CHAPTER ONE

1. Introduction of sample survey Methods

1.1.The Purpose 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 investigating of the whole elements of the population is
not either possible or feasible. This could be due to resource constraints 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, 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.
1.2. Basic concepts of sampling
Essentially, sampling consists of obtaining information from only a part of a large group or population
so as to infer about the whole population. The object of sampling is thus to secure a sample which will
represent the population and reproduce the important characteristics of the population under study as
closely as possible.
The principal advantages of sampling as compared to complete enumeration of the population are
reduced cost, greater speed, greater scope and improved accuracy. Many who insist that the only accurate
way to survey a population is to make a complete enumeration, overlook the fact that there are many
sources of errors in a complete enumeration and that a hundred per cent enumeration can be highly
erroneous as well as nearly impossible to achieve. In fact, a sample can yield more accurate results
because the sources of errors connected with reliability and training of field workers, clarity of
instruction, mistakes in measurement and recording, badly kept measuring instruments, misidentification
of sampling units, biases of the enumerators and mistakes in the processing and analysis of the data can
be controlled more effectively. The smaller size of the sample makes the supervision more effective.
Moreover, it is important to note that the precision of the estimates obtained from certain types of samples
can be estimated from the sample itself. The net effect of a sample survey as compared to a complete
enumeration is often a more accurate answer achieved with fewer personnel and less work at a low cost
in a short time.

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 The most ‘convenient’ method of sampling is that in which the investigator selects a number of
sampling units which he considers ‘representative’ of the whole population.

1.3. Types of inquiry

What is inquiry? Inquiry refers to the work scientists do when they study the natural world, proposing
explanations that include evidence gathered from the world around them. The term also includes the
activities of students such as posing questions, planning investigations, reviewing what is already known
in light of experimental evidence the mirror what scientists do. Inquiry requires identifying assumptions,
use of alternative explanations.

Inquiry here implies possessing skills and attitude, which allows a person to ask questions about a new
resolutions and issues while gaining new information. The meaning of inquiry refers mainly to asking
question. However, it can also be defined as a responsible research and innovation (RRI) process that
aims to obtain scientific knowledge, resolving doubt, or solving problems. More specifically, inquiry is
an approach to learning that involves a process of exploring the natural or material world by asking
questions, making discoveries and testing. Inquiry, in the context of science and education, should mirror
as closely as possible the enterprise of doing real science.

There are various methods of data collection (inquiry). Some of them are as follows:

A. Physical observations and measurements: The surveyor contacts the respondent personally
through the meeting. He observes the sampling unit and records the data. The surveyor can
always use his prior experience to collect the data in a better way. For example, a young man
telling his age as 60 years can easily be observed and corrected by the surveyor.
B. Personal interview: The surveyor is supplied with a well prepared questionnaire. The surveyor
goes to the respondents and asks the same questions mentioned in the questionnaire. The data
in the questionnaire is then filled up accordingly based on the responses from the respondents.
C. Mail enquiry: The well prepared questionnaire is sent to the respondents through postal mail,
e-mail, etc. The respondents are requested to fill up the questionnaires and send it back. In case
of postal mail, many times the questionnaires are accompanied by a self-addressed envelope
with postage stamps to avoid any non-response due to the cost of postage.
D. Web based enquiry: The survey is conducted online through internet based web pages. There
are various websites which provide such facility. The questionnaires are to be in their formats
and the link is sent to the respondents through email. By clicking on the link, the respondent is

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 brought to the concerned website and the answers are to be given online. These answers are
recorded and responses as well as their statistics are sent to the surveyor. The respondents
should have internet connection to support the data collection with this procedure.
E. Registration: The respondent is required to register the data at some designated place. For
example, the number of births and deaths along with the details provided by the family
members are recorded at city municipal offices which are provided by the family members.
F. Transcription from records: The sample of data is collected from the already recorded
information. For example, the details of the number of persons in different families or number
of births/deaths in a city can be obtained from the city municipal office directly.
1.4. Basic Concepts and Definition of Statistical Terms

Population: is a complete observations or measurements of individuals or objects understudy (or

the totality of all objects that possessing certain common characteristics that are being studied in
specific time).

In 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:

 Total number of school age population in a specified rural part of the country in 2011;
 Total number of women in the reproductive age category in Tulu Awliya Town in 2011;
 All students of Mekdela Amba University;
 The total number of farmers receiving fertilizer on credit in a given area in 2010, etc.

