Chapter 1: Introduction to Survey Methods
1.1 The Purposes and Uses of Sample Survey
Why sample surveys are conducted as a method of data collection? What is a sample survey? Answering
these two important questions will give us a general view of the purpose of sample survey. One must get
statistical data by directly investigating the characteristics of elements of the population. In most of the
cases this direct investigation of the whole elements of the population is not either possible or feasible.
This could be due to resource constraints (funds and time) or for some other reasons such as nature of the
population in which investigation of all population elements is impossible. To handle such problems,
sample survey is an alternative and feasible method of data gathering. Thus, sample survey is a method
of collecting statistical data from sample elements of the population to provide information or statistical
data in the form of population estimates, which help to make inferences about the entire population.
These population estimates are relevant to researchers, planners, and policy makers at all levels of
economic and social sectors.
Information or statistical data needed for both research and administrative purposes are used mainly by
government and non-government institutions, individuals or groups, and wider community in making
concrete decision, planning, formulating economic and social policies, and promoting research work and
studies.
For example, responsible offices and institutions of a central government and other development agencies
conduct sample surveys to inform the public about their respective activities and performances, in
particular about populations in terms of distribution, employment status, income and expenditure,
housing conditions, education, health, nutrition, agriculture, transport services, trade, and many other
economic and social phenomena. They also conduct sample surveys of organizations or institutions such
as schools, hospitals, manufacturers, retail outlets, farms, hotels, markets, etc. to meet the ever-increasing
demand of statistics in these areas. In general, as the demand of statistics rises and expands its scope
conducting sample surveys frequently has become a feasible fast data generation mechanism.
1.2 Basic Concepts and Definition of Some Statistical Terms
Population: Population is defined statistically as the totality of all subjects having certain common
characteristics that are being studied in specific area and time. Expressing this in a different way, it is the
collection of all the units or elements under investigation, which consists of a specified type of persons or
objects over a given space and time.
During actual survey undertakings, a researcher can limit definition of the population in scope on the
basis of the objective of the study. For example, it could mean:
o the total human population of a county or a village, or a state in 1994;
o it could mean the total number of plants in a field in 2003;
o the total number of farmers receiving fertilizer on credit in a given area in 2006;
o all herds of cattle in a specific region in 2000;
o total number of school age population in a specified rural part of the country in 2007;
o total number of women in the reproductive age in Addis Ababa City in 2005;
o total ledgers of textile industries to be audited in 2007, etc.
Moreover, dealing with population requires that one should note the nature of the population, that is, the
population can be finite, in which one can enumerate all persons or objects, or infinite in which
enumeration of all elements is not possible.
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A sample consists of elements selected from a population with statistical methods for the purpose of
investigation and with the aim of estimating the characteristics of the population.
Sampling: Sampling is a statistical process in which one can select and examine sample units and
provide statistical information by involving a variety of techniques instead of studying the whole
population units. In other words, it is a process that allows the investigator to obtain accurate information
from a sample and relate that information to the population characteristic without examining every unit of
that population.
An elementary unit (unit of analysis) is an element or group of elements on which information is
required. Thus, persons, vehicles, households, farms, animals, steel cable, etc., are examples of
elementary unit. In other words, it is the object that we observe or measure.
Sampling unit: For the purpose of sample selection, the population is divided into a finite number of
distinct, non-overlapping and identifiable units called sampling units, so that each member of the
population belongs to only one sampling unit. Naturally, the type of sampling unit depends on the nature
of the study. Hence, the sampling unit may or may not correspond to the units of analysis or elementary
unit. For example, the sampling units may be households, whereas the unit of analysis would be persons.
Commonly the sampling unit could be the farm, the farmers, a household or a person, an event such as a
market transaction, establishments, etc. Therefore, one can select individual persons, households,
villages, urban kebele (wards), or any other unit. The use of different sampling units has different effects
on the case of conducting a survey and on the precision of the findings.
Sampling Frame: Once the population has been defined, the next step is to establish a means of access
to it. The frame will provide this means of access. In its simplest form the frame is a list of elements
covering the survey population, and serves as a base for sample selection.
Population Values: Survey research is aimed at estimating specified population values. These
population values are called parameters. A Population parameter is a numerical expression that
summarizes the values of some characteristics for all units of an entire population. Experience has shown
that mostly four values of the population are of interest in surveys. These are population total, population
mean, population proportion, and population ratio. The following are examples of the population values.
a) Population Total:
Example: Total number of acres of cropland harvested; total production of crops by type; total
number of persons economically active; total number of farming households; the total amount of
fertilizer used.
b) Population Mean:
Example: The average size of agricultural holdings in acres; the average size of fertilizer consumed
per household; the average income per household; the average number of patients treated per hospital;
yearly or monthly average production; the average age of school age population.
c) Population proportion:
Example: The proportion of cultivated area under oil seeds (cotton, pulses, etc.); The proportion of
illiterate head of agricultural household; Proportion of farmers who own tractors; The proportion of
coffee export; The proportion of health facility users.
d) Population Ratio:
Example: The ratio of male population to female population; the total number of loans for fertilizer to
total loans in a bank; the ratio of expenditure on food to that on rent.
