Social Survey Methods: A field guide for development workers

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SOCIAL SURVEYMETHODSA Fieldguide for Development Workers

Development Guidelines, No. 6(Series Editor: Brian Pratt)

Paul Nichols


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First published by Oxfam GB in 1991Reprinted in 1995, 1998 and 2000 Oxfam GB 2000

ISBN 0 85598 126 1A catalogue record for this publication is available from the British Library.All rights reserved. Reproduction, copy, transmission, or translation of any part of thispublication may be made only under the following conditions: With the prior written permission of the publisher; or With a licence from the Copyright Licensing Agency Ltd., 90 Tottenham Court Road,

London W1P 9HE, UK, or from another national licensing agency; or For quotation in a review of the work; or Under the terms set out below.This publication is copyright, but may be reproduced by any method without fee for teachingpurposes, but not for resale. Formal permission is required for all such uses, but normally will begranted immediately. For copying in any other circumstances, or for re-use in other publications,or for translation or adaptation, prior written permission must be obtained from the publisher, anda fee may be payable.Available from the following agents:USA: Stylus Publishing LL C, P O Box 605, Herndon, VA 20172-0605, USAtel: +1 (0)703 661 1581; fax: + 1(0)703 661 1547; email: styluspub@ aol.com; websitewww.styluspub.comCanada: Fernwood Books Ltd, PO Box 9409, Stn. 'A ', Halifax, N.S. B3K 5S 3, Canadatel: +1 (0)902 422 3302; fax: +1 (0)902 422 3179 ; e-mail: fernwood istar.caIndia: Maya Publishers Pvt Ltd, 113-B, Shapur Jat, New Delhi-110049, Indiatel: +91 (0)11 649 4850; fax: +91 (0)11 649 1039; email: [email protected] Krishnamurthy, 23 Thanikachalan Road, Madras 600017, Indiatel: +91 (0)44 434 4519; fax: +91 (0)44 434 2009; email: [email protected] Africa, Zimbabwe, Botswana, Lesotho, Namibia, Swaziland: David Philip Publishers,PO Box 23408 , Claremont 7 735, South Africatel: +27 (0)21 64 4136; fax: +27(0)21 64 3358; email: [email protected]: Mkuki na Nyota Publishers, PO Box 4246, Dar es Salaam, Tanzaniatel/fax: +255 (0)51 180479, email: [email protected]: Bush Books, PO Box 1958, Gosford, NSW 2250, Australiatel: +61 (0)2 043 233 274; fax: +61 (0)2 092 122 468, email: [email protected] of the world: contact Oxfam Publishing, 274 Banbury Road, Oxford OX2 7DZ, UK.tel.+4 4(0)1 865 311 31 1; fax +44 (0) 1865 313 925; email [email protected]; websitewww.oxfam.org.uk/publications.htmlPublished by Oxfam GB, 274 Banbury Road, Oxford OX2 7DZ, UKDesigned by Oxfam Design Studio JM637 Dec 90Typeset in GaramondPrinted by Litho ImpressionsOxfam GB is a registered charity, no. 202918, and is a member of Oxfam International.

This book converted to digital file in 2010


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CONTENTSForeword by Brian PrattAcknowledgementsIntroduction1 Surveys and other social research methodsIt Study design3 The fieldwork team4 Form design5 Choosing the sampleO Techniques for data analysis7 Data analysisO Presenting the findingsBibliographyGlossary

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FOREWORD

The increased sophistication of non-governmental organisation (NGO)relief and development programmes has led to a demand for improvedinformation about the people with whom NGOs work; their needs,relationships and problems. The scale of NGO activity means that it is nolonger possible to rely on the perceptions and knowledge of a singleindividual to inform the choice of action and project design.To meet the requests for guidance from fieldworkers wishing to carryout various types of data collection and analysis which will provide themwith accurate and relevant information, Oxfam is producing twocomplementary books. The present volume is the first of these; it is apractical guide to social survey methodologies designed to helpfieldworkers decide when and how to conduct a survey. The secondvolume (Data collection for Fieldworkers by Brian Pratt) is a moregeneral guide to all aspects of data collection, including for whom andwhy information is required, and the data needed for project design,appraisal, monitoring and evaluation. It introduces the range ofapproaches open to development workers, indicating when and wherethe different methods of information gathering might be appropriate.As Paul Nichols, the author of this book, indicates, developmentworkers must be wary of too precipitously embarking on a social survey.Surveys can be expensive and time consuming and still not provideadequate answers to the questions being posed. It is important to have aclear idea of exactly what information is required and why, and howaccurate it needs to be, before deciding to carry out a social survey. Asthe book points out, there are less expensive and faster ways of gettinginformation.This manual is a technical guide to a set of technical approaches andonly indirectly touches on wider questions about the use of information,gender bias, alternative community-based approaches to needsassessment and so forth. These important issues are covered in other


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publications in the Development Guidelines series and fully discussed inthe companion volume, Data C ollection for Fieldworkers.If social surveys are carried out well they should assist us inunderstanding gender relations better. Unfortunately, in an imperfectworld, gender blindness and biases often enter social surveys and,indeed, other development work. Throughout this book we have tried tohighlight where such biases can most likely affect or even negate thesurvey findings. It is essential to be ever vigilant in order to ensure thatexisting biases and prejudices are not reinforced and maintained. One ofthe aims of social surveys must be to question prejudice and seek toestablish quantifiable social facts.Paul Nichols first wrote this book for use in Southern Sudan, so it hasbeen extensively 'field tested' in Sudan, and also in Kenya andZimbabwe. We are confident, in the light of this, that it will proveextremely helpful for fieldworkers elsewhere. Dr Alan Stanton assistedPaul Nichols by adding some new material and updating and reorderingthe text in order to make it more useful to a wider readership.Brian PrattOxfam, OxfordSeptember 1990.


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ACKNOWLEDGEMENTSSpecial thanks to: The Public Works and Municipal Congress andExhibition Council, The Richard Newitt Fund, Voluntary ServiceOverseas, and The University of Southampton (Department of SocialStatistics), who funded and supported the production of the originalmanual on which this book is based.

Thanks, also, to the many individuals and organisations who gave timeto discuss their own research methods or to comment on the draft,especially: The Low Income Housing Unit, South Sudan; The CommunityDevelopment Support Unit, South Sudan; The Division of Statistics, SouthSudan; The Schools Nutrition Unit, South Sudan; The Equatoria RegionAgricultural Project, South Sudan; The UNICEF/ILO team in South Sudan(Project No. SUD/79/P06); UNICEF in South Sudan; Mazingira Institute,Nairobi; The Kenya Central Statistical Office; Housing Research andDevelopment Unit, University of Nairobi; Institute of DevelopmentStudies, University of Nairobi; Martin Bulmer at the London School ofEconomics; and Philip Cooper at the University of Southampton. Anyerrors in the manual are, of course, my own.

The fieldwork and research on which this manual is based were madepossible through the personal help of Philip Cooper, Graham Boyd,Joanne Coffey, David Reid, and the VSO field staff in Juba.Thanks to Dr Alan Stanton for his detailed and painstaking work inchecking, adding to and editing this revised version of the text. I wouldalso like to thank Randy Wilson for advice on microcomputers andVanessa Tilstone for her help in the final stages of the production of thebook.

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INTRODUCTIONThis manual is intended as a guide to social survey and other researchmethods for development workers. I t outlines simple, low-costtechniques for collecting social and economic information in projectareas.The manual is aimed at readers with no specialist knowledge of socialresearch methods or statistics. In particular it is designed to help the ruralworker, in more remote areas, on a low budget with little technical back-up.The plan of the book goes through the practical steps you need totake in carrying out a research project, from initial planning to finalpresentation of the results.

