Monitoring and Evaluation of Projects and Programmes

Block -1 Project Formulation and Management

Unit -1 Project Formulation

Unit-2 Project Appraisal

Unit-3 Project Management

Block - 2 Monitoring and Evaluation

Unit-1 Programme Planning

Unit-2 Monitoring

Unit-3 Evaluation

Block - 3 Measurement and Sampling

Unit-1 Measurement

Unit 2 Scales and Tests

Unit-3 Reliability and Validity

Unit 4 Sampling

Block - 4 Data Collection and Analysis

Unit-1 Quantitative Data Collection Methods and Devices

Unit-2 Qualitative Data Collection Methods and Devices

Unit-3 Statistical Tools

Unit 4 Data Processing and Analysis

Unit-5 Report Writing

Project Formulation
UNIT 1 PROJECT FORMULATION

Structure
1.1 Introduction
1.2 Project Proposal: Concept and Meaning
1.3 Steps in Project Formulation
1.4 Format for Writing Project Proposal
1.5 Logistic Framework Approach in Project Formulation
1.6 Let Us Sum Up
1.7 References and Selected Readings
1.8 Check Your Progress - Possible Answers

1.1 INTRODUCTION
Preparing a project proposal is a daunting task for an individual or an organization.
A project proposal on any aspect of urban development should identify the scope
of the project to be undertaken and describe the audience to be benefited. It
needs to cover the objectives, activities and expected outcomes to be derived out
of the project. The proposal should also describe the resources, both financial
and human, that will be needed to achieve the project goal and objectives. It has
to propose a time frame for development and delivery of the programme.

The proposal must be carefully crafted and its presentation must be professional.
It is important that the proposal be technically sound, grammatically correct, and
well designed, because the project proposal would most likely to compete with
similar proposals submitted by other agencies and consultants. The proposal
must communicate ideas and plans with eloquence that it will rise to the top of
possible competition.
After studying this unit, the students will be able to:
• Describe the meaning of project proposal
• Explain various steps in project proposal formulation
• Formulate a training project proposal for urban health workers
• Prepare logistic framework of a urban health workers training project proposal

1.2 PROJECT PROPOSAL: CONCEPT AND

MEANING
According to Connor et.al (1996), “a proposal is a request for action. Its purpose
is to persuade decision makers that a need exists for action and that the action
described in the document is the best response to that need”.

According ITTO, “a project proposal is a detailed description of a series of

activities aimed at solving a certain problem. The proposal should contain a
detailed explanation of the:
• Justification of the project
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Project Formulation and • Activities and implementation time line
Management
• Methodology, and
• Human, material and financial resources required.

A project is a time-bound intervention consisting of a set of planned and

interrelated activities executed to bring about a beneficial change. It has a
start and a finish, involves a multidisciplinary team collaborating to
implement activities within constraints of cost, time and quality and has a
scope of work that is unique and subject to uncertainty.

1.3 STEPS IN PROJECT FORMULATION

The formulation of a good project proposal is not an easy task. It requires a lot of
exercise on the part of proposal formulator both before and during the preparation
of project proposal. Before writing a project proposal, the project coordination
or institution has to take care of following pre- project formulation aspects.

1) Review of past project proposals: A group that is involved in the

formulation of project proposal needs to review similar types of project
proposal formulated by its own institution or other institutions. This will
give an idea about the strengths and weaknesses to the project coordinator
while thinking about formulating any project.

2) Consulting experts, consultants, and previous project coordinators: A

person or group formulating proposal could consult an expert in the area in
which the intended project is going to be formulated and even can appoint a
consultant who could be helpful in the preparation of the proposal. It is
always better to consult a person who has already completed similar type of
projects which are being attempted. The project coordinator formulating
project proposal can consult his/her fellow colleagues who have already
formulated similar types of project proposals.

3) Review past project evaluation reports: Before formulating a proposal, it

is advisable to go through the reports prepared by a similar type of research
organizations/institutions. The project evaluation report, besides, providing
the components of project activities and strategies, will give details about
the methodology, evaluation, and impact assessment strategy.

4) Interact with the prospective beneficiaries: The project team can also
interact with the prospective beneficiaries to be benefited from the project
interventions and assess their need. It would be better if the coordinator
could also interact with those who have already received benefits from the
similar types of project.

5) Check statistical data/ report: The data regarding a previous similar types
of projects from various documents must be collected so that an appropriate
project strategy is formulated.

6) Hold focus group discussion: It is always better that the person who prepares
a proposal undertakes a focus group discussion with the beneficiaries or the
prospective clienteles or the stakeholders. If it is a training project for
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grassroots level representatives e.g., urban local bodies, then the training Project Formulation
organizer could conduct a focus group discussion with the elected
representatives and functionaries of urban local bodies and assess their needs.

1.4 FORMAT FOR WRITING PROJECT

PROPOSAL
After completing the ground work, the writing of a project proposal will begin.
Here, we will mention the important components of a project proposal.

1) Title page: The project proposal must start with a title page. The title page
needs to clearly spell out the title of the project proposal, the name of the
sponsoring agency and the institution submitting the project proposal, and
the address of the institution from where the proposal originates.

Title: Training of Urban Health Workers on

National Urban Health Mission

Submitted to

Ministry of Health and Family Welfare

Government of Delhi

Submitted by
National Institute of Urban Affairs, New Delhi

2) Abstract: Many project proposal peer group evaluators may not have the
sufficient time to read the entire project proposal. Therefore, it is prudent to
give an abstract. The abstract needs to include the following aspects.
i) The problem statement
ii) The project objectives
iii) Implementing organisations
iv) Key project activities
v) Expected outputs
vi) Total project budget
3) Introduction: Briefly introduce the topic of the project, and why an project
in the areas is deemed necessary. Introduction must be brief and to the point
focusing on the topic on which project is being proposed.

4) Problem statement: The project formulator must clearly give some

background of the problem which the project is trying to solve in order to
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Project Formulation and make a case for the project. It also needs to clearly mention the needs of the
Management
target group which the project is attempting to address. Some of the essential
points to be taken into consideration while narrating the problem statement
are mentioned in the box below.

Problem Analysis
• Describe the key problem identified and its causes and effects.
• Delineate how these problems affect the target group.
• Explain how addressing the causes will lead to the eradication of the
key problem.
• The description should be clear, concise and convincing.

5) Project goal & objectives: After delineating the statement of the problem,
the second aspect to be covered in the project proposal is to clearly state the
goal and objectives. The goal is the general aim of the project, while objectives
are the core problems\ issues the project is trying to address to achieve the
goal. Remember that there is one goal and more than one objective. The
guidelines for preparing realistic objectives is given in the box below.

Guideline for Objectives Formulation

In nutshell objective must be ‘SMART’ -
S – Simple: It should be simple and covering one point at a time.
M– Measurable : It must be measurable so that a conclusion can be drawn
A – Attainable : It can be handled within the limit imposed by the time
R – Realistic : It must not be unrealistic which can not be achieved
T – Time-bound: It must be so framed that it is achieved with the set time.

6) Project Output: The project output should describe the services or products
which the coordination intend to deliver to the beneficiaries or the survey
which the organizers/coordinator intends to administer over the respondents.
The results needed to be more detail and can be presented in measurable
terms. It should be remembered that the results should address the main
causes of the problem that the target group faces. The following are key
points to be taken into consideration while formulating outputs.
i) It should clearly relate to the objectives and should be stated in such a
way that these can be measured in quantity, time, and space.
ii) It should be achievable with in the available resources.
iii) It should not be confused with activities.
7) Target group: The project proposal needs to clearly define the target group
and show how they will benefit from the project/programme. The project
should give clear details of the designation, caste, and age; the gender breaks
up of the target group which will be covered in the project. If possible, a list
of categories of participants may be given as an annexure in the proposal.

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8) Strategies: The project proposal must clearly delineate strategies to be Project Formulation
adopted during various steps of project implementation. The formulated
strategies must be logically linked with the formulated objectives.

9) Project Implementation Plan: The project implementation plan must

describe activities and resources allocation in as much detail as possible.
The time and place of project implementation must be clearly mentioned. It
should also specify the experts and other institutions who will be involved
during the process of conducting the project activities. The implementation
plan may be divided into the following two key elements.

a) The activity plan: the activity plan must clearly include information
about the activities to be conducted by the project. The activities must
be drawn from the specific objectives and outputs formulated for the
project. They should be stated in such a way that they precisely describe
the actions or tasks to be undertaken by the project coordinator. It will
be better if activities are further broken into tasks. Activities should
indicate what will be done to transform inputs into outputs.
Some of the guidelines for the formulation of appropriate activities are:
i) It should examine each output listed in the implementation plan.
ii) Formulate the complete set of activities required for achieving the stated
objectives.
iii) Always verify that the formulated set of activities is sufficient for achieving
the stated project output.
iv) Check the available set of inputs necessary for the implementation of
formulated activities.
A good tool for establishing activities is the work breakdown structure, which
identifies groups of activities related to each project output and presents
them in a hierarchical structure as given in Flowchart 1.
A flow chart of goal, objectives, activities, and output is given below:

GOAL

OJECTIVE-I OJECTIVE-II OJECTIVE-III

OUTPUT OUTPUT OUTPUT OUTPUT OUTPUT OUTPUT

ACTIVITY-I ACTIVITY-I ACTIVITY-I

ACTIVITY-II ACTIVITY-II ACTIVITY-II

ACTIVITY-III ACTIVITY-III ACTIVITY-III

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Project Formulation and The activity map can be presented in a tabular form, popularly know as Gantt
Management
chart. An example of training project activities for urban health workers of a
training programme for four months is presented in a Gantt Chart given below:

Gantt Chart
S.No. Activities Month-1 Month-2 Month-3 Month-4
1. Conducting a need assessment √
2. Preparation of training module √ √
3. Conducting the training programme √ √
4. Writing Training Report √

b) Resource Plan: The resource plan must clearly provide information regarding
resources required for the project. International project donors expect
contributions from the project applicant organization. In this case, the training
organizer should clearly mention the organization’s contribution in the project
budget.

Broadly, the resources may include instructional materials, hardware,

software, and personnel. The various resources required for a training project
of urban health are narrated below:
1) Instructional materials: training manual, handouts, models,
transparencies, flow charts, white boards, white sheets, reference guides,
etc.
2) Hardware: computer, video cameras, multimedia setup, overhead
projector, power point presentation, etc.
3) Software
4) Personnel: Training consultants, resource persons, training assistants,
and other support staff required during the training programme.

Customarily, the budget for a project proposal for training includes

expenditures on following broad headings.
1) Payment to training coordinators
2) Payment to training Associate/Assistant
3) Payment to consultant trainers
4) Payment to resource persons
5) Per diem / TA/DA of the participant
6) Cost of training materials/modules
7) Charges of training hall (if available with the organization )
8) Charges of board / lodging of the participants
9) Cost of stationary/software/hardware
10) Miscellaneous charges (postage, photocopying, etc.)
However, this may vary from one training programme to that of the other. Budget
for three months training of 12 participants is presented below.
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Table 1.1: Format of Budget for Training Programme Project Formulation

Categories Number Unit Cost Number of Total

of Units permonth Months Cost
1. Project Coordinator 1 10000 3 30,000
2. Project Associate/ Assistant 1 5000 3 15,000
3. Computer Assistant 1 4000 3 12,000
4. TA/ DA of the participants 12 500 3 18,000
5. Training venue rent for three — — — 3,000
days
6. Conveyance — — — 10,000
7. Training material cost — — — 20,000
8. Miscellaneous — — — 10,000
Total Cost 1,18,000

11) Monitoring and Evaluation: the project should clearly outline the
monitoring mechanism. It will have to spell out the methods to be used for
monitoring and evaluating the project.

12) Reporting: The reporting mechanism to be used by the project coordinator

must be clearly stated in the project. Generally, the mid-term evaluation and
end-term evaluation are done. Moreover, as far as, monitoring is concerned
the monthly progress reports need to be sent to the donor agency to inform
them about the progress of the project.

13) Management and Personnel: A brief description about the management of

the project and personnel to be involved should be given. For example the
type of consultants and resource persons to be hired, their qualification and
experience, the payment as per official norms, etc must be delineated.

1.5 LOGISTIC FRAMEWORK APPROACH IN

PROJECT FORMULATION
Now a day’s most of the donor agencies are asking for logistic framework in
preparing project proposals. The logical frame work analysis is an interactive
process intended to promote clear conceptual thinking on what a project intends
to do, and how it intends to do it. It is logical in the sense that it establishes
internal relationships between project objectives, outputs and activities (inputs).
The steps that are used to construct a logical framework are given below.
Step 1: Define the overall goal which the project intends to achieve.
Step 2: Define the objectives (Purposes) to be achieved by the project.
Step 3: Define outputs for achieving the objective
Step 4: Formulate activities for achieving each output.
Step 5: Define assumptions under which success in achieving the objective of
one level will contribute to achieving objectives at the next level.
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Project Formulation and Step 6: Define the Objectively Verifiable Indicator (OVI) at goal, objective,
Management
output and activity levels.
The contents of logistic framework are given below in tabular form.

Table 1.2: Contents of the Logframe Matrix

1. Project summary 2. Objectively 3. Sources and 4. Assumption

Verifiable Means of
Indicators Verification

1. Overall Objectives/ The extent of your How you will

Goal contribution (not measure your —
The shared vision always possible) contribution (not
that your project always possible)
contributes to

2. Specific Objective/ How you will know How you will Assumptions about
Purpose the intended change measure change external factors that
What you intend to has occurred and is (the basic for need to be in place if
change during project sustainable evaluation) project is to contribute
period to the Goal

3. Expected Results/ How you will know How you will Assumptions about
Outputs the expected result of measure results external factors that
Tangible result of your project have been (the basis of many affect whether the
each activity achieved periodic review) project purpose is
intended to bring achieved
about change

4. Activities (and The means, inputs Proof that each Assumptions about
processes) and resources needed activity/ task external factors that
Groups of tasks to carry out the each completed (what may affect activities
needed to achieve task needs to be achieving the expected
each expected result regularly results
monitored) Preconditions (that
need to be fulfilled
before the project can
start)
Source: Greta Jensen, The Logical framework approach, How to guide, July, 2010 bond for International
Development, UK.

Some of the terms used in logical framework are described below:

1) Objectively Verifiable Indicators: Means features which can be measured

or at least described precisely in terms of quantity and quality, which would
show a change in situation.

2) Means of Verification: Indicate where and in what form information on the

achievement of objectives and results can be found.

3) Assumptions: conditions which could affect the progress of the project but
which are not under direct control of project management.

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One example of logical framework is given below. Project Formulation

Table 1.2: Logframe of A Health Training Project

Objective Objectively Verifiable Means of Assumption

(Narrative Summary) Indicators Verification

Goal: Child mortality rate Record of

To enhance knowledge reduced form 50% to 30% Primary Health —
of health care to reduce by 2015 centre
child mortality

Objective: i. The percentage of Hospital & Incidence of

Raise health status of delivery by trained Clinic records death among
children in the age group personnel increased children 0-5
0-5 years from _ % to __% reduced
ii. The incidence of ARI
and diarrhoea reduced
form __ % to __% by
2015
Outputs: i. The percentage of i. Clinic The health
i. Enhanced efficiency immunization increased attendance workers became
of health worker in from _% to __% by 2015 record more efficient in
delivery of ii. Hospital dealing with
immunisation ii. The number of referral register child health care
programme cases send to referral problems
ii. Improved skills centre increased from
identification of __% to __%
referral cases by the
health works

Activities:
i. To impart training on i. The knowledge of health Activity The health
antenatal care workers increased from Schedule & workers are
delivery __% to __% on child Interacting with motivated to
ii. To impart hands on health care the field visit work for the
training on how to ii. The skill level of health unit promotion of
conduct aseptic workers on conducting health care of
delivery and take care immunization enhanced children
of new born by __%.
iii. To improve skill as iii. The knowledge and skill
how to do various of health workers on
vaccination of identification of referral
children in the age cases of respiratory
group 0-5 years infection and diahorrea
iv. To impart training on enhanced by __%.
management of
respiratory infection
and diarrhoea

Till now you have read about the steps involved in format writing and the logical
framework approach of training project proposal formulation. Now, answer the
following questions in Check Your Progress-1.

13
Project Formulation and Check Your Progress 1
Management
Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What are the different steps in project formulation?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What is the full form of “SMART” objective?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

1.6 LET US SUM UP

Preparing a project proposal is a daunting task. The project proposal must be
carefully crafted and its presentation must be professional, because most probably
the project might be competing with similar proposals for grants. This unit at the
outset has described the meaning of the project and various steps starting from
the review of past project proposal to discussion on project while formulating a
project proposal is dealt in detail. The project proposal required to be painted in
a particular format. The fourth section of this unit has described in detail the
format for writing project proposal. Logistic framework which now a days a
requirement of bilateral and multi-lateral funding agencies is also discussed in
the last section.

1.7 REFERENCES AND SELECTED READINGS

International Tropical Timber Organization (2009), Manual for Project
Formulation, Third Edition; GI Series 13.
O’ Connor, B.N., Bronner, M. and Delaney, C. (1996), South – Western Training
for Organization, South – Western Educational Publications, Baylor Universities,
Waco, Texas.
P. Nick Blanchard and James W. Thacker (2005), Effective Training: Systems,
Strategies and Practices, Prentice Hall India.
Steve Truelove (1997), Handbook of Training and Development, Beacon Books.
Vinayshil Gautam, Shobhana G. (2008), Training and Development, Indian
Society for Training and Development, New Delhi.
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Project Formulation
1.8 CHECK YOUR PROGRESS: POSSIBLE
ANSWERS
Check Your Progress 1
1) What are the different steps in project formulation?
Different steps in the project formulation are: (i) Review of past project
proposals; (ii) Consulting experts, consultants, and previous project
coordinators; (iii) Review past project evaluation reports; (iv) Interact with
the prospective beneficiaries; (v) Check statistical data/ report; and (vi) Hold
focus group discussion
2) What is the full form of “SMART” objective?
In nutshell objective must be ‘SMART’ -
S – Simple: It should be simple and covering one point at a time.
M– Measurable : It must be measurable so that a conclusion can be drawn
A – Attainable : It can be handled within the limit imposed by the time
R – Realistic : It must not be unrealistic which can not be achieved
T – Time-bound: It must be so framed that it is achieved with the set time.

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Project Formulation and
Management UNIT 2 PROJECT APPRAISAL

Structure
2.1 Introduction
2.2 Projects: Meaning and Concept
2.3 Difference Between a Project and a Programme
2.4 Criterion for Project Appraisal
2.5 Project Appraisal Techniques
2.6 Let Us Sum Up
2.7 References and Selected Readings
2.8 Check Your Progress – Possible Answers

2.1 INTRODUCTION
In the previous unit you have read about project formulation. This unit deals
with the project appraisal techniques. Projects often provide the base for
sustainable development intervention. Project appraisal is a generic term that
refers to the process of assessing, in a structured way, the case for proceeding
with a project or proposal. It often involves comparing various options, using
economic appraisal or some other decision analysis technique. A good appraisal
justifies spending money on a project. It is an important tool in decision making
and lays the foundation for delivery and evaluation. Appraisal asks fundamental
questions about whether funding is required and whether a project offers good
value for money. It can give confidence that public money is being put to good
use, and help identify other funding to support a project.

2.2 PROJECTS: MEANING AND CONCEPT

What are Projects?
Projects are the cutting edge of development. Projects are an investment activity
in which financial resources are expended to create capital assets that produce
benefits over an extended period of time.
UNIDO defines a project as a proposal for an investment to create and develop
certain facilities in order to increase the production of goods/services in a
community during a certain period of time.
The Chartered Management Institute define a project as “an activity that has a
beginning and an end which is carried out to achieve a particular purpose to a set
quality within given time constraints and cost limits”.
A project may be defined as an activity for which money will be spent in an
expectation of returns and which logically seems to lend itself to planning
financing and implementation as a unit. It is the smallest operational element
prepared and implemented as a separate entity in a national plan of programmes
of development.
A project is also defined as a proposal for an investment to create, expand and
develop certain facilities in order to increase the production of goods and services
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in a community during a certain period of time. Furthermore, for evaluation Project Appraisal
purposes, a project is a unit of investment, which can be distinguished technically,
commercially and economically from other investments.

2.3 DIFFERENCE BETWEEN A PROJECT AND A

PROGRAMME
Many people are uncertain about the difference between a project and a
programme. A project is a temporary entity established to deliver specific (often
tangible) outputs in line with predefined time, cost and quality constraints.
Whereas, a program is a portfolio comprising of multiple projects that are managed
and coordinated as one unit with the objective of achieving (often intangible)
outcomes and benefits for the organization. Table 3.1 summarizes the main areas
of differences between a project and a programme.
Table 2.1: Difference between Project and a Programme
Parameter Project Programme

Objectives Outputs are tangible; relatively Outcomes are often intangible; difficult to
easy to describe, define and quantify; benefits often based on changes
measure; tending towards to organizational culture and behaviours;
objective. introducing new capabilities into the
organization; tending towards subjective.
Scope Strictly limited; tightly defined; Not tightly defined or bounded; likely to
not subject to change during the change during the life cycle of the program.
life of the project.
Duration Relatively short term; typically Relatively long term typically eighteen
three to six months. months to three years.
Risk profile Project risk is relatively easy to Program risk is more complex and
identify and manage. The potentially the impact on the organization
project failure would result in if a risk materializes will be greater relative
relatively limited impact on the to project risk. Programme failure could
organization relative to result in material financial, reputational or
programme risk. operational loss.
Nature of the Clearly defined. Ill-defined; often disagreement between key
problem stakeholders on the nature and definition
of the problem.
Nature of the A relatively limited number of A significant number of potential solutions
solution potential solutions. with disagreement between stakeholders as
to the preferred solution.
Stakeholders A relatively limited number of A significant number of potential solutions
potential solutions. with disagreement between stakeholders as
to the preferred solution.
Relationship to Environment within which the Environment is dynamic; and programme
environment project takes place is objectives need to be managed in the
understood and relatively context of the changing environment within
stable. which the organization operates.
Resources Resources to deliver the project Resources are constrained and limited; there
can be reasonably estimated in is competition for resources between
advance. projects.
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Project Formulation and
Management 2.4 CRITERION FOR PROJECT APPRAISAL
After a project has been prepared, it is generally appropriate for a critical review
or an independent appraisal to be conducted. This provides an opportunity to
reexamine every aspect of the project plan to assess whether the proposal is
appropriate and sound before large sums are committed. The appraisal process
builds on the project plan, but it may involve new information if the specialists
on the appraisal team feel that some of the data are questionable or some of the
assumptions faulty. If the appraisal team concludes that the project plan is sound,
the investment may proceed. But if the appraisal team finds serious flaws, it may
be necessary for the analyst to alter the project plan or to develop a new plan
altogether.

If a project is to be financed by an international lending institution such as the

World Bank or by a bilateral assistance agency, such an external lender will
probably want a rather careful appraisal even if it has been closely associated
with earlier steps in the project cycle. The World Bank, for example, routinely
sends a separate mission to appraise proposed projects for which one of its member
governments intends to borrow.

The preparation of a project entails consideration of many aspects. The major

aspects to be considered during the appraisal of the project are:
1) Technical
2) Institutional
3) Organizational
4) Managerial
5) Social
6) Commercial
7) Financial
8) Economic
9) Sustainability
Let us now discuss each of these criterions of project appraisal.
1) Technical Aspect
The technical aspect of any project considers the technical feasibility of any
project. It concerns with the technical aspect of a project form both input
supply side and output delivery side. For example if you want to take up a
metro project in a urban region, you may have to examine the soil type of the
region for pillar strength, urban population to be benefited, availability of
land, route etc. Such information can be collected through surveys.

2) Institutional Aspect
The institutional aspect of a project deals with the framework within which
the project will have to operate. A complete knowledge of the institutional
aspect helps identifying the components of institutional framework that will
have a bearing on the project. Some of the elements that constitute the

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institutional framework include government institutions, project authority, Project Appraisal
corporate bodies, land systems, banking and credit institutions, religious
customs, practices and social mores. There is a need to understand the
administrative system of the region where the project has to be undertaken.

3) Organizational Aspect
Here the term organization refers to the structure if the body that would
undertake the task of project execution. The proposed organization must
have the capacity to carry out the assignments given to it. Some of the basic
principles to be followed include:
1) There must be clear lines of authority running from top to bottom of the
organization and the chain of command should be clear.
2) The responsibilities of each authority should be clearly defined in
writing.
3) The decision making power should be placed as near as possible to the
scene of action.
4) The number of levels of authority should be kept at minimum.
5) The organization should be kept as simple as possible and should be
flexible to adjust to changing conditions.

4) Management Aspect
The main task of management is to implement the project objectives within
the framework of organizational structure. For good management, a clear
definition of functions and activities are required. There is also a need for
allocating responsibilities to various agencies for various project activities.
A suitable mechanism for coordination of the activities of participating
agencies should also be developed. Besides, proper staffing also comes under
the purview of the management.

5) Social Aspect
It is very important to assess the social patterns, customs, culture, traditions
and habits of the clientele. Various aspects like changes in living standards,
material welfare, income distribution etc. In selecting some projects, weights
are assigned for income distribution so that the projects which benefit the
lower income group are benefitted. The adverse effect of the project on
particular group is also examined. Preserving the environment and wildlife
habitats is given high priority.

6) Commercial Aspect
The commercial aspects of a project involves the arrangements of marketing
the output produced by the project and ensuring supply of inputs needed for
the project to operate. There is a need to assess the effective demand of the
project output and the prices that may prevail under the demand and supply
situations. The analyst also needs to cautiously evaluate the impact of product
supply on the price of the product and the viability of the project under such
changed price situation.

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Project Formulation and 7) Financial Aspect
Management
Decisions about undertaking any project depend a lot on financial analysis
of a project. As there could be many beneficiaries/participating agencies of
any project, there is a need for separate financial analysis each.

8) Economic Aspect
The economic aspect is very important to be taken into consideration while
appraising a project proposal. If it is a developmental project aims at
improving the quality of life of the people in the project area, then what will
be its economic impact in terms of raising income and standard of living of
the people is essential.

9) Sustainability Aspect
Donor agencies are emphasising on the sustainability of the project after the
intervention is withdrawn from the project area. While appraising the project
proposal the reviewer must see that adequate attention has been given to the
sustainability of the project by enquiring several questions i.e How will the
project to be sustained after the project activities are withdrawn? Who will
sustain it, both financially and technically? and What endeavour has been
made by the proposer while proposing the project? and so on.

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What are projects? How do they help in development?
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2) Describe with an example the technical aspects to be considered while
preparing a project?
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20
Project Appraisal
2.5 PROJECT APPRAISAL TECHNIQUES
Project appraisal is the effort of calculating a project’s viability. Appraisal involves
a careful checking of the basic data, assumptions and methodology used in project
preparation, an in-depth review of the work plan, cost estimates and proposed
financing, an assessment of the project’s organizational and management aspects,
and finally the viability of project. The project appraisal criteria can be divided
under two heads:
1) Non-Discounting Technique
• Urgency
• Payback Period
• Accounting Rate of Return
• Debt Service Coverage Ratio (DSCR)
2) Discounting Criteria Technique
• Net Present Value (NPV)
• Internal Rate of Return (IRR)
• Benefit Cost Ratio (BCR)
• Annual Capital Charge
Now we will discuss the techniques in detail

2.5.1 Non-Discounting Techniques

i) Urgency
According to this criterion, the projects that are more urgent get preference
over those that are less urgent. However, one of the problems in using this
criterion is to judge the urgency of any project. The decision taken may be
subject to the personal bias of the decision maker. In view of this limitation,
it should not be used for investment decision making.

ii) Payback Period

In simple terms, the payback period is the length of time required to recover
the initial cash outlay on the project. If the cash inflows are constant, then
the payback period is calculated by dividing the initial outlay by the annual
cash inflow. For example, a project which has an initial cash outlay of Rs
10,00,000 and a constant annual cash inflow of Rs 2,00,000 has a payback
period of : 10,00,000/ 2,00,000 = 5 years.

If the cash flow is not constant, e.g. if a project involves a cash outlay of
6,00,000 and generates cash inflow of Rs 1,00,000, Rs 1,50,000, Rs 1,50,000
and Rs 2,00,000 in the first, second, third and the forth years respectively, its
payback period is four years because the sum of cash inflow during four
years is equal to the total outlay.

