is a document used for gathering and
recording of data in a survey.
Basically there are two types of instruments to collect data:
XStructured questionnaire and
Xunstructured questionnaire.
Structured questionnaire
structured questionnaire used mostly in formal sample survey, is a formal-
ized schedule or form and contains an assembly of carefully formulated set
of questions for information gathering.
In other words, a structured questionnaire is one of the instruments used in
data collection and which contains written questions that people respond
to directly on the questionnaire form itself, with or without the aid of an
interviewer.
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 Unstructured questionnaire
The second type is a checklist of topics (unstructured questionnaire) used,
mostly in qualitative survey, when enquiries are not appropriate for struc-
tured questionnaires.
An unstructured questionnaire contains mostly open-ended questions.
This type of instrument is designed in the form of survey guides, tally sheets,
observational forms, field notes, outline of questions, etc.

Principles of Questionnaire Design

All surveys involve presenting respondents with a series of questions to
be answered.
The questions may be simple single-item measures or complex multiple-
item scales.
In whatever form it exists, especially socioeconomic survey data are
basically what people say to the investigator in response to a question.
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 cont..
The questionnaire design is One major contributory element in the
process of formal sample survey for maintaining data quality.
The questionnaires need to be structured and its design is critical be-
cause survey analysis depends on the completeness of the topics cov-
ered.
A well-designed questionnaire will enable us to ask the respondents the
same questions in the same way and their answers must be recorded
and coded uniformly so that data can be aggregated across the sample.
There are some questionnaire design principles, which links between
interview and data processing.
Regarding the content, one must include the minimum number of topics
to meet the objectives.
XBecause of resource and time constraints we should focus on items
of direct and major interest and avoid collection of any non-essential
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 cont...
Time for the interview must be kept to a reasonable time period and
Xthis limits the number of questions.
The questions must be easy for the respondents to understand and to
answer accurately and clearly.
The questionnaire should be easy to use as an interview guide for the
enumerator and as an instrument for recording answers.
The questionnaire should be self-contained, which include identifica-
tion of the enumerator, respondent, date of interview and any other
reference information such as geographical identification and other field
details.
It should be designed in such a way that the recorded answers can
easily be edited, coded and transferred onto a computer file for data
processing, tabulation and statistical analysis.
The flow, structure and length of questionnaire should encourage and
keep the interest of the respondent.
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 cont...
Careful thought should be given to the quality of presentation material
such as paper, the size of the sheets used, the clarity of printing and
the spaces provided for recording answer.
A typical sequence of activities to design a form would have the fol-
lowing pattern.
XDraw up a list of question topics from a mixture of theoretical models,
empirical information, research evidence and terms of reference for the
study;
XFor each topic, phrase the specific information required;
XList them in a logical order, following either a chronological or se-
quential pattern;
XDecide for each questions how to record the interview response;
XMake a first draft layout on the style of paper to be used;
XTest the design on model respondents;
XPrepare a pilot draft for a pilot test or survey;
XModify the form from the results of the test; and 75/94
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 XFinalize the design and layout.
XReview as many times as possible the number of questions finally listed.
Form design is largely a compromise between opposing criteria: layout
for collection versus layout for data processing
Type of Questions
Two basic types of questions can be used in questionnaires:
Xopen-ended questions and
Xclosed-ended questions
depending on the amount of freedom given to respondent in offering
responses.
The type of questions for use will be determined by the form of responses
sought, the nature of the respondents and their ability to answer the
questions.

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 Closed-ended question

A closed-ended question is one where a predetermined list of alternate

responses is presented to the respondent for checking the appropriate
one(s).
It implies that the respondents’ answers are restricted in some way to
a limited range of alternatives.
Closed-ended question falls into one of two categories:
1. dichotomous question and
2. multiple-choice question. single-coded question and multi-coded
question

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 Example
a. Do you have a bank account? 1= Yes 2= No
b. How many children have ever born?
1= 1-2 2=3-4 3=5-6 4=7-8 5=more than 8
c. which type of soft drink(s) does your household consume?
1= Pepsi 2=Coca-Cola 3=Mirinda 4. Fanta 5=Sprite 6=Seven Up
7=others, specify
d. Has the road construction activity had impact on your access to public
services(health,education, market, etc..)?
1= Yes 2= No
e. If the answer is yes, explain the impact.