In Chapter One, Surveys and other social research methods, weintroduce the best known available methods, pointing out the advantagesand disadvantages of each. Chapter Two, Study design, deals with thepractical side of designing a research study, including drawing up aprogramme and timetable, developing a research outline, and budgetingto get the best results with the resources available. In Chapter Three thefocus is on the fieldwork team, including recruitment, training andsupervision of fieldworkers. Chapter Four, on form design, looks in detailat how to collect and record information during fieldwork and thevarious form designs suitable for interview surveys and observationalstudies. Chapter Five, Choosing the sample, will help you to decideexactly who, or what, to include in the study. It explains the variousrandom and non-random methods for sampling, and how you canchoose a sample which accurately represents the area of study in whichyou are interested. In Chapter Six, Techniques for data analysis, weintroduce the simple and straightforward mathematical tools you willneed to use to analyse your survey data. It is not assumed that you willalways have a computer available though if you have, so much thebetter. Chapter Seven goes through the steps involved in processing and


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analysing the information collected during fieldwork. This involves usingthe statistical tools outlined in Chapter Six. The final chapter, ChapterEight, Presenting the findings, deals with communicating the results ofyour research. As well as preparing reports, it covers a wide range ofmethods for communicating with different audiences officials,technical staff, community groups and politicians. The book ends with aglossary of unfamiliar or technical terms and there is an extensivebibliography.

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1 SURVEYS AND OTHER SOCIALRESEARCH METHODS'You people do so many surveys, but when do we ever see any action?'It is a question which development workers expect to hear, as well asone they ask of themselves. And it is a vital question at the beginning ofa handbook centring on this research tool the best known method ofsocial research.

In this book we will be looking mainly at structured interview surveyswhich use specially designed forms to collect a standard set ofinformation from a community or area. As project planners, we oftenneed a systematic way of gathering factual data on, for example, age, sexor household size in a given population. We also want to know, again ina systematic and rigorous way, how people live. This can include vitalquestions on such things as income distribution or water use. Othermajor issues will be people's beliefs, opinions, and attitudes.In many cases a survey can be an essential tool. But sometimes itw on' t be app rop riate which is w here we come back to ourquestioner's doubts at the beginning. In fact, survey experts themselvesare the first to warn against any rush to design a questionnaire, or seeingthe resulting tables of numbers as the automatic solution to any andevery problem. Even when a survey is useful, it is often best usedtogether with other complementary research tools.Research methods for comm unity needsDevelopment work depends on an effective partnership between projectplanners and the local community. Planners cannot rely solely onstandard technical solutions, and projects work best when they are intune with real community needs. Further details of community-basedapproaches to research can be found in Pratt (forthcoming) andFeuerstein (1986).

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It follows that, in addition to the more straightforward data, we needsocial research to help in shaping projects to fit the community's ownview of its needs. As part of project design, planners should try to see aproblem from the participants' viewpoints. We must also find out aboutcommunity resources. What are the strengths of local people? Forexample, what skills and abilities are under-used? How far could peoplecontribute cash, labour, or supervision and management skills towardsself-help solutions?

As well as collecting such descriptive data, we need evaluative tools.We need to look at existing methods and practices, perhaps to developand improve on them. And once a particular project is under way, wemay need to collect information to monitor the programme and reviewits effectiveness. Is it meeting its targets? Is it satisfying its 'customers'?Social research can tackle such questions in a number of ways. Thischapter gives an overview of the main research methods for thedevelopment worker to consider, either alongside a social survey or asalternatives to it.We will begin with what are usually called informal social researchmethods: participant observation; case studies; the use of key informants;group discussions; and individual in-depth interviews. Then we willmention some more formal methods. As well as surveys, these includestudies based on observation of behaviour, and controlled experiments.Participant observationParticipant observation is a highly effective method of in-depth study in asmall community. It usually involves living in the community under studyfor a period of weeks or months. The researcher participates as fully aspossible in community life, keeping detailed notes of what they hear, seeand feel about the subjects under study. This approach combinesobservation, discussion and informal interview. Its effectiveness dependsboth on gaining acceptance in the community and on careful recording.For example, when studying a housing project in the Sudan, by living inthe area a community development worker gained a good understandingof issues such as residents' problems in organising self-help developmentof their plots; their ability to repay loans; and their difficulties with smallbuilding contractors.

A participant observer taps a continuous flow of information. This mayprove more valuable to project management than information from awhole series of structured interview surveys, which are more like'snapshots' and may only show the surface reality.

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Case studiesA case study looks in depth at a 'typical case'. In a study of waterproblems, for example, you might look at just one village. A detailedunderstanding of infant health care may come from research with a fewfamilies. Though a case-study won't give generalised statistical data, itcan provide valuable insights. A skilled researcher, who encouragespeople to talk, can reveal a rich and lively picture.Key informantsIt is often possible to collect valuable information from a few membersof the community who are particularly knowledgeable about certainmatters. Examples include community leaders, health workers, schoolteachers and extension officers. Key informants are most reliable onfactual matters, such as the services and facilities available to thecommunity. Their opinions and evaluations are also helpful, but for awider view you need to follow up with a survey or other researchproject.Individual in-depth interviewsIndividual in-depth interviews differ from those with key informants inthat their scope is usually far wider and they are more open-ended. In anunstructured interview, the person interviewed is free to voice their ownconcerns, and to share in directing the flow of the conversation. Theinterviewer relies on open questions to introduce topics of interest. Theaim is, literally, an 'inter-view': a mutual exploration of the issues,without the researcher imposing his or her ideas. In a semi-structuredinterview, the researcher has a prepared list of topics though still nota set list of questions. Interviewers deal with the topics in any order, andphrase questions as they think best in the circumstances.

In-depth interviews are a valuable tool in themselves. They are also anessential exploratory stage in designing a large, structured interviewsurvey. The researcher discovers not only the themes and topics whichinterviewees see as important, but how they think about and describethem. Building carefully on this preliminary work results in clearer andsharper research questions. For example, in an exploratory health surveyyou might ask: 'What are the different kinds of illnesses that babies andchildren under five experience in this village?' The interviewer writesdown any illnesses that are mentioned, then asks: 'Are there any others?'In this way it is possible not only to find out which are the mostcommon illnesses, but also to build up a picture of how illnesses are

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described in the community and which medical terms are understood.Individual unstructured or semi-structured interviews are especiallysuitable for work on attitudes or opinions and for dealing with sensitivetopics. Aim for a small sample of about thirty people in exploratoryinterview surveys. But choose your sample carefully. It is important toinclude a wide range of community opinion.Group discussionsIn group discussions (sometimes called 'focused groups') the interviewerguides a conversation among a small group of six to ten members of thecommunity of interest. These are 'semi-structured', since the interviewer'sskills are used to introduce a list of topics, to encourage wide discussionand to learn about the concerns and opinions of community members.What fresh topics will they raise? And what are their priorities?

You should hold several group discussions to make sure of including awide range of community opinion. It is usually advisable to arrange formembers of a group to be of the same sex and to ensure that they sharea similar background. The aim is to have them feeling at ease with oneanother and free to state their views openly. Such discussions are usefulin themselves and, like individual interviews, valuable when planningmore formal research.We will now look at formal social research methods.Controlled observation and experimentsSometimes the best way of finding out something is simply to go andlook. You can use structured forms for systematic recording ofobservable data. Examples might be latrine types, borehole conditions,or building materials. Controlled observation can be part of a larger studyand can also lend itself to carefully designed experiments. Suppose youwant to compare the reliability of two new types of hand-pump. Are theobserved differences due to real differences between the pumps? Or toother factors such as frequency of use? You can design an experimentwhere both pumps are tested in the same community, over boreholes ofsimilar depth, each having the same system of supervision andmaintenance. Repeating the experiment in more than one communityincreases the reliability of your results. In a similar way, you couldcompare different crop varieties, loan schemes or health care projects,studying their effectiveness over a period of time.

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Such experiments are often expensive and time-consuming. Forplanning at the local level, you may have to rely on a less systematiccomparison of informed opinion. However, for large-scale decisionsaffecting major programmes, the time and effort invested in a carefullydesigned experiment involving observation and recording of data may berepaid many times over.Social surveysAs we have said, social surveys use specially designed interview forms.In a large structured survey, the range of possible answers to eachquestion is known in advance and often listed on the form, so that theinterviewer simply marks the appropriate reply. If the range of answers isnot known, the study designer conducts a pre-test or pilot survey to testthe questions and see what answers are given. When the community ofinterest is small (say, less than 200 households) you may perform acomplete (100 per cent) survey. In larger communities and in urbanareas you will have to choose a sample of households for interview. Alltypes of people in the community must be properly represented.