Moreover, dealing with population requires that one should note the nature of 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. Usually in practice, we are concerned with a finite
population.
Sample: A sample consists of elements selected with statistical methods from a defined population
for the purpose of investigation and with the aim of estimating the characteristics of population.

Sampling: It 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 the process of selecting a subset of observations from an

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entire population of interest so that characteristics from the subset (sample) can be used to draw
conclusion or making inference about the entire population.

Elementary unit: An elementary unit (unit of analysis) is an element or group of elements of the
population on which one can apply measurements to get the required statistical information. Thus
persons, vehicles, household, farms, animals, students, plants, etc., are examples of elementary
units. In short, it is the object that we observe or measure to extract the required information.

Sampling unit: Sometimes one cannot have access directly to elementary units. Naturally or by
human arrangements there are intermediary units to be used for such access and for the purpose of
sample selection. Such units are called sampling units. Sampling units are non-overlapping
collections of elements from the population that cover the entire population. That is, it is the
ultimate unit to be sampled or elements of the population to be sampled. Examples:

 If somebody studies Scio-economic status of the households, household is the sampling

unit.
 If one studies performance of freshman students in some college, the student is the
sampling unit.

Sampling Frame: is the list of all possible units of the population that the sample can be drawn
from it. Examples:

 List of households;
 List of students in the registrar office, etc.

Parameter: Parameter is a statistical measure of a population, or summary value calculated from

a population.
Statistic: Statistic is a descriptive measure of a sample, or it is a summary value calculated from
a sample.
Sample size: The number of elements or observation to be included in the sample.
Representative sample: When the entire salient features of the population are present in the sample,
then it is called a representative sample, it goes without saying that every sample is considered as a
representative sample.
 Ways to ensure representativeness:

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 There are two possible ways to ensure that the selected sample is representative.
a. Random sampling or probability sampling:
The selection of units in the sample from a population is governed by the laws of chance or probability.
The probability of selection of a unit can be equal as well as unequal.
b. Non-random sample or purposive sampling:
The selection of units in the sample from population is not governed by the probability laws.
For example, the units are selected on the basis of personal judgment of the surveyor. The persons
volunteering to take some medical test or to drink a new type of coffee also constitute the sample on
non-random laws.
1.5.Types of data Collection
Sampling theory provides the tools and techniques for data collection keeping in mind the objectives to
be fulfilled and nature of population. There are two ways of obtaining the information

1. Complete enumeration or census

2. Sample surveys
1. Census
A census is an investigation method that covers every individual unit or element in the population
being studied. It provides essential information at national, regional and other lower administrative
level for central government, local government, business and wider community.

According to UN definition, population and housing 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 interval so that comparable information is made available in a fixed sequence.

All censuses aim at exhaustive coverage of all the units of the population of interest, which are
extremely expensive and require massive operations. These situations, therefore, necessitate
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conducting census at regular intervals once in five or ten years depending on the economic
development or capability of a country to undertake the census. Though the objective of census
is to enumerate all units in a defined space I reality its full coverage may not be achieved. This
could happen because of some reasons. Some units or elements may be accidentally or
erroneously omitted from a census for various reasons, and certain group of units may be
deliberately excluded from the scope of the census. As long as the magnitude of omissions
exclusions is not very large, it is still considered to be a census not a survey.

2. Sample Survey
As mentioned above in some of the sections, sample surveys have a key source of statistical data.
A brief description of sample survey is of paramount importance at this point. It is a method of
collecting statistical data from sample elements to provide information or statistical data that are
relevant to all kinds of users at all levels of economic and social sectors. In other words, it is a
process that deals with sample size determination and selection of elements, and then involves an
investigation of a selected sample to provide quantitative and qualitative data that would enable
the researcher to estimate the characteristic of the population, and then provide users in the form
of statistical information.

While dealing with this process (sample design, data collection & estimation) we apply a well-
defined and developed statistical theory (sampling techniques), we concepts, methods or
procedures to make inferences about the entire population. To be more specific, we estimate the
characteristic of population using the information gathered through sample survey, then with the
help of sampling techniques we can make generalization from sample to the whole population to
make overall conclusion.

Another relevant point that must be taken into consideration in sample survey is to clearly
distinguish between the target population and survey population. Target population is the
population, defined at the planning stage, for which the results are expected and to which
researchers are interested to generalize the results of their study. Survey population is the
population actually covered during the practical implementation. The difference between the two
could exist due to the exclusion of some sampling units from a sample survey because of non-
sampling errors such as non-coverage and non-response.