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 Advantages

It is easier and quicker for respondents to answer.

The answers of different respondents are easier to standardize and to
compare
The answers are easier to code and statistically analyze
The questions meaning is often made more clear by the response
categories,
The answers are relatively complete as long as all relevant categories
are specified
Respondents are more likely to answer about sensitive topics.

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 Disadvantages

The respondent can guess at answers when they don’t know since they
have the categories to guide them
The appropriate category may be missing from the schedule
Failure to understand the question is less easily detected than with an
open-ended question
A poorly planned list may act as a constraint to correct answers not
catered for
Too few categories may fail to differentiate between important groups,
and enumerator error (placing the tick in the wrong box by accident
will be more common)

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 Open-ended question

An open-ended (unstructured, free response) question is one which

allows the respondent to answer it freely in his or her own words, and
to express any ideas generated from the question itself.
Open implies that the respondent is permitted to answer in any form
and at any length without any limitation on the range or complexity of
the answer, to the question asked.
Response categories are most often associated with exploratory or in-
formal surveys.
For example: ‘Which crops do you grow?’
XThe question does not specify any particular season or plots and
hence many answers are possible. It is open for discussion.

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 Advantages

They permit an unlimited number of possible answers which may not

be considered at initial stage of the questions’ design.
Respondent can answer in detail and can qualify and clarify responses
by expressing in his/her own words.
Unanticipated (Unexpected) findings can be discovered.
They permit creativity, self-expression, and richness of detail.
They may be used when there are too many response categories to list
on a questionnaire.
They are useful when the questions are too complex to reduce to a few
standard responses.

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 Disadvantages

That much irrelevant information is collected.

The answers are not standardized and are therefore difficult to compare
and to make statistical analysis.
Coding responses is difficult
They require a higher level of skills on the part of the data collector
since responses are written verbatim.
More time, thought, and effort is necessary for completion
The forms are often bulky because answers take up a lot of space in
the questionnaire.

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 Question phrasing and common problems which arise with
question phrasing
Another aspect of questionnaire design that needs serious consideration
is phrasing of the question.
The information required should be well and clearly defined at each
stage at which a question is posed:
Xinitial definition and explanation in the survey manual;
Xtext in the questionnaire;
Xprecise units for physical measurement;
Xand verbal phraseology by the enumerator.
At each stage the question should have:
XA clear meaning,
XThe same meaning to every person asked and the researcher,
XAn answer which the respondent knows
XAn answer which can be given clearly and unambiguously by the
respondent.
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 a) Leading Questions

A leading question is one that leads the respondent to choose one

response over another by its wording.
The presentation of questions should be neutral.
The form of the question should not indicate a preferred or ‘correct’
answer.
For example, the question, ‘You don’t smoke, do you?’
or ‘Do you buy the fertilizer recommended by the extension worker?’
leads respondents to state that they do not smoke in the first case, and
that they should buy fertilizer recommended by the extension worker.
b) Multiple questions
Multiple (double-barreled) questions are questions which combine two
or more distinct questions into one single question. For example: ‘Do
you like listening radio and watching television?’
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 c) Ambiguous question
Ambiguity, confusion, and vagueness(Ambiguity) must be avoided from
a question since different people will understand the question differently
and in effect their interpretation will depend on the individual respon-
dent.
The question, ‘What is your income?’ could mean weekly, monthly, or
annual; family or personal; from salary or from all sources; for this year
or last year.
The question, ‘Do you drink beer frequently?’ is ambiguous because
the word frequently does not specify a fixed time reference.
d) Probing questions
Probing is not easy.
A delicate(gentle) balance has to be struck (look) between persistence
and rudeness.
Very often the respondent does not want to tell the truth. In some
culture it is socially acceptable to tell lies to close friends, never mind
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 e) Use Simple Language

The language of a question should be simple.