In order to design a good structured interview survey, you need a fullknowledge of the problem you are studying. This in itself limits their use.When you are working in a new area, or planning a new kind ofdevelopment project, you will often need methods which are moresuitable for exploratory study.Choosing a research strategyThe choice of a research strategy depends on the purpose of theresearch, looking broadly at the kind of questions to be explored. Theaim is to move from some general ideas on information requirements toa set of detailed objectives and specific questions to which answers areurgently needed.There are no strict rules for the choice of methods. Generally, youneed to strike a balance between the money and time available, and thedepth and breadth of the information needed. Formal methods work bestwhen you want more precise, statistical answers to carefully definedquestions on topics which are thoroughly understood; they are powerfultools for collecting a broad range of standard information on a largepopulation. Statistical methods give precise estimates and you can assesstheir reliability. This gives support to your findings and interpretation.

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Informal methods are often chosen when time and money are short.They give a rapid 'feel' for a problem. But they are also essential inexploring community attitudes and priorities and when dealing withsensitive topics in depth. They can give a rich understanding ofcommunity life, and help to set up a dialogue between planners and thecommunity.

This means that, even when a development project has clearinformation needs, a mixture of research methods should be used wherepossible to allow cross-checking of information collected in differentways. A structured, formal research programme will be most effectivewhen it builds on the insights and understanding gained from previousinformal work. Participant observation or in-depth individual interviewsare powerful tools for learning from local people, and also for enablingthem to be actively involved in shaping the research questions.

For these reasons, major research projects using large-scale structuredinterview surveys usually begin with a period of open-ended exploratorywork using the informal methods mentioned. Such methods may also beused in following up a survey, as ways of looking at difficult topics inmore detail.Sometimes it is useful to use structured methods to open a relationshipwhich you will develop later using informal methods. A participantobserver, on first arriving in a community, may begin with some small-scale structured interviewing work to collect basic facts. Once trust hasbeen established, the atmosphere is more suitable for informal work.Here is a brief example, illustrating the choice of methods orcombination of methods. Let's suppose we need information onemployment a central part of the simplest economic profile. And let'ssay that, in a rural area, we are looking at patterns of employment in afarming community. Some of the main factors are probably:

The use of labour (paid or unpaid) of different age groups,including women and children. How labour is organised, including hired labour and workgroups. Production at both village and household levels. Home consumption, trading and sale of produce.

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To get a general picture, we could organise periods of participant-observation and interviews with key-informants. This initial research isimportant, particularly in collecting meaningful data on informal work.For more detailed information we can design in-depth case-studies ofpart icular types of informal workers. More exact data may need acarefully-timed, single survey to interview farmers and other villageworkers. With extra resources and time, we can arrange regular, repeatedsurveys, probably with a panel in several villages (a panel is a smallsample for repeat visits). Alternatively, a well-resourced research projectcan organise observation surveys, recording the activities of all workerson a sample of farms over the study period. This method is accurate, buttime-consuming and expensive.When do we see any action?This book concentrates on research that does lead primarily to action.Such a general approach is often called 'Action Research'. This is not aseparate method, but a commitment to learning about and dealing withreal problems in a concrete situation. The aim is to feed back whatresearchers find out so that agency staff or local people can then makeimmediate changes and adjustments to their projects and plans.

In r ece n t yea r s , ru ra l de ve lo pm en t work er s have succes s fu ll ydeveloped a research method called Rapid Rural Appraisal (RRA). Again,this approach seeks answers to practical problems. However, as thename suggests, Rapid Rural Appraisal aims to do this quickly, flexiblyand cheaply. A multi-disciplinary team of experts will spend one or twoweeks learning from local people about the key problems of an area.The aim is to get sufficient knowledge, without too much unnecessarydetail, in order to identify priorities and offer general practical proposals.Rapid Rural Appraisal deliberately uses several different methods ofgathering information as a way of cross-checking and building up apicture of a local situation. It can include direct observation, semi-structured interviews, the use of key informants and group discussionsand workshops . Rapid Rura l Appra i sa l wi l l avoid formal surveyquestionnaires, large samples, and statistical analysis, because they aretime-consuming and costly. But it will make full use of existing writtenmaterial, including any previous surveys.

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SUMMARYChoose social research methods according to the information you need.Usually, this will involve using a mixture of methods. Consider informalmethods for looking at topics in depth, to explore community attitudesand priorities and to deal with sensitive topics. Use formal methodswhen you need precise statistical information on well-defined topics.Cross-check information collected in different ways. Try to keep an openmind, especially in the early stages of any research.One last point: always think carefully about your particular situationand research questions. Be cautious; even where a combination ofmethods have been used successfully before, it is a good idea to learn bydoing pre-tests yourself. Adapt and modify the methods used to fit yourown needs.

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2 STUDY DESIGNThis chapter takes us into the practical side of designing a researchstudy. The aim of good study design and management is to get the bestresults possible with the limited resources available. A realisticprogramme enables you to control and manage the study effectively andto produce the results when they are needed. We will assume that theprincipal research tool chosen is a social survey. But most of the issuescovered in this chapter apply to other kinds of research, too.Programme and timetableBefore finally selecting a research strategy, always work out a detailedstudy programme, with a timetable and budget. The best way to begin isto make a careful checklist of tasks to be completed. The list belowshows the likely sequence of tasks involved in running a social survey.(Don't worry if some of the terms listed here are unfamiliar. We willcome to them later in the book.) You can refer back to the checklist tosee how each topic fits into the programme.

PLANNING AND DESIGN Discussion and information review.Preparing a short paper listing research questions.Comparing alternative research strategies. Preparing a study programme and budget.

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Obtaining official permissions.Mapping or l i s t ing target populat ion (preparing the sampl ingframe).Drafting form(s). Drafting a tabula tion plan . Initial discuss ion and m odification of draft form.Field testing of draft form and working procedures (the pre-test).Preparing the final form.Typing and printing the form and training materials.Planning the staff training programme.

FIELDWORKAssembling the fieldwork team.Staff training. Com pleting the fieldwork.Supervision of fieldworkers.Checking and filing returned forms.

DATA ANALYSISStaff training.

Checking forms. Editing and coding work.Transferring data to summary data sheets or to computer.

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Preparing data tables. Calculating sum m ary statistics, prep arin g ch arts and gra ph s, othe rdata analysis. Studying tables and draw ing co nclusion s from the da ta.

PRESENTING FINDINGSPlanning the report.

Drafting the report. Discussing a nd finalising the repo rt.P r in t i ng and d i s t r i bu t i ng t he r epo r t and any summar i e s o rpamphlets .Organis ing seminars , workshops , and discuss ions wi th projectmanagers.Public and media presentations.

TASKSPlanning and DesignDiscussion and information reviewPreparing short paperComparing strategiesProgramming and budget ingSampling frameDrafting formDrafting tabulation plan

WEEK1

1m

WEEK2

WEEK3

J -hUsing your checklist, work out a timetable. One useful technique is tolay out the programme in the form of a table showing the sequence oftasks and allocating a time-span to each task (some will overlap).

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For a study proposal, you may want to include a summary programme,which can be shown something like this

WEEKS 1 2 3 4 5 6 7 8 9 10 11 12 13 14 151 I 1 1 I 1 1Planning and Design

HData Processing

Fieldwork Presenting FindingsInformation review and discussionIn Chapter One, we said that our research should try to provide answersto urgent questions. A vital preliminary task is to find out and reviewwhat is already known about the general research questions. This beginswith 'desk research' making full use of earlier written work. Avoidduplication; it is a waste of time, effort, and scarce resources. Perhapsthis seems obvious; unfortunately, only too frequently, just as a newresearch report is completed, a useful earlier report is discovered tuckedaway in a cupboard! So review all available, relevant information. Checkdepartmental files. Are there any technical references in books andjournals, or data from previous surveys on related topics? Are you intouch with other places with a similar problem?Discuss the problem area as widely as possible, both formally andinformally. Contact the relevant officials in government and non-governmental organisations (NGOs). Speak to elected communityrepresentatives, community groups and other key informants. As youcollect background material, file it carefully. Open files on each majorresearch topic to store extra notes, references and pieces of analysis asyou go along.

It is useful to set up a database indexing all sources of information. Adatabase is like a library card-indexing system; the user looks up thetopic or area of interest and obtains details of all data sources available.Databases are often computerised, but a card-index may suit yourpurposes just as well. A well-maintained database is a valuable resourceto both project planners and researchers. A system pf this type savesweeks of work, and helps to make the fullest possible use of existingdata. It is essential if agencies and units are to share and co-ordinateresources. This sort of sharing is a basic need, not a luxury.