Decision making: According to the payback period criterion, the shorter

the payback period, the more desirable is the project. Firms using this
criterion, generally specify the maximum acceptable payback period.

21
Project Formulation and Evaluation of this method:
Management
• It is simple in concept and application.
• It favours those projects that generate substantial inflows in earlier years
and discriminate against projects that bring substantial cash flows only
in later years.
• As this criterion emphasises on earlier cash flows, it may be a good
criterion when the firm is pressed with the problem of liquidity.
• It fails to consider the time value of money thus violating the most
basic principle of financial analysis which says that cash flows occurring
at different points of time can be added or subtracted only after suitable
compounding and discounting.
• Since payback period is the measure of a project’s capital recovery, it
may divert attention from profitability.

In spite of the shortcoming of not using the time value of money, payback
period is used with advantage in apprising investments for the following
reasons:
• The payback period may be considered roughly as the internal rate of
return when annual cash flow is constant and the life of the project
fairly long.
• The payback period is somewhat akin to the breakeven point.
• The payback period also gives information about the rate at which the
uncertainty associated with the project is resolved. The shorter the
payback period, the faster the uncertainty associated with the project is
resolved.

iii) Accounting Rate of Return

The accounting rate of return or the simple rate is the measure of profitability
which relates income to investment, both measured in accounting terms. As
there are various ways of measuring income and investment, there are a
large number of measures for accounting rate of return. The commonly used
ones are given:
1) Average income after tax
Initial investment
2) Average income after tax
Average investment
3) Average income after tax but before interest
Initial investment
4) Average income after tax but before interest
Average investment
5) Average income before interest and taxes
Initial investment
6) Average income before interest and taxes
22 Average investment
Decision making: The higher the accounting rate of return, the better the Project Appraisal
project.
Evaluation:
• It is simple to calculate.
• It is based on accounting information which is readily available.
• It considers benefits over the entire life of the project.
• Though the income data of the entire life of the project is required, one
can work out accounting rate of return even if the complete income
data is not available by taking income from a typical year.
Disadvantages of accounting rate of return:
• It does not take into account the time value of money.
• There are numerous measured of accounting rate of return which can
create confusion.
iv) Debt Service Coverage Ratio (DSCR)
The debt service coverage ratio is generally used to find the financial
worthiness of the projects which need long term financing. The formula is
[net profit + interest (on long term loan) + depreciation] / [interest (on long
term loan) + principal loan].
Decision Making: Generally, the financial institutions regard a debt service
coverage ratio of 2 as satisfactory.
Drawback:
In DSCR, both the numerator and the denominator consist of a mixture of
post tax and pre tax figures (profit after tax in the numerator and loan
repayment instalment in the denominator are post tax figures and interest in
both numerator and denominator is pre tax figure). It is difficult to interpret
a ratio that is based on a mixture of post tax and pre tax figures.

2.5.2 Discounting Techniques

i) NPV
The difference between the present value of cash inflows and the present
value of cash outflows. NPV is used in capital budgeting to analyze the
profitability of an investment or project.

NPV analysis is sensitive to the reliability of future cash inflows that an

investment or project will yield.
The formula for NPV is:
n
(Benefits - Costs)
NPV = å t

(1 + r)
t
t =0

where:
r = discount rate
t = year
n = analytic horizon (in years)
23
Project Formulation and Decision making:
Management
If the NPV of a prospective project is positive, it should be accepted. However,
if NPV is negative, the project should probably be rejected because cash
flows will also be negative.
Features of NPV:
• The NPV is based on the assumption that the intermediate cash inflows
of the project are re-invested at a rate of return equal to the firm’s cost
of capital.
• The NPV of a simple project decreases as the discount rate increases,
the decrease in NPV however is at a decreasing rate.
Merits of NPV
• It takes into account the time value of money.
• It considers the cash flow stream in its entirety.
• The NPV’s of various projects can be added. The NPV of a scheme
consisting of two projects A and B will simply be the sum of NPV’s of
these projects individually.
NPV (A+B) = NPV(A) + NPV(B).

To illustrate the calculation of net present value, consider a project which

has the following cash flow stream:
Year Cash Flow
0 -10,00,000
1 2,00,000
2 2,00,000
3 3,00,000
4 3,00,000
5 3,50,000

The cost of capital k for the firm is 10 percent. The net present value of the
proposal is:
10.00,000 2,00,000 2,00,000 3,00,000 3,00,000 3,50,000
NPV = ———— +———— + ———— + ——–— + ———– + ————
(1.10)0 (1.10)1 (1.10)2 (1.10)3 (1.10)4 (1.10)5
= –5273

Since the decision rule associated with the net present value is to accept the
project if the net present value is positive and reject if it is negative, in this
example, the decision should be to reject the project.

ii) IRR
The discount rate often used in capital budgeting that makes the net present
value of all cash flows from a particular project equal to zero. Generally
speaking, the higher a project’s internal rate of return, the more desirable it
is to undertake the project. As such, IRR can be used to rank several
24
prospective projects a firm is considering. Assuming all other factors are
equal among the various projects, the project with the highest IRR would Project Appraisal
probably be considered the best and undertaken first.

IRR is sometimes referred to as ”economic rate of return (ERR)”. It is the

discounted rate in the equation:

CF0 CF1 CFn CFt

0 = 1 + r 0 + 1 + r 1 + .... + 1 + r n = å 1 + r t
( ) ( ) ( ) ( )
CFt = cash flow at the end of the year t
r = discount rate
n = life of the project
In the internal rate of return, we set the net present value equal to zero and
determine the discount rate which would also be the internal rate of return.

E.g. Consider the cash flow of a project

Year Cash Flow

0 -1,00,000
1 30,000
2 30,000
3 40,000
4 45,000

The internal rate of return is the value of r which satisfies the following
condition.

30,000 30,000 40,000 45,000

1,00,000 = ——— + ——— + ——— + ————
(1+r) (1+r)2 (1+r)3 (1+r)4

The calculations of r consist of a process of trial and error. We try different

values of ‘r’ till we find that the right hand side of the above equation is
equal to the left hand side. By putting the value of ‘r’ as 12 we get 1,07,773,
for 14 it is 1,03,046, for 15 it is 1,00,802 and for 16 it is 98,641. Since at 16
percent, the value is less than 1,00,000, we conclude that the value of ‘r’ lies
between 15 % and 16%.
A 1 percent difference (between 15 and 16 percent) corresponds to a difference
of 2161 (1,00,802 – 98,641). The difference between the net present value at
15% (1,00,802) and that at present target value (1,00,000) is (1,00,802 –
1,00,000) is Rs.802. This difference will correspond to a percentage difference
of 802/2131 = 0.37.
Adding this number to 15 percent we get the value as 15.37 percent.
You can think of IRR as the rate of growth a project is expected to generate.
While the actual rate of return that a given project ends up generating will
often differ from its estimated IRR rate, a project with a substantially higher
IRR value than other available options would still provide a much better
chance of strong growth. 25
Project Formulation and IRRs can also be compared against prevailing rates of return in the securities
Management
market. If a firm can’t find any projects with IRRs greater than the returns
that can be generated in the financial markets, it may simply choose to invest
its retained earnings into the market.

The discount rate often used in capital budgeting that makes the net present
value of all cash flows from a particular project equal to zero. Generally
speaking, the higher a project’s internal rate of return, the more desirable it
is to undertake the project. As such, IRR can be used to rank several
prospective projects a firm is considering. Assuming all other factors are
equal among the various projects, the project with the highest IRR would
probably be considered the best and undertaken first.

iii) Benefit-Cost Ratio (BCR)

A Benefit Cost Ratio is an indicator, used in the formal discipline of cost-
benefit analysis, that attempts to summarize the overall value for money of
a project or proposal. A BCR is the ratio of the benefits of a project or proposal,
expressed in monetary terms, relative to its costs, also expressed in monetary
terms. All benefits and costs should be expressed in discounted present values.

The benefit-cost ratio (BCR) represents the ratio of total benefits over total
costs, both discounted as appropriate. The formula for calculating BCR is:
PVbenefits
BCR = ————
PVcosts

where:
PVbenefits = present value of benefits
PVcost = present value of costs
In other words, since the present value of costs is nothing but the initial
investment, the BCR may be defined as the ratio of present value of benefits
to initial investment.
To illustrate the calculation of this measure, let us consider a project which
is being evaluated by a firm that has a cost capital of 12 percent.
The initial investment in the project is Rs1,00,000.
Year Benefits
Year 1 25,000
Year 2 40,000
Year 3 40,000
Year 4 50,000
The benefit cost ratio of this project will be

25,000 40,000 40,000 50,000

——— + ———2 + ———3 + ————
(1.12) (1.12) (1.12) (1.12)4
BCR = —————————————————————
1,00,000
= 1.145
26
Decision making: If BCR is >1, the project should be accepted and would be Project Appraisal
beneficial.

If BCR =1, we interpret it as being indifferent.

If BCR <1, the project should be rejected.

The BC ratio is preferable to NPV as this criterion measures per rupee of outlay
and it can discriminate between large and small investments.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What are the advantages of payback period?
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2) What is Benefit Cost ratio? What is the decision making criteria while using
BC ratio?
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2.6 LET US SUM UP

In this unit we read about the meaning of projects. The unit also discusses the
various aspects to be considered while preparing the project. Many people are
uncertain about the difference between a project and a programme. In this unit
we have discussed in detail the difference between a project and a programme.
The various criterion for project appraisal, discounting and non-discounting
techniques of project appraisal have also been discussed.

2.7 REFERENCES AND SELECTED READINGS

Baum W.C and Tolbert S.M. (1985) Investing in Development: Lessons of the
World Bank Experience, Oxford: Oxford University Press.
Choudhary, S. (1988) Project Management, New Delhi: Tata McGraw Hill.

Harrison, F.L. (1992), Advance Project Management, Metropolitan, New Delhi.

27
Project Formulation and Kohli, K. N (1993), Economic analysis of investment projects: a practical
Management
approach, Oxford University Press.
Lavagnon A. Ika, Amadou Diallo, Denis Thuillier, (2010) “Project management
in the international development industry: The project coordinator’s perspective”,
International Journal of Managing Projects in Business, Vol. 3 Iss: 1, pp.61 –
93
Layard, R. and Stephen Glaister, (eds) Cost-Benefit Analysis, Second edition,
Cambridge.
Prasanna Chandra (1988), Projects, Preparation, Appraisal, Budgeting and
Implementation, Tata McGraw Hill, New Delhi.
Sapru R.K., (1994), Development Administration, Sterling, New Delhi.
United Nations Industrial Development Organisation (1998), Manual For
Evaluation of Industrial Projects, Oxford and IBH New York.

2.8 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1
1) Projects are the cutting edge of development. Projects are an investment
activity in which financial resources are expended to create capital assets
that produce benefits over an extended period of time.

2) The technical aspect of any project considers the technical feasibility. It

concerns with the technical aspect of a project form both input supply side
and output delivery side. For example if you want to take up an agricultural
project in a region, you may have to examine the soil type of the region,
water availability, crops grown, livestock breed suitable for the area, pests
prevalent in the area etc.

Check Your Progress 2

1) Payback period is used with advantage in apprising investments for the
following reasons:
• The payback period may be considered roughly as the internal rate of
return when annual cash flow is constant and the life of the project
fairly long
• The payback period is somewhat akin to the breakeven point.
• The payback period also gives information about the rate at which the
uncertainty associated with the project is resolved. The shorter the
payback period, the faster the uncertainty associated with the project is
resolved.
2) A BCR is the ratio of the benefits of a project or proposal, expressed in
monetary terms, relative to its costs, also expressed in monetary terms. The
benefit-cost ratio (BCR) represents the ratio of total benefits over total costs,
both discounted as appropriate.

28
Project Appraisal
UNIT 3 PROJECT MANAGEMENT

Structure
3.1 Introduction
3.2 Project Management: Concept and Elements
3.3 Project Management Cycle
3.4 Project Management Techniques
3.5 Pre-requisites of Effective Project Management
3.6 Let Us Sum Up
3.7 References and Selected Reading
3.8 Check Your Progress: Possible Answer

3.1 INTRODUCTION
Project management has an important place in development as many of the urban
development researchers and institutes are now days undertaking many research
projects. Every project manger has to deal with different targets, different
environment and different target groups. Appropriate knowledge and skill about
the various aspects of project management will transform a project manger in to
an excellent project manager. The project manager largely perform following
roles: (i) plan the project along with other team members; (ii) prepare strategies,
activities and arrange and allocate resources required for the achievement of
project objectives; (iii) maintain relation between the project team, institution
and the donor agency of the project; and (iv) successfully complete the project
and disseminate its finding for the consumption of large audience. This unit
deals in detail about the project management.
After reading this unit, you should be able to:
i) Define concept and elements of project management;
ii) Describe various steps of project management cycle;
iii) Explain various project management techniques; and
iv) Discuss different pre-requisites of effective project management.

3.2 PROJECT MANAGEMENT: CONCEPT AND

ELEMENTS
3.2.1 Project Management Concept
Project management is an important concept and topic because now a days all
organizations either big or small are involved in the implementation of various
projects. Lewis has opined that although management of projects has been going
on for thousands of years, the practice has been widely recognized as a discipline
in its own rights for only about ten years.

Before going to explain project management, it is essential to known, what is a

project? A project is generally described as an initiative to bring about change.
This is done in order to achieve specific objectives, within a timescale and in a
29
Project Formulation and given context. A project has normally an allocated budget. According to Project
Management
Management Institute “A project is any undertaking with a defined objective by
which completion is identified. In practice most projects depend on finite or
limited resources by which the objectives are to be accomplished.” Viv Martin
listed out following attributes of a project:
1) has a clear purpose that can be achieved in a limited time;
2) has a clear end when the outcome has been achieved;
3) is resourced to achieve specific outcomes;
4) has someone acting as sponsor who expects the outcomes to be delivered on
time; and
5) is a one-off activity that would not normally be repeated.

Project Management has been evolved one of the important areas in the area of
urban development. According to Richard Newton (2008), project management
has been developed over the past few decades as it has become apparent that
without a structured approach, people are not very good at completing projects
successfully. The principal aim of project management is to see that projects are
well formulated, effectively implemented; completed in time and end result is
achieved. The project management is largely encircled in four important factors
i.e cost, time, scope and quality. According to PMBOK “project management is
application of knowledge, skills, tools and techniques to project activities to
achieve project requirements. Project management is accomplished through the
application and integration of the project management processes of initiating,
planning, executing, monitoring, controlling and closing.”

3.2.2 Basic Elements of Project Management

The four basic elements of project management, which a project manager has to
look into are: cost time, scope and quality. All these four elements are inter-
connected and have to be managed effectively for the successful implementation
of the project.
Cost

Quality Time

Scope

i) Cost Management: An efficient project manager is evaluated on his or her

ability to complete the project within the stipulated budget. The costs include
estimated cost, actual cost and variable cost. Besides, there is contingency
cost which takes into account the influence of weather, supplier and design
allowances.

ii) Time Management: Time management is one important skills for any
successful project manager. Most of the project fails due to poor time
management by the project managers. For the effective management of
30
time, a project has to broken down into number of tasks which are to be Project Management
accomplished within time frame. To prepare the project schedule, the project
manager has to figure out what the tasks are, how long they will take, what
resources they require and in what order they should be done.

iii) Scope Management: The project manager at the outset need to clearly
delineate scope of the project. The scope of the project will enable the project
manager to judiciously plan required resources and manpower for the project.
As project is time and cost bound, therefore, scope of the project needs to be
appropriately framed within these constraints. Scope management comprises
following main aspects such as authorizing the job, developing a scope
statement that will define the boundaries of project, sub-dividing the work
into manageable components with deliverables, verifying that the amount
of work has been achieved and specifying scope change control procedures
(Levis, 2007).

iv) Quality Management: Quality management is last but not least element of
project management. The success of the project is judged by the yardstick
of quality of work it has produced. The successful project manager maintains
the balance between cost, quantity and quality. According Levis (2007) quality
management includes both quality assurance and quality control. The former
means planning to meet quality requirements and the later emphasises on
the steps to be taken to monitor results to see if they conform to requirements.

In this section you studied the concept and elements of project management,
now answer the questions given in Check Your Progress-1.

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What do you mean by project?
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2) Time management is an important element of project management- Discuss.
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31
Project Formulation and
Management 3.3 PROJECT MANAGEMENT CYCLE
Project cycle has six main phases which is given in the form of cycle wheel
below. The six various phases of project management cycle are:
1) Need Identification
2) Initiation
3) Planning
4) Executing
5) Controlling
6) Closing

Fig. 3.1: Project Management Cycle

1) Need Identification- The development of project cycle begins with

identification, whether there is a need of development project for a particular
sector, area, community, etc. The identification usually comprises two main
aspects i.e. situation analysis and problem analysis. Let us discuss these two
important aspects in detail.

32
i) Situation Analysis Project Management

Understanding situation is the beginning of designing any development

project or programme. Situation analysis broadly involves analysis of needs
and assets, problem analysis and examining relevant interventions. According
to Towen (2001) situation analysis is an activity which can firmly link
planning to the realities in the field and thereby to the implementation of the
project. The situation analysis may comprise analysis of the physical,
economic, social, cultural and political environment within which the
population live. Some of the development indicators to be used during the
situation analysis of development of a project are: composition of population,
housing, sanitation, health, employment, drinking water, education, land
holding, industry, services etc. The context and type of information required
is given in Table 3.1

Table 3.1: Information for Situation Analysis

Context Type of Information
Socio-Demographic Population composition and distribution
Household and family formation
Education and health services
Housing condition
Sanitation and drinking water
Access to communication / energy
Economic Activity Income
Employment/workforce participation
Wages
Expenditure
Standard of living/poverty
Socio-Cultural & Political Political structure
Political participation
Relevant laws, statues and policies
Predominant social structure
Gender role in the household
Decision making pattern
Condition of marginalized

ii) Problem Analysis

The second step in need identification is problem analysis. For understanding
a situation to be influenced by a project, it is essential to know the problem
conditions which constitute development constraints as well as their causes.
Problem analysis is of prime importance to developmental project planning,
as it strongly influences the design of all possible developmental
interventions. Problem identification is a deductive process. It is a state of
affairs or facts or figures that cause difficulties and sufferings. The problem
analysis not only investigates What is wrong ? but also try to understand
‘Why’ and ‘How’ it is wrong ? in order to assign priority to the problem. It
seeks to answer several questions these are:
33
Project Formulation and What is the problem?
Management
Why is this a problem?
a) What are the probable causes of the problem?
b) How serious is the problem?
Who are affected by the problem?
a) How many are they?
b) Where are they located?
c) What are their characteristics?
According to FAO, the problem tree is a visual problem-analysis tool that
can be effectively used by both the field development staff and the community
to specify and investigate the causes and effects of a problem and to highlight
the relationship between them. The problem tree analysis helps to find out
solutions by mapping out the anatomy of cause and effect around an issue.

The roots of the tree, is the lower part of the drawing, metaphorically represent
the causes of the main problem. The tree trunk at the centre of the drawing
represents the main problem and the tree branches, on the upper side of the
drawing, provide a visual representation of the effects of the main problem.
Tips for Problem Analysis
Describe the key problem identified and its causes and effects.
Delineate how these problems affect the target group.
Explain how addressing the causes will lead to eradication of the key
problem
The description should be clear, concise and convincing
For each specific problem selected, develop a problem tree

• Traffic congestion
• Longer commuting
• Environmental pollution
• Low safety & accidents

Problem of Urban Transport System

• High population
• Transport demand exceeding supply
• Loads of personal vehicles
• Low investments in public transport systems

Fig. 3.2: Problem Tree of Urban Transport System

34
2) Initiation- Once the needs of the project are identified and decision is taken Project Management
to do the project, the second step is to launch or initiate the project. There
are number of activities associated in this stage. The project sponsor creates
a project charter which delineates authorization of work on the project, define
the authority, responsibility and accountability of the project team and
establish scope boundaries of the project. The success of the project team
veritably depends upon starting with complete and accurate information,
management support and the authorization necessary to manage the project.

3) Planning- Planning phase is one of the important phases of the project cycle
management. The project planning defines project activities that will be
performed; the output that will be produced; and delineate how these activities
will be accomplished and managed. Project planning defines each major
task, estimates the time, resources and cost required, and provides a
framework for management review and control. In other words, planning
involves identifying and documenting scope, tasks, schedules, cost, risk,
quality and staffing needs.

The project manager, along with his project team prepares project plan and
gets it approved from the management. The project plan is a comprehensive
document that allows a project team to begin and complete the work necessary
to achieve the project goal and objectives. The project plan will address how
the project team will manage the project elements.

4) Executing- After the project plan is prepared, it gets ready for execution or
implementation. The project team acquire all necessary resources required
to carry out the project and ready to perform project activities. The project
manger along with the project team put their energy and efforts in
participating, observing and analysing the project activities so that the output
is produced and goal and objectives of the project achieved. In other words
one is to execute the work that must be done to come out with the product of
the project. Further, executing also refers to implementing the project plan.

In nutshell, executing refers to coordinating and managing the project

resources while executing the project plan, performing the planned project
activities and ensuring that they are completed efficiently.

5) Monitoring/Controlling- The functions of the project manger at this stage

is to monitor and compare actual performance with the planned performance
and take corrective measures to get the desired outcome when there are
significant differences. By monitoring and measuring progress regularly,
identifying variances from plan and taking corrective action if required,
project control ensures that project activities are met.

6) Closing out- Closing out is the last but not the least phase of project cycle
management. Once the output is produced to the customer’s satisfaction,
the project is considered finished. However, this should not be the case. A
final lesson-learned review should be done before the project is considered
complete. Failing to do the lessons-learned review means that future project
will likely to suffer. Although project close out is a routine process, it is an
important one. According to Haugey, project closure means formal acceptance
of the deliverables and disbanding of all the elements that were required to
run the project. 35
Project Formulation and In this section you studied about the project management cycle and now answer
Management
the questions given in Check Your Progress-2.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) Discuss the importance of problems analysis in need analysis?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What are the functions of project manager during monitoring and controlling
of the project.
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3.4 PROJECT MANAGEMENT TECHNIQUES

The project management techniques helps the project manager to complete the
project activities successfully and effectively and achieve the project goal and
objectives within the assigned time period and budget. Broadly project
management techniques are two types:
i) Bar Charts
ii) Networks

3.4.1 Bar Chart

Bar Charts are the pictorial representation of various tasks required to be
performed for accomplishment of the project objectives. The bar charts are of
two types: (i) Gantt Chart and (ii) Milestone Chart

i) Gantt Chart
Henry L Gantt in 1917 developed a system of bar charts for scheduling and
reporting of a project. These charts, latter were known as Gantt Charts. It is
a pictorial representation specifying the start and finish time for various tasks
to be performed in a project on a horizontal time scale. The Gantt chart as a
tool is used:
√ To plan time scale of a project
36
√ To estimate resources required for a project Project Management

√ For graphical illustration of schedule of tasks to be completed

√ Helps to plan coordinate and track specific tasks for project
√ Good for small projects when the number of tasks or activities is small
and not complex i.e. good for simple projects.
Table 3.2: Task and Time Line of a Gantt Chart
Task Table Time
1. Planning of survey 1-3 Months
2. Designing of Questionnaire 1-3 Months
3. Hiring of Personnel 1-3 Months
4. Training of Personnel 1-4 Months
5. Collection of Data 2-6 Months
6. Data Entry 3-10 months
7. Data Analysis/Interpretation 3-10 Months
th
8. Report Writing 11 Months

The activities formulated in Table 3.2 have to be converted in to bar diagram or

chart form to be called as Gantt Chart. This is given below in graphical form.
The horizontal axis depicts time and vertical axis represents tasks (Fig.3.3).

Task Duration 1 2 3 4 5 6 7 8 9 10 11
(Months)
1. Planning of survey 1-3
Months
2. Designing of 1-3
Questionnaire Months
3. Hiring of Personnel 1-3
Months
4. Training of Peronnel 1-4
Months
5. Collection of Data 2-6
Months
6. Data Entry 3-10
Months
7. Data Analysis/ 3-10
Interpretation Months
8. Report Writing 11th Month

Fig. 3.3: Graphical Representation of Gantt Chart

Here the project manager has to draw bar chart as per the scheduled activities.
For example activity A is project planning plotted in first bar and like wise each
activity is plotted according to planned time line. Though Gnatt chart is
comprehensive, convenient and very effective, it has limitation of handling
complex projects.
37
Project Formulation and ii) Milestone Chart
Management
Milestone Chart is an improvisation over the Gantt Chart by introducing
milestones. The milestone represents a circle over a taste in the bar chart
which indicates completion of a specific phase of the task. This was used
because by drawing a simple bar chart one can not monitor the progress of a
particular task. In a milestone chart a task is broken down in to specific
activities and after accomplishment of the specific activity a milestone is
reached or in other words an event occurs.

Graph on Milestone

In this bar chart, milestones are represented in circle. For example in Task
A, the milestone two can not be reached until the mile stone one is crossed
and the activity between milestone one and two is over. For example in a
socio-economic survey in an urban slum, the survey can not be possible
unless questionnaires are prepared. Some of the weaknesses of the milestone
chart are:
i) It does not show interdependence between tasks.
ii) It does not indicate critical activities.
iii) It does not consider the uncertainties associated with accomplishment
of a certain task.
iii) It will be always cumbersome to draw the chart for large projects.

3.4.2 Networks
The best-known technique for network analysis is Programme Evaluation and
Review Technique (PERT) developed during 1956-1958. The PERT was
developed for US navy for scheduling the research and development activities
for Polaris Missiles Programme. The heart of any PERT chart is a network of
tasks needed to complete a project, showing the order in which the tasks need to
be completed and the dependencies between them. Some of the key features of
net work are:

√ It is a graphical depiction of project tasks and their inter-relationships.

√ The important feature of network diagram is that the ordering of Tasks is

shown by connecting with it predecessor and successor tasks.

√ Net work diagramming is a Critical Path Scheduling Technique used for

controlling resources.
38
√ Critical Path Scheduling is a technique whose order and duration of Project Management
sequence of task activities directly affect the Completion date of a project.

A few steps to be followed in network analysis are:

i) Specify the individual activities:- All the activities in the project are listed
and this list can be used as the basis for adding sequence and duration
information in the later steps.

ii) Determine the sequence of those activities:- Sequencing is important because

some activities are dependent on the completion of other activities.

iii) Estimate the completion time for each activity: - The time required to
complete each activity can be estimated using past experience.

iv) Draw a network diagram:- Once the activities and their sequences have been
defined, the network diagram can be drawn.

v) Identify the Critical path:- The Critical Path is the longest duration path
through the network. The significance of the critical path is that the activities
that lie on it cannot be delayed without delaying the project. Because of its
impact on the entire project, critical path analysis is an important aspect of
project planning.

vi) Update the diagram as it progress:-As the project progress, the actual task
completion times will be known and the network diagram can be updated to
include this information. A new critical path may emerge and structural change
made.

During the process of project implantation, some activities would be dependant

on the completion of other activities. For example training of personnel for survey
depends on completion of hiring of personnel, design of questionnaires and
printing of questionnaire. All these activities have to be completed for achieving
the milestone of training of personnel.

Symbols to be used to create a network diagram are given below:

39
Project Formulation and An arrow is used to represent each activity or tasks to accomplish and the duration
Management
of the activity is recorded below the arrow e.g. hours, days or months.

Each activity or task that happens, has preceding event (circle) and each circle is
pre-numbered e.g. above circle ‘5’ is used as example to how this would be the
5th event.

The earliest event time (EET) displays the earliest time an activity (represented
by an arrow) can start, given the interdependence of other activities that would
be completed beforehand.

The latest event time (LET) for an activity is recorded in the circle following
the activity (arrow) e.g. the latest time an activity must be completed by, in order
to achieve the elapsed time of the project.

A dummy activity is used when a task or activity (represented by an arrow)

follows more than one preceding activity e.g. the arrow could be drawn from
more than one potential circle in the diagram.

An example of network analysis is given in the tabular as well as diagrammatic

form below.