The aim in the question wording is to communicate with respondents
as nearly as possible in their own languages.
Thus the wording of the question must be appropriate to the respon-
dent.
Question should avoid the use of technical terms and jargon, which the
respondent may not understand.
Where it is necessary to use technical or legal terms, one should provide
definitions and explanations.
For example: ‘Do you use inorganic fertilizer?’
It is better to specify types or brand names or informal terms with
which the respondent will be familiar.

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 f) Sensitive topics
In some cultures people do not like to discuss private matters openly.
Sensitive questions are apt to be irritating, threatening, or embarrassing
to the respondent.
Example
XThus, rather than ask do you ever get drunk?’
Xwe might ask ‘how often do you get drunk?’
Questions on age, physical or mental disability, deaths in households,
income, sexual behavior, family planning, are relatively regarded as
sensitive issues.
Choice of the Reference Period
During questionnaire design, the choice of appropriate time-reference period
is an extremely important consideration.
Time-reference period is the specified length of time for which the respon-
dent is asked to give information about events occurring within it.
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 Chapter 7: Pre -tests and Pilot Survey
To plan a survey it is necessary to have a good deal of knowledge of
its subject matter,
Xthe population it is to cover,
Xthe way people will react to questions
and
Xeven the possible answers they are likely to give.
Particularly for large-scale survey it should be the general rule to con-
duct pretests and pilot survey in order to get solutions to the following
questions.
How is one to estimate how long the survey will take?
How many interviews will be needed?
How much money it will cost?
How, without trial interviews, can one be sure that the questions will
be as meaningful to the average respondent as to the survey expert?
How is one to decide which questions are worth asking at all?
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 cont...

Advance assessment at the beginning of a survey project will allow us

to identify potential problems in the proposed study
It is because of this that pretests and/ or pilot surveys are conducted
as a standard practice with professional survey bodies and are widely
used in most research surveys.

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 Pre-tests

What is a pre-test?
Pre-test refers to a small-scale trial of particular research components.
It is a preliminary application of the data gathering technique for the
purpose of determining the adequacy of the component.
This may take the form of a series of small pre-tests on isolated
problems of the design.
For example in testing of questionnaires, pre-testing refers to one or
more series of interviews conducted on successive drafts of the
questionnaire for the purpose of identifying and correcting errors and
shortcomings.
Its objective is to evaluate the general receptivity and feasibility of the
questionnaire, and identify specific problems of communication
between the interviewer and the respondent.
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 Pilot Study
What is a pilot study? It is a process of carrying out a preliminary
study going through the entire procedure with a small sample.
Xthat is, pilot survey or pilot study is generally a full-scale dress re-
hearsal of the survey.
A pilot study is often performed to test the feasibility of techniques,
methods, questionnaires, and interviews and how they function to-
gether in a particular context
A major purpose of pilot study is to check whether the organization
and arrangements of the survey actually work satisfactorily.
The whole of the survey operation in all its aspects must be tested out
on small scale.
This approach thus checks the administrative and organizational ar-
rangements in general, the arrangements for the supply and distribu-
tion of all the resources and equipment needed for the survey, as well
as the fieldwork operations, the survey forms and manual, sample size
determination and the data processing. 92/94
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 cont...

The whole of the survey operation in all its aspects must be tested
out on small scale.
This approach thus checks the administrative and organizational
arrangements in general,
Xthe arrangements for the supply and distribution of all the resources
and equipment needed for the survey,
Xas well as the fieldwork operations, the survey forms and manual,
sample size determination and the data processing.

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 94/94
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