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Preparing a research outlineYou are now in a position to write a short paper outlining the problemarea, discussing previous attempts to solve the problem and listing clearresearch quest ions which need to be answered. When you areidentifying research questions, concentrate on what is really importantfor project design purposes. Test research ideas by asking yourself:'Exactly how will this information help to improve project design?'

To develop a research strategy from the list of research questions youwill have to think carefully about the issues considered in Chapter One.What information do you need? What mix of formal and informalmethods will work best in finding it out?In Chapter One, we used the example of employment patterns.Suppose, now, you are studying income levels. You will not be in aposition to design a formal structured survey without understandingsome basic issues. Perhaps some informal work is needed to settle thefollowing questions:

How important is cash income to the well-being of the household?What are the main formal and informal sources of cash income? Do many households either support or receive support frommembers living elsewhere? If food or livestock production are important, how can they bemeasured?

Ask yourself how precise the information must be. Is a rough estimategood enough, or is it important to measure small changes? A furtherissue is whether you can answer the questions by observation, or if youwill need to conduct personal interviews. The most accurate way tomeasure farm yields, for example, is usually to measure field areas andthen take crop cut samples from several fields. Interviewing the farmer isboth quicker and cheaper, but will the estimates be reliable enough foryour purposes? There are also questions of timescale. Will a single, one-off 'snapshot' answer the question, or is repeated data collection needed(such as a 'before and after' study)? If you are interested in changestaking place over a period of time, you will need to decide betweencarrying out repeated social surveys and using 'continuous' researchmethods, such as participant observation.

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Finally, there is a question we will look at in more detail in laterchapters: do you need to collect a cross-section of views from the wholecommunity or can you focus on particular groups? What exactly is thetarget population?BudgetingPreparing a study programme is a good basis for estimating the budget and if necessary, trimming both. What funds and time are at yourdisposal? Consider carefully the staff, transport and other resources youwill need. The availability of transport obviously determines the areaover which the study can take place and therefore the size of sample youcan use.Besides the actual number of staff available, you need to consider theirskills and experience. If you plan to use informal methods, fewerfieldworkers will be needed, but they must have a good understandingof the topics investigated and be skilled in prompting and leadingdiscussion. Interviewers to carry out structured social surveys needdifferent skills, but can be fully trained in short, intensive courses. Data-processing staff can also be trained quickly, but some statistical skill isessential for coordinating data analysis for a large, structured interviewsurvey. (We will look at the recruitment and training of fieldworkers inthe next chapter.)Your budget must include all extra, non-routine costs, which are notpart of a project's normal running costs. Estimate any special bonusesand field allowances for permanent staff and the cost of hiring temporaryfieldworkers or research assistants. Include any extra fuel andmaintenance costs, as well as items such as extra stationery and printing.Always add a percentage for 'contingencies' unexpected delays orproblems during fieldwork.As well as drawing up a cash budget, it is sensible to estimate 'hidden'costs such as the time permanent staff spend on the study, rather thanon their normal tasks. This will help to give a truer costing for theresearch. Match your study to the time available. Note that dataprocessing (not including report writing) is likely to take at least as longas the fieldwork. Make sure you have plenty of time to prepare findingsand conclusions and to discuss results with project managers. There is nopoint in collecting data which remains unused and becomes out-of-datebecause of a lack of resources to analyse and disseminate it.

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SU MMA R YIf social research is to be useful and cost-effective, careful planning isessential. Work out a timetable and a list of tasks to be carried out. Awell-maintained database, giving the source of existing relevantinformation, is essential. Having drawn up an outline programme,estimate all the costs and make sure the resources of time, staff andmoney available to you are adequate for the proposed research.

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3 THE FIELDWORK TEAMExcept for the smallest survey project, you will need to assemble andtrain a fieldwork team. Good fieldworkers are vital if the research is towin co-operation from the community.RecruitmentWho makes a good fieldworker? Personality is important; they should beopen and friendly people, yet polite and sensitive enough to encouragehonest, sometimes intimate conversation. Personal appearance including dress and demeanour gives subtle (and maybe not sosubtle) signals. As fieldwork is often done alone, it requires both anability to get on with the job, and the initiative to report problems asthey arise. Conditions are often hard and fieldworkers may have tospend time away from home. Choose people who are well-motivatedand enthusiastic about the research and convinced of its value.A good basic education is usually (though not always) needed. Staffworking with interview schedules and survey forms must be literate, andcomfortable with numbers and basic arithmetic. Even highly structuredforms require more than just neat, careful recording though this is, ofcourse, essential. Clear, intelligent thinking is needed to ensure that thecorrect questions are asked and that confused and contradictory answersare sorted out during the interview.Matching fieldworkers to the com munitySelect fieldworkers to match the people they will be interviewing.Important factors to be considered include gender, social class andstatus, and level of education. As a general rule, fieldworkers should bethe same sex as interviewees.

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For rural areas, local interviewers are normally the best choice. Theyare fluent in the language or dialect, and usually minimise suspicion andmistrust. Local people can play a valuable part in project design andevaluation, and they will be key informants on some aspects of thecommunity.If you employ local people with only basic literacy skills, they mayrequire training (perhaps weekly classes over some months) to developtheir writing skills and basic arithmetic, as well as to learn fieldworkmethods. The advantage is that these fieldworkers will be very closelymatched with the people they will be interviewing, and likely to be ableto deal with sensitive or intimate topics. As well as the benefit to localpeople of gaining skills and understanding, an investment in training isespecially valuable for long-term studies involving repeated surveys.However, there are circumstances in which people find it difficult to talkto someone from their immediate community. Then it may be better iffieldworkers come from neighbouring villages.

Another effective approach is to second staff already working in arelated job. So, for a short period, a team of environmental healthworkers might conduct a sanitation survey, or agricultural extensionofficers could undertake an agricultural study. You need to negotiatesecondments well in advance with the appropriate agencies, and planthe fieldwork to meet their requirements. Using existing staff has majoradvantages. Trained, experienced staff are practised in gaining the trustof people they interview. They have few problems with the moretechnical aspects of a survey. At the same time, they gain experience insocial research and add to their understanding of community problemsrelated to their usual work. They may have much to offer towardspossible solutions to the problems identified. And, of course, theycontinue to work in the community after the study is complete. If thesame group of workers is seconded regularly, they can develop theirfieldwork skills over a longer period.

A similar solution is to hire or arrange for the secondment of peoplesuch as school teachers or community development workers, alreadyliving close to the study area. They need not have specialist knowledgeof the problems. Such people, if known and trusted by the community,can complete fieldwork with a minimum of travel and disruption. Theyare well placed for a participant observation study over a period of time,and for 'before and after' interview surveys and other monitoring work.A different approach is to employ school-leavers or students. This isoften very successful, especially when they have a real interest in social

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research. But there can sometimes be problems, particularly relating toage and social class. For instance, in some societies young people arenot expected to 'cross-question' their elders. If university students areseen as potential members of an 'educated elite' this can result in aloss of trust by the interviewees. Students may find that the repetitiveday-to-day routine of survey work does not match their expectationsof 'research', and they may become bored and disillusioned.TrainingEvery fieldwork team needs training. Experienced fieldworkers cansometimes master a new survey form in a two- or three-day course, butthey will usually need longer. For major surveys, using long forms andadvanced interview methods, up to three weeks of training and practicemay be needed. The training period should include both formal sessionsand supervised fieldwork practice interviews.Remember that a training programme is also an opportunity to testrecruits. Make it clear that all fieldworkers must complete a period ofprobation, and that those not reaching an acceptable standard will notbe offered further work. If you include formal tests in the trainingprogramme, make sure they do more than just assess whetherfieldworkers have memorised training materials. Test their understandingof the aims of the research project and of the research tools being used.It is most important to check their ability to perform realistic practicalfieldwork tasks.Planning a training programmeIntroduce the background to the survey. Explain the purpose of theresearch and the importance of the information which fieldworkers areto collect. Discuss how they will introduce the survey to interviewees.Make certain that fieldworkers have a realistic idea of projects likely toresult from the survey, so they avoid raising any false hopes.Use practical methods as far as possible. Always avoid long lectures.For example, explaining how the sample will be located in the fieldoften involves the use of maps. Hold classroom exercises in map-work,followed by field exercises. It is useful to build translation work intothe training programme. Fieldworkers chosen for their ability tounderstand local languages can translate the survey form, as a way ofbecoming familiar with the form and thinking carefully about itsmeaning. (Back-translation when an outsider retranslates into the

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original language will help check the accuracy of a translation.)Plan the bulk of training time around the interview form, and alwayshave plenty of spare forms available. Before the sessions begin,prepare a detailed manual for using the form. This must include allnecessary definitions; instructions for recording answers; how andwhen to probe; and details of local measurements. The manual caninclude extra material on choosing people to interview, observationmethods and even notes on vehicle maintenance.