Table 3.3: Project on conduction of household socio-economic survey

Activity Duration Preceded
(in Weeks) by activity
A: Preparation of Questionnaire 5 —
B: Recruitment and Training of field investigator 4 —
C: Conduction of Survey 3 A B

Fig. 3.3: Networking Diagram

The networking technique for the conduction of a socio-economic survey in a

urban slum. Here in this project activity ‘C’ that is conduction of survey depends
a ‘A’ and ‘B’ activities such as preparation of questionnaire and recruitment of
field investigators, and their training. Whenever you see an activity with more
than one preceding activity, a dummy activity (broken arrow) will be required to
40
preserve logic within the diagram. Here, activity B is having more than two Project Management
activities.
Explanation
• The elapsed (expected completion) time of the project is 8 weeks.
• The critical path activities are A and C that is both must be completed within
their predicted durations, otherwise the project will be longer in duration
than 8 weeks. Notice how the EET and LET of critical activities are identical.
• Activity B is non-critical activity and would have a ‘float time’ of 1 week.
This is because its predicted duration is 4 weeks, but it can take 5 week to
complete and still leave enough time left for activity C to completed, the
elapsed time of the project will still be achieved. Notice how the EET and
LET of non-critical activities are different; the difference is 1 week e.g. the
float time, when you deduct one from the other.
• The broken arrow (or dummy activity) preserves logic within the diagram
e.g. visually you can see that both activities A and B must be completed,
before C can start. Notice also that the arrow representing activity C start
from circle 3 (not circle 2), this is because the earliest time for C would be 5
weeks not 4 weeks as circle 2 displays.
Some of the benefits of network technique are:
i) It provides a graphical view of the project;
ii) It predicts the time required completing the project;
iii) It shows which the activities to be started simultaneous and the activities
critical to the project;
iv) It highlights ‘float times’ for all activities;
Definitions of a few terms required in Network analysis are given below:
i) Activity – Customarily an activity consumes time and resources. It may
include paper work in preparation of project proposal, conduction of survey,
etc.
ii) Critical Path – A critical activity or event is one which has to be performed
by a certain time. The critical path is the longest path through a network and
determines the earliest completion of project work.
iii) Events – Beginning and ending points of activities are known as events.
iv) Milestone – This is an event that represents a point in a project of special
significance. Usually it is the completion of a major phase of the work.
v) Network – Networks are called arrow diagrams. They provide a graphical
representation of a project plan showing the relationships of the activities.

3.5 PREREQUISITES OF EFFECTIVE PROJECT

MANAGEMENT
Some of the knowledge and skill required for the effective project management
are as follow:
41
Project Formulation and 1) Project Integration Management:-Project integration management ensures
Management
that the project is properly planned, executed, and controlled. In other words,
every activity of the project must be well coordinated or integrated. The
project is a culmination of activities and tasks and an integrated approach
will enable the project to achieve its goal and objectives effectively. There
must be proper coordination at each level from the management down the
line workers level. It is studied that the project fails to achieve it goal at the
grassroots level because of lack of people’s participation. There many project
findings have suggested that the community must be integrated into the whole
process of project i.e planning, formulation of strategies, implementation as
well as controlling of various project activities.

2) Project Time Management:- In time completion of project not only gives

a credit to the manager of but also can ensure further projects to the
organization. Project time management refers to developing a time schedule
that can be met and then controlling the activities to ensure that it happens.
An efficient project manager tries to effectively manage the time and achieve
the project tasks within the allocated time period. Taking long time adds to
the inefficiency of the project. While taking too less time sometimes put
question mark on the quality of the project delivery.

3) Project Cost Management:- Cost management implies that project should

be completed within the formulated budget. Therefore, proper estimation of
the cost of resources i.e. manpower, equipment, materials and other things
like travel and other miscellaneous expenses. Cost are budgeted and tracked
to keep the project within the budget. The project cost must be appropriately
budgeted. For example, in most of the action research project the expenditures
on project interventional activities needed to be more compared to hiring of
manpower. Some times good project proposals are rejected not for the
technical but for the financial bid. Therefore costing is critical to project
management.

4) Project Human Resource Management:- Human resources are key to

project. It is supreme over all other resources. It involves identifying the
people needed to do the job, defining their roles, and responsibilities.
Acquiring efficient people as per their job requirement is critical to project
management. Besides training and capacity building of the manpower is
also important to human resources management. The human resource
management also includes the salary packages, leisure and medical and other
benefits. Sometimes project staffs are less motivated to work for poor benefits.
Therefore, many organization depute its efficient staff to the project by
offering them higher salary and grade.

5) Project Quality Management:- The balancing between the quantity and

quality of project deliverables is central to effective project management.
Maintenance of quality is vital to project and any compromise with the quality
will lead to dissensions among the project team and the beneficiaries. The
quality of input and out put of the project must be clearly visible. The qualified
and experienced manpower employed in the project can effectively and
efficiently manage the project then their counter parts those were less qualified
and less experienced. Nepotism in selection process is a deterrent to quality.

42
6) Project Communication Management:- Communication Management Project Management
refers to planning, executing, and controlling the acquisition and
dissemination of all information relevant to the needs of all project
stakeholders. Transparency in communication is an accountability of the
project manger. Democratic way of communication where all the stakeholders
participate and share their opinion regarding various aspects of project is
critical to a good project proposal formulation. Communication and
dissemination of findings of the project not only helps the policy makers to
formulate policy but also helps the organization to fetch more projects.

7) Project Risk Management:- Risk Management is a systematic process of

identifying, quantifying, analysis and responding to project risk. Higher is
the risk lower is the efficiency and effectiveness of the project. The efficiency
and effectiveness of a project is influenced by the risk factor. For example
the training of Commercial Sex Workers on HIV/AIDS in urban slum depend
on the identification of CSWs which is a risk factor. According to Lewis it
includes maximizing the probability and consequences of positive events
and minimizing the probability and consequences of advance events to project
objectives. It is an extremely important aspect of project management.

In this section you studied about the project management technique and pre-
requisites of effective project management and now answer the questions given
in Check Your Progress-3.

Check Your Progress 3

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) Briefly discuss Gantt Chart
.......................................................................................................................
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.......................................................................................................................
2) Cost management and time management are the important prerequisites of
project management- Discuss
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43
Project Formulation and
Management 3.6 LET US SUM UP
Project Management is an important area of development, as all organizations
big or small are implementing one or the other projects. The viability of many
organization some times solely depends on projects. Besides, the funding agencies
also needed to have adequate knowledge about the project management. The
present unit at the outset has described the meaning and basic elements of project
management. The second aspect which has been thoroughly covered in the unit
is project cycle management. Later on, the project management technique which
is vital to any project management has been discussed. The two techniques
customarily used in project management are Gantt chart and Networks. The
technicality in dealing with the project is judged from the technique used in
project formulation. The last part of the unit contains the skill required for the
project manager for the effective management of project.

3.7 REFERENCES AND SELECTED READINGS

Levis, J.P. (2007), Fundamentals of Project Management, American Management
Association, New York.
Richard Newton (2008), Project Management Step by Step, Kindersely Pvt.Ltd.,
New Delhi
Duncan Haughey, An Introduction to Project Management, Project Smart.co.uk,
http://www.projectsmart.co.uk/introuduction-to-project-management.html.
What is Project Management?, http://www.mpug.com/pages/whatisproejct
management.aspx.
What is Project Management? http://www.managementstudyguide.com/wh
Choudury, S, Project Management, Tata Mc Graw Hill
Network Techniques for project Management,www.em-ea.org/…/Book-1 /
1.7%20project% 20management.pdf
Rory B (2007), Project Management Techniques, Burke Publishing, UK.
Project Management Technique in Agricultural Extension, www.manage.gov.in/
.../manage203/ manage % 20book%20203-block.
Project Management with Gantt-Chart, OpenOffice.org.20calc
Tools and Techniques of Project Management, Chapter 7, Acorn Professional
Tutors, network diagram.pdf (SECURED)-Adobe Reader

2.7 CHECK YOUR PROGRESS: POSSIBLE

ANSWERS
Check Your Progress 1
1) What do you mean by project?
A project is generally described as an initiative initiated to bring about change.
This is done in order to achieve specific objectives, within a timescale and
44
in a given context. A project has normally an allocated budget. Viv Martin Project Management
lists out the following attributes of a project:
6) has a clear purpose that can be achieved in a limited time;
7) has a clear end when the outcome has been achieved;
8) is resourced to achieve specific outcomes;
9) has someone acting as sponsor who expects the outcomes to be delivered on
time; and
10) is a one-off activity that would not normally be repeated.
2) Time management is an important element of project management- Discuss.
Time management is one the important skills for any successful project
manager. Most of the project fails due to poor time management by the project
managers. For the effective management of time, a project has to broken
down into number of tasks which are to be accomplished within time frame.
To prepare the project schedule, the project manager has to figure out what
the tasks are, how long they will take, what resources they require and in
what order they should be done.
Check Your Progress 2
1) Discuss the importance of problems analysis in need analysis?
Problem analysis is of prime importance to developmental project planning,
as it strongly influences the design of all possible developmental
interventions. Problem identification is a deductive process. It is a state of
affairs or facts or figures that cause difficulties and sufferings. The problem
analysis not only investigates What is wrong ? but also try to understand
‘Why’ and ‘How’ it is wrong ? in order to assign priority to the problem. It
seeks to answer several questions these are:
What is the problem?
Why is this a problem?
c) What are the probable causes of the problem?
d) How serious is the problem?
Who are affected by the problem?
d) How many are they?
e) Where are they located?
f) What are their characteristics?
2) What are the functions of project manager during monitoring and controlling
of the project.
The functions of the project manger at this stage is to monitor and compare
actual performance with the planned performance and take corrective
measures to get the desired outcome when there are significant differences.
By monitoring and measuring progress regularly, identifying variances from
plan and taking corrective action if required, project control ensures that
project activities are met.
45
Project Formulation and Check Your Progress 3
Management
1) Briefly discuss Gantt Chart
Henry L Gantt in 1917 developed a system of bar charts for scheduling and
reporting of a project. These charts, latter were known as Gantt Charts. It is
a pictorial representation specifying the start and finish time for various tasks
to be performed in a project on a horizontal time scale.
2) Cost management and time management are the important prerequisites of
project management- Discuss
The cost and time management are important challenges before a project
manager. The task which he/she has to perform are narrated one by one
i) Project Time Management: Intime completion of project not only gives
a credit to the manager of but also can ensure further projects to the
organization. Project time management refers to developing a time
schedule that can be met and then controlling the activities to ensure
that it happens.
ii) Project Cost Management: Cost management implies that project
should be completed within the formulated budget. Therefore, proper
estimation of the cost of resources i.e. peoples, equipment, materials
and other things like travel and other miscellaneous expenses. Cost are
budgeted and tracked to keep the project within the budget.

46
Programme Planning
UNIT 1 PROGRAMME PLANNING

Structure
1.1 Introduction
1.2 Meaning of Programme Planning
1.3 Objectives of Programme Planning
1.4 Need Identification in Programme Planning
1.5 Principles of Programme Planning
1.6 Programme Planning Process
1.7 Let Us Sum Up
1.8 Keywords
1.9 References and Selected Readings
1.10 Check Your Progress – Possible Answers

1.1 INTRODUCTION
The first step in any systematic attempt to promote urban development is to
prepare useful programmes based on people / community needs. The development
of such programmes, which harmonize with the needs of people as a whole, is
an important responsibility of urban development workers. Programme planning
is also a procedure of working with the people in an effort to recognize
unsatisfactory situations or problems, and to determine possible solutions, or
objectives or goals. This is a conscious effort to meet the needs, interests and
wants of people for whom the urban developmental programmes are intended.
Hence, the element of people needs should be the central concern of urban
development professionals who formulate / implement development programmes.
After studying this unit you should be able to:
• discuss meaning, objectives and principles of programme planning process.
• describe the programme planning process.

1.2 MEANING OF PROGRAMME PLANNING

Before going into the details of programme planning process, let us understand
the meaning of the terms like programme, plan and programme planning in the
context of urban development.
Programme: Programme is a written statement which describes proposed
developmental activities, the problems they address, the actions, and resources
required.
Plan: Plan is schedule of development work outlining different activities in a
specific period. It answers the questions like what, why, how, and when as well
as by whom and where the work is to be done.
Programme planning: Programme planning is the process of making decisions
about the direction and intensity of development education efforts to bring about
desirable change among people /community.
5
Monitoring and Evaluation Development programme: Development programme
Good programme
is a statement of situation, objectives, problems,
planning is to the
strategies and solutions to development problems and
urban development
issues. The development programmes formulated for
worker what the
the urban may be different from that of the rural areas.
compass is to the
Development programmes varies from time to time
seaman.
depending on the issues and problems cropped up at
that particular period.

Let us briefly discuss the terms / related terms used in this definition.
Situation: Situation is a statement of affairs that includes the cultural, social,
economic and physical conditions in which a particular group of people find
themselves at a given period of time. Please remember the situation which
constitutes the environment for planning is continuously changing. The changing
environment aspects that are relevant to development work are:
• Changes in technology.
• Changes in Government policy.
• Changes in overall economic activity including prices, employment of labour,
raw material etc.
• Changes in social norms and attitudes of people towards development.
Aims: Aims are generalized and broad statement of directions with respect to
given activities.

Example: Improvement of economic condition of urban slum women through

Self Help Groups.

Objectives: Objectives are expression of ends towards which our efforts are
directed. The dictionary meaning of objective is ‘something that one’s efforts or
actions are intended to attain or accomplish’.

Example: Improvement of slum women’s economic condition by 20 percent

through Self Help Groups.

Goal: Goal is the distance in any given direction one expects to go during a
given period of time.

Example: Improvement of slum women’s economic condition by 20 percent

through income generating activities of Self Help Groups in one year.

Problem : Problem is an issue or obstacle which makes

it difficult to achieve a desired goal, objective or Goal
purpose. It refers to a situation, condition, or issue that If we could but know
is yet unresolved. In a broad sense, a problem exists where we are now,
when an individual becomes aware of a significant and where we ought
difference between what actually is and what is desired. to go, we could better
judge what to do, and
Example: In society, a problem can refer to particular
how to do it.
social issues, which if solved would yield social
- Abraham Lincoln
benefits, such as increased harmony or productivity,
and conversely diminished hostility and disruption.
6
Solution: Solution is a course of proposed action to change an unsatisfactory Programme Planning
condition to one that is more satisfying.

Example: Decrease in traffic congestion on the roads by providing good urban

mass transport system under Jawaharlal Nehru National Urban Renewal Mission
(JNNURM).

Calendar of Work: Calendar of work is a plan of activities to be undertaken in

a particular time sequence.

Example : Pulse polio programme on first Sunday of every month in all urban
slums during the year 2013.

1.3 OBJECTIVES OF PROGRAMME PLANNING

Properly planned development programme gives many benefits. Objective of
any developmental programme is to influence people to make changes in their
way of life and in making a living. The postulation is that, there is need for
change and if people are not aware, it is necessary to make them aware of this
and to develop their needs. Important objectives of having a programme planning
as per Kelsey and Hearne (1966) are as follows.
i) To ensure careful consideration of what is to be done and why.
ii) To furnish a guide against which to judge all new proposals.
iii) To establish objectives toward which progress can be measured and evaluated.
iv) To have a means of choosing the important / deep rooted from incidental /
minor / less important problems and the permanent from the temporary
changes.
v) To develop a common understanding about the means and ends between
various functionaries and organizations.
vi) To ensure continuity during changes in personnel.
vii) To help develop leadership.
viii)Avoid wastage of resources, money and promote efficiency.
ix) To justify expenditure and ensure flow of funds.
x) To have available a written statement for public use.

1.4 NEED IDENTIFICATION IN PROGRAMME

PLANNING
Efforts to promote change through development
programmes are successful only to the extent they are People concern
focused on the important needs of the people and are themselves with urban
effective in helping people meet these needs. In development
development programmes, people participate only programmes only on
when they think that the programme is valuable to them the basis of needs as
in meeting personal, family, group or community needs they see them, not
which they themselves recognize. The element of need programme planners
and need identification therefore, should be the view them.
7
Monitoring and Evaluation fundamental concern in urban development Urban programmes
programmes. In short people concern developed based on the needs
themselves with urban development by the people, for the people
programmes only on the basis of needs as they and of the people have best
see them, not programme planners view them. chances of success
Successful programme planning is one of identifying accurately what people
want, think they need, and actually getting these items converted into a realistic
well organized and concerted series of forceful developmental activities- this
may properly called a programme. Effective programmes to promote change are
developed through finding people’s needs and arranging action that helps meet
them. Hence, a clear understanding of the nature and role of people’s needs in
programmes is essential to the urban development workers like you.

1.5 PRINCIPLES OF PROGRAMME PLANNING

Planning of urban development programme is to be done on the basis of well
recognized principles which should be clearly understood and followed. The
main principles are:
i) Programme-planning should be based upon a careful analysis of a factual
situation.
ii) Problems for action are selected on the basis of recognized needs of people.
iii) Objectives and solutions are to be feasible and offer satisfaction.
iv) Programme should be permanent and flexible to meet a long-term situation,
short-term changes, and emergencies.
v) Programme should have both balance and emphasis.
vi) Programme should have a definite plan of work.
vii) Programme planning is a continuous and coordinating process.
viii) Programme planning should be educational and directed towards bringing
about desirable change.
ix) Programme planning should have a provision for the evaluation of results.

JNNURM vs. Principles of Programme Planning

India’s National Common Minimum Programme attaches the highest priority
to the development and expansion of physical infrastructure. Accordingly,
JNNURM was planned for urban renewal and expansion of social housing
in towns and cities, paying attention to the needs of slum dwellers. The
Millennium Development Goals commit the international community,
including India, to an expanded vision of development as a key to sustaining
social and economic progress. As a part of its commitment to meet the
Millennium Development Goals, the Government of India under JNNURM
proposes to: (i) facilitate investments in the urban sector; and (ii) strengthen
the existing policies in order to achieve these goals. Since cities and towns in
India constitute the second largest urban system in the world, and contribute
over 50 per cent of the country’s GDP, they are central to economic growth.
For the cities to realise their full potential and become effective engines of
growth, it is necessary that focused attention be given to the improvement of
infrastructure under JNNURM.
8
Programme Planning
Activity 1
Visit a nearby any development department and enquire about urban
development programmes. Write your observations.
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Check Your Progress 1

Note: a) Use the spaces given below for your answers.
b) Check your answer with those given at the end of the unit.
1) What do you mean by development programme planning?
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2) Do you agree that proper planning enhances the success of urban development
programmes? Support your answer.
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3) Write any four principles of programme planning.
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9
Monitoring and Evaluation
1.6 PROGRAMME PLANNING PROCESS
Three phases involved in programme planning process are:
i) Programme formulation
ii) Programme execution
iii) Programme evaluation
These three phases have the following 8 sub-processes as shown in Fig.1.1
i) Collection of facts and analysis
ii) Identification of problems
iii) Determination of objectives
iv) Developing the plan of activities
v) Carrying out the activities
vi) Continuous checking
vii) Evaluation of results
viii)Reconsideration

Collection of Facts
and Analysis
Reconsideration
Identification
of Problems

Determination
of Objectives

Evaluation of
Results Developing the
Plan of Activities

Carrying Out
Continuous
the Activities
Checking

Fig. 1.1: Development Programme Planning Process

1.6.1 Collection of Facts and Analysis

Urban development workers must have adequate knowledge of socio, economic,
cultural and psychological status of people and how to involve them in the process
of development. In general, information on the following items should be
10 collected.
a) Number of beneficiaries Programme Planning

b) Educational status of beneficiaries

c) Communication facilities
d) Socio- economic status
e) Availability of common / community facilities
f) General health of the community
g) Customs, traditions, institutions, peoples’ organizations operating in the area,
etc.
The tools and techniques for collecting data include systematic observations,
interviewing the people and surveys, existing governmental records, census
reports, and the past experiences of the urban development workers. After
collecting facts, they are analyzed and interpreted to find out the problems and
needs of the people.

1.6.2 Identification of Problems

As a result of the facts analysis, the important gaps between ‘what is’ and ‘what
should be’ are identified and the problems leading to such a situation are to be
located. These gaps represent the people’s needs. For your understanding, problem
of urban transport system is given in Fig. 1.2

• Traffic congestion
• Longer commuting
• Environmental pollution
• Low safety & accidents

Problem of Urban Transport System

• High population
• Transport demand exceeding supply
• Loads of personal vehicles
• Low investments in public transport systems

Fig. 1. 2: Problem of Urban Transport System

From the Fig. 1.4, we can identify various direct and indirect causes for the
problem of urban transport. Some of the interrelated reasons are: the high
population is leading to exceeding of demand compared to supply and therefore
people have to use personal vehicles. These are leading to traffic congestion,
longer travel time, environmental pollution, low safety and increased possibility
for accidents.

11
Monitoring and Evaluation 1.6.3 Determination of Objectives
Once the needs and problems of the people have been identified, they are stated
in terms of objectives and goals. The objectives represent a forecast of the changes
in the situation or change in behaviour of the people to be brought about. The
objectives may be long-term as well as short-term and must be stated clearly.

Example: To solve the problem of urban transport system as identified above,

the objectives for a one year ‘Mitigating Urban Transport Problem’ project could
be:
a) To educate commuters on the benefits of using public mass transport system.
b) To reduce the number of vehicles on the roads at least by 20 % by encouraging
pooling of commuters.

1.6.4 Developing the Plan of Activities

In order to achieve the stated objectives, the means and methods attaining each
objective are selected and the action plan, i.e. the calendar of activities is
developed. It includes the technical content, who should do what, and the time-
limit within the work will be completed. The plan of work may be seasonal,
short-term, annual or long-term.

Example: Prepare the following schedule of activities, print and distribute to all
concerned related to above objectives.

• Developing urban transport extension literature on benefits of public mass

transport system like Metro viz., :
Time saving for commuters
Reliable and safe journey
Reduction in atmospheric pollution
Reduction in accident
Reduced fuel consumption
Reduced vehicle operating costs
Increase in the average speed of road vehicles, etc.
• Using the above literature, conduct awareness campaigns ( 6-7 in a month)
targeting offices (1st Monday), schools (2nd Monday) and public places (
all Sundays) on the benefits of public mass transport system.

• Through individual and group contact methods, persuade at least 20 % of

personal vehicles users to shift from individual to pooled vehicles.

1.6.5 Carrying out the Activities

Once the action plan has been developed, arrangement for supplying the necessary
inputs, teaching aids, urban transport extension literature etc. has to be made and
the specific action has to be initiated. The execution of the plan of activities is to
be done through extension methods for stimulating individuals and groups to
think, act and participate effectively. People should be involved at every step to
ensure the success of the programme.
12
1.6.6 Continuous Checking Programme Planning

Follow-up the activities carried out at regular intervals. Keep adequate records
of each activity as a base for evaluation of results.

1.6.7 Evaluation of Results

It is done to measure the degree of success of the programme in terms of the
objectives set forth. This is basically done to determine the changes in situation
or the behaviour of the people as a result of the programme. The evaluation is
done not only of the physical achievements but also of the methods and techniques
used and of the other steps in the programme-planning process, so that the strong
and weak points may be identified and necessary changes made in the subsequent
programmes.

1.6.8 Reconsideration
The systematic and periodic evaluation of the programme will reveal the weak
and strong points of the programme. Based on these points the programme is
reconsidered and the necessary adjustments and changes should be made in order
to make it more meaningful and sound.

Remember that programme-planning is not the end-product of urban development

activities, but it is an educational tool for helping people to identify their own
problems and make timely and judicious decisions. In the above mentioned steps,
it is clear that the planning of mitigating urban transport problem comprises a
logical series of consecutive steps. Similarly development programmes can be
formulated in any other sub-sectors of urban development. The first 4 steps form
the programme planning phase. The steps 5-6 form the action-phase. The steps
7-8, joins the two phases together, where it leads to the fact-collecting step, thus
beginning once again the never ending or continuous process of planning the
urban development programme.

Check Your Progress 2

Note: a) Use the spaces given below for your answers.
b) Check your answer with those given at the end of the unit.
1) Write the three phases in programme planning.
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1.7 LET US SUM UP

In this unit we started by looking into the definitions of the terms programme,
plan and programme planning and understood what they mean in the context of
urban development. We examined the importance and principles of programme
planning. In the last section we studied different phases and sub-phases in
programme planning process with a practical example. 13
Monitoring and Evaluation
1.8 KEYWORDS
Programme : Programme is a written statement which describes
proposed activities, the problems they address, the
actions, and resources required.
Plan : Plan is schedule of development work outlining
different activities in a specific period.
Programme Planning : Programme planning is the process of making
decisions about the direction and intensity of
extension education efforts to bring about
desirable change among people.
Calendar of Work : It is a time schedule of work consisting activities
arranged chronologically.
Extension Programme : It is a statement of situation, objectives, problems,
and solutions.

1.9 REFERENCES AND SELECTED READINGS

Ahmed, M. R. (1991. Planning and Designing Social Forestry Project. In Ahmed,
M. R. (ed.) Social Forestry and Community Development, pp. 109 - 116. FAO,
FTPP.

Leagans, J.P. (1961). Programme Planning to Meet People’s Needs. In: Extension
Education in Community Development, Directorate of Extension, Ministry of
Food and Agriculture, Government of India, New Delhi.

Kelsey L.D. and Hearne C.C. (1966). Cooperative Extension Work. New York:
Constock Publishing Associates.

Roling, N. (1988). Extension Science: Information Systems in Agricultural

Development, Cambridge University Press.

Van den Ban, A.W. and Hawkins, H.S. (2002). Agricultural Extension, CBS
Publishers and Distributors, New Delhi.

1.10 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1

1) Development programme is a statement of situation, objectives, problems,

and solutions..

2) Yes. Proper planning of urban development programmes enhances the success

by: avoiding wastage of resources; providing guidance; maintaining
continuity and sequence; providing reliable information and ; facilitating
institutional and local support.

3) The main principles programme planning are: careful analysis of a factual

situation; selection of problems on the basis of recognized needs of people;
14
set the feasible objectives which offer satisfactory solutions; permanent and Programme Planning
flexible to meet a long-term situation, short-term changes, and emergencies;
educational and directed towards bringing about desirable change and
provides for the evaluation of results.

Check Your Progress 2

1) The three phases involved in programme planning process are (i) : Programme
formulation (ii) Programme execution and (iii) Programme evaluation.

15
Monitoring and Evaluation
UNIT 2 MONITORING

Structure
2.1 Introduction
2.2 Meaning of Monitoring
2.3 Monitoring: What, Why, When and by Whom
2.4 Basic Concepts and Elements in Monitoring
2.5 Types of Monitoring
2.6 Tools and Techniques of Monitoring
2.7 Indicators of Monitoring
2.8 Let Us Sum Up
2.9 References and Selected Readings
2.10 Check Your Progress - Possible Answers

2.1 INTRODUCTION
Projects are the ‘cutting edge’ of urban development. The most difficult single
problem of project managers is the proper implementation of urban development
programmes and projects. However well a project has been conceived and
planned, if the implementation is not proper, it will result in inefficient and
wasteful loss of scarce resources. India has been a fore runner in formulating
enormous number of programmes and projects for urban development. Review
of these projects suggests that monitoring and appropriate mid course corrective
measures are central to achieving project goals. In the light of the above,
Monitoring and Evaluation (M&E) is increasingly recognized as an indispensable
tool of both project and portfolio management. There is a wide felt need to improve
the performance of development projects. M&E provides a basis for accountability
in the use of development resources and is an integral and important part of the
project cycle. No project can be complete or successful without a proper M & E.
According to World Bank (2004) M&E of development activities provide
government officials, development managers and civil society with better means
for learning from past experience, improving service delivery, planning and
allocating resources, and demonstrate results as part of accountability to key
stakeholders. Within the development community there is a strong focus on results
– this helps explain the growing interest in M & E.
After studying this unit, you will be able to:
• explain what, why, when and how of monitoring.
• identify key elements in monitoring.
• discuss various types of monitoring.

2.2 MEANING OF MONITORING

The word “monitor” is derived from the Latin word meaning to ‘warn’ and
“evaluate” stems from the word ‘value’. Monitoring is an integral and important
part of a management information system. Managers require information to keep
16
track of development programme, to guide its course of action. A management Monitoring
information system is a scheme by which the “right” information is obtained in
the right amount, at the right time and is made available to the right person or
persons. An information system is usually created in organizations to cater to the
information needs of management.

Management information system include six kinds of information: (1) diagnostic

information (why a situation is as it is), (2) implementation information (physical
and financial or input information), (3) utilization information, (4) impact
information, (5) situation information, and (6) information for review.

