survey and research methods

11NICMARACM – Survey and Research Methods Dr. Gangadhar Mahesh

Survey and Research MethodsSession 4: Introduction to Surveys

Dr. Gangadhar Mahesh, B. Arch, M. Eng, Ph.D


Surveys - Introduction

• Is any activity that collects information in an organised and methodical manner about characteristics of interest from some or all units of a population using well-defined concepts, methods and procedures, and compiles such information into a useful summary form

• Usually begins with the need for information where no data – or insufficient data – exist

• Consist of several interconnected steps which include: defining the objectives, selecting a survey frame, determining the sample design, designing the questionnaire, collecting and processing the data, analysing and disseminating the data and documenting the survey.


Steps of a Survey

• Formulation of 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


Formulating the Statement of objectives

• the information needs - Why has a survey been suggested? What are the underlying issues and in what context have they been raised?

• the users and uses of the data - Who are the main users of the data? What will the information be used for?

• the main concepts and the operational definitions - Who or what is the client interested in? Where are the units of interest? What is the reference period for the survey? (When?)

• the survey content - The specific topics to be covered; the variables to be collected, the questionnaire design and even the sample design

• the analysis plan - how much detail is required for each item and the format of the results


Survey Design

• Census Vs. Sample Surveys

• Target population: the population for which information is desired - the type of units that comprise the population and the defining characteristics of those units (Who or What?); the geographical location of the units (Where?); the reference (time) period under consideration (When?)

• Survey population - the population that is actually covered by the survey

• Survey frame (also called the sampling frame when applied to sample surveys) - provides the means of identifying and contacting the units of the survey population

• Survey Errors


Survey Frames

• Types of Frames- List frame - a conceptual list or a physical list of all units in the survey population

- Area frame - a special kind of list frame where the units on the frame are geographical areas

- multiple frame - a combination of two or more frames, (a combination of list and area frames or of two or more list frames)

• Frame Defects- Undercoverage - exclusions from the frame of some units that are part of the target population

- Overcoverage - inclusions on the frame of some units that are not part of the target population

- Duplication - occurs when the same unit appears on the frame more than once

- Misclassification - incorrect values for variables on the frame

• Qualities of a Good Frame- Relevance, Accuracy, Timeliness, Cost, Standardised concepts and procedures, easy to use and update


Data Collection Methods 1

• Self-Enumeration - the respondent completes the questionnaire without the assistance of an interviewer

- requires a very well-structured, easy to follow questionnaire with clear instructions for the respondent.

- relatively easy to administer, cheaper than interviewer-assisted methods, so larger samples can be selected

- useful for surveys that require detailed information and for sensitive issues since the questionnaire can be completed in private

- requires either knowledgeable or well-educated respondents or a very straight-forward survey topic

- response rates are usually lower than for interviewer-assisted methods since there is no pressure for the respondent to complete the questionnaire

- respondent may miss skips, misinterpret information, etc.

- Administration - personal delivery / pick up of paper questionnaire; mail out / personal pick up of paper questionnaire; - personal delivery / mail back of paper questionnaire; mail out / mail back of paper questionnaire


• Interviewer-assisted (Personal Interviews or Telephone Interviews)- by personalising the interview and being able to interpret questions and survey concepts, the interviewer can increase the response rate and overall quality of the data

- Particularly useful for survey populations with low literacy rates or when the concepts or the questionnaire are complex, or anytime self-enumeration would be difficult

- they can be expensive and difficult to manage

- poorly trained interviewers can cause response errors and, for sensitive topics

- respondents may be reluctant to answer questions for sensitive topics

- If well-trained interviewers are unavailable interviewer bias could be a problem

- Administration – Personal or telephonic

Data Collection Methods 2


Personal Interviews – Advantages and Disadvantages

• Advantages- highest response rates interviewers generally do a better job of converting refusals in person;

- interviewers can make direct observations (this is not possible with telephone interviews);

- interviewers can instill confidence in respondents by showing them official identification

• Disadvantages- usually the most expensive method

- smaller sample sizes than would have been selected for self-enumeration or telephone interviews

- difficult to hire and retain suitably qualified interviewers in all surveyed areas;

- difficult to shift workloads to less busy interviewers;

- difficult to implement a quality control program for the interviewing process.


Telephone Interviews – Advantages and Disadvantages

• Advantages- offer a reasonable response rate at a reasonable cost.

- can also be used to ask sensitive questions, although this method is not as anonymous as self-enumeration

- Easier/ safer than personal interviews since the interviewer does not need to travel to dangerous or isolated areas

- quality control of the interviewing process can be easily implemented since telephone interviews can be easily monitored

• Disadvantages- it may be difficult to construct a survey frame with good coverage of telephone numbers;

- sampling telephone numbers is often inefficient (i.e., may telephone many out-of-scope units);

- confidentiality may be a problem if another person can overhear the respondent’s answers (for example, where there are shared telephone lines);

- telephone interviews are less personal than personal interviews, so it may be more difficult to convince people of the importance of the survey;

- telephone interviews may be costly if long-distance calls are made.


Computer Assisted Data Collection

• Methods- self-enumeration (Computer-Assisted Self-Interviewing, CASI);

- by telephone (Computer-Assisted Telephone Interviewing, CATI);

- in person (Computer-Assisted Personal Interviewing, CAPI).

• Advantages- it is environmentally friendly (questionnaires are not printed out);

- dependent interviewing can be easily performed for repeated surveys to reduce response error (i.e., information provided by a respondent in a previous cycle of the survey can be used at subsequent cycles).

• Disadvantages- transmission between computers (e.g., from the interviewer’s computer to head office) must be over a secure line in order to protect the confidentiality of respondent data;

- it is vulnerable to technical difficulties (battery life, file transfer problems, etc.) that are time consuming to fix and could result in the loss or damage of data;

- it requires computer experts to develop the software and deal with technical problems


Survey Administration – Advantages and Disadvantages 1


Selection Criteria

• Collection information available on the survey frame

• Characteristics of the target population

• Nature of the questions being asked

• Available resources (e.g., interviewers)

• How easy the questionnaire is to complete

• Privacy considerations

• Data quality requirements

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