Structure your training so that everyone can easily follow eachsession in the manual. Deal with each section of the form in turn. Givea short introduction, followed by questions, discussion and mostvaluable of all practical exercises. One effective practical method isthe mock interview.Mock interviewsTo set up mock interviews, prepare cards (or projection slides) showingprofiles of people to be interviewed. Cover the main characteristics youare likely to find in the field, and include all the details necessary forsomeone to play the part of the person interviewed. Carefully designedstandard profiles enable you to check fieldworkers' understanding ofthe form. The team can be split into pairs, each person taking a turn inthe role of interviewer and person interviewed.

Alternatively, two people can be chosen to carry out a mockinterview and everyone else can observe them, recording the answersgiven and then comparing their completed records and discussing anydifferences. Another idea is for the 'interviewer' to leave the roomw hile the rest of the team co nstr uc t a profile for the 'pe rso ninterviewed'. The completed forms should be kept and checkedcarefully. They can show if definitions are being used correctly, if theright questions are asked in each case, and so on.Supervised field trialsFollow up classroom interviews with supervised field trials. Again,these are practice interviews, where you are training the interviewers,not pre- tes t ing the survey. A supe rvisor shou ld o bserve eachfieldworker, discussing the interview with them afterwards and carefullychecking the completed form. This is the stage at which fieldworkerscan be given most guidance on their interviewing technique, inparticular on avoiding bias and encouraging honest and full answers.

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An interviewer must appear to be sympathetic, but neutral. They musttake care not to reveal their expectations or their own feelings about anissue to the people they are interviewing, so as not to influence the kindof answers they are given. Supervisors should draw attention tocomments or gestures which could signal the interviewer's agreement ordisagreement with an answer. Is the interviewer an interested, attentivelistener? Are they sensitive to resistance to the interview or to certainquestions, possibly affecting the reliability of the answers given?Fieldworker supervision and managementCareful supervision and management are vital, both to keep fieldworkrunning smoothly and to ensure you collect good quality data. Beforeany data are collected, design record systems to keep track of allinformation coming in. For example, set up a system to record wheninterview forms are: (i) with fieldworkers, (ii) returned, (iii) checked, and(iv) processed. This system enables you to keep track of the completedforms, ensures forms do not get lost and speeds up data processing.Make sure you obtain all the correct permissions before fieldworkbegins. In most countries the Central Statistical Office must approve allsocial survey work. You will also need to discuss the study with localleaders in advance of the fieldwork, explaining why the information isneeded. In rural areas, the manual for fieldworkers can includeinstructions for entering new villages. List the order in which localleaders are to be approached, prepare letters of introduction and outlinestandard project introductions.SupervisionExcept for the smallest projects, you need one or more experiencedfieldworkers as supervisors. Hire them in the early stage of the trainingprogramme. They need special training in supervision work and aparticularly full understanding of the purpose of the study.Supervisors may be separate appointments, or a senior fieldworkercould spend part of the week visiting other members of the team. In asmall urban study, or where a fieldwork team travels together, a singlesupervisor may be sufficient. A larger rural study requires a supervisor ineach area. There must be enough supervisors to check everyfieldworker's work at least two or three times a week and preferablyevery day.

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The central task of the supervisor is checking completed forms.Everyone can make mistakes, especially at first. Typical problems includeincorrectly missing out questions, or recording inconsistent answers,contradicted by an answer elsewhere on the form. Sometimes thefieldworker or the person being interviewed has not understood thequestion. Any answers which sound unlikely should be checked. Apartfrom obvious errors on individual forms, supervisors should discuss witheach fieldworker the reliability of each question and any specificproblems. Fieldworkers usually sense some resistance on the part of aninterviewee or an inability to give an accurate answer.

Supervisors should compare the work of all fieldworkers. Is one ofthem imposing her or his own style on responses? If response ratesdiverge widely, supervisors should try to find out why particularfieldworkers record a high number of refusals or non-contacts.Supervisors may need to carry out some repeat interviews.

Decide and clarify the supervisors' general responsibilities. Normally,you will expect them both to deal with practical day-to-day problemsduring fieldwork and to keep in regular contact with surveyheadquarters. In addition, they should be asked to prepare a short reporton field problems and interview conditions, after discussion withfieldworkers.Some general pointsFieldworker morale is important. Terms and conditions must reflect anydifficult working conditions. For both fieldworkers and supervisors, makesure that the rates of pay are about the same as those used by otheragencies for the same sort of work.

Consider whether to use single interviewers, pairs or large teams. Pairsof interviewers are often very effective; for example, a male and femalepair can interview husband and wife at the same time and, where thestudy involves both observation and interview, one person can carry outobservation work while the other completes an interview. If singleinterviewers are used, make sure they have regular contact with otherteam members to compare notes and to keep morale high.You also need to think carefully about the best interview location. Theinterviewee's home is convenient in many ways, but it can be hard tofind privacy. For some studies, interviews in the workplace (perhaps afarmer's field) are more useful. Encourage fieldworkers to be aware ofinterview conditions. When conditions are not good for example,

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when a crowd begins to gather the fieldworker should make anappointment to come back later. Design forms with space for commenton interview conditions where the fieldworker notes if respondents seembored or distracted, or if interruptions disturb the flow of the interview.Fieldworkers can keep a diary, noting particular problems for discussionwith supervisors during fieldwork.

This raises the question of how to treat unusual answers, particularlywhere the interview has been, for some reason, unsatisfactory. Oneparticular interview may produce 'extreme' values for some data, faroutside the general set of values, If the interviewee is judged to be totallyunreliable, it is better to discard the results of that interview rather thandistort the final presentation of the data from the survey. But if it is notpossible to make firm judgements about the validity of the resultsobtained, it is advisable to record the extreme values in the findings butto add a note in your presentation about the particular circumstances ofthe interview which produced these values.

Hold a debriefing session for the complete team at the end of thefieldwork. Work through each part of the form in turn. Discuss anyproblems with the wording of questions, failures to answer or possiblemisunderstandings.SUMMARYIt is essential to put time and effort into recruiting good fieldworkers,and training them thoroughly. Training should use practical exerciseswhere possible. Fieldworkers must understand the purpose of theresearch, how to locate the sample, and how to use the form, and begiven guidance on interview technique.

Supervisors should be trained to deal with practical fieldworkproblems. They should monitor the daily progress of fieldworkers andkeep in contact with headquarters. They should also tell you aboutfieldworker morale.Encourage fieldworkers to record interview conditions, and to discussproblems with supervisors as they arise and at a final debriefing sessionfor the whole team.

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4 FORM DESIGNA form is a do cu m en t used to record data d uring fieldwork. T he aim isto collect sets of standardised information, in a uniform way. Each formneeds careful preparation if it is to suit the purposes and conditions ofthe research.

Types of form include:A sheet recording a standard set of observations.A checklist of information to be collected.An exact list of questions for a personal interview.

The third type often called a questionnaire, or interview schedule is used for structured, formal interviews. We will concentrate on this,as it is the most difficult to design.In Ch apte r O ne we desc r ibe d ho w prel im inary wo rk is used todevelop a.set of detailed research questions. These questions are the

starting point for form design. Remember that you only want to collectinformation which is essential to answer your research questions. Youwill need to think about the information you need to record in the field,the way it will be analysed and the way it will help to answer the studyquestions.We will begin by looking at different ways of collecting factual data.This will be followed by a discussion about recording people's beliefsand attitudes. The-chapter ends by looking at form layout and how tomake the document a clear and helpful tool.

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Collecting factual data from observationSome of the more descriptive factual information (often called 'harddata') can be collected by direct observation. To record observations,design a form setting out clear details on how to classify each observedvariable. It is essential to give exact instructions to the fieldworker. In thefollowing example, fieldworkers studying household water supply wereasked to record explicit information on the age and gender of peoplecollecting water; the containers they used; the quantity of water collectedby each user; time spent at the source by each user; other activities, suchas washing clothes, at the source; periods when water was not available;and the size of the queue.