A monitoring system is a subsystem of a management information system and

has several distinguishable components. Top management receives information
from the monitoring unit and from other formal and informal sources. This
influences programme implementation, leads to better programme planning, and
ensures sustainability of programmes. Ultimately this leads to institutional
development.

2.3 MONITORING: WHAT, WHY, WHEN AND BY

WHOM
Monitoring is a continuous / periodic review and surveillance by the project
management, at every level of the implementation of an activity to ensure that
input deliveries, work schedules, targeted outputs and other required actions are
proceeding according to plan. Availability of a ‘plan’ is a pre-condition for
monitoring.

Another way of defining Monitoring is that it is a process of measuring, recording,

collecting, processing and communicating information to assist project
management decision-making. To be precise and brief, “monitoring system is an
information system for management decision making”.

According to Shapiro “Monitoring is the collection and analysis of information

as a project progresses. It is aimed at improving the efficiency and effectiveness
of a project or organization. It is based on targets set and activities planned during
the planning phase of work. It helps to keep the work on track and can let
management know when things are going wrong. If done properly, it is an
invaluable tool for good management and it provides a useful base for evaluation.”

According to PSO “Monitoring is the systematic collection, analysis and use of

information from projects and programmes for these basic purposes: (i) learning
from the experiences acquired (ii) accounting internally and externally for the
resources used and the results obtained and (iii) taking decisions.”

Thus, monitoring is a management function, which begins with the start of a

project and ends with the completion of the project, but it is a continuous process
during the implementation of project. The key requirement for Monitoring is an
‘ACTION PLAN’ without which monitoring is not possible. The whole gamut
of monitoring is explained in the Table 2.1

17
Monitoring and Evaluation Table 2.1: Gamut of Monitoring

What? Check, review, overview, keep track, progress of programme

observe, control, guide, correct, implementation with reference
inspect, supervise, verify, feed-back, to action plan.
follow-up of the
Why? To ensure successful implementation take appropriate corrective/
of the project by identifying remedial action to keep the
shortfalls, deviations, problems and project on track.
the reasons thereof to
When? During the implementation of the from inception till completion
project continuously/ periodically of the project (concurrently with
project implementation).
Who? By the project management team at including beneficiaries
different levels (participatory monitoring).

A project’s operation, performance, and impacts are the aspects of concern in

monitoring with a view to keep track on the technical and economic ‘efficiency’
of the project. This is carried out in terms of:
• Whether the various tasks are carried out according to schedule;
• Whether project results are likely to lead to realization of project objectives;
and
• Whether project objectives / targets / execution needs adjustments.

18 Fig. 2.1 : Monitoring and Evaluation Cycle (Source: Shapiro, J. Monitoring & Evaluation)
Monitoring, therefore, is an essential tool for successful implementation of a Monitoring
project. During the process of monitoring, we identify the shortfalls, deviations
and problems and causes for the same to take appropriate remedial /corrective
action.

Since monitoring is a management function, all those who are involved in the
project implementations (who constitute the project management team at different
levels / sectors) will do the monitoring. This may include, even the beneficiaries
when local groups / organizations have been formed as part of project strategy
(e.g.: Urban Forest Committees and Forest Protection Committees under JFM,
Water Users Committee, Education Committees, User Groups, Self Help Groups,
etc). It is important to appreciate that monitoring is not an individual’s function
but a collective function. When all stakeholders, including beneficiaries are
involved in monitoring, then it paves way for participatory monitoring. A
monitoring and evaluation cycle is given in Fig. 2.1

Till now you have read about the meaning and scope of monitoring, various
gamuts of monitoring and monitoring and evaluation cycle. Now answer the
questions in Check Your Progress-1.

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit.
1) What do you men by monitoring?
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2) What is the role of monitoring in management information system (MIS).
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19
Monitoring and Evaluation
2.4 BASIC CONCEPTS AND ELEMENTS IN
MONITORING
2.4.1 Basic Concepts in Monitoring
Four concepts are basic to monitoring and evaluation. They correspond,
respectively, to operational investment (e.g., investment per family), operational
efficiency (e.g., the number of visits, meetings, demonstrations, and trials, per
development worker), technical efficiency (e.g., output, and value added), and
extension-induced changes (e.g., income, and income distribution) (Ruthenburg,
1985, p. 120).
Capability, effectiveness, and efficiency fall in the monitoring domain. Impact
falls in the evaluation domain.
i) Capability is the command that programme has over physical, financial,
and human resources, enabling it to serve its clients (e.g. mothers, children).
It is reflected by outreach, intensity, technical competence, and physical
and financial resources.
ii) Effectiveness is defined as “the degree to which goals are attained”. It is
the adequacy of endeavor to accomplish a purpose for producing intended
or expected result. Every developmental project has to take into
consideration the effectiveness in order to produce desired result with the
given time period. Monitoring the project effectiveness is quite crucial.
iii) Efficiency means functioning in the best possible manner with the least
waste of time and effort. Lon Roberts defines efficiency as “to the degree
of economy with which the process consumes resources especially time
and money”. Monitoring of efficiency is essential as it will check wastage
of resources and ensure completion of project in right time.
iv) Impact can be measured by a simple indicator, like Infant Mortality Rate
(IMR), Maternal Morality Rate (MMR), Minimum Levels of Learning
(MLL), and Learning Achievement, etc. Such indicators provide ultimate
tests for the success of any sectoral programmes.

2.4.2 Basic Elements in Monitoring

Let us now discuss in detail the various elements of monitoring. In the study of
Monitoring and Evaluation, the following basics (structure of a project) need to
be understood clearly. To begin with, the purpose of a programme is to convert a
set of RESOURCES into desired RESULTS.
Resources are INPUTS and results are OUTCOMES (This term is used here in a
generic sense though it has more specific connotation which will be discussed
later). Inputs to outcomes happen in a sequence as detailed below:
i) Input: Goods, Funds, Services, Manpower, Technology and other resources
provided in a project with the expectation of OUTPUTS.
ii) Results: Certain things happen immediately, and certain things ultimately,
while certain things in between these two (intermediate). According to
sequence, the result of a agriculture project can be grouped into three broad
categories, such as productivity, production and income.
20
iii) Output (Immediate results): Specific products or services, which an activity Monitoring
is expected to produce from its inputs in order to achieve the set objectives
(in case of agriculture it will lead to increased irrigation, fertilizer use, health
facility created etc).
iv) Effect: Outcome of the use of the project outputs above the realization of
expected effects in a project will lead to desired impact – Intermediate results.
In the recent M & E literature effects, are described as outcomes.
v) Impact: Outcome of Project Effects (broad long term objectives: Standard
of living and reducing poverty both at individual and community level) -
Ultimate results. Impact is described as the outcomes for a community or
region than on individuals. It may include direct and indirect as well as
primary, secondary and tertiary level.

In any project, this sequence (input - output- effect (outcomes) - impact) is inbuilt,
ensuring that these steps occur is a primary ‘condition’ for the success of a project.
Again, all projects are made on certain ‘assumptions’ i.e. if we provide inputs,
recipients will use it properly, and produce necessary outputs so that the outputs
will result in increased income and the income will boost the standard of living
of people. There are also other factors like vagaries of monsoon, price fluctuation,
changing political environment, etc., which are described as ‘risks’ that will affect
the project outcomes. It is, therefore, necessary to evolve a mechanism in every
project that necessary conditions prevail, assumptions come true and effects of
risk are reduced by providing cushions for the shock. Such a mechanism is called
‘Monitoring’.

2.5 TYPES OF MONITORING

Monitoring can be divided into two types, likely:
i) Beneficiary Contact Monitoring: Beneficiary Contact Monitoring is the
key to successful overall project monitoring. Physical and financial
monitoring — the first main component of a management information system
- generally measures a project’s provision and delivery of services and inputs.
But project managers also need to know whether their services are being
accepted and how they are being integrated into.
Beneficiary contact monitoring is taken up:
• To maintain records for each participant (feasibility of Credit, Health,
Education, Nutrition and similar projects) and to analyze these periodically
to monitor the penetration of the service and the establishment of a
clientele.
• To establish a regular schedule of surveys to enable managers to measure
the progress of a project and the responses of its beneficiaries. Formal
sampling techniques must be used to get statistically significant data
from these surveys.
• To use informal interviews to alert managers to outstanding success
stories or problems.
ii) Process Monitoring: As discussed earlier, project implementation begins
with deployment of inputs/ resources to realize some specific outputs. The
21
Monitoring and Evaluation conversion of inputs into outputs will involve certain methods, activities,
and completion of certain events. This happens in a sequence as below.
Process: It is the way in which activities are conducted. Processes are
continuous and cuts across activities. For example rapport building as a
process is relevant to SHG formation activities, training, etc.
Milestones: These are a series of achievements that leads to a completion of
stage in an activity (an event).
Activities: These are what we do to deliver the output. Activities always
have a beginning and an end and are associated with numbers linked to a
budget.
Output: This is what a project delivers before the close of the project.
Process monitoring is an approach that ensures that processes are steered to
achieve the desired results and that quality is maintained throughout. As long as
there is a focus, not only on the inputs and outputs, but the way in which the
outputs are being delivered, and quality indicators are devised and tracked, process
monitoring would be useful and successful.
Process monitoring is often confused with conventional progress monitoring.
Conventional progress monitoring focuses on physical, financial and logistic
aspects of projects, while process monitoring deals with critical processes, which
are directly related to the project’s objectives. For example, progress monitoring
looks at the number of training sessions held, or the / percentage of work
completed on a water supply scheme; while process monitoring evaluates the
quality of training or the level of community involvement in identification, design,
site selection, and supervision of construction. An ideal M&E system contains
elements from both progress and process monitoring.
Process monitoring informs project management of the nature of changes needed
to improve project responsiveness to community demands, maximize impact
and improve the likelihood of sustainable outcomes. It evaluates the quality and
effect of project interventions and outcomes.

2.6 TOOLS AND TECHNIQUES OF MONITORING

2.6.1 Tools of Monitoring
Broadly, following tools are used for the purpose of monitoring:

i) Regular progress report

Progress reports submitted by field staff and records at District and Block
levels should contain physical and financial progress vis-à-vis targets,
coverage by blocks, composition of groups (SC/ST/ Others), activities, etc.

From the financial and physical progress report, it is often possible to make
a rapid assessment of whether, and to what extent, the original activities of
the scheme have been fulfilled, and whether it is working successfully within
the allocated budget. Disbursement of funds for the scheme can be matched
against other data/schemes.

22
ii) Monitoring staff performance (review) Monitoring

Monitoring the staff performance can ensure that individuals are effectively
employed to fulfill given tasks. Ideally, all those employed in a project should
meet regularly, to discuss their progress, and match this against targets and
objectives, and discuss problems and possible changes.

iii) Tour reports by field staff

Often, the most useful information about qualitative aspects of a programme
are obtained from the tour reports submitted by field staff; this is especially
true in the case when the project is very small and the participants may
possess only low levels of education and literacy.

iv) Participant observation

The field staff may stay in the villages and observe the groups closely so as
to obtain sensitive, first-hand insights.

v) Reports from visitors

The project staff ensures that all visitors to the project area (Project Director,
State Level Officials, Researchers, etc) provide a short report on their
impressions of the schemes. These can provide insights/information on new
developments, exchange of experiences and help in further developing the
programme.

vi) Interviews
Group members and community leaders should be interviewed on their
attitude towards the scheme and resultant behavioral changes.

vii) Participatory Monitoring

In this latest technique, the beneficiaries themselves are made partners in
monitoring and evaluation. Project staff and beneficiaries discuss and assess
the performance together, in order to understand how they have performed,
what the problems are and what the future holds for them. The project staff
mainly plays a guiding role to formulate appropriate questions and eliciting
answers. For example, the group can be prompted to draw inferences from
the bank record books, savings books, etc.

viii)Key informants
In addition to our regular contacts, we must try to interact with other people
who may be useful sources of information e.g. Teachers, Postmaster, Kirana
Shop, SHGs etc.

ix) Complaints / grievances

Many a times, complaints and grievances petition from people in general
and target group in particular may throw some light on the actual performance
of the scheme. Every project should make provisions for such source of
information as part of monitoring mechanism.

2.6.2 Techniques of Monitoring

Broadly following two techniques are used in monitoring:
23
Monitoring and Evaluation i) Earned Value Analysis (EVA); and
ii) Critical Ratio Technique (CRT)
i) Earned Value Analysis: Is a way of measuring overall performance by using
an aggregate performance measure. The earned value of work performed for
those tasks in progress found by multiplying the estimated percent physical
completion of work for each task by the planned cost for those tasks. The
result is the amount that should be spent on the task so far. This can be
compared with actual amount spent.
The methods of estimation usually used are:
a) The 50-50 estimate. 50% is assumed when task is begun and remaining
50% when work completed.
b) 0-100% rule: This rule allows no credit to work until task is completed.
This is a highly conservative rule, which cause in delay in project work.
c) Proportional rule: This rule divides planned time-to-date by total
scheduled time to calculate percent complete. This is commonly used
rule.
ii) Critical Ratio Technique: is applied in large projects, in which critical
ratio is calculated for all project activities. The formula used for the calculation
of critical ratio is:

Actual Progress Budgeted Cost

———————— × ———————
Scheduled Progress Actual Cost

If ratio is 1, everything is probably on target and if the ratio is further away from
1 it requires more investigation.

In this section you have read about the concepts, elements, types and techniques
of monitoring. Now try and answer the questions in Check Your Progress-2.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit.
1) Write the differences between effectiveness & efficiency of Monitoring?
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2) Name different techniques and types of Monitoring? Monitoring

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3) What do you mean by participatory monitoring?
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2.7 INDICATORS OF MONITORING

There are different types of indicators, for example, socioeconomic indicators,
development indicators, and extension indicators. They range from general to
specific concerns.

Indicators can be categorized into direct and indirect or proxy indicators, single
and unitary or composite indicators; quantitative and qualitative indicators;
primary, core, and supplementary indicators, input and output indicators; and
monitoring and evaluation indicators.

Broadly following types of indicators used in monitoring

i) Quantitative indicators
Provide numeric information about a change in a situation. For example,
centimeters of rainfall last quarter, number of people using metro etc.

ii) Qualitative indicators

Are largely descriptive statements about processes and outcomes. For
example, what is the level of participation in meetings? How are community
needs assessed?

iii) Direct indicators

Provide information, which expressly relates to what is being measured. If,
for example, information functioning of urban local bodies is required then
their functioning is measured.

25
Monitoring and Evaluation iv) Indirect indicators
Essential information, chosen from amongst many types of information to
serve as substitutes (or proxy indicators) for answering questions or
responding to statements that are difficult to measure. For example, if we
are interested in measuring the level of poverty in a community, instead of
choosing direct indicators for income, indirect indicators for poverty may be
chosen, e.g. persons are poor if they have to hire themselves out as daily
unskilled labour.

v) Process indicators
Steps involved in planning, designing, collecting funds, construction and
operation and maintenance (O&M) of a water supply scheme for example,
are the processes involved in developing water supply infrastructure.
Examples of process indicators are level of participation and inputs of
community during planning.

vi) Progress indicators

Seek to measure or monitor changes against stated targets. The number of
trees planted, percentage of water supply scheme constructed, and O&M
training sessions held are examples of progress indicators. Progress indicators
are usually but not always expressed in quantitative terms.

Monitoring vs. Progress Reporting

Sometimes monitoring and progress reporting are misunderstood to be one
and the same in view of certain common features. The similarities between
the two are:
a) Both are organized and systematic flow of data of different technical/
administrative operations in progress;
b) Both can be quantitative and qualitative in their approach. But there are
distinct differences between them.
Progress reports is a statement of facts giving the extent of achievements at
any given point of time. The progress report may not explain how and why
of deviations in achievements. When we start questioning such deviations
monitoring mechanism gets activated. Thus progress reporting is an
Important and initial tool in monitoring but not an end.

In this section you have read about types of monitoring indicators and differances
between monitoring and progress reporting. Now try and answer the questions
in Check your progress 3.

2.8 LET US SUM UP

Monitoring is an important aspect of project management system. It is a
continuous activity for the project manager. This unit has dealt with in detail
why, what, when and who of monitoring. Further a detailed analysis of indicators
of monitoring is discussed. In the last session the differences between monitoring
and progress reporting has been highlighted.

26
Monitoring
2.9 REFERENCES AND SELECTED READINGS
ADB (2002), Project Performance Management System Operations Manual,
Section 22. PACS Series, New Delhi.
Casley, D.J., & Kumar, K. (1987), Project monitoring and evaluation in
agriculture, Johns Hopkins University Press (published for the World Bank),
Baltimore and London.
Casley, D.J., & Lury, D.A (1987), Monitoring and evaluation of agriculture and
rural development projects, Johns Hopkins University Press (published for the
World Bank), Baltimore and London.
Cemea, M.M., & Tepping, B.J. (1977), A system for monitoring and evaluating
agricultural extension projects. World Bank Staff Working Paper No.272. DC:
World Bank, Washington.
Chalmers, James (2002), How to managing projects, Jaico Publishing House,
Mumbai.
Davis-Case, D. and P Grove (1990), The Community’s Tool Box: The Idea,
Methods, and Tools for Participatory Assessment, Monitoring and Evaluation
in Community Forestry, FAO, Rome.
Davis-Case, D’Arcy. (1990), Community Forestry. Participatory Assessment,
Monitoring and Evaluation, FAO, Rome.
Dennis J. Casley & Krishna Kumar (1989), The Collection, Analysis and use of
Monitoring and Evaluation Data. The World Bank.
Dennis J. Casley & Krishna Kumar (1990), Project Monitoring and Evaluation
in Agriculture, The World Bank.
Development Alternatives (2008), MEAL Manual for Civil Society Organisation.
Monitorign Evaluation
Feuerstein, Marie-Therese (1986), Partners in Evaluation. Evaluating
Development and Community Programmes with Participant, Mac Millan
Education Ltd, Hong Kong.
Gosling, Louisa and Mike Edwards (1995), Toolkits: A Practical Guide to
Assessment, Monitoring, Review and Evaluation. Save the Children, London.
Guijt, I. (1998), Participatory Monitoring and Impact Assessment of Sustainable
Agriculture Initiatives: An Introduction to the Key Elements. Discussion Paper
No.1, Sustainable Agriculture and Rural Livelihoods Programmes, IIED, UK:
IIED.
http://Inweb18.worldbank.org/oed/oeddoclib.nsf/24cc3bb1f94ae11c
85256808006a0046/ a5efbb5d7
http://www.adb./org/Documents/Manuals/Operations/om22.asp.
Jody Zall Kusek and Ray C. Rist (2004), Ten steps to a results-based monitoring
and evaluation system: a handbook for development practitioners, D.C: World
Bank, Washington.
Lee, J.W (1990), More than Accountability: Evaluating Agricultural Extension
Programmes. TRDC Publiation No.172. Armidale, Australia: University of
New England, Rural Development Centre.
27
Monitoring and Evaluation Misra, DC (1999), Monitoring Extension Programme and Resource, Chapter 17
in Improving Agricultural Extension; A Reference Manual: Ed: FAO, Rome.
Murphy, J., & Marchant, T.J. (1988), Monitoring and Evaluation in Extension
Agencies, World Bank Technical Paper No.79, DC: World Bank, Washington.
Participatory Monitoring and Evaluation (1990), A Handbook for Training Field
Workers, 1998 Bangkok: Regional Office for Asia and the Pacific (RAPA), FAO.
Ruthenberg, I. (1985), Innovation Policy for Small Farmers in the Tropics: The
Economics of Technical Innovations for Agricultural Development, Oxford
University Press.
Shapiro, J. “Monitoring and Evaluation”, http://www.civicus.org/new/media/
monitoring
Slade, R.H., & Feder, G (1985), Training and Visit Extension: A Manual of
Instruction (mimeo), Washington, DC: World Bank.
World Bank (2004), Monitoring & Evaluation: Some Tools, Methods and
Approaches, Washington, DC: World Bank.

2.10 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1
1) The word “monitor” is derived from the Latin word meaning to ‘warn’ and
“evaluate” stems from the word ‘value’. Monitoring is a process of measuring,
recording, collecting, processing and communicating information to assist
project management decision-making.
2) Monitoring role in management information system include six kinds of
information: (1) diagnostic information (why a situation is as it is), (2)
implementation information (physical and financial or input information),
(3) utilization information, (4) impact information, (5) situation information,
and (6) information for review.
Check Your Progress 2
1) Effectiveness is the degree to which geals are attained whereas efficiency
means functioning in the best possible manner with the least waste of time
and effort.
2) The following techniques are used for the purpose of monitoring. Like, regular
progress report, monitoring staff performance, tour report, participants’
observation, and reports from visitors, interviews, participatory monitoring,
key informants and complaints or grievances petitions.

Monitoring are of two types. (i) Beneficiary contact monitoring and (ii)
process monitoring

3) In this latest technique, the beneficiaries themselves are made partners in

monitoring evaluation. Project staff and beneficiaries discuss and assess the
performance together, in order to understand how they have performed, what
the problems are and what the future holds for them. The project staff mainly
plays a guiding role to formulate appropriate questions and eliciting answers.
28
Evaluation
UNIT 3 EVALUATION

Structure
3.1 Introduction
3.2 Evaluation: Meaning and Features
3.3 Types of Evaluation
3.4 Evaluation Design (How to do Evaluation?)
3.5 Various Aspects of Evaluation
3.6 Methods and Approaches of Evaluation
3.7 Let Us Sum Up
3.8 References and Selected Readings
3.9 Check Your Progress – Possible Answers

3.1 INTRODUCTION
Literally, ‘evaluation’ means ‘assessing the value of’. Evaluations are undertaken
in all spheres of life, in informal or formal ways, whenever, one wishes to know
and understand the consequences of some action or event. The acquired
knowledge and understanding are commonly used by the evaluator to perform
some activity in a better manner in the future; that is, one tries to learn from
one’s experiences in order to improve one’s performance.

Evaluation of development work may be undertaken during the implementation

of the development programme or project or after it has been completed. In
evaluation of development work, people are in focus. The overall purpose of
such evaluation is usually to document the results and the utility of the work for
individuals or groups of people in the respective society or societies as well as to
explore how the results have been created. Evaluating planned development work
means that features and processes will have to be described and explained in
relation to the plan or plans for that work. A good plan will also guide the evaluation
and facilitate collection and analysis of the information that is needed for it.

Evaluation is an assessment of end results or impact of a project with reference

to the objectives set in the project. Knowing why a programme succeeds or fails
is more important than knowing what it has done. Evaluation provides answers
to this crucial question and helps us to identify the strengths and weaknesses,
merits and demerits. A good and comprehensive evaluation should bring out
what is good/ bad about the project, what are the direct and indirect benefits and
what are the intended and un-intended outcomes. The evaluation should also
establish cause-effect relationship of project outcomes. By virtue of this,
evaluation is, generally, undertaken after the completion of a project. Evaluation
helps to refine our planning tools and future programmes.
After going through this unit, you will be able to:
• explain meaning and features of evaluation
• discuss various types of evaluation
• describe methods and approaches of evaluation
29
Monitoring and Evaluation
3.2 EVALUATION: MEANING AND FEATURES
3.2.1 Meaning of Evaluation
Evaluation is a process for determining systematically and objectively the
relevance, efficiency, effectiveness and impact of project activities in the light of
their stated objectives. Since objectives and unbiased assessment of project
outcomes are the essential ingredients of an evaluation, generally, an independent
agency is assigned the job of evaluation. It is also an organizational process for
improving activities still in progress and for aiding management in future
planning/programming and decision making. Evaluation provides information
about past or ongoing activities as a basis for modifying or redesigning future
strategies.

According to Shapiro “Evaluation is the comparison of actual project impacts

against the agreed strategic plans. It looks at what you set out to do, what you
have accomplished and how you accomplished it.” According to PSO “Evaluation
is assessing as systematically and objectively as possible an ongoing or completed
project, programme or policy. The objective is to be able to make statements
about their relevance, effectiveness, efficiency, impact and sustainability”.

3.2.2 Features of Evaluation

Some of the basic features of evaluation are as follows:
• It is always with reference to stated criteria
• It is always with reference to a point of time
• It starts where progress reporting/monitoring/estimation surveys end
• It establishes relationship between policies/methods and results
• It investigates and find out factors for success/failure and suggest remedies
• More qualitative in approach and emphasis is on variability than
standardization
• More purposive and less aggregative
• Its focus is - policy issues, problem formulation, organizational forms,
administrative practices, and extension of technical contents of the programmes,
people cooperation, attitude and impact

3.2.3 Difference between Appraisal, Monitoring and Evaluation

Before going to do evaluation, it is important to know the differences between
these three concepts ‘appraisal’, ‘monitoring’ and ‘evaluation’. Although they
are interchangeable yet distinction can be established among these three concepts.
In development terminology, appraisal is usually taken to mean a critical
examination of a proposal of a programme or project, normally before the latter
is approved for implementation and funding. Sometimes, evaluation and appraisal
are used interchanging as if they are synonymous. Appraisal deals with economic
viability, technical feasibility and social desirability of a project that is being
contemplated. It is generally undertaken for large but concentrated investment
project. Thus, appraisal is basically a planning and project formulation activity.
Appraisal may be guided by evaluation findings of similar projects / components,
which have already been implemented.
30
As far as distinction between monitoring and evaluation is concerned, both Evaluation
monitoring and evaluations are undertaken to find out how a programme or project
performs or has performed. The basic difference between monitoring and
evaluation is given in Table-3.1.

Table 3. 1: Basic Differences between Monitoring and Evaluation

Monitoring Evaluation
Continuous: Starts and ends with a One shot operation: At a point of
programme. time (usually at completion or mid
way of programme)
Required for immediate use and Used for future planning/ replication/
mid-course correction expansion
Done by implementing personnel Usually by outside agency
Quick but covers all units In-depth; covers a sample
Correcting / managing Learning process
Symptomatic, early warning system Diagnostic

The concept of evaluation can broadly be defined as a more thorough examination,

at specified points in time, of programmes or projects or parts of them, usually
with emphasis on impacts and additionally commonly on efficiency, effectiveness,
relevance, reliability and sustainability. Generally appraisal is undertaken before
the initiation of the project, monitoring during the implementation of the project
and evaluation at the end of the project. However, there are no water-tight
differences among these three concepts.

3.3 TYPES OF EVALUATION

Customarily, the evaluation can be categorized as: (i) evaluation by focus; (ii)
evaluation by agency; (iii) evaluation by stage; (iv) longitudinal evaluation; and
(v) ongoing evaluation.

i) Evaluation by Focus: It is of two types viz., formative and summative

evaluations.

Formative Evaluation: Done during the programme development stage

(Process evaluation: Mid term appraisals)

Summative Evaluation: Taken up once the programme achieves a stable state

of operation (outcome evaluation, ongoing or ex-post evaluation). Usually
conducted at the end of the project.

ii) Evaluation by Agency: It is done by internal agency as well as independent

external agency appointed by donors.

iii) Evaluation by Stage

Ongoing : During the project
Terminal: Immediately after completion of project
Ex-Post: After sometime from completion of project
31
Monitoring and Evaluation iv) Longitudinal Evaluation: It is a repeat evaluation to study the sustainability
of results/outcomes.

v) Ongoing Evaluation (Concurrent Evaluation): When the monitored

information is further analyzed and examined by the project management
(with the help of some ad-hoc or special studies) on a continuing basis, with
a view to determine the casual relationship between project input or activities
and outputs and the influence of external constraints on project performance,
it is classified as ongoing evaluation. More aptly, this is the effect and impact
monitoring exercise in programmes, which are long term in nature. The idea
here is to adjust or redefine policies, objectives, institutional arrangements
and resources affecting the project during implementation. Since the main
purpose here is to do mid- course correction, it can be taken by the project
staff also and therefore it can also be called as internal evaluation. Such
evaluation is also termed as concurrent or mid-term evaluation. Generally,
this type of evaluation is undertaken in long-term projects.