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Advantages and Disadvantages of Census versus Sample Survey

A. Advantages of Census
Census can provide information for lowest administrative units since it deals with all coverage of
population 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.
Census results can be used as a basis for various sample surveys. Particularly, census enumeration
areas can be used as sampling frames whereas collected data in census can serve as auxiliary
information to prepare a better sampling design and to provide better estimation in sample surveys.
In addition, there is no problem of sampling error, and it is much easier to reduce coverage error.

B. Advantages of Sample Survey

The advantages of sample survey against census (complete coverage) have become notable among
researchers in recent years. These advantages are:
 Sample survey saves money: Since sample survey deals with a smaller group selected
from a population, it is much easier to collect information from these samples and obtain
estimates that reasonably approximate the actual characteristics of the entire population.
For example, when an interviewer is collecting information on health conditions, then
he/she can also ask some questions on health practices. This will provide additional
information on health practices and the cost involved will be much less than conducting an
entirely new survey on health practices.
 Sample survey saves labor: In sample survey a smaller staff is relatively required both
for fieldwork and for data processing compared to a census.
 Sample survey saves time: Sample survey requires a smaller scale of operations compared
to massive operations of census in terms of preparation, implementation, processing and
analysis. For example, in order to draw a representative sample from a state, it is easier to
manage to draw small samples from every city than drawing the sample from the whole
state at a time.
 Sample survey provides higher level of accuracy: Sample survey produces statistical
data of better accuracy because one can be selective in recruiting of interviewers and
supervisors, provide more extensive training programs, implement a better and closer

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 supervision of the personnel involved and use a more efficient way of monitoring the field
work.
 Census may not be feasible for investigation: There are some cases where information
of technical nature requires highly trained personal and specialized equipment such as in
medical areas. Even in some other cases census may not be feasible because of the nature
of the population. For example observation or experimentation could be destructive in
testing industrial products, such as testing the average life length of bulbs, and testing the
quality of wine, beer, etc.
1.6. Sampling and non-sampling errors
The error of a particular survey estimate is the difference between that estimate and the true value
of the quantity being estimated. The two types of errors are:
i) Sampling error refers to differences between the sample and the population that exist only
because of the observations that happened to be selected for the sample. That is, the
discrepancy between the population value and sample value.
ii) Non-sampling errors include all other errors affecting a survey. Non-sampling errors can be
generally defined as any source of bias or error in the estimation of a population
characteristic in which the uncertainty about the resulting estimate is not due to the fact that
we’re sampling. Most likely caused be poor planning, sloppy work, etc. Remember that
non-sampling error, as its name suggests, has nothing to do with our sampling process.
Various sources of non-sampling error are error due to measurement, error due to non-
response, error in recording, etc.
1.7. Type of surveys
There are various types of surveys which are conducted on the basis of the objectives to be fulfilled.
1. Demographic surveys: These surveys are conducted to collect the demographic data, e.g.,
household surveys, family size, number of males in families, etc. Such surveys are useful in
the policy formulation for any city, state or country for the welfare of the people.
2. Educational surveys: These surveys are conducted to collect the educational data, e.g., how
many children go to school, how many persons are graduated, etc. Such surveys are conducted
to examine the educational programs in schools and colleges. Generally, schools are selected
first and then the students from each school constitute the sample.

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 3. Economic surveys: These surveys are conducted to collect the economic data, e.g., data
related to export and import of goods, industrial production, consumer expenditure etc. Such
data is helpful in constructing the indices indicating the growth in a particular sector of
economy or even the overall economic growth of the country.
4. Employment surveys: These surveys are conducted to collect the employment related data,
e.g., employment rate, labor conditions, wages, etc. in a city, state or country. Such data helps
in constructing various indices to know the employment conditions among the people.
5. Health and nutrition surveys: These surveys are conducted to collect the data related to
health and nutrition issues, e.g., number of visits to doctors, food given to children,
nutritional value etc. Such surveys are conducted in cities, states as well as countries by the
national and international organizations like UNICEF, WHO etc.
6. Agricultural surveys: These surveys are conducted to collect the agriculture related data to
estimate, e.g., the acreage and production of crops, livestock numbers, use of fertilizers, use
of pesticides and other related topics. The government bases its planning related to the food
issues for the people based on such surveys.
7. Marketing surveys: These surveys are conducted to collect the data related to marketing.
They are conducted by major companies, manufacturers or those who provide services to
consumer etc. Such data is used for knowing the satisfaction and opinion of consumers as
well as in developing the sales, purchase and promotional activities etc.
8. Election surveys: These surveys are conducted to study the outcome of an election or a poll.
For example, such polls are conducted in democratic countries to have the opinions of people
about any candidate who is contesting the election.
9. Public polls and surveys: These surveys are conducted to collect the public opinion on any
particular issue. Such surveys are generally conducted by the news media and the agencies
which conduct polls and surveys on the current topics of interest to public.
10. Campus surveys: These surveys are conducted on the students of any educational
institution to study about the educational programs, living facilities, dining facilities, sports
activities, etc.
1.8. Principal steps in a sample survey:
The broad steps to conduct any sample surveys are as follows:
1. Objective of the survey: The objective of the survey has to be clearly defined and well
understood by the person planning to conduct it. It is expected from the statistician to be well