HOU SEHO LD W ATER SUPPLY STUDY : USER OBSERV ATION SHEETObserver No._

Queue sizeat start time

Sheet No.

Periods waternot available

1 from:2 from:3 from:

FromTo

tototo

USERN u m b e r .Ri ng ifI n t e r v i e w e d

SEXM / FAGE5-910-1415>

CONTAINERG e r r y c a n ; T i n ; O t h e r1 2

ARRIVALTIME DEPARTURETIME ADDITIONALACTIVITIESAT SOURCE

Design your form to assist both fieldworkers and the staff who willcode the data later. In the example above, most column headings list alimited range of possible answers. These are called 'closed' questions.Use closed questions wherever possible; they are far easier to analysethan open questions. But check that the full range of possible answers is

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listed and that your classification is useful. Note that the column'Additional Activities At Source' is an 'open' question, requiring thefieldworker to describe activities other than water collection. There wereso many possibilities that no range of answers was given.When the form above was being designed, it was necessary to findout information about the youngest person likely to collect water andabout the different containers in use. Informal discussion providedanswers to these questions, but sometimes you will need formal pre-testing to find out the likely range of answers.

Collecting factual data from interview sWhen interviewing, you can often record simple facts directly into acarefully prepared table. Tables are useful for straightforward numericalor one-word answers, recording standard information. The examplebelow comes from a survey of water sellers:

Daily Operations: FILL IN TABLE

DONKEY CARTSLORRIES

No.vehiclesin use daily No.trips pervehicle daily Units inwhich wateris soldSaleprice(s)per unit

Loadsize(s)(No.oi units)

Fieldworkers using a table like this are free to ask for the informationas they think best. There is no problem of translation, since there is noneed to use a standard set of words for each interview. Only simple factsshould be recorded directly into tables. Don't try to use tables forexploring complicated issues or different shades of meaning. For tables,as with observation sheets, use closed questions as far as possible. Onlyinclude open questions if the possible answers have just one or twowords.Where there are many possible answers, or each answer is quite long,list the range of possibilities underneath the table:

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WATER USAGE TABLE: FILL ALL BOXES

ACTIVITY

Cooking/DrinkingBrewingWashing potsBathing 0-4 yrsBat hing 5-14 yi sBathing 15> yisOther water uses:

USUAL LOCATION1( 2 7 - 3 4 )

aaDaaa

HOW OFTEN2( 3 5 - 4 2 )

aaDaa

AMOUNT USED3( 4 3 - 5 0 )

aaaaaa

ENOUGH WATER4( 5 1 - 5 8 )

Daaaa(1) Usual loc ation ofeach activity

CODE IN COL. 1

(2) How often ea chactivity takes place.For bathing, takefrequency per personCODE IN COL. 2

t

T

On this plotAt the riverAt the khorAt the public tap5+rimes daily4 times daily3 times daily2 times daily1 time daily

123412345

NADK

OtherNADKEvery 2 to 3 day sEvery 4 to 5 day sEvery 6 to 7 day sLess tha n everyLess th an every

5676789 days7 days0

Even without a table, if you only want straightforward facts you do notalways need to write out questions in full. Instead, you can use keywords. In the next example, key words in closed questions are used tocollect simple information about water usage.

Water sources usedduring past month

RING ONE CODE INEACH COLUMN

Direct SupplyDonkey CarrierYoke c arrierLorryNeighbour'stapPublic tapBorewellNileKhorNADKOther

Overall, are you satisfied with your existing water supply?READ OUT Very satisfied

Fairly satisfied 2

Main010203040506070809101112

?1

Other(l)010203040506070809101112

Go to Q8

Other(2)010203040506070809101112

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RING ONE CODE

IF FAIRLY SATISFIEDOR NOT SATISFIEDRING ONE CODEIN EACH COLUMN O NTHE RIGHT

Prob lems wi th ex i s t i ngwater supply

Not satisfiedNADK

Danger to healthLooks dirtySmells ba dTastes ba dInconvenientExpensiveCannot get enoughNADKOther

1st1234567890

345

2n d1234567890

3nI234567890

For reliable results, the wording of questions must be clear. Clearquestions will aid translation. You can sometimes add a translation onthe same form without overcrowding it. With fully framed questions youprobably need a separate form for the translation.Recording attitudesWe often need to know about people's attitudes their opinions, beliefsand feelings. It is harder to collect reliable data on attitudes than onmore factual matters. It is vital to treat such topics with caution, studyingthem carefully and in detail. One approach is to assess attitudes bylooking at people's actions. You need to assess to what extent the issuesare part of a respondent's personal, daily experience. A woman askedabout improving the collection of river water may have more concreteideas and opinions than, for example, a farmer who, never having seenan extension worker, is asked for his views on the extension service.

It is advisable to explore attitudes through in-depth case studies aswell as structured interviews. Even well-designed questionnaires canonly scratch the surface of what people really think, but longer informaldiscussions will fill out the picture. Exploring people's attitudes raisesmajor problems of language and the communication of exact meanings.These difficulties increase when translating from one language toanother. You may need to interview in more than one language,especially in urban areas.We can see how such problems arise when we look at a commonmethod for collecting data on attitudes the use of scales. Scalingmeans constructing an ordered list of opinions or attitudes. Respondentsselect the statement(s) they agree with:

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Overall, are you satisfied with youi existing water supply?INTERVIEWER READ OUT Very satisfied 1

Faiily satisfied 2RING ONE CODE Not satisfied 3

Don't know 4

This simple scale aims at little more than a head count. Even so, thereare pitfalls. To get reliable results it is essential that all respondentsunderstand the scale in the same way. Here, the English word 'satisfied'has different shades of meaning. Other words used in a survey may havemore than one meaning. For example, the word 'fair' can mean 'just' aswell as 'neither good, nor bad'; 'poor' can mean both 'of low quality' and'having little money'. In a local language, the best translation of 'satisfied'may differ from the English word. Respondents may answer withoutusing the scale as intended; they could even fail to see the scale as arange of-attitudes along a single dimension.To minimise these problems, try to use words which have only one,clear meaning. If you want to classify 'for and against' as in the exampleabove, pair a word or phrase with its opposite, and add a 'middle-of-the-range' word or phrase between them. Careful translation, back-translation (see the glossary) and pre-testing is essential. Be suspicious ifnearly all the answers fall in one category, this often means the scale isnot working well.Stress to interviewers that they must always ask the questions in thesame way, keeping to the exact wording. In the example above, if someinterviewers miss out the word 'overall', the tone of the question alters. Ifthey change 'satisfied' to something similar (like 'pleased' or 'happy') theresponses will change. A number of such small errors taken together canmake the question almost useless.

Time scalesTo find out about intentions rather than opinions, consider using a timescale. This can help to distinguish between those who have a definiteplan to do something, and those with only a vague idea. For example:When do you think you will next inc rease the price of your w ater?READ OUT During the next three months O

During the next six mo nths DDuring the next yea r After a ye ar DOther

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Answer listsThe answer list is a way of measuring strength of feeling among astandard range of possible answers. Respondents choose whichanswer(s) they agree with. In the example below, the list is read out infull, before asking for a reply. The fieldworker previously explains thisprocedure to the person being interviewed:

Which of th e following sicknesses do you consider the most important problem for your children?READ OUT 1. Meningitis 6. Measles

2. Malaria3. Diarrhoea4. Respiratory

Infections5. Skin Infections/

Diseases

7. Sleeping Sickness8. Schistosomiasis(Bilharzia)

9. Other (specify)

Lists of this type make analysis easier, as answers are automaticallyclassified in the same way. Without a list, the sicknesses mentionedwould be described in many different ways and levels of detail.To return to an earlier example; some respondents have expresseddissatisfaction with their water supply. To find out exactly what theproblem is, you could direct those particular respondents to an answerlist:Overall, are you satisfied with your existing water supply?