3.4 EVALUATION DESIGN (HOW TO DO

EVALUATION?)
Since the primary focus of evaluation is assessment of results with reference to
objectives i.e., end results or impact, evaluation would necessarily mean
comparison of current situation after the project intervention with the situation
that existed prior to project. The evaluation designs are of two types:

3.4.1 “Pre - Project” Versus “Post-Project” Evaluation

For obtaining pre and post-project situation, two methods could be adopted:
i) Carryout a sample survey at the end of the project and enquire from the
project beneficiaries simultaneously their present situation and the conditions
that existed prior to the project. This method, however, suffers from ‘memory
or recall bias’ of the respondents.

ii) To overcome the memory or recall bias, it is always preferable and necessary
that a ‘baseline’ or ‘bench mark’ study is carried out at the beginning of the
project on selected parameters of likely impact. A similar baseline at mid
term and at the close of project will provide us the changes brought about by
the project overtime. Unfortunately in most projects baseline studies are not
undertaken or when available it is inadequate. Hence the pre-post (before-
after design) may not give us reliable information.

3.4.2 With Project and Without Project Evaluation

Under the circumstances of ambiguity in pre-project and post-project evaluation
an alternative evaluation design needs to be adopted. This method is called “with
and without”, also called as “beneficiary - non beneficiary (Control Group)”
design. For this purpose, a comparable typical sample of beneficiaries and non-
beneficiaries can be selected and studied within the project area. Alternately, a
comparable typical area adjoining the project area where project has not been
implemented can also be studied along with project area. The key to both the
approaches is selection of comparable / typical sample.

32
In order to obtain the best results in evaluation, a combination of both the designs Evaluation
will be the most appropriate method.
Till now you have read about the meaning and features of evaluation, types of
evaluation and evaluation design. Now you try and answer the following questions
in Check Your Progress-1.

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit.
1) What do you mean by Evaluation?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) Name different types of evaluations.
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
3) What is evaluation design?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

3.5 VARIOUS ASPECTS OF EVALUATION

It is pertinent to know some of the important aspects which are evaluated when
an evaluation is carried out by any individual or an organization. Some of the
aspects of evaluation are discussed below:

33
Monitoring and Evaluation i) Efficiency Evaluation
This may be defined as the amount of outputs created and their quality in
relation to the resources (capital and personnel) invested. It is, then, a measure
of how productively the resources (as converted into inputs) have been used.
The main problem in evaluating efficiency is deciding on the amount of
various inputs which the evaluator considers to be reasonable for producing
the outputs which may have been documented in the project proposal. Specific
criteria for making such judgments are rarely given in the plan documents.
The evaluator may therefore have to make his or her own judgment about
relations between the magnitude of inputs of different kinds and the amount
and quality of outputs. Measuring the efficiency is one of the intricate tasks
before the project manager, which sometimes may convince or may not
convince the donor agencies of the project.

ii) Effectiveness Evaluation

This expresses to what extent the planned outputs; expected effects
(immediate objectives) and intended impacts (development objectives) are
being or have been produced or achieved. In practice, in effectiveness analysis,
it may be appropriate to focus mainly on the effects on the outcome side, for
two related reasons:
• the effect level is the first level at which benefits for the intended
beneficiaries are expressed, making effects a much more significant
measure of achievements than outputs; and
• being more directly derived from the inputs and activities of the respective
developmental scheme than are impacts, the effects will normally be
less influenced by intervening external factors and can, therefore, usually
be assessed quickly and more reliably.
If the immediate objectives (intended effects) have not been precisely stated
in the programme or project document, the evaluator may have to make
such further specifications by himself or herself which he or she considers
to be necessary for an effectiveness analysis, according to the evaluator’s
own best judgment.

iii) Impact Evaluation

Impact means long-term effect-positive and negative, intended and
unintended. These are the longer-term, largely indirect consequences of the
programme or project for the intended beneficiaries and any other people.
The main impacts are, of course, expected to be positive. However, there
may be negative impacts as well, on beneficiary groups or others. These
should also be analysed. Sometimes, negative impacts on some people may
have been suspected or even expected at the planning stage. These might
then have been mentioned and even specified in the plan documents, with or
without counteracting measures. In other cases, they may have been entirely
unforeseen. They may then be more difficult to trace for evaluators. Impacts
are normally generated through complex relations and processes and they,
therefore, need to be analysed through broad-focusing investigations. Impact
evaluation can use quantitative or qualitative methods or both.

34
iv) Evaluation of Sustainability Aspect Evaluation

This means the maintenance or augmentation of positive changes induced

by the programme or project after it is terminated. Sustainability may relate
to all the levels of the project intervention framework. In case of action
research project the sustainability aims at continuation of interventional
activities at all levels. In more specific terms, sustainability may mean:
• maintenance of physical facilities produced (for instance, a road);
• continued use of physical facilities (for instance, a road) or intangible
qualities (for instance, knowledge);
• continued ability to plan and manage similar development work (by
organisations which have been in charge of the programme or project or
any other organisations);
• continued production of the kinds of outputs created (for instance,
teachers from a teachers’ training college);
• maintenance of impacts created (for instance, continued improved health
due to new sanitation practices or continued ability to compete more
effectively in labors markets due to training given); and
• multiplication of effects and impacts (of the same kinds or of other kinds,
through inducements from facilities or qualities created by the programme
or project).

v) Evaluation of Quantitative and Qualitative Aspect

In the social sciences, it has become common to distinguish broadly between
two major approaches: quantitative and qualitative. The most obvious
distinction between the two is that quantitative methods produce numerical
data and qualitative methods produce information which is expressed in
words. In simple terms, the quantitative evaluation are made by using
scientific tools and measurements. The result can be measured and counted.
Compared to this, qualitative evaluations are more subjective in nature and
become harder to reproduce with accuracy.

vi) Evaluation of Result Oriented Aspects

The five main aspects in project operation and evaluation are input - activities
- output - effect (outcomes) -impact sequence and their need for monitoring
at different stages of the projects’ progress. There is change in approach, in
recent times; new approach is called Result Oriented/ Result based evaluation,
an improvement over the activities to outputs in impact approach is used.
The focus here is to ensure that resources ‘invested’ in any development
activity generate their intended results objectively as possible. Projects are
now only deemed successful, if the measured results achieve the projected
quantified indicators. This approach lays emphasis on ‘results’ and benefits
at every stage. The concept is to link development resources to the objective
of societal benefits, along with the means of achieving them, impact measures
and the risks involved in the process. This involves an integrated methodology
package to strengthen all components of the project cycle. The important
tools used are Logical Framework, problem analysis; GTZ objective oriented
analytical framework, etc.
35
Monitoring and Evaluation
3.6 METHODS AND APPROACHES OF
EVALUATION
The monitoring and evaluation is one of the important components of any project
and programme. The funding agencies always want that the money which they
sanction to the project and the purpose for which it is spend are utilized for the
purpose for which it is intended. Some of the methods and approaches used by
the World Bank (2004) for evaluation of projects are:
i) Logical Framework Approach
ii) Formal Survey Method
iii) Rapid Appraisal Method
iv) Public Expenditure Tracking Survey Method
v) Cost-Benefit and Cost-Effectiveness Analysis
vi) Participatory Method

3.6.1 Logical Framework Approach

The Logical Framework is simply a tool, which provides a structure for specifying
the components of any activity, and the logical linkages between a set of means
and a set of ends. It places the project in its larger framework of objectives within
the programme. It serves as a useful tool for defining inputs, time-tables,
assumptions for success, outputs and indicators for monitoring and evaluation
performance. The structure of the Log Frame is deceptively simple. It consists of
a 4 × 4 matrix in which the rows represent the levels of project objectives,
including the means required to achieve them (the vertical logic), while the
columns indicate how the achievement of these objectives can be verified (the
horizontal logic). The full matrix is shown in Table 3.2.

Table 3. 2: A Logical Framework Matrix

Narrative Objectively Verifiable Means of Important Assumptions

Summary Indicators (OVI) Verification (MOV)

GOAL Measures of Goal Sources of Assumptions Affecting

Achievement Information Methods Purpose-goal Linkage
Used

PURPOSE End Project Status Sources of Assumptions’ Affecting

Information Methods Output-Purpose Linkage
Used

OUTPUTS Magnitudes of Outputs Sources of Assumptions’ Affecting

Planned, Completion Information Methods Inputs-Output Purpose
Data Used Linkage

INPUTS Nature and Level of Sources of Initial Assumptions

Resources, Necessary Information about the Project
Cost, Planned Starting
Data

36
The two important component of logical frame work technique are (a) the vertical Evaluation
logic and (b) the hierarchy of project objectives.

a) The Vertical Logic: The vertical logic identifies what the project intends to
do, clarifies the relationship between project means and ends, and specifies
the uncertainties concerning both the project itself and the social/physical/
political environment within which the project is located.

b) The Hierarchy of Project Objectives: Four levels are specified in the Log
Frame:
Goal: The reason for undertaking the project: the ultimate objective of the
programme to which the specific project will contribute.
Purpose: What the project is expected to achieve in development terms once it
is completed within the allocated time. The purpose is the motivation behind the
production of the outputs.
Outputs: The specific results to be produced by the management of inputs.
Inputs: The activities to be undertaken and the resources available to produce
the outputs.
Some of the advantages of logical framework are:
a) It forces the project analyst to trace out the inter-locking components of a
project in a Logical manner right from the start. Shifts the emphasis from
inputs and outputs to objectives of the project.
b) It forces the project analyst to ask himself, from the very outset, the question
“How can I check whether or not progress is being made towards achievement
of objectives?”
c) It forces the project analyst to record systematically the risks and assumptions
inherent in the whole enterprise. Helps to minimise risk, keep a check if
assumptions are coming true.
d) Handing over to others is made easy.
e) Logical Framework is the intellectual baggage of Monitor and Evaluator.

3.6.2 Formal Survey Methods

Formal Surveys can be conducted from time to time during the project or
programme implementation period. The survey must try to collect information
with the help of a standardized tool from a carefully selected sample of people or
households. Surveys sometimes used to often collect comparable information
for a relatively large group of people in particular target groups in a project area.
The survey is intended to serve following purpose:
a) Providing baseline data against which the performance of the strategy,
programme or project can be compared.
b) Comprising different groups at a given point of time.
c) Comparing changes over time in the same group.
d) Comparing actual conditions with the changed condition of the target
established in a programme or project design.
37
Monitoring and Evaluation e) Describe prevailing conditions in a particular community or group.

Some of the advantages of this method are: (a) Its findings can be applied to
longer group (b) quantitative establishments can be made for the distribution of
impacts.

3.6.3 Rapid Appraisal Methods

Rapid Appraisal Methods are quick and low-cost means to gather information
from the beneficiaries or other stakeholders of the project area for providing
information to decision-makers. The rapid appraisal method falls between very
informal methods such as casual conversations or short-site visits and highly
formal methods such as Census, Sample Surveys or experiments.
Some of the popular methods of rapid appraisal are:
a) Key information interview
b) Focus group discussion
c) Community group interview
d) Direct observation
e) Mini-survey

The advantages of rapid appraisal method are they are low cost, can be conducted
quickly and provide flexibility to explore new ideas. As rapid appraisal methods
are short-term, they neither provide sound survey data nor do they provide in-
depth understanding of the survey.

3.6.4 Public Expenditure Tracking Survey (PETS) Method

Public Expenditure Tracking Surveys tracks the flow of public funds and
determine the extent to which resources actually reach the target groups for which
it is intended. The surveys examine the process, quantity, and timing of the release
of resources to different levels of government for example central, state, district
and local self-government institutions, particularly to the units responsible for
delivery of services. PETS is implemented as part of longer service delivery and
facility surveys which focus on the quality of service, characteristics of the
facilities, their management, incentive structure, etc.

PETS also intend to provide local communities with information about the level
of resources allocated to particular services in their area for example to the local
school or health clinic, etc and their pattern of utilization. PETS are widely used
by the International donor agencies in evaluating their social development projects
in African Countries.
The two important advantages of this method are:
a) Supports the pursuit of accountability
b) Improves management by pinpointing bureaucratic bottlenecks

3.6.5 Cost-Benefit and Cost-Effectiveness Analysis Method

The cost benefit and cost effectiveness analysis are tools used for assessing
whether or not the costs of an activity can be justified by the outcomes and
outputs. Cost benefit analysis measures both inputs and outputs in monitary terms.
38
On the other hand, cost effectiveness analysis estimates inputs in monetary terms Evaluation
and outcomes in non-monitary quantitative terms. The unique feature of cost
benefit analysis is that it can indicate explicitly whether benefits outweigh costs.
While the cost-effectiveness compare programme with similar outcomes. The
calculation of cost effectiveness is done with the help of cost-effectiveness ratio,
which is as follows:
Total Cost
Cost Effectiveness Ratio = —————————
Unit of Effectiveness

The benefit-cost ratio (BCR) represents the ratio of total benefits over total costs,
both discounted as appropriate. The formula for calculating BCR is:

PV benefits
BCR= —————
PV cost
Where:
PV benefits – Present Value of benefits
PV cost – Present value of cost

The steps followed in the cost benefit and cost effectiveness analysis are follow:
1) set the framework for the analysis
2) decide whose cost and benefit to be recorded
3) identify and categorize costs and benefits
4) calculate project costs and benefits over the life of the programme
5) monetize
6) quantify benefits in terms of units of effectiveness
7) discount costs and benefits to obtain present values
8) compute a effectiveness ratio
9) compute cost benefit ratio
One of the important advantages of cost effective method is that it is useful for
convincing policy-makers and funders that the benefits justify the activity. While
the benefit cost ratio is most suitable for the evaluation of single project.

3.6.6 Participatory Methods

Participatory Monitoring and Evaluation (PM&E) has emerged because of
recognition of the limitations of the conventional approach to M&E. It is attracting
interest from many quarters since it offers new ways of assessing and learning
from change that are more inclusive, and more in tune with the views and
aspirations of those most directly affected by the project interventions. PM&E
provides an opportunity for development organizations to focus better on their
ultimate goal of improving poor people’s lives. By broadening involvement in
identifying and analyzing change, a clearer picture can be gained of what is really
happening on the ground. It allows people to celebrate successes, and learn from
failures. For those involved, it can also be a very empowering process; since it puts
them in-charge, helps develop skills, and shows that their views counts.

39
Monitoring and Evaluation a) What is PM&E?
PM&E is not just a matter of using participatory techniques within a
conventional monitoring and evaluation setting. It is about radically rethinking
who initiates and undertakes the process, and who learns or benefits from
the findings. There are many different forms depending on who is
participating, at what stages they are involved and the precise objectives.
Community-based versions, where local people are the primary focus, sit
alongside other forms geared to engaging lower level staff in assessing how
it can be improved. PM&E has created new ways of measuring change,
while helping build the monitoring and evaluation capacity of the people
involved. Distinction between the conventional M&E approaches and
participatory M&E approached is given in Table-3.3 below.
Table 3.3: Conventional M & E approaches Vs. Participatory M&E Approaches

Parameter Conventional M&E Participatory M&E

Who plans and Senior managers, or Local people, project staff,
manages the outside experts. managers and other stakeholders,
process often helped by a facilitator.
Role of ‘primary Provide information only. Design and adapt the methodology,
stakeholders’ (the Externally-defined, collect and analyses data, share
i n t e n d e d mainly quantitative findings and link them to action.
beneficiaries) indicators. Internally-defined indicators,
How success is including more qualitative
measured judgments.
Approach Predetermined. Adaptive.

b) The Principles of PM&E

PM&E provides the opportunity to analyse both the qualitative and
quantitative information, thus providing more complete information on which
to base decisions. Often, an information system focuses on only (quantitative)
information, but numbers alone produce an incomplete picture of which is
really taking place in the community. If the “story behind the numbers” is
available to people, a different evaluation may be possible. PM&E has been
built on a number of overall principles which will help understand the PM&E
approach (Table 3.4).
Table 3.4: Participatory Monitoring and Evaluation Approach
Tools chosen to fit community: Information that is useful rather than perfect:
PM&E seeks to find the appropriate It is often only necessary to have information
tool for each unique community. that shows trends rather than statistically
exact information. Information showing
trends and delivered on time is often more
useful to decision-making than precise
information delivered late.
Outsiders help community to focus Supports existing community skills:
on a specific issue: Outsiders PM&E builds on existing community
facilitate but do not direct. skills.
Attitude of partnership: Insiders and
outsiders can both contribute to
community development.
40
Evaluation
Essential information: The community is the final evaluator:
PM&E seeks to identify information Since it is the community alone who decides
that is “necessary to know” rather whether or not to continue the project, they
than “nice to know”. This ensures are the final and most important evaluators.
that the information system is not
overloaded with unnecessary
information.

Two way communication and clear People who make decisions need timely,
messages: reliable and useful information:
PM&E is built on ideas, methods and The right information at the right time will
tools that support equal and clear facilitate better decisions.
communication between insiders and
outsiders.

c) What are the Steps or Stages of PM&E?

There are four major steps or stages of applying PM&E in practice:
• Planning or establishing the framework for a PM&E process, including
identification of objectives and indicators
• Gathering data
• Data analysis
• Documentation, reporting and sharing of information
d) PRA and PRA - related techniques
Participatory assessment also known as ‘participatory rural appraisal’ (PRA)
and ‘participatory rapid assessment’ (PRA), comprises a range of
visualization, interviewing and group work methods. These techniques have
proven valuable in enabling people to express their views and share
information, in uncovering their realities and priorities, and in stimulating
discussion and analysis. Following methods are used:

i) Methods used in participatory rural appraisal (PRA) Visualized Analysis:

Participatory mapping and modeling Time lines and chronologies
Aerial photograph analyses Matrix scoring and preference ranking
Transect and group walks Venn and network diagramming
Seasonal calendars Flow diagrams on systems and impact
Daily and activity profiles Pie diagrams
Historical profiles and trend analyses
ii) Interviewing and sampling methods:
Semi-structured interviewing Ethno-histories
Direct observation
Focus group Well-being and wealth ranking
Key informants Social maps

41
Monitoring and Evaluation iii) Group and team dynamics method:

Team contracts
Team review sessions
Interview guides
Rapid report writing
Work sharing (taking part in local activities)
Villager and shared presentations
Process notes arid diaries
Some of the advantages of participatory evaluation method are:
a) Examines relevant issues by involving key players in the design process
b) Establishes partnership and local ownership of the project
c) Enhances local learning, management capacity and skills.
In this section you have read about the various aspects of evaluation and techniques
of evaluation. Now try and answer the questions in Check Your Progress-2.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit.
1) What is participatory evaluation?
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2) Name different aspects of evaluation?
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42
Evaluation
3.7 LET US SUM UP
The basic meaning, principles, design and use of evaluation have been briefed
and discussed in this unit. Evaluation has been neglected and mistakenly seen as
a ‘fault finding’ mechanism. It is to be understood evaluation as a ‘learning
process’ and our past experiences guide us to a better future. Unless we know
our strengths and weaknesses of actions and outcomes, which an evaluation helps
to bring out, we cannot build a better tomorrow. Over the years, evaluation has
evolved into a community based participatory exercise than being an externally
guided activity. Several illustrations have been given in this unit to facilitate
easy understanding of the concept.

3.8 REFERENCES AND SELECTED READINGS

ADB (2002), Project Performance Management System Operations Manual,
Section 22.
Anees, Arul (2000), Process Evaluation of Rural Development Programmes,
Authors Press, Delhi
D.J. Casley and D A Lury (1982), A Hand Book on Monitoring and Evaluation
of Agriculture and Rural Development Project, The Word Bank
Davis-Case, D. and P. Grove. (1990), The Community’s Tool Box: The Idea,
Methods, and Tools for Participatory Assessment, Monitoring and Evaluation
in Community Forestry. Rome: FAO
Davis-Case, D’Arcy (1990), Community Forestry. Participatory Assessment,
Monitoring and Evaluation.
Feuerstein, Marie-Therese. (1986), Partners in Evaluation. Evaluating
Development and Community Programmes with Participants, Macmillan
Education Ltd, Hong Kong.
Gosling, Louisa and Mike Edwards (1995), Toolkits. A Practical Guide to
Assessment, Monitoring, Review and Evaluati, Save the Children, London.
Guijt, I. (1998), Participatory Monitoring and Impact Assessment of Sustainable
Agriculture Initiatives: An Introduction to the Key Elements, Discussion Paper
No.1, Sustainable Agriculture and Rural Livelihoods Programmes, IIED, UK: IIED
http://Inweb18.worldbank.org/oed/oeddoclib.nsf/24cc3bb1f94ae11c
85256808006a0046/ a5efbb5d7
http://www.adb./org/Documents/Manuals/Operations/om22.asp.
Mukherjee, Amitava, (2004), Participatory learning and action: monitoring and
evaluation and participatory monitoring and evaluation: essays in Honour of
Robert Chambers, Concept Publishing Company, New Delhi.
Oakley Peter (1989), Community Involvement in Health Development – An
Examination of the Critical Issues, World Health Organisation, Geneva.
Participatory Monitoring and Evaluation: A Handbook for Training Field
Workers. 1998 (1990), Bangkok: Regional Office for Asia and the Pacific (RAPA),
FAO.
43
Monitoring and Evaluation Reider Dale, (2004), Evaluation Development Programmes and Projects, Sage
Publication, Delhi.
Somesh Kumar, (2002), Methods for Community Participation. A complete Guide
for Practitioners, Vistaar Publilcations, New Delhi.
World Bank (2004), Monitoring & Evaluation: Some Tools, Methods and
Approaches, The World Bank, Washington, DC, USA.

3.9 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1
1) Evaluation is a process for determining systematically and objectively the
relevance, efficiency, effectiveness and impact of project activities in the
light of their stated objective.
2) Customarily the evaluation can be categorized as (i) evaluation by focus – it
is 2 types’ formative and summative evaluation (ii) evaluation by agency – it
is 2 types like: internal and independent evaluation (iii) evaluation by stage
– ongoing, terminal and ex-post evaluation; (iv) longitudinal evaluation;
and (v) ongoing evaluation.
3) The primary focus of evaluation design is assessment of results with reference
to objectives i.e., end results or impact; evaluation would necessarily mean
comparison with situation that existed prior to project. The evaluation designs
are of two types: “Pre - Project” Versus “Post-Project” Evaluation and With-
Without Project design. In other words, the evaluation design aims at
measuring what evaluation intends to measure.
Check Your Progress 2
1) Participatory evaluation is a means of achieving the wider objectives of
community participation projects. Community involvement will enable
evaluation to be used as a learning device – a form of fundamental education
which can contribute to empowerment and partnership. Evaluation needs to
be seen in a changing light: from being commonly a tool for judging project
managers, it can be transformed into a shared process of community self –
assessment and project improvement.
2) It is pertinent to know some of the aspects which are evaluated when an
evaluation is carried out by any individual or an organization. The various
aspects of evaluation are: efficiency evaluation, effectiveness evaluation,
impact evaluation, evaluation of sustainability aspect, evaluation of
qualitative and quantitative aspect, and last one is evaluation of result oriented
aspect.

44
Measurement
UNIT 1 MEASUREMENT

Structure
1.1 Introduction
1.2 Measurement: Meaning and Concept
1.3 Importance of Measurement
1.4 Measurement Postulates
1.5 Levels of Measurement
1.6 Admissible Statistical Tests for Measurement
1.7 Criteria for Judging the Measuring Instruments
1.8 Sources of Errors in Measurement
1.9 Let Us Sum Up
1.10 Keywords
1.11 References and Selected Readings
1.12 Check Your Progress – Possible Answers

1.1 INTRODUCTION
The first principle of a scientific study is to describe objectively what a scientist
observed, under what circumstances, and to communicate the same as precisely
as possible. A scientist reports not only what has been observed, but states the
circumstances and the methods used, too. This is a high priority condition because
others must be given a chance to verify those observations. In fact, specification
of the conditions of observation is the first step in the measurement of a given
phenomenon.
Although arguments continue over the nature of measurement, measurement in
some form or other has always been there even when social sciences were no
more than a branch of speculative philosophy. Quantitative principles from physics
and chemistry have given us very precise and accurate measurement in these
fields. Biological sciences, of late, have established principles that are nearly at
par with those found in physical sciences. Social sciences lag far behind as
compared to physical and biological sciences. Measurement is the key to all
sciences.
After studying this unit you will be able to:
• explain the meaning, concepts and importance of measurement in social
science research.
• describe the levels of measurement that quantify social variables.
• distinguish between various levels of measurement that have been used in
the social science research.

1.2 MEASUREMENT: MEANING AND CONCEPT

Measurement is an inseparable part of any science, natural or social. Any science
aims to obtain a specific and accurate measurement of the events, of the
characteristics of the different units of a phenomenon, and, of the inter-relationship 5
Measurement and Sampling between the units. Measurement is assigning numbers to objects or events
according to rules (Stevens, 1946). The purpose is to have information in a form
in which variables can be related to each other. In social science research we
have to deal with various social and psychological variables. Their measurement
is one of the vital stages in the research process. Measurement of social and
psychological variables is a complex and demanding task.

Measurement, simply speaking, is the assignment of numerals or other symbols

or signs (male, female, occupational categories, for example) to objects or events
according to a set of operational rules. Measurement always refers to some
property of the object or event and not the object or event by itself. In this
measuring process, the observer follows a scheme or procedure by which observed
events can be classified into non-overlapping categories unambiguously, and the
categories are given labels - numerals or symbols. The basic assumption in
measurement theory is that every event or object in a set of events or an object
possesses a specific quantity of the property under observation. This quantity of
the property can be compared directly against a standard scale (as when we
measure the length or mass of a material) or can be evaluated fairly accurately by
trained observers (judges or experts assessing the level of performance of a student
in a debate or in class examination). Often the measurement operations involve
the use of mechanical devices such as thermometer, barometer, measuring tape,
or weighing scale. The use of such mechanical devices is the least observer
dependent, and, hence, the measurements are fairly precise, accurate, and
objective. The thermometer, for example, when applied to a given object, gives
a number, the temperature. This is a technical refinement of the precision of a
crude judgment into categories such as very hot, hot, warm, cold, etc., that are
obtained by the impression of the observer when he touches an object with his
finger. In social sciences, too, we make use of a physical (not necessarily
mechanical) component or stimulus.

Social science research follows a standardized procedure or mechanism, as is

followed in the physical sciences. When a scale is applied on a person, it gives
us a number (or symbol) on his attitude, IQ, interest, emotional stability,
motivation, and so on. It follows, then, that a measurement operation is always a
standardized way of proceeding, which may or may not make use of mechanical
devices or stimuli, but which always results in classification of the objects
measured into some non-overlapping categories labelled by numerals, or simply
by symbols. From the viewpoint of mathematics, measurement operation is a
standardized rule that maps each of a set of objects into one, and only one, of a
set of several categories or numbers.

Although arguments continue over the nature of measurement, measurement of

some form or other has always been there even when social sciences were no
more than a branch of speculative philosophy. Quantitative principles from physics
and chemistry have given us very highly precise and accurate measurement in
these fields. Biological sciences, of late, have established principles that are nearly
at par with those found in physical sciences while, social sciences lag much
behind in this respect.

6
Measurement
1.3 IMPORTANCE OF MEASUREMENT
“Measurement consists of identifying the values which may be assumed by some
variable, and representing these values by some numerical notation. The numerical
notation is systematically and consistently assigned, that is, it is assigned according
to some set of rules.”

Thus, the numerals assigned to the variables, indicate different condition of the
variables or different values of the variables or different degrees or intensity of a
quality possessed by units. From the above it is evident that:
i) measurement is a purely descriptive process.
ii) measurement implies that the attributes of persons or objects are possessed
in varying degrees and the degree of variation can be measured and
represented.
iii) measurement, in essence, is a numerical process.
Common objects of measurement in sociology are individual’s characteristics,
interactions, interrelations, consciousness, participation, socialization, motivation,
etc. Some of the properties, of the individuals are visible and easily measurable,
such as age, income, height, etc. Some characteristics are abstract and it is difficult
to measure them.

These days, both in sociology and psychology, the measurement of beliefs and
attitudes is common because of the greater emphasis on a democratic form of
government which demands an assessment of peoples’ attitude and opinion, from
time to time. Besides this, public opinion studies are carried on regularly by
various public and governmental agencies. Even the commercial organizations
measure peoples’ opinion and attitude to know the future market of their products.
Polling agencies measure people’s opinion and attitude to know the people’s
preferences for particular political parties and candidates. Thus, they want to
predict, on the basis of such polling, the possibility of winning for any particular
candidate. Attitudinal studies may also help in predicting an individual’s future
behaviour and their possible reactions towards different developmental
programmes. Such studies might also help in making policies and specially in
implementing them. For example, the study of beliefs and attitudes of Indian
people towards illness and health measures or family size would help in instituting
a social and educational programme to mobilize the people towards vaccination
or adoption of family planning in urban areas.