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 versed with the issues to be addressed in consultation with the person who wants to get the
survey conducted. In complex surveys, sometimes the objective is forgotten and data is
collected on those issues which are far away from the objectives.
2. Population to be sampled: Based on the objectives of the survey, decide the population from
which the information can be obtained. For example, population of farmers is to be sampled
for an agricultural survey whereas the population of patients has to be sampled for determining
the medical facilities in a hospital.
3. Data to be collected: It is important to decide that which data is relevant for fulfilling the
objectives of the survey and to note that no essential data is omitted. Sometimes, too many
questions are asked and some of their outcomes are never utilized. This lowers the quality of
the responses and in turn results in lower efficiency in the statistical inferences.
4. Degree of precision required: The results of any sample survey are always subjected to some
uncertainty. Such uncertainty can be reduced by taking larger samples or using superior
instruments. This involves more cost and more time. So it is very important to decide about the
required degree of precision in the data. This needs to be conveyed to the surveyor also.
5. Method of measurement: The choice of measuring instrument and the method to measure the
data from the population needs to be specified clearly. For example, the data has to be collected
through interview, questionnaire, personal visit, combination of any of these approaches, etc.
The forms in which the data is to be recorded so that the data can be transferred to mechanical
equipment for easily creating the data summary etc. is also needed to be prepared accordingly.
6. The frame: The sampling frame has to be clearly specified. The population is divided into
sampling units such that the units cover the whole population and every sampling unit is tagged
with identification. The list of all sampling units is called the frame. The frame must cover the
whole population and the units must not overlap each other in the sense that every element in
the population must belong to one and only one unit. For example, the sampling unit can be an
individual member in the family or the whole family.
7. Selection of sample: The size of the sample needs to be specified for the given sampling plan.
This helps in determining and comparing the relative cost and time of different sampling plans.
The method and plan adopted for drawing a representative sample should also be detailed.
8. Pre-test: It is advised to try the questionnaire and field methods on a small scale. This may
reveal some troubles and problems beforehand which the surveyor may face in the field in large
scale surveys.

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 9. Organization of the field work: How to conduct the survey, how to handle business
administrative issues, providing proper training to surveyors, procedures, plans for handling
the non-response and missing observations etc. are some of the issues which need to be
addressed for organizing the survey work in the fields. The procedure for early checking of the
quality of return should be prescribed. It should be clarified how to handle the situation when
the respondent is not available.
10. Summary and analysis of data: It is to be noted that based on the objectives of the data, the
suitable statistical tool is decided which can answer the relevant questions. In order to use the
statistical tool, a valid data set is required and this dictates the choice of responses to be
obtained for the questions in the questionnaire, e.g., the data has to be qualitative, quantitative,
nominal, ordinal etc. After getting the completed questionnaire back, it needs to be edited to
amend the recording errors and delete the erroneous data. The tabulating procedures, methods
of estimation and tolerable amount of error in the estimation need to be decided before the start
of survey. Different methods of estimation may be available to get the answer of the same
query from the same data set. So the data needs to be collected which is compatible with the
chosen estimation procedure.
11. Information gained for future surveys: The completed surveys work as guide for improved
sample surveys in future. Beside this they also supply various types of prior information
required to use various statistical tools, e.g., mean, variance, nature of variability, cost involved
etc. Any completed sample survey acts as a potential guide for the surveys to be conducted in
the future. It is generally seen that the things always do not go in the same way in any complex
survey as planned earlier. Such precautions and alerts help in avoiding the mistakes in the
execution of future surveys.