READOUT

RING ONE CODE

IF FAIRLY SATISFIEDOR NOT SATISFIEDRING ONE CODEIN EACH COLUMN ONTHE RIGHT

Problems with existingwater supply

...Very satisfied...Fairly satisfied

...Not satisfiedNADK

Danger to healthLooks dirtySmells b a dTastes b a dInconvenientExpensiveCannot ge t enoughNADKOther

12345

1st1234567890

Go to Q8

2n d1234567890

3ri1234567890

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Lists have their disadvantages. Respondents who do not understandthem may answer at random, and may not give their true answer if it isnot listed. Even with an 'other' category, items not on the list are lesslikely to be mentioned.Lists are most effective when a respondent can read and look backover the items. When a respondent cannot read, so that the list has to beread aloud, they may not consider all the alternatives. They may forgetthe first items mentioned and give an answer using one of the last few,especially if the list is long. If you have to read out a long list, reversethe order of items for half the people interviewed.Used with caution, scales and lists can give helpful results whenexploring beliefs, attitudes and intentions. They call for skilled

interviewers and careful training, especially if the interviewer is to avoidleading the respondent.Using probesProbes are a general method for asking the respondent to provide furtherclarification. For example, suppose after certain answers you wantrespondents to expand on what they have just said. You should instructinterviewers to then use a probe a neutral phrase such as 'Is thereanything else?' or 'Why is that?' Describe each probe instruction on theform as specifically as possible. (And remember to include examples ofprobes in the fieldwork manual.)Open questionsWhile structured surveys should use closed questions as much aspossible, open questions are very useful in exploratory and pre-testingwork, when you want to find out and list the full range of possibleanswers. They are often used with probes, for example:

What are the m ain problems with youi accom modation?

(PROBE: An yth ing else?)

With a large sample, and when resources are stretched, openquestions may pose huge problems. Answers will vary in both lengthand detail. Instead of analysing them using a standard routine, you mustthink about and summarise each answer separately.

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Form layoutWe will now look at some general points about the layout of a structuredsurvey form. Think of the interview as a conversation and, we hope, aninteresting one. The form's design should help this conversation to flownaturally, without sudden breaks or changes in direction.Introducing the surveyBefore asking the first question, fieldworkers should give respondentscertain basic information. This does not need to be written on the form,and interviewers can be informal, using their own words. But do agree astandard format, including the name of the organisation running thesurvey, its main area of interest, the purpose of the survey and how theresults will be used. On the last point, avoid too much detail. It caneasily be taken as clues to the kind of answers you expect. People areoften ready to tell interviewers 'what they want to hear'. Always insistthat interviewers avoid making any false promises or comments whichwill raise hopes unfairly. They should not give the impression that somenew project is planned, if this is not the case.Order of questionsKeep the first few questions straightforward and easy to answer. Theyshould relate plainly to the purpose of the survey. At this stage you aretrying to establish trust, and to reassure the person you are interviewing.Don't scare them off! It is wise to leave questions about beliefs, attitudesand intentions to the later stages of the interview. Only tackle sensitiveor embarrassing subjects if it is really necessary. It helps if you give suchsubjects a short introduction, explaining why you want the information.Work from the particular to the general. For example, in a watercollection study this question would normally come towards the end:

Overall, are you satisfied with this as a place to collect youi water?

This type of final, very general question is often useful. Even with awell-designed questionnaire, it may bring out some fresh and interestingpossibility. The person you are interviewing may have just such acomment, given the chance to talk. Leave enough space at the end forthe interviewer to write down the answer in full, using the respondent'sown words.

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Interview lengthEven when the research topic demands a long interview, do not expectpeop le to give more than one hour of their time. Allowing forintroductions and greetings, the questionnaire itself should normally takeno longer than 45 minutes. Long, tiring interviews increase the risk oferror. On the other hand, if someone has a great personal interest in thesubject they will co-operate for much longer. In-depth case studies canoften take more time than structured interviews, without tiring therespondent. But if someone is not convinced that the survey has anypractical purpose, their patience will run out faster.

Short interviews have other advantages; the sample size can beincreased (or fieldwork time reduced); analysis is simpler, and reports areless complicated. You should make every effort to reduce the subjectscovered to those which are really useful and important. If you really doneed a wide range of detailed information, you can split the form intoseparate components. Fieldworkers can then make repeat visits, usingone component in each session. If this is not feasible (for example, ifrespondents are not co-operative), you can use each component with adifferent sub-sample, chosen at random. This method is only useful witha very large sample.Form size and presentationThe following conventions help to make forms easy to read and use. Ifthe form has several pages, print it on one side of the paper only. Useupper-case (capital letters) for instructions to fieldworkers. Printquestions and answers in upper and lower-case letters. List answers andcodes in a consistent way in columns down the right-hand side of theform. Leave plenty of space for written answers and for interviewers toadd any field notes.

If the answer is a number, use a template to draw square 'boxes' forentering it. Make sure it is clear what units of measurement you areusing. Boxes are also useful for ticking answers in a list. Use arrows toshow 'skips' (see below). At the top of each form leave a space for theinterviewer's name and a form number. In a random household survey,add a small table for details of each visit, so you can keep track of datesand times of visits and the need for follow-up if the respondent is notseen. For example:

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JUBA URBAN AREA SANITATION SURVEY 1982 Questionnaire No. at?

Interviewer: Nunty A A.tU*1st Call Date: i / z /& Time: 1-3oam Result: not Une2nd Call Date: 3 / z / w Time: u zo/> Result: Mtry^^s3rd Call Date : Time: Result:English: Householder:Arabic: S Wile: S Ethnic Group: kokuOther: Other:

Large forms are expensive to produce, heavy to carry in the field anddifficult to store. Even so, do not try to reduce the size of forms bycrowding questions on the page. Interviewers are far more likely tomake errors missing out a question or misreading instructions when a form is congested, inconsistent and badly organised. Take thenext example:

Respondent NameHead of household/ Spouse/Relative/ Neighbour/M ale/F em ale/ Years lived in Nbi/Years lived in this house/How long expecting to stay: Don't know/No. of yea rs/ Leave soon /Reasons/EmploymentHead of household's main skillOther skillsUnskilled/Working?Full time / Part /_^ Unem ployed/Retired/Place of work? On/near site/Town cen tre/ Industrial ar ea /Outside town/Travel to work? Walk/ Bike/ P/car/Matatu/Bus/

Single space typing makes this form look crowded and complicatedeven before you start reading it. The fieldworker is forced to use smallwriting, which will cause headaches for the person analysing theinformation. There are few instructions, though the questions are notself-explanatory. Lists of possible answers are not used. For example,how are the interviewers to classify the head of household's main skill?How much detail must they give? Compare the example overleaf:

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How far aw ay is your com pound?INTERVIEWER TO ESTIMATERING ONE CODE

How m an y times do p eople from your

0 to 5 km\ t o l k m1 to lj km\\ to 2 kmMore tha n 2 kmDKNA

household come her e to collect wate r per da y:WRITE IN:TIMES PER DAY IF LESS THAN ONE TRIP PER DAY, WRITE At wh at times of da y do y ou usuallycom e her e to collect wa ter?(PROBE: A ny others?)

RING ALL THAT APPLY

IMorning u p to 7.307.30 u p to 9.009.00 u p to 2.302.30 up to 4.004.00 up to darkAfter darkDKNA

1234567

12345678

Three questions now take up half a page, rather than three lines. Buteach question begins on the left-hand margin, so it is difficult to miss aquestion out. Interviewers are given clear instructions on the form. Allthese improvements help to save time and reduce errors in thefieldwork. Data analysis will be easier, too, because closed questions areused and the codes are easily seen and copied.CodesCoding means giving a number or letter to each possible answer. Codesare a useful way of summarising large amounts of information. They areessential, even for small samples, when data is to be analysed bycomputer. If you are using a computer, always check that the programmeused will be able to read the types of code you are using.When interviewers have to enter codes during fieldwork, they must becarefully trained. Write clear instructions on the form, and as far aspossible, use the same method for recording answers throughout theform. This will reduce the number of errors.For large samples, questions with many possible answers, and openquestions, you may need to leave coding until later. It becomes aseparate stage, to be completed when forms are returned to the office.(See Chapter Seven.) In this case, you will need coding instructions. Eachbox for entering codes is given a reference number. Using this reference

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number, codes are transferred to numbered columns on data sheets, ortyped directly into a computer. If you look back to the table on wateruse on page 36, you will see that all the possible answers are listedbelow the table, and the interviewer is instructed to enter the number forthat answer in the appropriate column. Each 'water use' is also given anumber at the top of the column; cooking/drinking is 27, brewing 28,etc. When the form is returned, the results will be entered in theappropriate place on a data sheet. If water for cooking/drinking isobtained from the river, the figure 2 from column one on the form willbe entered against item 27 on the data sheet.Skips and filtersThink about the question below. Why is it so muddled?

