Survey and Research Methods

Session 4: Introduction to Surveys

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

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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.
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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
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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

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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

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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

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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 straightforward 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

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Data Collection Methods 2

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

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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.

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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 selfenumeration - 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 respondents 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.

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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 interviewers 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

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Survey Administration Advantages and Disadvantages 1

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Survey Administration Advantages and Disadvantages 2

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Survey Administration Advantages and Disadvantages 3

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Survey Administration Advantages and Disadvantages 4

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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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