1.9. Types of 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.
1. Probability Sampling
Probability sampling 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

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probability of being included in the sample. The selection process is random and the laws of
probability can be applied.
There are various types of probability sampling techniques from which one chooses a sampling
technique or a combination of more than one sampling techniques. These techniques include
simple random sampling, stratified random sampling, systematic random sampling, cluster
sampling and multi-stage sampling. Each of these will be discussed further in subsequent chapters.
2. Non-probability Sampling
Non-probability sampling is a method in which a sample is selected on a basis other than
probability considerations or non-statistical selection procedure. It is believed that the results
obtained using this method is generally less statistically accurate than probability sampling
methods, but they cheaper and more convenient. This method is used since some survey situations
call for non-probability 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 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 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 test of significance, which are based on various laws of probability, indicate to the
investigator whether relationships found in sample data are sufficiently strong to be generalized to
the whole population. Since 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. The most widely used
types of non-probability sampling are quota sampling, judgment sampling, convenience sampling.

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Convenient Sampling: It is also called as accidental sampling or opportunity sampling. The
researcher includes those participants who are easy or convenient to approach. The technique is
useful where target population is defined in terms of very broad category.
s, men and women, rich and poor etc.
 Any member of the target population who is available at the moment is approached.
 He or she is asked for participation in the research.
 If the person shows consent, the investigation is done.
Crucial Issues/ Draw Backs:
 It is subjected to sampling biases and systematic errors.
 The categories of target population are broader enough to be divisible into infinite
number of categories within themselves which are contrastingly different from one
another and cannot at any cost be representative of each other.
Advantage:
 It consumes fewer efforts.
 It is inexpensive.
 It is less time consuming as the sample is quick and easy to approach.
Example:
 A student enrolled in school ABC wants to investigate how men and women are different
in expression of love.
 For his convenience, he selects the sample from the same school.
 The problem with this sampling is how these students can be representative of all men
and women.
Purposive (judgmental) Sampling: It is not a mutually exclusive category of the sampling
technique rather many other non-probability techniques are purposive in nature. In purposive
sampling the sample is approached having a prior purpose in mind. The criteria of the elements
that are to include in the study is predefined. So we do not include everyone who is available to
us rather those available are included who meet the defined criteria.
Example:
 The purpose of a research is to investigate which type of clothing middle age women
prefer.

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  The investigator visits a cloth market.
 There are many women in the place but the investigator goes to only those women who
appear of middle age group and ask them to participate in his research.
 It is because the researcher had a purpose of doing such a selection.
 He had set the criteria for his elements i.e. they should be women, and should be of
middle age.
4) Quota Sampling: This type of sampling method is used when population is heterogeneous i.e.
every element of population does not matches all the characteristics of the predefined criteria.
Instead the elements differ from one another on a characteristic. So the sub groups are formed
that are homogenous i.e. all the elements within a group contains same kind of characteristics
(keep in mind, those characteristics are to be taken into account that defines the target
population).
The topic and nature of the investigation tells on what criterion quota is to be set. Common
criterions used for quota are gender, age, ethnicity, socioeconomic etc. However, the criterion
vary greatly investigation to investigation. The participants are selected non-randomly from each
sub group on the basis of some fixed quota.
First of all there is a need to identify the variable which makes the target population
heterogeneous. On the basis of the identified variable sub groups are made. A quota is set for
each sub group. Then the sample is approached on the basis of set quota
Advantage:
 It ensures the presence of every sub group of the population in the sample.
 There is not the requirement of any lists of the elements of population.
 It is less time consuming and low in cost than stratified random sampling.
Crucial Issues/Draw Backs:
 Like all other non-probability techniques, the sample is not representative and thus
encounters the problem of generalizability.
Example:
 The purpose of a research is to investigate if students of natural Sciences are different
from students of Social Sciences in aesthetic sense.
 The researcher selects 3 universities where both type of subjects are taught. (a purposive
selection it is)
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  There are two target populations: students belonging to natural sciences, and students
belonging to social sciences.
 Both the populations are heterogeneous.
 Natural science is divided into Biology, Chemistry, Physics, Mathematics and many
more; similarly, social science is divided into Sociology, Philosophy, Psychology,
Education and many more.
 It is important for the research to include representation from every sub group.
 So the researcher sets a quota for each of the fields of natural sciences and social sciences
taught in the selected universities.

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