1.3 Types of Inquiry
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Several types of inquiry for the gathering of statistical data on various topics can be distinguished. We
consider here only censuses and sample surveys, which are the two main ways of collecting information
for statistical purposes.
a) 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, which means that the census counts each and every unit in the
designated territory separately and the characteristics of each unit are recorded separately.
Universality within a defined territory, which implies that all units are required to be included in the
census
Simultaneity to express population with reference to point of time,
Defined periodicity to assess changes of population, that is, censuses should be taken at regular
intervals so that comparable information is made available in a fixed sequence.
The best known examples are the national censuses of population and housing, agriculture and industrial,
which are conducted by many countries on regular basis. Since 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. Although it aims at enumerating all
units in the country, this goal is seldom fully achieved in practice. Units may be accidentally or
erroneously omitted from a census for various reasons, and certain well-defined categories of units may
be deliberately excluded from the scope of the census. The existence of either omissions or exclusions
does not mean a census is a survey.
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 farmers receiving credit from an agricultural bank,
a total patients treated in a hospital,
total number of female students in AAU.
Census is likely to be appropriate for these examples because of two general circumstances. One is where
basic information is needed for general planning purposes, so that it is necessary to gather data on a range
of topics, from all sectors of the population with a good level of accuracy. The other is where the
population under investigation is small and readily identifiable, but may be fairly heterogeneous, so that it
is both feasible and advisable to include the whole of the population in the study.
b) Sample Survey is an investigation of a certain population to provide quantitative and qualitative
characteristics of the population. It deals with the collection of information about the characteristics of
socioeconomic interest from some or all units of a population using well-defined concepts, methods and
procedures, and the compilation of such information into a useful summary form, which could be used
for analysis.
This type of study is appropriate mainly when resources are not sufficient to cover the whole population
or when 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 or it may be a very small-scale investigation, such as a
sample survey of farmers in a project area. Usually the selection is made at random, so that the sample is
known to be representative of the whole population.
In sample surveys it is useful to distinguish between the target population, for which the results are
required, and the survey population, which is the population actually covered. Target population is the
population, defined at the planning stage, for which the results are expected. Survey population is the
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population actually covered during the implementation. The difference could exist due to the exclusion of
some units from a survey because of non-coverage and non-response.
1.4 Advantages and Disadvantages of Sample Surveys Vs Census
1.4.1 Advantages of Sample Survey
The advantages of sample survey against complete coverage (census) have become obvious in recent
years and need be stated briefly.
Sample survey saves money. It is possible to collect information from sample households and obtain
estimates that reasonably approximate the actual characteristics of a large population. It is obviously
cheaper to gather information from 500 households than from 10,000 households. Therefore, the cost
of obtaining information through a sample would be a lot less than obtaining it through a census. It is
important to note that the cost per unit is higher in sample than in census.
Sample survey saves labor. A smaller staff is required both for fieldwork and for data processing. The
number of enumerators, supervisors, data editors, and data entry clerks required are very much less in
sample survey than in census.
Sample survey saves time. Sampling requires a smaller scale of operations and it reduces data
collection and processing time.
Sample survey provides higher level of accuracy. This accuracy can be achieved through more
selective recruiting of interviewers and supervisors, more extensive training programs, a closer
supervision of the personnel involved and a more efficient monitoring of the fieldwork.
Sample survey could be the only option for the study in some specialized areas. There are some
cases where information of technical nature requires highly trained personnel and specialized equipment
like in medical areas. Observation or experimentation could be destructive in nature like testing industrial
products, such as testing the average duration of burning of bulbs, and testing the quality of wine, beer,
etc. In this case sampling is the only feasible means of study.
Other practical advantages of sample survey may include assessment of census (tests of census
procedures, evaluation of census and for updating census results), quality control at field level and at data
processing level, advance tabulation.
1.4.2 Advantages of Census
Census can provide information for lowest administrative units. It is more efficient in providing
information on rare events, such as the total areas under some rare crops or the number of persons with
specified disability. In census better responses can be obtained and these results serve as a basis for
various surveys. In addition, there is no sampling error, and it is easier to reduce coverage error.
1.5 Probability and Non- probability Sampling
Sample surveys can be categorized into two very broad classes on the basis of how the sample is selected,
namely probability sampling and non-probability sampling.