Measurement and quantification of variables, beliefs, attitudes, etc., do help in

statistical manipulation of them, in experiment, and in testing specific hypothesis
related to them. Thus, ultimately, it helps in the development and advancement
of a theory.

1.4 MEASUREMENT POSTULATES

There are three postulates that are basic to measurement. A postulate is an
assumption that is an essential prerequisite for carrying out some operations or
line of thinking. In this case, it is an assumption about the relations between the
objects being measured.
7
Measurement and Sampling The three postulates that are basic to measurement are as follows.
a) Either (a=b) or (a ≠ b) but not both. This postulate says a is either equal to b
or not equal to b, but not to both. We must be able to assert, either that one
object is the same in a characteristic as another, or, it is not the same. In
measurement ‘the same’ does not necessarily mean complete identity. It can
mean ‘sufficiently the same’ to be classed as members of the same set
Example: Duration of variety X is greater than variety Y:
Yield of variety X is greater than variety Y
Height of a person X is greater than person Y’
b) If (a=b) and (b=c) then (a=c). This postulate says, “If a equals b, and b
equals c, then a equals c. If one member, of a universe is the same as another
member, and the second member is the same as third member, then the first
member is the same as the third member. This postulate enables a, researcher,
to establish the quality of set members, on a characteristic by comparing
objects.

Example: As farmers who have T.V. and radio have the same level of mass
media exposure as that of the small farmer having T.V. and radio, and, this,
in turn, is equal to the marginal farmer having T.V. and radio.

c) If (a>b) and (b>c) then (a>c). The third postulate is of more immediate and
practical importance for our purpose. It says “If a is greater than b, and b is
greater than c, then a is greater than c. Other symbols or words can be
substituted for greater than (>) less than (<), such as, is at a greater distance,
that is stronger than, and soon. Most measurement in psychology and
education depends on this postulate. It must be possible to assert ordinal-a
rank-order statements, such as a has more property than b, b has more of
property than c, thus, a has more property than c.

Example: Yield of variety X is more than variety Y and yield of variety Y is

more than variety Z.

In the above section you have studied about the meaning and postulates of
measurement. Now, answer the questions given in Check Your Progress 1.

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What do you mean by measurement?
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8
2) Name different postulates of measurement. Measurement

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1.5 LEVELS OF MEASUREMENT

The theory of measurement in social sciences really consists of a system of distinct
theories each concerned with a distinct level of measurement. A set of data often
will satisfy some of the levels, but not others. It is, therefore, necessary to understand
the basic nature of data before applying a particular level of measurement. Choice
of an appropriate statistical model for analysis is largely dependent on this level
of measurement achieved. The higher the level of measurement, the more
informed we are about a variable.

1.5.1 Nominal or Categorical Scale

Measurement, in its simplest, most primitive, and weakest form exists when we
can substitute numbers (without meaning its numeral values) or symbols to real
objects. That is, we use these symbols or numbers merely to classify or categorize
objects, persons or even characteristics. A scientist, at the simplest level, must
think of a classification scheme so that the different recorded events can be fitted
into this scheme of classification. We give each category of event or object a
name, or a number, or a symbol for convenience of identification. These symbols
or numbers then constitute a nominal or classificatory scale. The categories
making up the scale must be mutually exclusive (each observation can be put
under only one category) and exhaustive (there are sufficient number of categories
so that each observation can be put under some category) and unordered. The
categories making up a nominal scale are usually called attributes. Thus, for
mammals the attribute, sex, has only two categories: male and female. A
population can be classified by the occupations they follow, or, by their rural-
urban origin; STD dialling code 033 indicates all telephone subscribers in the
Calcutta telephone zone; blue, brown, black, etc., are categories of human eye
colour.

In a nominal scale, the scaling operation consists of partitioning a given class

into a set of mutually exclusive sub classes. The member of any sub class must
be equivalent in the characteristic or the attribute being scaled. The only relation
used in this scaling is equivalence. A sign of equality (=) symbolizes the
relationship. In addition, the relationship of equality is reflexive, symmetric, and
transitive. By reflexive we mean x = x for all values of x; by symmetry we mean
that, if the relationship of equality holds between x and y, it also holds between
y and x, i.e., if x = y, then y = x; by transitivity we mean if x = y, and y = z, then
x = z.
Such a classification scheme utilizes only a part of the information about the
objects or events being classified. We said earlier, we never measure an object or
9
Measurement and Sampling an event. An object may have many distinguishable properties or attributes. The
scientist singles out those attributes only that have relevance to the objectives of
his study. Therefore, the act of measurement, however simple or elementary,
requires some degree of abstraction from the complex of properties possessed
by the event or the object. The level of measurement in a nominal scale is so
elementary and crude that many scientists would not like to consider it as
measurement at all. Nevertheless, such classification into mutually exclusive
categories is a necessary condition for all higher levels of measurement.
On a nominal scale, we are able to classify objects or events into non-overlapping
categories purely on the basis of some qualitative character of the studied variable.

1.5.2 Ordinal Scale

The ordinal scale enables the researcher to categorize individuals, objects, or
survey responses on the basis of a particular characteristic that they have in
common. For example, sometimes, the objects in one class of a nominal scale
are not merely different from objects in another class on the same scale; they
stand in some kind of relationship. Typical relationships among the classes are
that the members of one class have more of some property or characteristic than
those in other classes. Such a relationship is often designated by the carat (>),
which means ‘greater than’. The symbol > is used to express all such relations
between classes as ‘preferred to’, ‘more than, ‘greater than’, ‘higher than’, etc.
Conventionally, the number 1 is assigned to the class, which numerically has
larger quantity of the property than all other classes. Number 2 is assigned to
that class that has less of the property compared to that of the class given the
number 1, but more of it than the rest of the classes, and so on. That is, the
numbers in such a classification indicate the place of a category or class in an
ordered series. In a sprint event, whoever touches the finishing tape first is given
the number 1; the person coming second, the number 2, and so on, for other
sprinters, no matter if the second sprinter comes 1 second or 0.04 seconds after
the first, the third runner taking 4 seconds, or, more than the runner in the second
spot. Such numbers, in an ordered series, constitute an ordinal scale.
The ordinal numbers actually state the relative position or the amount of the
characteristic relative to others. The rank of a category depends only upon how
many categories are ahead of it in respect to the quantity of the characteristic
under comparison and not upon how many classes follow it. The differences of
the ordinal numbers do not speak about the absolute differences in the amount of
the characteristic the objects posses. A secures the first position by aggregating a
total of 520 in the examination, B coming second with a total of 515, and C
places in the third spot scoring 450. Although the rank differences between A
and B, and between B and C are the same, the differences in absolute term of
marks obtained in the examination are different. All we can say from an ordinal
scale is that A is best in the group, B the second best (only one has a better record
than him); and, C is the third best, coming after A and B, and, so on, with other
orders. A large variety of measurements in psychology, sociology and other
sciences yield only ordinal data. When a measuring instrument produces ordinal
numbers, it is called ordinal scaling.
At the ordinal level of measurement, numbers are assigned to objects or events
not only to categorize them, but also to indicate a ‘greater than’ or ‘less than’
relationship. The scale has no absolute zero point and there are unequal distances
10 between the scale values. Numbers assigned at the ordinal level provide more
information than at the nominal level because they also establish an ordering of Measurement
the objects or events. For example, various television programmes may be
categorized according to popularity and assigned rank 1 to most popular and 5 to
least popular ones. The programmes can then be ordered according to popularity,
but it can not be ascertained how much more popular one programme is over
another, since the numbers do not indicate equal distances among the scale values.

Ordinal level measurement allows objects or events to be ordered by degree on

the basis of possession of some characteristic that can be abstracted and measured
quantitatively.

1.5.3 Interval Scale

When a scale has all the properties of ordinal and ordered metric scale and when
we have additional information about how large the distances (intervals) between
any two stimuli are, we have achieved a more powerful measurement, stronger
than ordinality. In such a device, a measurement has been achieved in the sense
of an interval scale.

To understand the distance function it is necessary to assign ‘real numbers’ to all

pairs of elements in the ordered set. That is, the position of an element or object
in the scale is specified by a real number so that such numbers constitute points
on an arithmetic scale with a common and constant unit of measurement. The
ratio of any two intervals indicated by the real numbers, however, is independent
of the unit of measurement and there is a lowest end point, the zero point. Thus,
the ratio of two intervals 32cm and 40cm, and 1 00cm and 140cm is 1:5, which
has no unit. If a constant, say 10cm is added to each of the interval points, i.e., if
the new intervals are 42cm - 50cm and 110cm - 150cm respectively, the ratio
between the two intervals remains the same.

Interval measurement should be used with due caution, especially when comparing
differences between two or more attributes. Comparisons are meaningful when
the origin, zero, for both the scales is the same and the units of measurements are
identical. Measuring temperature with a thermometer, measuring the time from
a selected starting moment, measuring the altitude from mean sea level are all
done with interval scales.

In interval scale has all the properties of a nominal scale (equivalence relation),
an ordinal scale (greater then or transitivity relation) and an ordered metric scale
(transitively relation in respect to distance between classes). In addition, this
scale is able to specify the ratio of any two intervals. It is, therefore, to be regarded
as more powerful measurement compared to the three others already discussed.

Interval scale puts objects or events into a continuum with such units that measure
intervals of equal distance. The starting point zero of the scale is arbitrarily chosen.

1.5.4 Ratio Scale

Ratio scale provides the most powerful measurement for it satisfies not only all
the characteristics of an interval scale, but has also an additional and vital
characteristic - that it has an invariant or absolute zero. This invariant zero point
introduces a new dimension to mathematical operations. Not only is the ratio of
intervals of two classes independent of origin and unit of measurement, the
numbers associated with scale points can be expressed as ratios independent of
11
Measurement and Sampling the unit of measurement. In an interval scale (the origin is arbitrary) we could
not say that a score of 60 obtained by A is twice as large as the score of 30
obtained by B, for the simple reason that the zero point was chosen arbitrarily. If
5 is added to each score, the translated score of A will now read as 65 and is not
twice as large as B’s translated score 35, although the differences between the
two sets of scores (60 - 30 and (65 - 35) remain the same. This shows that if we
have an absolute zero in a scale, the scale values can no longer be translated, but
can only be multiplied (or, divided) by a scalar. In the example cited in connection
with measure of authority, we could not possibly associate a ‘zero authority’
with any regular staff member of a university.
Ratio scale is most commonly encountered in physical sciences. The weights of
two objects whether measured in pounds or kilograms always yields the same
ratio. The same is true of the length of two objects, or time taken by two individuals
to complete a specific job.
A measurement will be said to be in ratio scale if it is possible to operationally
attain the four relations: (i) equivalence (ii) greater than (iii) known ratio of any
two intervals, and (iv) known ratio of any two real numbers associated with any
two points on the scale.
Ratio scale places objects or events on a continuum, which has a rigidly defined
starting point (real zero), such that the variable quantities (real numbers ) can be
expressed in terms of ratio of another number.

Table 1.1 : Examples of Questions in Each of the Five Basic Scale

S.No. ScaleType Examples
1. Nominal Scale Do you like the quality of health care services
provided by your health centre?
Yes-1 No-2
2. Ordinal Scale If you are asked to rate the quality of health care
services provided by the primary health care
centre, how will you rank it?
Excellent-1
Very Good -2
Good-3
Average-4
Poor-5
3. Interval Scale In the past twelve months, how many times have
you gone for check up to the primary health
centre?
<5 times – 1
6-10 times – 2
11-15 times – 3
>16 times – 4
4. Ratio Scale In the past twelve months, how much of money
have you spent on health care?
Amount of money spent……
12
Measurement
1.6 ADMISSIBLE STATISTICAL TESTS FOR
MEASUREMENT
The application of various statistical tests for different categories of measurement
scales are discussed below.

Statistical Tests for Nominal Scale: Since the symbols or labels attached to any
category are arbitrary and can be interchanged without altering essential
information contained in the scale, the only kind of descriptive statistics that can
be used are those, which would not be affected or altered by such interchange.
They are crude mode, proportion and frequency. The nominal scale data, however,
can be used for testing of hypothesis relating to distribution of events among the
classes. Chi-square test, Contingency Coefficient, and certain other tests based
on binomial expansion can be used for the purpose.

Statistical Tests for Ordinal Scale: Median is the most appropriate measure of
central tendency of the scores that are in an ordinal scale. Obviously, quartile
deviation is the measure of dispersion for such data. There are a number of
non-parametric tests to test a hypothesis with scores in an ordinal scale - runs
test, sign test, median test, Mann Whitney U- test, etc. These tests are often
referred to as ‘order statistics’ or ‘ranking statistics’. Interrelations can be computed
from rankings of two sets of observations on the same group of individuals.
Spearman’s Rank Difference, or Kendall Rank Correlation coefficients are
appropriate for such situations.

For applying tests to measurements on an ordinal scale, we make an assumption

that the observations are drawn from a distribution, which is essentially
continuous. Such assumptions are also made for all parametric tests. A continuous
variate is one that is not restricted to having only isolated values. Given a certain
limit (interval between two classes), we can have any number of values inserted
in between. With an increase in the number of observations, more and more of
these values are likely to be represented. It will suffice, at this point, to remind
the readers that very often the crudeness of our measuring devices obscures the
underlying continuity that may exist. The classification of respondents with respect
to an attitude statement into categories strongly agree, agree, neutral, disagree,
strongly disagree essentially presumes the presence of a continuum. If a variate
is truly continuous and if the instrument for measuring the property in question
is sensitive enough, then the probability of obtaining a tied observation is
extremely small.

Statistical Tests for Interval Scale: The interval scale preserves both the ordering
of objects and the relative differences between them, even though the numbers
associated with the position of the object may be changed, following a regular
system. A set of observations will be scalable by interval scale if the data permits
a linear transformation. That is, if the equation y = a + bx, where a and b are two
positive constants, satisfies a set of real numbers, the numbers are said to be in
an interval scale.

All the common parametric tests - arithmetic mean, median, standard deviation,
product-moment correlation, etc., are applicable to data that follow an interval
scale. Non-parametric tests for statistical significance like Z, t, F are also
applicable to data in interval scale. 13
Measurement and Sampling Statistical Tests for Ratio Scale: Since the values in a ratio scale are real numbers
with a true zero (no upper limit) and only the unit of measurement is arbitrary,
the ratios between two numbers and intervals preserve all the information
contained in the scale even if these true numbers are multiplied by a true positive
constant. Any statistical test, parametric or non-parametric, is usable when a
ratio scale is used, such statistical tools as geometric mean and coefficient of
variation, which require knowledge of true scores, can be used with observations
that are in ratio scale.

Table 1.2: Analysis Method in Various Scales

Scale Basic Operation Measure of Central Other Appropriate

Tendency Statistics
Nominal Puts objects into Mode Chi-square
classes, i.e., male/
female, marital status,
occupation
Ordinal Determination of Median Rank Order
greater or less, i.e., Correlation, Man
preference, level of Whitney U-test
education achieved
Interval Determination of Arithmetic Mean Correlation
equality of intervals or Coefficient
differences, i.e.,
temperature
Ratio Determination of Geometric Mean, Coefficient of
equality of ratios, i.e., Harmonic Mean Variation
weight, income,
number of visits

Source: John boyce, Marketing Research, Mc Graw Hill, Australia, 2005.

1.7 CRITERIA FOR JUDGING THE MEASURING

INSTRUMENTS
A measurement, too, must satisfy certain criteria. The most important criteria to
be used in evaluating a measurement tool are described below.
i) Unidimensionality: This means the scale should measure one characteristic
at a time, e.g., the ruler should measure length, not temperature.
ii) Linearity: This means that a scale should follow the straight-line model.
Some scoring system should be devised, preferably one based on
inter-changeable units. In a ruler an inch is an inch whether it lies at one end
of the ruler or at the other, but in altitude scales such interchangeability
cannot be ensured. In such cases, ranking is preferable.
iii) Validity: This refers to the ability of a scale to measure what it is supposed
to measure.
iv) Reliability: This is an attribute of consistency. A scale should give consistent
14 results.
v) Accuracy and Precision: A tool should give an accurate and precise measure Measurement
of what we want to measure.

vi) Simplicity: A scale should be as simple as possible; an elaborate, complicated,

and over - refined scale may become unduly cumbersome, costly or even
useless.

vii) Practicability: This is concerned with wide range of factors like cost
effectiveness, convenience and interpretability. Some trade off is usually
needed between an ‘ideal’ tool and, that which the budget can afford. The
benefit to be derived should be commensurate with the cost incurred.

The tool should be easily administrable; it should contain proper instructions; it

should be easily understandable and conveniently arranged for easy completion.
In order to enable others to interpret the results of a test, there is need for such
aids as a statement of its function, its construction procedure and guides for
interpreting the result.

1.8 SOURCES OF ERRORS IN MEASUREMENT

Measurement should be precise and unambiguous in an ideal research study.
This objective, however, is often not met with in entirety. As such, the researcher
must be aware about the sources of error in measurement. The following are the
possible sources of error in measurement.

a) Respondent: At times the respondent may be reluctant to express strong

negative feelings, or, it is just possible that he may have very little knowledge
but may not admit his ignorance. All this reluctance is likely to result in an
interview of guesses. Transient factors like fatigue, boredom, anxiety, etc.,
may limit the ability of the respondent to respond accurately and fully.

b) Situation: Situational factors may also come in the way of correct measurement.
Any condition which places a strain on interviews can have serious effects
on the interviewer- respondent rapport. For instance, if someone else is
present, he can distort responses by joining in or merely by being present. If
the respondent feels that anonymity is not assured, he may be reluctant to
express certain feelings.

c) Measurer: The interviewer can distort responses by rewording or reordering

questions. His behaviour, style and looks may encourage or discourage
certain replies from respondents. Careless mechanical processing may distort
the findings. Errors may also creep in because of incorrect coding, faulty
tabulation and /or statistical calculations, particularly in the data analysis
stage.

d) Instrument: Error may arise because of the defective measuring instrument.

The use of complex words, beyond the comprehension of the respondent,
ambiguous meanings, poor printing, inadequate space for replies, response
choice omissions, etc., are a few things that make the measuring instrument
defective, and may result in measurement errors. Another type of instrument
deficiency is the poor sampling of the universe of items of concern.

15
Measurement and Sampling The researcher must know that correct measurement depends on successfully
meeting all of the problems listed above. He must, to the extent possible, try to
eliminate, neutralize, or, otherwise deal with all the possible sources of error so
that the final results may not be contaminated.

In the above sections, you read about various kinds of measurement and statistical
tests to be used in measurement. Now answer the questions given in Check Your
Progress 2.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What is interval scale?
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2) Write three important criteria for judging the measuring instruments.
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1.9 LET US SUM UP

In this unit, we discussed the meaning, concept, postulates and levels of
measurement. Measurement is an undetachable part of any science, natural, or
social. Any science aims to obtain a specific and accurate measurement of the
events, of the characteristics of the different units of a phenomenon and of the
inter-relationship between the units. Measurement is assigning numbers to objects
or events according to rules.

The theory of measurement in social sciences really consists of a system of distinct

theories each concerned with a distinct level of measurement. A set of data often
will satisfy some of the levels, but not others. It is, therefore, necessary to
understand the basic nature of data before applying a particular level of
measurement. The choice of an appropriate statistical model for analysis is largely
dependent on this level of measurement achieved.

Sometimes discrimination is made between scales on the basis of power of

measurement. The scales like nominal, ordinal, and ordered metric scales are
less powerful because they do not make use of all the information contained in
16
the data. As such, such measurements are referred to as scales by many of its Measurement
users. The more powerful measurements like interval and ratio scales, on the
other hand, make full use of all information contained in a set of observations,
and, therefore, are labelled as measurements; whereas, the former scales refer
mostly to qualitative aspects of measurement, the latter ones deal with quantitative
measurements.

1.10 KEYWORDS
Measurement : The process of assigning symbols/numbers to dimensions
of phenomena in order to characterize the status of a
phenomena as precisely as possible.
Scale : A device to measure something. Scaling technique is used
in ordering a series of items along some sort of continuum.
In short, they are methods of turning a series of qualitative
facts into a quantitative series.
Validity : Refers to the ability of a scale to measure what it is
supposed to measure.
Reliability : An attribute of consistency. A scale should give consistent
results.

1.11 REFERENCES AND SELECTED READINGS

Black, A.and Champion, J (1976). Methods and Issues in Social research. John
Ditecy and Sons, New York.

Festinger L.and Katn D. (1953). Research Methods in Behavioural Sciences.

Holt, Rinehart and Winston Inc., New York.

Goode W.J.and Hatt P.K. (1981). Methods in Social Research. McGraw- Hill
Book Company, Singapore.

Hansraj (1990). Theory and Practice in Social Research. Asia Publishing House,
Culcutta.

Kerlinger F.N. (1973). Foundstions of Behavioural Research. Holt, Rinebart and

Winston Inc., New York.

Kothari C.R. (1996). Research Methodology: Methods and Techniques. Wishwa

prakashan, New Delhi.

Mulay Sumati and Sabarathanam V.E. (1980). Research Methods in Extension

Education. Manasayan, New Delhi.

Siegel S. (1956). Nonparametric Statistics for the Behavioural Sciences. McGraw-

Hill Book Company Inc., New York.

Young P.V. (1996). Scientific Social Surveys and Research. Prentice –Hall of
India Pvt. Ltd., New Delhi.

17
Measurement and Sampling
1.12 CHECK YOUR PROGRESS – POSSIBLE
ANSWERS
Check Your Progress 1

1) Measurement consists of identifying the values which may be assumed by

some variable, and representing these values by some numerical notation.
The numerical notation is systematically and consistently assigned, that is,
it is assigned according to some set of rules.

2) The three postulates basic to measurement are:

a) Either (a=b) or (a =/= b), but not both. We must be able to assert either
that one object is the same in a characteristic as another, or it is not the
same.
b) If (a=b) and (b=c) then (a=c). This postulate enables a researcher to
establish the quality of set members, on a characteristic by comparing
objects
c) If (a>b) and (b>c) then (a>c). Most measurement in psychology and
education depends on this postulate.

Check Your Progress 2

1) When a scale has all the properties of ordinal and ordered metric scale, and,
when we have additional information about how large the distances
(intervals) between any two stimuli are, we have achieved a more powerful
measurement, stronger than ordinality. In such a device, a measurement has
been achieved in the sense of an interval scale.

2) The most important criteria to be used in evaluating a measurement tool are

unidimensionality, reliability and validity.

18
Measurement
UNIT 2 SCALES AND TESTS

Structure
2.1 Introduction
2.2 Scales: Meaning and Techniques
2.3 Types of Rating Scales
2.4 Uses and Guidelines for Construction of Rating Scales
2.5 Rating Errors
2.6 Tests
2.7 Types of Objective Test Questions
2.8 Test Construction
2.9 Let Us Sum Up
2.10 Keywords
2.11 References and Selected Readings
2.12 Check Your Progress – Possible Answers

2.1 INTRODUCTION
Measurement plays an important role in any development research including
urban development research. This is especially true when the measurement
concepts are complex and when we do not possess the standardised measurement
tools. To overcome this, social science researchers develop self reporting measuring
instruments to assess people’s knowledge, opinion, perceptions, attitudes etc.,
on urban development programmes. Technically speaking these reporting
measurement instruments are popularly called as scales and tests. The scales and
tests are the most popular methods of observation and data collection in
behavioural sciences and more particularly in development studies.
After studying this unit, you should be able to:
• discuss the meaning and applicability of scales and tests.
• describe the important types of scales and tests.
• explain the test construction methodology.

2.2 SCALES: MEANING AND TECHNIQUES

Scales are also popularly called as rating scales. ‘Rating’ is a term applied to an
expression of opinion or judgment regarding some situation, object or character.
A rating scale is a psychological measuring instrument that requires the rater or
observer to assign the rated object to categories or continuum that have numerical
assigned to them.

The rating scale is very useful device in assessing quality – especially when
quality is difficult to measure objectively in the programmes of development.

Example: How good is the Jawaharlal Nehru National Urban Renewal Mission
Programme?
19
Measurement and Sampling The above question can be hardly answered objectively. In this context, rating
scales measure or order entities with respect to quantitative attributes or traits of
the above programme. Certain rating scales permit estimation of magnitudes of
the programme on a continuum, while other methods provide only for relative
ordering of the entities.

2.2.1 Important Scaling Techniques

The two important scaling techniques are:
• Comparative scaling
• Non-comparative scaling
With comparative scaling, the items are directly compared with each other.
Example : Do you prefer weekly or daily payment of wages under National Urban
Employment Programme?
Here, the respondent compares ‘weekly’ or ‘daily’ payments and gives his choice
to confer his / her opinion or views.
In non-comparative scaling each item is scaled independently of the others.
Example : How do you feel about daily payment of wages under National Urban
Employment Programme?
Unlike the above, in this case there is no comparison and the respondent has to
give his / her opinion on ‘daily’ payment of wages under National Urban
Employment Programme.

Activity 1
Visit a nearby any development department and enquire about scales and
tests that they are using in measurement of outcomes of development
programmes. Write your observations.
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Check Your Progress 1

Note: a) Use the spaces given below for your answers.
b) Check your answer with those given at the end of the unit.
1) What do you mean by tests and scales in the context of development research?
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20 .......................................................................................................................
2) What do you mean by a rating scale? Scales and Tests

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3) Write the difference between comparative and non-comparative scaling
techniques.
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2.3 TYPES OF RATING SCALES

The rating scale involves qualitative description of a limited number of aspects
of a thing or of traits of a person. These ratings may be in such forms as :
1) like – dislike ( 2 categories)
2) above average – average – below average ( 3 categories)
3) like very much – like somewhat – neutral – dislike somewhat – dislike very
much (5 categories)
• excellent – good- average – below average - poor (5 categories)
• always – often – occasionally – rarely – never (5 categories)
• very strongly agree – strongly agree – agree – neutral – disagree- strongly
disagree - very strongly disagree ( 7 categories)
There is no specific rule whether to use a two points scale, three point scale or
with more points. In practice, odd number scales with three, five or seven points
are popularly used for the simple reason that more points on a scale provide an
opportunity for greater sensitivity of measurement.
Some of the important types of rating scales are:
i) The graphic rating scale
ii) The descriptive rating scale
iii) The numerical rating scale
iv) The itemized rating scale

21
Measurement and Sampling 2.3.1 Graphic Rating Scale
Graphic rating scale (also called continuous rating scale) is quite simple and is
commonly used in practice. Graphic scale makes use of continuum along which
the rater places a mark (v) on a line to indicate his / her rating with respect to
certain characteristics. The line is usually labeled at each end. There are sometimes
a series of numbers, called scale points under the line.

Example : Teachers often describes students personality during evaluation. The

following is an example of graphic rating scale on personality rating of students.

Directions: Please give your frank opinion concerning the students’ characteristics
by putting an ‘X’ at the point along the scale that best describes the student.
a) Cooperation .........................................................................................
(Consider willingness Obstructive Always willing to work with
others)
b) Emotional Stability ......................................................................................
(Consider reactions in stress Unstable Well balanced)

Advantages
• One of the major advantages of graphic rating scale is that they are relatively
easy to use.
• Graphic scale provides opportunity for a given discrimination as that of
which the mater is capable and the fineness of scoring can be as great as
desired.

Limitations
• Respondents may check at almost any position along the continuum which
increases the difficulty of analysis.
• Meanings of the terms like obstructive, always willing, etc., may depend
upon respondent’s frame of reference.

To overcome the limitations, several other rating variants (example: boxes

replacing line) may be used.

2.3.2 Descriptive Scale

It is a variation of the graphic rating scale. It provides descriptive works or phrases
that indicate the degree to which individual is believed to possess certain
characteristic.

Example of a behavioural rating scale:

Direction:- For each of the items listed in this scale, place a ‘X’ in one of the
columns to indicate the extent to which you feel that the student possesses the
particular characteristic kind of behavior.
Item Never Seldom Sometime Usually Always
Listens to others opinion
Accepts constructive criticism
22
Example: Suppose you would like to collect data on liking of information sources Scales and Tests
on development programmes from your study respondents. The following is an
example of five- points graphic rating scale on liking of information sources.