Do you have a job or business or do you normally work on the farm belonging to the household, but didnot work yesterday?

The question aims at finding out who did not work yesterday, butrequires this information from two groups only: respondents with a jobor business, and respondents who normally work on the farm belongingto the household.The solution is a skip. To make sure, that only members of the twogroups of interest are asked the quest ion, the skip instructs thefieldworker to by-pass certain questions when interviewing other groupsof people. The skip works like this:

Ql Do you have a job or business?

Q2 IF NO TO Q lDo you normally work on the farmbelonging to the household?Q3 Did you work yesterday? Yes 1

No 2Q4 (Next question )

YeslNo 2

YeslNo 2

- G O T O Q 3

G O T O Q 4

Do everything possible to make skip instructions clear. Check carefullythat the skip works as you intend. Work through the form, imagining thatyou are each possible type of respondent, testing if the form makessense in every case.

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A filter works in much the same way. A group within the targetpopulation are 'filtered' through to another part of the form. Forexample:Do you ha ve a latrine in this ho use /co mp ou nd ? YES NO

IF NO GO TO PAGE 8

Dealing with 'awkward' answersEven with a closed question, using a set list of answers, it is wise toinclude an 'other' category for answers left out. This is another 'safetynet' to catch something which was not met in the pre-test or in previousstudies. For an 'other' category, the interviewer should write in the fullanswer. The category 'not applicable' is useful for showing that thefieldworker did not just forget to ask the question; while a 'don't know'category will often show when an apparently simple question is notbeing understood correctly.An example of a structured interview formTo end this chapter, here is an example of a form used in a structuredinterview survey. It is not presented as an ideal, but simply todemonstrate some of the points made above. The Water Point Surveywas carried out by the Regional Ministry of Housing in South Sudan in1983- The sample was small, so forms were analysed directly, without theuse of codes. Note especially the use of: closed questions (with tickboxes (Q.I and Q.2); key words; tables (Q.3(e), Q .l l and Q.12); skips(Q.2); and clear instructions to fieldworkers.OPERATOR SURVEY : WATER POINT OPERATORS WATER POINT REF.NO.

1 Type of wa ter point 2 Responde ntKioskStandpipe. no kioskBorewellOther

DaDLicensee/OperatorLicensee onlyOperator.Govt.employeeOperator.private employee

a - GOTOQ4GOTOQ4

Other D-^GOTOQ4

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3 ASK IF LICENSEEa Date license receiv ed: -b Date license expires:c Last Bill pai d: A mo unt: -

Period covered:Date paid:Estimated/Metered:

d Whe ther other Standpip e/Borew ell licenses held:IF YES. GIVE DETAILS: N um ber : -

Location:-e Details of all those helpin g to ope rate th e water point, including relatives a nd children

Job Sex Age Relative Hoursper day

Dailyp ay

Otherbenefits

Daysper week

f Whether written record ke pt of: Sales:Expenditure:

IF YES, GIVE DETAILS:g Do you wish to ren ew your license wh en this on e expires?

IF NO, ASK WHY NOT:

h Do you h av e other sources of income ap art from this wate r point?

IF YES, LIST OTHER SOURCES OF INCOME:

Which is your main source of income:4 a Can the water point be locked?

IF YES: b Usual ope ning time:c Usual closing time:d No. of day s open p er week:

5 a Over the past week, has water sometimes not been available during the period thewater point was open ?

IF YES: b Usual times not available :c Usual reason not available:d No. of complete da ys for which w as continuouslynot available over the past week?

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6 a Is an y record kept of the num ber of people buying water ?IF YES: b Describe how records ar e kept

c Num bers collecting over the past week:

7 a Has an y m ainten ance be en required over the past month?IF YES: b Why was maintenance required?

c Who did the m aintenan ce?d W hat w as the cost of the work?

8 Current price charged:LS per

9 a Over the past year, ha s the sale price of your water in ae as ed ?IF YES: b Price incr ease d from: LS. perto: LS. pe r

c Date of increase:d Reason for increase:

10 a Is the current sale price of your water ad eq ua te?IF NO: What price do you think would be adeq ua te?

LS . per

11 ASK IF AT A STANDPIPEAre you satisfied withSize of pipeQuality of jointsType of t apNumber of tapsDrainageHeight of dischargeOperator seatingFacilitiesWater pressure

YES NO IF NO, GIVE DETAILS

Any other suggested improvements to design:

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5 CHOOSING THE SAMPLEAt an early stage of survey design, you need to define exactly whichgroup of people, or units, you are interested in. The full group ofinterest is called the target population. Part 1 of this chapter is abou thow to decide on and list the target population to make a samplingframe.Usually there is not enough time or money to interview everybodyin the target population; you will need to pick out a part of it asmaller group which will be similar to the total population. Thisselection of representative people or units is called a sample. How fara sample accurately represents its target population depends on twothings:

the size of the sample, andhow you select it.

Part 2 covers sample size, relating this first to cost and then to theaccuracy required. Part 3 summarises basic methods and techniquesfor choosing the sample. This is sub-divided into random and non-random sampling, and repeat sampling methods.Part 1 The target populationBefore choosing a sample, you need to decide who is part of thetarget population. This choice will depend on the purpose of thestudy. Exactly who, or what, is the study intended to find out about? Ifyou are studying water collection or stove usage, for example, thetarget population will probably consist mostly of women. To look atspending priorities, you must include those making decisions on

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spending. You may want to research objects, or units, rather thanpeople. Examples might be all the farms in a region, the residentialplots in a town, or handpumps in a group of villages.Listing or m apping the target populationHaving defined your target population, the next question is whether ornot there are complete lists or maps of the people or units you want tosurvey. Such a list or map is called a sampling frame. Examples ofsampling frames are:

a list of villages or administrative areas,a file of standpipe licences issued, a list of plot-holders, ora map of a town showing individual dwellings.

The ideal sampling frame would list every unit in the targetpopulation separately, once and only once. It would not include unitsoutside the target population. In practice, you will find that someinformation will be incorrect, missing, or out-of-date. There may betoo much information the list may cover a wider population thanyou need.The best administrative lists are often those used for collecting tariffsor taxes. But there can be problems with these lists; if individualsstand to benefit or lose by being on the list, this will probably affect itsaccuracy. How interested are the officials involved in keeping accuraterecords? Where an adequate list does exist, can you get access to it? Isit kept in a way which lets you identify and contact people?You can improve your sampling frame by updating or by compilinglists specially for data collection purposes. For example, if you knowyour frame completely misses out part of the target population, tryworking out an additional list for the missing part. Suppose that youare studying water sellers, and the official records ignore informalwater sellers. You can still use these records to take a sample ofofficial sellers, but you will need to make an additional samplingframe of informal sellers, through discussions with women carryingwater.

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MapsMaps present different problems. For example, what should you take asthe boundaries of the study area? Boundaries must be identifiable on theground (for example, paths or streams). It often helps if they matchadministrative units. When you are using maps to construct yoursample, you will need to do some ground checks and updates. Thiswork is very time-consuming and expensive. It means that, in practice, asmall-scale research study will have to be concentrated in several smallareas. The most effective way of doing this is by using cluster sampling.We will come back to the use of maps later, under this heading.Part 2: Deciding on sample sizeHow large must the sample be? Generally, the bigger the sample themore accurate the results. But also, the higher the cost. You have tostrike a balance.Sample size and costRealistically, cost is usually the main factor determining sample size.What staff, funds and transport are available? How much time is there tocomplete the work? The following example indicates the kind of thinkingyou should go through:Suppose that three months are allocated for an urban study. There aretwo full-time staff, plus funds to cover six interviewers for two weeks.How large a sample is possible? As a general rule, you can expectfieldworkers to complete around three to five long interviews (30 to 45minutes each) per day in an urban household survey. This figure appliesto a five to ten page questionnaire, with interviews for each day locatedquite close together in the same housing area. With a shor terquestionnaire needing interviews of say, 15 to 30 minutes, some five toten interviews per day may be possible. The number will again vary withthe need to travel between interviews, callbacks and the quality of theinte

Documents

Social Survey Methods: A field guide for development workers