Probability sampling: It involves the selection of units from a population, based on the principle of
randomization. It has the characteristic that every element in the population has a known, nonzero
probability of being included in the sample. The selection process is random and the laws of probability
can be applied. In probability sampling the reliability of the resulting population estimates can be
evaluated statistically. This gives the users of the survey estimates insight into how much value can be
placed on the estimates. There is also a theoretical basis for the process of inferring the sample results
back to the population.
There are various types of probability sampling techniques in which a sample design uses a combination
of one or more of these techniques. These include simple random sampling, stratified sampling,
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systematic sampling, cluster sampling and multi-stage sampling. They will be discussed further in
subsequent chapters of this course.
Whatever probability sampling method is used, the results of a sample survey are affected by sampling
errors and non-sampling errors. Sampling errors are the resulting discrepancies between the sample
estimates and the population values. In other words, the estimates obtained from sample survey differ
from the values that would have been obtained from complete census, conducted under the same general
conditions. Such errors are measured by the standard error. The magnitude of sampling errors will
naturally depend on the population under study, the size of the sample, the manner in which the sample is
drawn and the method of estimation.
Non-sampling errors comprise all other things that are not the result of sampling and contribute to survey
error. It would arise even if the whole population is studied. Non-sampling errors are often thought of as
being due entirely to mistakes and deficiencies during the development and execution of survey
procedures. Non-sampling errors are said to arise at every stage of survey, for example from wrongly
conceived definitions, imperfections in the tabulation plans, data processing, during data collection such
as failure to obtain responses from all sample members and so on.
Non-probability sampling: It is a method in which a sample is selected on a basis other than probability
considerations. They are generally less statistically accurate than probability sampling methods, but they
are cheaper and more convenient. Some survey situations call for non-probability samples, samples in
which the investigator does not know the probability of each proportion element being included in the
sample.
Although, non-probability sampling can be very useful, they do have some important limitations. First,
no real claim of representatives can be made without the use of probability in the selection of elements
for the sample. This question of representation greatly limits the ability to generalize findings beyond the
level of the sample cases.
Second, the degree of sampling error remains unknown and unknowable. The lack of probability in the
selection of units means that the techniques employed for estimating sampling error with probability
samples are not appropriate. This also means that the techniques for estimating sample size are also not
applicable to non- probability sampling. In this case it only suggested that sufficient samples be selected
to allow the types of data analysis that are planned.
Finally, non-probability sampling cannot use statistical tests of significance. The commonly used
statistical tests of significance, which are based on various laws of probability, indicate to the investigator
(researcher) whether relationships found in sample data are sufficiently strong to be generalized to the
whole population. Because non-probability sampling violates the basic assumption of these tests they
should not be used on data derived from non-probability sampling.
However, despite these drawbacks, non-probability sampling is used quite frequently in experimental
research, market research and public opinion surveys. They are used because probability sampling is
often a time-consuming and expensive procedure and in fact, may not feasible in many situations. A brief
discussion of the most widely used types of non-probability sampling is indicated below.
Haphazard sampling deals with items that come to hand or readily available to the researcher, such as
interviewing man-in-street, investigation of Archeology, History, Chemistry, etc. In this technique little
conscious planning goes into the selection of the sample.
Despite the fact that its applications are limited, haphazard samples can provide useful results when the
population examined is homogeneous. For example, consider the problem of determining the
concentration of a chemical in a lake or the sugar level of the blood. On the assumption that the lake or
circulating blood is well mixed, any sample would give very similar information.
Sampling of volunteers: In some area, like psychological or medical experiments it would not be
practical to enlist people randomly selected from the population. In such cases, the sample will consist of
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people who have volunteered their services, knowing that the process will be lengthy or demanding, and
perhaps even unpleasant.
Judgment or Purposive Sampling: The investigators use their judgment and prior knowledge to select
units of study for the sample that would best serve the purposes of the survey, such an approach is often
used in exploratory studies such as pilot tests, pretests of survey questionnaires and focus groups. It is
also frequently used in experimental settings in which the subject of an experiment reflects the
investigator’s judgment about the population.
Quota Sampling: involves dividing a population into various categories and setting quotas on the
number of elements to be selected from each category. It is widely used in opinion and market research
surveys. Quotas are normally established for several variables such as geographical area, age, sex,
ethnicity, socioeconomic status, and education. In this method, interviewers do the actual selection of
units. For example, in opinion survey, with the pre-established quotas, interviewers begin interviewing
people until they have their quotas on each variable filled. Generally, with quota sampling, each
interviewer is given an assignment of interviews with instructions specifying how many of them are to be
with each category. In this way, the selection of the specific individuals within each of these categories
left in the hands of the interviewer.
It is highly likely that such method of selecting a sample can lead to estimates that are very biased. This
can be the case because as a matter of convenience, the interviewer might choose samples from only
upper socioeconomic groups, which may not be representative of the required community as a whole.