How do you like the following information sources for obtaining information on
development programmes?
Information source Liking of information source
Like Like Neutral Dislike Dislike
very much Somewhat somewhat very much
Institutional Sources
BDO
VDO
Extension Personnel
Any other ( Please specify)
Non Institutional Sources
Other Beneficiaries
Key Personnel
Own Family Members
Any other ( Please specify)
Mass Media Sources
Radio
TV

2.3.3 Numerical Rating Scale

The numerical scale makes use of numbers to indicate the extent to which an
individual is believed to possess certain characteristic or kinds of behaviour.
Example of a behaviour rating scale:
Directions : As you rate the student on each of the following items, circle 1 for
inferior, 2 for below average 3 for average, 4 for above average and 5 for superior.
1) Cooperates with students 1 2 3 4 5
2) Cooperates with teachers 1 2 3 4 5
3) Maintains an attractive appearance 1 2 3 4 5

2.3.4 Itemized Rating Scale

It is also referred to as specific category scale. In this type of scale, the respondent
selects or picks the one that best characterizes the behaviour or characteristic of
the object being rated. Suppose a teacher’s classroom behaviour is being rated.
The characteristics rated say may be alertness or imaginativeness.
A category item might be ‘how alert is he / she?’ (Check one).
a) very alert
b) Alert
23
Measurement and Sampling c) Not alert
d) Not at all alert

A slightly different category item might be ‘how imaginative is he /she?’ (check

one)
a) Extremely imaginative
b) Very imaginative
c) Imaginative
d) Unimaginative
e) Very unimaginative
f) Extremely unimaginative

2.4 USESAND GUIDELINES FOR CONSTRUCTION

OF RATING SCALES
2.4.1 Uses of Rating Scale
Rating scales are most commonly used instruments for making appraisals.
Typically, they direct attention to a number of aspects or traits of the thing to be
rated and provide a scale for assigning values to each of the aspects of
characteristics of a person or phenomenon through the use of a series of numbers,
qualitative terms, and named attributes of verbal descriptions.
Rating scales have been successfully used in :
• Teacher rating – for selection, evaluation and prediction.
• Personality rating – for various purposes.
• Testing the validity of many objective instruments like inventories of
personality.
• School appraisal – including appraisal of courses, practices and programmes.

2.4.2 Guidelines in Construction of Rating Scales

i) Rating scales include three factors:
• The subjects or phenomena to be rated
• The continuum along which they will be rated
• The judges who will do the rating
The subjects or phenomena to be rated are usually a limited number of aspects
of a thing, or of traits of a person. Therefore, only the most significant aspects
for the purpose of the study should be chosen.

ii) A rating scale may have as many divisions as can be readily distinguished
by the rates. Practically most scales have no more than 7 divisions. However,
usually they contain five divisions. By numbering each division in sequence
the description can be converted into arithmetic values for averaging and
for further statistical application.

24
iii) The rating scale is composed of two parts: Scales and Tests

• an instruction which names the subject and defines the continuum and
• a scale which defines the points to be used in rating

iv) Usually we can arrange the rating scales in four ways:

a) On a straight line eg:
———————————————————————————
• Very good Good Average Poor Very poor

b) Ratings be marked in a column at the right with an instruction to encircle

/ underline the response.
• IGNOU course material was: Very good/ Good/Average/ Poor/Very
poor
c) The scale can run down the page and look much like a checklist.
Example: For me the concepts presented in IGNOU course material;
• was very difficult to understand
• was difficult to understand
• was reasonably understandable
• was clearly understandable
• contained nothing new.
d) The scale may call for ranking like which course of the IGNOU’s
programme helped you most? Rank them by starting with one for the
best unto least
Example: Suppose there are four courses in the programme viz., a, b, c,
d and out of the four ‘c’ helped you most
c = 1 ‘c’ is ranked highest.
b = 3
d = 2
a = 4
The other way is rank these courses in order of merit – starting with 1
for best

1c 3b 2d 4a

This type of ranking is a higher form of rating whereby individuals or

phenomena are arranged in order of merit (i.e.) they are given position
determined by their relation to the others in the group, not by certain
predetermined standards. But is cannot be used when large numbers
are concerned.

The investigator must arrange his items in any or all of the above forms
according to the nature of the item and its purpose.

25
Measurement and Sampling v) Anyone can serve as a rater where non-technical opinions, likes, dislikes
and matters of easy observation are to be rated. But only well-informed and
experienced persons should be selected for rating where technical
competence is required.

vi) Pooled judgements increase the reliability of any rating scale. Employ several
judges, depending on the rating situation to obtain desirable reliability.
Individual ratings when combine into final rating give a safer assessment.

2.5 RATING ERRORS

Rating scales are subjected not only to errors inherent in their design but also to
errors that are related to the way in which raters have marked the scale. Some of
them are discussed below for your understanding.
Halo Effect : This is an error that occurs when a rater tends to rate an individual
high or low on several characteristics because of a general impression that the
rater has towards subject whom (s)he is rating. For example if a teacher assesses
the quality of all essay test questions higher / lower than they should be based on
the answer of the first question.
Personal Bias : It is an error that is made when a rater is prejudiced with regard
to a certain group and tends to rate individual who belong to that group too
higher or too low.
Logical Error : It results when the rater does not fully understand the term used
in the rating scale.
Error of Central Tendency : It occurs when a rater does not have enough
information about the individual to be rated and tends to rate the person as average.
The rater feels that average ratings are safer to make than extreme ratings, because
errors that are as a result of guessing will perhaps be smaller.
Generosity Error : It occurs because sometimes raters are very reluctant to give
any ratings at the lower end of the scale. They tend, therefore, to rate every one
as average or above average on all characteristics.
Error of Severity : This is an important source of constant error. It is a general
tendency to rate all individuals too low on all characteristics.
Error of Leniency: This is the opposite to error of severity. The general tendency
is to rate too high. A good fellow who likes every body and the likeness is reflected
while rating.
It is impossible to eliminate these kinds of errors, but certain steps can be taken
to minimize them. One suggested step is to inform the rater, either orally or in
writing, about the possible source of error in rating and then urge him/her to be
as objective as possible. Another suggestion is to construct the rating scale in
such a way as to lower the possibility of error on the rater’s part.

2.5.1 How to Overcome the Errors in Rating Scales?

There will be a certain amount of measurement error which results from the
structural characteristics of rating scales. By adhering to the following rules of
construction, however, it is possible to minimise these kinds of errors.
26
i) Provide direction to assist the rater in the use of the scale Scales and Tests

ii) Use only enough items to obtain the information needed

iii) Clearly define each characteristic on which an individual is rated
iv) Use only those trails or characteristics in rating scales that can be observed
readily
v) Define clearly the degree or different levels of gradation that are to be used
in the scale (At least 4 or 5 gradations are recommended)
vi) Provide ample space between the items so that the descriptive phrases and
the rating lines are not crowded.
vii) Position the ‘ average’ or ‘neutral’ phrase at the centre of the rating line
viii)Try to avoid the use of phrases that are so extreme at the end positions of the
scale that the raters will tend to avoid making them.

Check Your Progress 2

Note: a) Use the spaces given below for your answers.
b) Check your answer with those given at the end of the unit.
1) Write the examples for the following categorization of rating scales
3 divisions: ...................................................................................................
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5 divisions: ...................................................................................................
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2) Name the four important types of rating scales.
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3) Name the common rating errors.
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27
Measurement and Sampling
2.6 TESTS
The tests are frequently used in education and psychological researches and more
recently in development studies to measure the achievement and personality tract
of various categories of respondents.

According to the dictionary ‘test’ is defined as a series of questions on the basis

of which some information is sought. According to Bean (1953) a test is “an
organized succession of stimuli designed to measure quantitatively or to evaluate
qualitatively some mental process, trait or characteristics”.
The two types of tests popularly used are:
• Objective Tests
• Teacher-Made Tests

2.6.1 Objective Tests

There are various types of objective tests viz.,
i) Achievement Test
ii) Diagnostic Test
iii) Intelligent Test
iv) Aptitude Test
v) Personality Test
Achievement Test
Achievement or proficiency test is one, which measures the extent to which a
person has acquired certain information or proficiency as a function of instruction
or training. The achievement test is used in order to assess the achievement of a
person in certain areas. For example a teacher can conduct a test to assess the
student achievement in mathematics.

Diagnostic Test: This test intends to assess the strength and weakness of a person
in one or more than one areas of his/her activities. It is conducted with a view to
carry out interventions in weak areas. It also makes an enquiry about the weak
areas of the respondent may be a student, employee or worker.

Intelligence Test: The intelligence test is prepared to measure the intelligence

of a person. This test is used by the psychologists and educationists to measure
the intelligence of students. Intelligence is measured in terms of intelligence
quotient (IQ). The intelligence quotient is the ratio of the mental age to the
chronological age. This ratio is multiplied by hundred for obtaining an integral
value of quotient. The IQ gives an index of ability.

Mental Age
IQ = ————————— × 100
Chronological Age

Aptitude Test: An aptitude is a person’s conditions, a pattern of traits and demand

to be indicative of his potentialities. According to Freeman (1962) aptitude is a
combination of characteristics indicative of an individual’s capacity to acquire
28
some specific knowledge. The aptitude test is used in various competitive Scales and Tests
examinations such as banking, insurance and management organizations.

Personality Test: Personality test intends to measure the personality traits of the
individuals. Some of the personality traits are cooperation, discipline, leadership,
personal appearance, punctuality, patriotism, confidence, team spirit, etc.

2.6.2 Teacher Made Tests

The teacher made test are also called the non-standardized tests. Teachers have
the obligation to provide the best possible instructions to the students. In order
to judge the performance of the students, teachers assess the performances of the
students from time to time. These are useful:
• To assess the extent and degree of student progress.
• To ascertain individual strength and weaknesses.
• To motivate the students.
• To provide immediate feedback.
• To provide continuous evaluation.

2.7 TYPES OF OBJECTIVE TEST QUESTIONS

Various types of objective test questions used in research studies are as follows:
i) True/ False
ii) Multiple choice
iii) Fill in the blanks
iv) Matching
v) Completion

True/ False Test: The true/false or yes/no or right/wrong type of tests are most
commonly used. It is used to determine the respondent’s ability to recall the
facts.

Example: India follows mixed economy system True False

Multiple Choices Test: In the multiple choice test, the respondents are given
multiple option of a question. Here the choices or the alternatives should be
written in such a way that it may not create ambiguity in the mind of respondents.
The multiple choices may contain more than one valid choice.

Example: Which is not the indicator of Human Development Index?

i) Life Expectancy

ii) Literacy

iii) Per capita income

iv) Poverty level

29
Measurement and Sampling Fill in the Blanks: In the fill in the blanks question, the respondent is asked to
supply correct answer to the blank left in the statement. However, while
formulation of fill-in-the-blanks test, too many blanks should not be provided
which will create confusion in the minds of respondents. One example of fill in
the blanks is given below:
Example: The JNNURM started in the year ———————
Matching: In the matching test, there are two columns right and left. The items
on the left column are to be paired with items on the right column. Items on the
left which constitute a set of related streams called premises and items on the
right are is called cassette options or responses of the items.
Example: Match column A with B
Column A Column B
1. Mouse Bicycle
2. Wheel Computer
3. Remote Television

Completion: Completion test is one which is presented in the form of an

incomplete statement. This is also called supply type of test.
Example: There is a famous saying ‘all is well that ends well’

2.8 TEST CONSTRUCTION

Construction of a test is very important in order to arrive at accuracy in the
result. The various steps adopted in test construction are as follows:
i) Planning of the test
ii) Writing items of the test
iii) Preliminary administration of the test
iv) Item Analysis
v) Establishing Reliability of the test
vi) Establishing Validity of the test
vii) Preparation of norms for the final test
viii) Preparation of manual and reproduction of the test
Planning of the Test: At the outset, the tests are to be carefully planned. While
planning, the test constructor has to take into consideration, the general and
specific objectives of the test in clear terms and the nature of the content or items
to be included.

Writing Items of the Test: Item writing is one of the very important aspects of
test construction. Although there is no set rule for item writing, yet lot depends
on the ingenuity, intuition, experience, knowledge, practice and imagination of
the test constructor. It can be said that writing test item is essentially an art.

Preliminary Administration: After the items are written, it is better to tryout

them. It will help the test constructor to find out the weaknesses and inadequacies
30
in test items. It helps in finding out the appropriate length and time limit of the Scales and Tests
tests administration.

Item Analysis
After the items are being written, they are carefully analysed and reviewed. In
item analysis, items are validated and suited for the purpose. The objectives of
item analysis are as follow:
• Helps to indicate the difficulty level of the item such as which is more
difficult, moderately difficult or easy.
• Help to provide indication regarding the ability of the item to discriminate
between inferior and superior item.
Two common indices used in item analysis are:
• Difficulty Index
• Discrimination Index
Difficulty Index: The difficulty index indicates how difficult an item is? The
difficulty value of an item indicates the proportion or percentage of candidates
who have given correct answer. This proportion or percentage is called Item
Difficulty Index. The formula used for the calculation of item difficulty index of
each item is given below.

R
IDI = —
N
IDI = Item difficulty index
R = Number of right responses
N = Total number of candidates attempting that item.
Besides this method which takes into consideration all the examiness, there is
also another method which can determine the index on the basis of only a portion
of the examinee. The formula is:

RU+RL
IDI = ————
NU+NL
Where
IDI = Item Difficultly Index
RU = Right responses in the Upper group
RL = Right responses in the Lower group.
NU = Number of examinees in Upper group
NL = Number of examinees in the lower group
For example if there are 200 examinees of a test, NU=50 and NC=50. Out of these
groups RU=25 and RL=25
Then:
25+25 50
IDI = ———— = ——— = 0.50
50+50 100
31
Measurement and Sampling Discrimination Index: The discrimination index distinguishes between the well-
informed examinees to that of the less-informed examinee. It is the degree to
which the single item separates the superior from the inferior individuals in the
trait or group of trait being measured.

RH-RL
DI = ————
N
Where:
DI = Discrimination Index
RH = Number of rights in the higher ability group
RL = Total Number of rights in the lower ability group.
N = Total number of examinees in either of the group.
Let us explain this with the help of an example. After getting the responses from
100 examinees they were divided into upper group (25%) and lower
group(25%).Suppose in a particular item, right responses in the upper group is
80 and right responses in the lower group is 60, then the item discrimination
index is:

80-60
DI = ———— = 0.20
100

This value of 0.20 clearly states that item has negligible discriminatory power.
Such items are usually dropped or suitably modified.
The factor which influences item difficulty and item discrimination index are:
• The ambiguity and complexity of items in a test item may lower the difficulty
index value of the item.
• Previous learning experiences may be helpful in deciding the item difficulty
index or discrimination index.
• It depends on the ability of the test constructor to effectively frame the
distracters. They must be appealing to those who do not know the correct
answer.

Establishing Test Reliability: Finally test is administered to find out their

reliability. Reliability is the degree to which a test measure whatever it actually
measures.

Validity of the Test: Validity means what the test measures. There are various
kinds of validity viz., criterion- referenced validity and construct validity.

Norms of the Test: Norms are set to meaningfully interpret the scores obtained
on the test. The common types of norms are the age norms, the grade norms, the
percentile norms, etc. For example a test constructed for class-v student should
not be administered over the class-viii student.

Preparation of the Manual and Reproduction Test: Finally, the constructors

has to produce a manual which will give a clear cut instruction regarding the
procedures of the test administration, the scoring methods, time limit, etc.
32
Check Your Progress 3 Scales and Tests

Note: a) Use the spaces given below for your answers.

b) Check your answer with those given at the end of the unit.
1) What do you mean by test ?
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2) Name the various types of objective tests.
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3) Name the various types of objective test questions.
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4) Write the objectives of item analysis.
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2.9 LET US SUM UP

In this unit we started by discussing the meaning of rating scales and understood
that rating scale is very useful device in assessing quality – especially when
quality is difficult to measure objectively in the programmes of development.
Then we examined the two important scaling techniques viz., comparative and
non-comparative scaling techniques. We also described the four types of rating
scales viz., graphic, descriptive, numerical and itemized rating scales with
33
Measurement and Sampling examples. Later we discussed the important rating errors. In the second part of
the unit we have discussed the concept and two types of tests viz., objective and
teacher -made tests. Later various types of objective tests viz., achievement,
diagnostic, intelligent and aptitude tests were discussed. At the end we discussed
the test construction methodology.

2.10 KEYWORDS
Scales and Tests : They are the self reporting measuring instruments
to assess people’s knowledge, opinion, perceptions,
attitudes etc.

Rating Scale : Is a psychological measuring instrument that

requires the rater or observer to assign the rated
object to categories or continuum that have
numerical assigned to them.

Index : Indexes are similar to scales except multiple

indicators of a variable are combined into a single
measure.

Graphic Rating Scale : Graphic scale makes use of continuum along

which the rater places a mark (v) on a line to
indicate his / her rating with respect to certain
characteristics.

Descriptive Scale : It provides descriptive works or phrases that

indicate the degree to which and individual is
believed to possess certain characteristic.

Numerical Rating Scale : It makes use of numbers to indicate the extent to

which an individual is believed to possess certain
characteristic or kinds of behaviour.

Itemized Rating Scale : In this type of scale, the respondent selects or

picks the one that best characterizes the behaviour
or characteristic of the object being rated.

Halo Effect : An error that occurs when a rater tends to rate an

individual high or low because of a general
impression that the rater has towards subject.

Error of Leniency : The general tendency to rate too high.

Test : Test is an an organized succession of stimuli

designed to measure quantitatively or to evaluate
qualitatively some mental process, trait or
characteristics.

Achievement Test : Is one which measures the extent to which a

person has acquired certain information or
proficiency as a function of instruction or
training.
34
Diagnostic Test : This test intends to assess the strength and Scales and Tests
weakness of a person in one or more than one
areas of his/her activities.

Intelligence Quotient : It is the ratio of the mental age to the

chronological age multiplied by hundred.

Difficulty Index : The difficulty index indicates how difficult an

item is in the test.

Discrimination Index : The discrimination index distinguishes between

the well- informed examinees to that of the less-
informed examinee. It is the degree to which the
single item separates the superior from the
inferior individuals in the trait or group of trait
being measured.

2.11 REFERENCES AND SELECTED READINGS

Kothari, C.R. (2004). Research Methodology – Methods and Techniques, Second
Revised Edition, New Age International Publishers, New Delhi.

Patten M.L. (2005). Understanding Research Methods – An Overview of the

Essentials. Pyrczak Publishing, USA.

Reddy, S.V., and Praveena, C. (1985). An Invitation to Research Methodology

in Behavioural Sciences, EEI, Hyderabad.

2.12 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1
1) In the context of development research, scales and tests are the self reporting
measuring instruments to assess people’s knowledge, opinion, perceptions,
attitudes etc.
2) A rating scale is a psychological measuring instrument that requires the rater
or observer to assign the rated object to categories or continuum that have
numerical assigned to them.
3) With comparative scaling, the items are directly compared with each other
and in non-comparative scaling, each item is scaled independently of the
others.

Check Your Progress 2

1) Three divisions : above average – average – below average

Five divisions : like very much – like somewhat – neutral – dislike somewhat
– dislike very much

2) The four important types of rating scales are: graphic; descriptive; numerical
and itemized rating scales.
35
Measurement and Sampling 3) The common rating errors are: halo effect; personal bias; logical error; error
of central tendency; generosity error; error of severity and error of leniency.

Check Your Progress 3

1) Test is an organized succession of stimuli designed to measure quantitatively

or to evaluate qualitatively some mental process, trait or characteristics.

2) Various types of objective tests are : achievement test; diagnostic test;

intelligent test; aptitude test and ; personality test.

3) Various types of objective test questions are : true/ false; multiple choice;
fill in the blanks; matching and; completion.

4) The objectives of item analysis are : to indicate the difficulty level of the
item such as which is more difficult, moderately difficult or easy and ; to
provide indication regarding the ability of the item to discriminate between
inferior and superior item.

36
Scales and Tests
UNIT 3 RELIABILITY AND VALIDITY

Structure
3.1 Introduction
3.2 Reliability
3.3 Methods of Determining the Reliability
3.4 Validity
3.5 Types of Validity
3.6 Reliability or Validity - Which is More Important?
3.7 Let Us Sum Up
3.8 Keywords
3.9 References and Selected Readings
3.10 Check Your Progress – Possible Answers

3.1 INTRODUCTION
Dear learners, in the first unit of this block, we discussed that measurement of
social and psychological variables is a complex and demanding task. In urban
development research, the common term for any type of measurement devise is
‘instrument’. Thus the instrument could be a test, scale, questionnaire, interview
schedule etc. An important question that is often addressed is what is the reliability
and validity of the measuring instrument? Therefore, the purpose of this unit is
to make you understand the concept of reliability and validity and their
interrelationship in urban development research.
After studying this unit you should be able to:
• discuss the meaning of reliability and methods of determining the reliability
of measuring instruments.
• describe the meaning of validity, approaches and types of validating
measuring instruments.
• differentiate the interrelationship between reliability and validity of measuring
instruments.

3.2 RELIABILITY
In the context of development research, one of the most important criterions for
the quality of measurement is reliability of the measuring instrument. A reliable
person for instance, is one whose behavior is consistent, dependable and
predictable – what (s)he will do tomorrow and next week will be consistent
with what (s)he does today and what (s)he has done last week. An unreliable
person is one whose behavior is much more variable and one can say (s)he is
inconsistent.
The inherent aspects and synonyms of reliability are:
• dependability
• stability
37
Measurement and Sampling • consistency
• predictability
• accuracy
• equivalence

3.2.1 What is Reliability of Measuring Instrument?

Reliability means consistency with which the instrument yields similar results.
Reliability concerns the ability of different researchers to make the same
observations of a given phenomenon if and when the observation is conducted
using the same method(s) and procedure(s).

Stability and Equivalence Aspects of Reliability

Stability and equivalence deserves special attention among different aspects
of reliability,
• The stability aspect is concerned with securing consistent results with
repeated measurements of the same researcher and with the same
instrument. We usually determine the degree of stability by comparing
the results of repeated measurements.
• The equivalence aspect considers how much error may get introduced
by different investigators or different samples of the items being studied.
A good way to test for the equivalence of measurements by two
investigators is to compare their observations of the same events.

3.2.2 How to Improve Reliability?

The reliability of measuring instruments can be improved by two ways.
i) By standardizing the conditions under which the measurement takes place
i.e. we must ensure that external sources of variation such as boredom, fatigue
etc., are minimized to the extent possible to improve the stability aspect.
ii) By carefully designing directions for measurement with no variation from
group to group, by using trained and motivated persons to conduct the research
and also by broadening the sample of items used to improve equivalence
aspect.

Check Your Progress 1

Note: a) Use the spaces given below for your answers.
b) Check your answers with those given at the end of the unit.
1) What is the common name for any type of measurement device?
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2) What do you mean by reliability? Reliability and Validity

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3) Write the synonyms for reliability.
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4) How can you improve the reliability of measuring instruments?
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3.3 METHODS OF DETERMINING THE

RELIABILITY
The three basic methods for establishing the reliability of empirical measurements
are:
i) Test - Retest Method
ii) Alternative Form Method / Equivalent Form / Parallel Form
iii) Split-Half Method

3.3.1 Test - Retest Method

One of the easiest ways to estimate the reliability of empirical measurements is
by the test - retest method in which the same test is given to the same people
after a period of time. Two weeks to one month is commonly considered to be a
suitable interval for many psychological tests. The reliability is equal to the
correlation between the scores on the same test obtained at two points in time. If
one obtains the same results on the two administrations of the test, then the test
– retest reliability coefficient will be 1.00. But, invariably, the correlation of
measurements across time will be less than perfect. This occurs because of the
instability of measures taken at multiple points in time. For example, anxiety,
motivation and interest may be lower during the second administration of the
test simply because the individual is already familiar with it. 39
Measurement and Sampling Advantages
• This method can be used when only one form of test is available.
• Test – retest correlation represent a naturally appealing procedure.

Limitations
• Researchers are often able to obtain only a measure of a phenomenon at a
single point in time.
• Expensive to conduct test and retest and some time impractical as well.
• Memory effects lead to magnified reliability estimates. If the time interval
between two measurements is short, the respondents will remember their
early responses and will appear more consistent than they actually are.
• Require a great deal of participation by the respondents and sincerity, devotion
by the research worker. Because, behaviour changes and personal
characteristics may likely to influence the re-test as they are changing from
day to day.
• The validity process of re-measurement may intensify difference in momentary
factors such as anxiety, motivation etc.
• The interpretation of test-retest correlation is not necessary straightforward.
A low correlation may not indicate low reliability, may instead signify that
the underlying theoretical concept itself has changed.
Example: The attitude of a person towards functioning of a public hospital
may be very different before and after the person’s visit. The true change in
this example is interpreted as instability of attitude scale measurement.
• The longer the time interval between measurements, the more likely that the
concept has changed.
• The process of measuring a phenomenon can induce change in the phenomenon
itself. This process is called reactivity. In measuring a person’s attitude at
test, the person can be sensitized to the subject under investigation and
demonstrate change during retest. Thus the test - retest correlation will be
low.

3.3.2 Alternative Form Method/Equivalent Form/Parallel Form

The alternative form method which is also known as equivalent / parallel form is
used extensively in education, extension and development research to estimate
the reliability of all types of measuring instruments. It also requires two testing
situations with the same people like test- retest method. But it differs from test –
retest method on one very important regard i.e., the same test is not administered
on the second testing, but an alternate form of the same test is administered.
Thus two equivalent reading tests should contain reading passages and questions
of the same difficulty. But the specific passages and questions should be different
i.e., approach is different. It is recommended that the two forms be administered
about two weeks apart, thus allowing for day –to- day fluctuations in the person
to occur. The correlation between two forms will provide an appropriate reliability
coefficient.

40
Advantages Reliability and Validity

• The use of two parallel tests forms provides a very sound basis for estimating
the precision of a psychological or educational test
• Superior to test- retest method, because it reduces the memory related inflated
reliability.
Limitations
• Basic limitation is the practical difficulty of constructing alternate forms of
two tests that are parallel.
• Requires each person’s time twice.
• To administer a secondary separate test is often likely to represent a somewhat
burdensome demand upon available resources.

3.3.3 Split-Half Method

Split - half method is also a widely used method of testing reliability of measuring
instrument for its internal consistency. In split-half method, a test is given and
divided into halves and are scored separately, then the score of one half of test
are compared to the score of the remaining half to test the reliability.

In split-half method, 1st-divide test into halves. The most commonly used way
to do this would be to assign odd numbered items to one half of the test and even
numbered items to the other, this is called, Odd-Even reliability. 2nd- Find the
correlation of scores between the two halves by using the Pearson r formula.
3rd- Adjust or revaluate correlation using Spearman-Brown formula which
increases the estimate reliability even more.
Spearman-Brown formula

2r
r = ———
1+ r

r = estimated correlation between two halves (Pearson r).

Advantages
• Both, the test – retest and alternative form methods require two test
administrations with the same group of people. In contrast the split –half
method can be conducted on one occasion.

• Split-half reliability is a useful measure when impractical or undesirable to

assess reliability with two tests or to have two test administrations because
of limited time or money.

Limitations

• Alternate ways of splitting the items results in different reliability estimates

even though the same items are administered to the same individuals at the
same time.

Example: The correlation between the first and second halves of the test
would be different from the correlation between odd and even items.
41
Measurement and Sampling
Major Limitations of Reliability Estimating Methods
Test-retest method: Experience in the first testing usually will influence
responses in the second testing.
Alternative form method: It can be quite difficult to construct alternative
forms of a test that are parallel.
Split-half method: The correlation between the halves will differ depending
on how the total number of items is divided into halves.
Alternate form method provide excellent estimate of reliability in spite of
its limitation of constructing two forms of a test. To over come this limitation,
it is recommended that, randomly divide a large collection of items in half
to have two test administrations.

Check Your Progress 2

Note: a) Use the spaces given below for your answers.
b) Check your answers with those given at the end of the unit.
1) Write the three basic methods of determining the reliability?
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2) Write the major limitations in reliability determining methods?
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3.4 VALIDITY
According to Goode and Hatt, a measuring instrument (scale, test etc) possesses
validity when it actually measures what it claims to measure. The subject of
validity is complex and very important in development research because it is in
this more than anywhere else, that the nature of reality is questioned. It is possible
to study reliability without inquiring into the nature and meaning of one’s variable.
While measuring certain physical characteristics and relatively simpler attributes
of persons, validity is no great problem. For example, the anthropometrics
measurements of a pre-school child i.e., head and chest circumference can be
measured by a measuring instrument having standard number of centimeters or
inches. The weight of the child can be measured in pounds and kilograms. On
42 the other hand, if a child development extension professional wish to study the
relation between malnutrition and intellectual development of pre-school children, Reliability and Validity
there are neither any rule to measure the degree of malnutrition nor there any
scales or clear cut physical attributes to measure intellectual development. It is
necessary in such cases to invent indirect means to measure these characteristics.
These means are often so indirect that the validity of the measurement and its
product is doubtful.

Validity of Measuring Instrument or Measuring Phenomenon?

We defined validity as the extent to which any measuring instrument
measures what it is intended to measure. But, strictly speaking, one validates
not a measuring instrument, but an interpretation of data arising from a
specified procedure. This distinction is central to validation, because it is
quite possible for a measuring instrument to be relatively valid for measuring
one kind of phenomenon but entirely invalid for assessing other
phenomenon. Thus, one validates not the measuring instrument itself, but
the measuring instrument in relation to the purpose for which it is being
used.

3.4.1 Approaches to Validation of Measuring Instrument

Every measuring instrument, to be useful, must have some indication of validity.
There are four approaches to validation of measuring instruments:
i) Logical validity / Face validity
ii) Jury opinion
iii) Known-group
iv) Independent criteria
i) Logical Validity
This is one of the most commonly used methods. It refers to either theoretical
or commonsense analysis, which concludes simply that, the items, being
what they, the nature of the continuum cannot be other than it is stated to be.
Logical validation or face validity as it is sometimes called is almost always
used because it automatically springs from the careful definition of the
continuum and the selection of items. Such measure, which focuses directly
on behavior of the kind in which the tester is interested, is said to have logic
/ face validity.
Example: The reading speed is measured by computing how much of a
passage person reads with comprehension in a given time and the ability to
solve arithmetic problems by success in solving a sample of such problems.
Limitation
• It is not wise to rely on logical and commonsense validation alone.
Such claims for validity can at best be merely plausible and never
definite. More than logical validity, it is required to render satisfactory
use of a measuring instrument.

ii) Jury Opinion

This is an extension of the method of logical validation, except that in this
case the confirmation of the logic is secured from a group of persons who
43
Measurement and Sampling would be considered experts in the field in which the measuring instrument
is being used.

Example: If a scale to measure mental retardation of pre-school children is

constructed, psychologists, psychiatrists, pediatrician, clinical psychologists,
social worker and teachers might constitute the jury to determine the validity
of the scale.

Limitation
• Experts too are human and nothing but logical validity can result from
this approach. Therefore, jury validation can be considered only slightly
superior to logical validation.

iii) Known-Group
This technique is a variant of the jury procedure. In this case, the validity is
implied from the known attitudes and other characteristics of analytical
groups, however, rather than from their specific expertness. Thus, if a scale
were being devised for the purpose of measuring the attitudes of people
towards the Church, the questions could be tested by administering them to
one group known to attend Church, to be active in Church activities and
otherwise to give evidence of a favorable attitude towards this institution.
These answers would be compared with those from a group known not to
attend Church and also known to oppose the Church. If the scale failed to
discriminate between the two groups it could not be considered to measure
this attitude with validity. The known group technique of validation is
frequently used and should not be discarded for falling somewhat short of
perfection.

Limitation
• There might be other differences between the groups in addition to
their known behavior with regard to religion, which might account for
the differences in the scale scores.
Example: Differences in age, socioeconomic status, ethnic background etc.
• Further perhaps the known behavior under the study might be associated
with a differential inclination to agree or disagree on a question in
general. Hence careful use of the known group technique should be
made.

iv) Independent Criteria

This is an ideal technique abstractly speaking but its application is usually
difficult. There are four qualities desired in a criterion measure. In order of
their importance they are :
a) Relevance: We judge a criterion to be relevant the extent to that standing
on the criterion measure corresponds to the scores on scale.
b) Freedom from bias : By this we mean that the measure should be one
on which each person has the same opportunity to make a good score.
Example of biasing factors are such things as variation in the quality of
equipment or conditions of work for a factory worker, a variation in the
44 quality of teaching received by studying in different classes.
c) Reliability : If the criterion score is one that jumps around from day to Reliability and Validity
day, so that the person who shows high job performance one week may
show low job performance the next or who receives a high rating from
one supervisor gets a low rating from another, then there is no possibility
of finding a test that will predict that score. A measure that is completely
unstable by itself cannot be predicted by anything else.
d) Availability: Finally, in the choice of a criterion measure we always
encounter practical problems of convenience and availability. How long
will we have to wait to get a criterion score for each individual? How
much is it going to cost? Any choice of a criterion measure must make
a practical limit to account.

However, when the independent criteria are good validation, it becomes a

powerful tool and is perhaps the most effective of all techniques of validation.

Check Your Progress 3

Note: a) Use the spaces given below for your answers.
b) Check your answers with those given at the end of the unit.
1) Do you agree that ‘one validates not the measuring instrument, but the purpose
for which it is being used’? Write your agreement or disagreement.
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2) Name the four approaches to validation of measuring instrument.
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3.5 TYPES OF VALIDITY

The most important classification of types of validity is that prepared by a Joint
Committee of American Psychological Association, the American Educational
Research Association and the National Council on measurements used in
education. There are three types of validity:
i) Content validity
ii) Criterion validity (Predictive validity and Concurrent validity)
iii) Construct validity.
45
Measurement and Sampling 3.5.1 Content Validity
The term content validity is used, since the analysis is largely in terms of the
content.

Content validity is the representative ness or sampling adequacy of the content.

Consider a test that has been designed to measure competence in using the English
language. How can we tell how well the test in fact measures that achievement?
First we must reach at some agreement as to the skills and knowledge that
comprise correct and effective use of English, and that have been the objectives
of language instruction. Then we must examine the test to see what skills,
knowledge and understanding it calls for. Finally, we must match the analysis
the test content against of course content and instrumental objectives, and see
how well the former represents the latter. If the test represents the objectives,
which are the accepted goals for the course, then the test is valid for use.

3.5.2 Criterion Validity

The two types of criterion validities are predictive validity and concurrent validity.
They are much alike and with some exceptions, they can be considered the same,
because they differ only in the time dimension. They are characterized by
prediction and by checking the measuring instrument either now or in future
against some outcome.

Example: A test that help researcher / teacher to distinguish between students

who can study by themselves after attending the class and those who are in need
of extra and special coaching, is said to have concurrent validity. The test
distinguishes individually who differ in their present status. On the other hand,
the investigator may wish to predict the percentage of passes during the final
examination for that particular period. The adequacy of the test for distinguishing
individuals who differ in the future may be called as predictive validity.

Predictive Validity Vs. Concurrent Validity

Predictive validity concerns a future criterion which is correlated with the
relevant measure.
Example: Tests used for selection purposes in different occupations are, by
nature, concerned with predictive validity. Thus a test used to screen
applications for the post of ‘health extension and development workers’
could be validated by correlating their test scores with future performance
in fulfilling the duties associated with health extension work.
Concurrent criterion is assessed by correlating a measure and the criterion
at the same point in time.
Example: A verbal report of voting behaviour could be correlated with
participation in an election, as revealed by official voting records.

3.5.3 Construct Validity

Both content and criterion validities have limited usefulness for assessing the
validity of empirical measures of theoretical concepts employed in extension
and development studies. In this context, construct validity must be investigated
whenever no criterion or universe of content is accepted as entirely adequate to
46
define the quality to be measured. Examination of construct validity involves Reliability and Validity
validation not only of the measuring instrument but of the theory underlying it.
If the predictions are not supported, the investigator may have no clear guide as
to whether the shortcoming is in the measuring instrument or in the theory.
Construct validation involves three distinct steps.
a) specify the theoretical relationship between the concepts themselves
b) examine the empirical relationship between the measures of the concepts
c) interpret the empirical evidence in terms of how it clarifies the construct
validity of the particular measure.
Indeed strictly speaking, it is impossible to validate a measure of a concept in
this sense unless there is a theoretical network that surrounds the concept.

Check Your Progress 4

Note: a) Use the spaces given below for your answers.
b) Check your answers with those given at the end of the unit.
1) Name the three types of validity.
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2) Write the major difference between predictive and concurrent validities.
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3.6 RELIABILITY OR VALIDITY - WHICH IS

MORE IMPORTANT?
The real difference between reliability and validity is mostly a matter of definition.
Reliability estimates the consistency of your measurement, or more simply the
degree to which an instrument measures the same way each time it is used in
under the same conditions with the same subjects. Validity, on the other hand,
involves the degree to which you are measuring what you are supposed to, more
simply, the accuracy of your measurement. Reliability refers to the consistency
or stability of the test scores; validity refers to the accuracy of the inferences or
interpretations you make from the test scores. Note also that reliability is a
necessary but not sufficient condition for validity (i.e., you can have reliability
without validity, but in order to obtain validity you must have reliability). In this
47
Measurement and Sampling context, validity is more important than reliability because if an instrument does
not accurately measure what it is supposed to, there is no reason to use it even if
it measures consistently (reliably).

Let us examine the following three principles to understand the relationship

between reliability and validity and to answer the question which is more
important.
a) A test with high reliability may have low validity.
b) In the evaluation of measuring instruments, validity is more important than
reliability.
c) To be useful, a measuring instrument must be both reasonably valid and
reasonably reliable.
Consider the following four figures to understand easily the complex relationship
between reliability and validity (Source: Patten, 2005).

In Fig. 3.1, the gun is aimed in a valid direction towards the target, and all the
shots are consistently directed, indicating that they are reliable.

Fig. 3.1: Reliable and valid

In Fig. 3.2, the gun is also aimed in the direction of the target, but the shots are
widely scattered, indicating low consistency or reliability. Thus the poor reliability
undermines an attempt to achieve validity.

Fig. 3.2: Unreliable which undermines the valid aim of the gun – Not usefull

In Fig. 3.3, the gun is not pointed at the target, making it invalid, but there is
great consistency in the shots in one direction, indicating that it is reliable (In a
sense, it is very reliably invalid).

48
Reliability and Validity

Fig. 3.3: Reliable but invalid – Not useful

In Fig. 3.4, the gun is not pointed at the target making it invalid, and the lack of
consistency in the direction of the shots indicates its poor reliability.

Fig. 3.4: Unreliable and invalid – Not useful

We may arrive at a conclusion that Fig. 3.1 represents the ideal in measurement.
However, due to the limitations of measuring instruments in extension and
development studies / social and behavioural sciences, we should not expect
perfect reliability and validities. The direction of gun should be off at least a
small amount - indicating a less than perfect validity. We also should expect
some scatter in the shots, indicating less- than - perfect reliability. Clearly, our
first priority should be to point the gun in the correct general direction, which
promotes validity and then work on increasing reliability. This indicates that
both reliability and validity are important in measurement, but among them
validity is more important.

Check Your Progress 5

Note: a) Use the spaces given below for your answers.
b) Check your answers with those given at the end of the unit.
1) Among reliability and validity, which is more important and why?
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49
Measurement and Sampling
3.7 LET US SUM UP
In this unit we started by discussing the meaning of reliability and understood
that reliability means consistency with which the instrument yields similar results.
Later we highlighted that, among different aspects of reliability, two aspects i.e.
stability and equivalence deserves special attention. We discussed the three
important methods for assessing the reliability of measuring instruments. For
the limitations mentioned in the discussion, neither test- retest method nor split-
half method is recommended for estimating reliability. In contrast, the alternative
form method is excellent for estimating reliability.

In the second part of the unit we have discussed the concept of validity and
understood a measuring instrument possesses validity when it actually measures
what it claims to measure. We examined the four approaches of validation of
measuring instruments: logical validity / face validity, jury opinion, known-group
and independent criteria. We also discussed the three types of validities and found
that both content and criterion validities have limited usefulness in assessing the
quality of development measures. In contrast, construct validation has generalized
applicability in the extension and development research by placing the measure
in theoretical context.

In the third and final part of the unit, we discussed, the relationship between
reliability and validity and concluded that both reliability and validity are
important in measurement, but among them validity is more important.

3.8 KEYWORDS
Reliability : Reliability means consistency with which the
instrument yields similar results.
Validity : Validity is the ability of a measuring instrument
to actually measure what it claims to measure.
Logical Validity : It refers to either theoretical or commonsense
analysis, which concludes simply that, the items,
being what they, the nature of the continuum
cannot be other than it is stated to be.
Jury Opinion : The confirmation of the logic is secured from a
group of persons who would be considered experts
in the field in which the measuring instrument is
being used.
Known-Group : The validity is implied from the known attitudes
and other characteristics of analytical groups,
however, rather than from their specific expertness.
Content Validity : Content validity is the representativeness or
sampling adequacy of the content.
Predictive Validity : It concerns a future criterion which is correlated
with the relevant measure.
Concurrent Validity : It is assessed by correlating a measure and the
criterion at the same point in time.
50
Construct Validity : Construct validity involves validation of not only Reliability and Validity
the measuring instrument but of the theory
underlying it.

3.9 REFERENCES AND SELECTED READINGS

Carmines, E.G., and Zeller, R.A., (1979). Reliability and Validity Assessment.
Sage University Paper series on Quantitative Applications in the Social Sciences,
series no. 17. Beverly Hills and London: Sage Publications.

Kothari, C.R. (2004). Research Methodology – Methods and Techniques, Second

Revised Edition, New Age International Publishers, New Delhi.

Patten M.L. (2005). Understanding Research Methods – An Overview of the

Essentials. Pyrczak Publishing, USA.

3.10 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1

1) The common name for any type of measurement device is ‘instrument’.

2) Reliability estimates the consistency of our measurement, or more simply
the degree to which an instrument measures the same way each time it is
used in under the same conditions with the same subjects.
3) The synonyms for reliability are : dependability; stability; consistency;
predictability; accuracy and equivalence .
4) The reliability of measuring instruments can be improved by (i) by
standardizing the conditions under which the measurement takes place and
(ii) by carefully designing directions for measurement with no variation
from group to group, by using trained and motivated persons to conduct the
research and also by broadening the sample of items.

Check Your Progress 2

1) The three basic methods of determining the reliability are : test – retest
method; alternative form method and split-half method.
2) The major defect of test-retest method is that experience in the first testing
usually will influence responses in the second testing. The practical limitation
of alternative form method is that it can be quite difficult to construct
alternative forms of a test that are parallel. The major problem with the
split-half method approach is that the correlation between the halves will
differ depending on how the total number of items is divided into halves.

Check Your Progress 3

1) Yes. I agree with the statement ‘one validates not the measuring instrument,
but the purpose for which it is being used’ because it is quite possible for a
measuring instrument to be relatively valid for measuring one kind of
phenomenon, but entirely invalid for assessing other phenomenon.
51
Measurement and Sampling 2) The four approaches to validation of measuring instrument are: logical
validity / face validity; jury opinion; known-group and; independent criteria.

Check Your Progress 4

1) The three types of validity are : Content validity; Criterion validity (

Predictive validity and Concurrent validity) and Construct validity.

2) Predictive validity concerns a future criterion which is correlated with the

relevant measure. Concurrent criterion is assessed by correlating a measure
and the criterion at the same point in time.

Check Your Progress 5

1) Validity is more important than reliability because if an instrument does not

accurately measure what it is supposed to, there is no reason to use it even
if it measures consistently (reliably).

52
Reliability and Validity
UNIT 4 SAMPLING

Structure
4.1 Introduction
4.2 Sampling: Meaning and Concept
4.3 Types of Sampling
4.4 Sample Design Process
4.5 Errors in Sampling
4.6 Determination of Sample Size
4.7 Let Us Sum Up
4.8 Keywords
4.9 References and Selected Readings
4.10 Check Your Progress – Possible Answers

4.1 INTRODUCTION
Sampling has been an age old practice in everyday life. Whenever we want to
buy a huge quantity of a commodity, we decide about the total lot by simply
examining a small fraction of it. It has been established that the sample survey if
planned properly, can give very precise information. Since in surveys a part of
the population is only surveyed and inference is drawn about the whole population,
the results likely to be different from the population values. But the advantage
with the sample survey is that this type of error can be measured and controlled
and it can be eliminated to great extent by employing properly trained persons in
surveys. The other advantage of sample surveys are that it is less time consuming
and involves less cost. Usually, the population is too large for the researcher to
attempt to survey all of its members. A small, but carefully chosen sample can be
used to represent the population. The sample reflects the characteristics of the
population from which it is drawn.
After studying this unit, you should be able to
• discuss the meaning and importance of sampling
• describe the steps and criteria involved in selecting a sampling procedure
• distinguish different types of sampling
• explain the process of determination of sampling size

4.2 SAMPLING: MEANING AND CONCEPTS

4.2.1 Meaning of Sampling
According to Levin and Rubin, statisticians use the word, population, to refer
not only to people, but, to all items that have been chosen for study. They use the
word, sample, to describe a portion chosen from the population.
According to Croach and Housden, a sample is a limited number taken from a
large group for testing and analysis, on the assumption that the sample can be
taken as representative for the whole group.
53
Measurement and Sampling According to Boyce, sampling makes an estimate about some of the characteristics
of a population. To sample is to make a judgment or a decision about something
after experiencing just part of it.

4.2.2 Concepts in Sampling

For clarity and brevity, some concepts and preliminaries of sampling theory,
which are used in the study material, are discussed below.
• Sampling Units and Population: a unit may be taken as a well defined and
identifiable element or a group of elements on which observations can be
made. The aggregate of these units is termed as population and the population
is said to be finite, if the units are countable. The population is sub-divided
into suitable small units known as sampling units for the purpose of sampling.
Sampling units may consist of one or more elementary units and each
elementary unit belongs to one and one sampling unit.
• Sampling Frame: a sampling frame is a list of sampling units with
identification particulars indicating the location of the sampling units. A
sampling frame represents the population under investigation, and it is the
base of drawing a sample. As far as possible, it should be up-to–date, i.e.,
free from omissions and duplications.
• Sample: a fraction of the population is said to constitute a sample. The number
of units included in the sample is known as the size of the sample.
• Sampling Fraction: the ratio of the sample size, n, to the population size, N,
is known as sampling fraction and it is denoted by (n / N).
• Sampling Procedure/Method: this is the method of selecting a sample from
a population.
• Census: this denotes all the elements or units of a population which are
used to explain the features of population. It usually refers to complete
enumeration of all persons in the population.
• Population Parameter and Sample Estimator: any function of the values of
units in the population, such as population mean or population variance, is
termed a population parameter. There can only be one set of values for a
population and the population values are treated as constant. However, the
function of the values of the units in the sample, such as sample mean and
sample variance, is known as a statistic. The value of the mean and variance
differ from sample to sample and, therefore, it is a random variable.

4.2.3 Advantages of Sampling

Some of the key advantages of sampling are:
i) it costs less
ii) takes less time
iii) data are acquired quickly
iv) fewer mistakes are likely
v) a more detailed study can be done.

54
Now that you have read about the meaning and concept of sampling, answer the Sampling
following questions in Check Your Progress 1.

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What do you mean by sampling? What are the advantages of sampling?
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2) What is the difference between a parameter and an estimator?
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4.3 TYPES OF SAMPLING

There are broadly two types of sampling:
i) Probability sampling
ii) Non-probability sampling

4.3.1 Probability Sampling

A probability sample is one in which each element of the population has a known,
non zero chance of being included in the sample. Probability methods include
simple random sampling, systematic sampling, and stratified sampling.

1) Simple Random Sample

The random sample entails that each and every individual in a population
has an equal chance of being included in the sample and that the selection of
one individual is in no way dependent upon the selection of another person.
The two popularly used methods in random sampling are
i) draw of lottery
ii) using a random number table.
i) In lottery draw, for example, if we have to select a sample of 25 students
from a total of 600 students in a college, then we make separate slips of
paper for 600 students and put them in a box and thoroughly mix them.
55
Measurement and Sampling After that, a person is asked to pick up one slip. Here, the probability of
each of the student being selected in the sample is 1/600. This procedure
is continued till the sample size is acquired.

ii) Another method of simple random sampling is to use a random number

table for drawing 25 students from a total of 600 students. The procedure
for using a random number table follows.
1) Number each element in the sample frame from 001 to 600.
2) Decide a random starting point in the table. Any point will do. Say
second row in the second column (Appendix 1).
3) Look at the first digits at that point, because there are three digit in
600.
4) Then, if the number is less than 600, include it in the sample; if not
then look for a number where the first three digits are less than
600.
5) From that point you can move in any direction. Select only three
digit numbers that are less than 600, until you have 25 such
numbers.
Note: You can move in any direction in the random number table
because every digit has been placed in the table at random.
For example, here if we start from the second row in the third
column, then, the random numbers are: 31684; 09865; 14491;
34691, continuing till 25 samples are selected.

2) Systematic Random Sample

Designing a Systematic Random Sample is sometimes quite difficult and
time consuming and therefore, Systematic Random Sample, like Simple
Random Sample, also uses a list of all members of the population in its
sampling frame. However, instead of using random numbers to select the
sample elements, the researcher applies a skip interval to the list to produce
a sample of the required size.

number of elements in the population

Skip interval = ————————————————
the required sample size

N
K = ——
n
K = skip interval
N = Universe size
n = Sample size
For example if we have to select a sample of 100 persons from a universe of
1000 population, then the skip is 10. In this case one number between 1 and
10 has to be selected. Suppose 5 is selected, then the first sample would be
5th and the next one 15th, 25th, 35th, 45th, and so on. One of the advantages of
this method is that it is more convenient than other methods and simple to
design. Again, it is used with very large populations.
56
3) Stratified Random Sample Sampling

In Stratified Random Sampling, the target population of N units is first divided

into k subpopulations of N1, N2, ............., Nk units. These populations are
non-overlapping and together they comprise the whole population. So that
N1 + N2 + ............. + Nk = N

The sub-populations are called strata. The number in each stratum should be
known. A sample is drawn from each stratum independently. The sample
sizes within ‘k’ strata are denoted by n1, n2, ........................, nk respectively.
If the total sample size ‘n’ is to be drawn from the target population than
n1 + n2 + ............. + nk = n

If a simple random sample is drawn in each stratum, the whole procedure is

described as stratified random sampling.

Stratified random sampling requires more than making a list of elements

(and estimating the number of elements on the list). It also involves ordering
that list by sub groups (or strata) and then, to do sampling randomly or
systematically within those sub groups. This method of sampling is used for
the following reasons.
• It can reduce the errors in the statistical estimates calculated from the
sample.
• It allows you to create a sample that is exactly representative of the
various sub groups in the population that you find to be of special interest.

For example, the selected village may have households of SC, ST, OBCs,
Others, Minority. The village population first may be divided in to smaller
sub groups of different sections of population (stratum) and, thus, the village
sample may consist of households from each stratum so that sample may
contain all the important characteristics of the village population. In the
case of SRS, the sample of all strata/ sub groups sometimes may not be
included or covered adequately.

• This method helps in conducting and managing a large scale survey to

be conducted in a country like India. The agency conducting the survey
may have field offices in different locations; each one can supervise the
survey for a part of the population.

• The basic idea is that it sub-divides the heterogeneous population into

homogeneous sub-populations. If each stratum is homogenous in itself,
a precise estimate of any stratum mean can be obtained from a small
sample, thus, saving a lot of time and cost.

There are two types of stratified samples.

A proportionate stratified sample selects the number of elements from

each stratum so that the stratum sample size ( n1, n 2,….....…., nk ) is
proportional to their respective stratum population size ( N1, N2, …….., Nk ).

57
Measurement and Sampling Consider the following examples:
• A selected village may have households of SC(10%), ST (5%), OBCs
(45%), Others (30%), Minority (10%). A village sample of 100 may
constitute the households of various casts in the above proportion/
percentage so that the sample may contain all important characteristics
of village population.

• Hospital patients are stratified according to age, dividing the population

into those who are aged 50years or above, and, those who are under 50.
If there are twice as many people aged 50 or above admitted to the
hospital as those under 50, a proportionate stratified sample will include
twice as many people aged 50 or above.

A disproportionate stratified sample selects the number of elements from

each stratum so that the stratum sample size is not proportional to the stratum
population size. The most common reason for selecting this type of sample
is when you want to study a relatively rare but important subpopulation,
such as younger patients suffering from heart disease. Proportionate
stratification may result in too few elements being selected so that little, if
any, statistical analysis can be done. Consequently, even if these patients
represent only 1% of the population, you might decide to make them 10% of
the final sample. However, once we combine values of all stratums, the size
of the higher selected proportion needs to be readjusted which is called
weighted estimate.

4) Probability Proportion to Size (PPS) Sample

It has been observed that the elementary units of the population vary in size.
Such ancillary information about the size of the unit can be utilized in
selecting the sample so as to get better and efficient estimates of the population
parameter. For example villages with larger geographical area are likely to
have larger area under food crops; therefore, in estimating the production, it
would be desirable to adopt a sampling scheme in which villages are selected
with probability proportional to geographical area. When units vary in their
size and the variable under study is directly related with the size of the unit,
the probabilities may be assigned proportional to the size of the unit.

Probability Proportion to Size (PPS) Sampling assures higher probability

of selection to sampling unit which are larger in size. This technique was
initially used in estimation of crop production, fruits production etc because
productivity is directly related with the size of field. In social science surveys
also characteristics of village population is influenced by the size of
population. The procedure of selecting the sample is described below.

Suppose you have to select 5 villages from the list of 10 using PPS sampling.
First arrange all villages in ascending or descending order of population size
as may be seen in column 2 of the table 1. Then, in the third column, find the
cumulative sum of population size and in the fourth column, assign them
range of serial numbers as shown below in the table.

58
Table 4.1: Village population Size Sampling

Sl.No. Village Population Cumulative Sum Cumulative

Size of Population Size Population
Size Interval
1 2 3 4
1 200 200 0001 - 0200
2 250 450 0201 - 0450
3 300 750 0451 - 0750
4 350 1100 0751 - 1100
5 400 1500 1101- 1500
6 450 1950 1501 - 1950
7 500 2450 1951 - 2450
8 550 3000 2451 - 3000
9 600 3600 3001 - 3600
10 650 4250 3601 - 4250
Total 4250

Please notice that the total population of all villages in the target population is a
four digit number (4250). Therefore, initially, a random number in four digits,
which is less than or equal to the total population of all villages (4250), is selected
from the random number table. For example, it is 0331 which will correspond to
serial number 2. Next random number is 4320; therefore, it may be discarded.
The next number selected is 1296; therefore, it will correspond to serial number
5. The next random numbers may be 1553, 2402 and 3640 which will correspond
to serial numbers 6, 8, and 10 respectively. In this way, selected villages will be
serial numbers 2, 5, 6, 8, 10.

5) Cluster Sample
Cluster sampling is a sampling technique used when natural groupings are
evident in a statistical population. It is often used in marketing research. In
this technique, the total population is divided into these known groups (or
clusters) and a sample of the groups is selected. Then the required information
is collected from the elements within each selected group. This may be done
for every element in these groups, or a sub sample of elements may be selected
within each of these groups. The technique works best when most of the
variation in the population is within the groups, not between them.
Briefly, the procedure for selecting a cluster sample is given below.
• The population is divided into N groups, called clusters.
• The researcher randomly selects n clusters to include in the sample.
• The number of observations within each cluster is known:
M = M1 + M2 + M3 + ....……. + MN
• Each element of the population can be assigned to one, and only one,
cluster.
59
Measurement and Sampling Cluster sampling should be used only when it is economically justified - when
reduced costs can be used to overcome losses in precision. This is most likely to
occur in the following situations.
Constructing a complete list of population elements is difficult, costly, or
impossible. For example, it may not be possible to list all elementary units
of the populations, for example all households in village, block, etc. However,
it would be possible to randomly select a subset of villages, blocks (stage 1
of cluster sampling) and, then, interview the head of family in a house of the
selected cluster (stage 2).
The population is concentrated in natural clusters (city blocks, schools,
hospitals, etc.). For example, to conduct personal interviews of operating
room nurses, it might make sense to randomly select a sample of hospitals
(stage 1 of cluster sampling) and then interview all of the operating room
nurses at that hospital. Using cluster sampling, the interviewer could conduct
many interviews in a single day at a single hospital. Simple random sampling,
in contrast, might require the interviewer to spend all day travelling to conduct
a single interview at a single hospital.

As discussed above, in the cluster sampling method, the primary selecting unit
is not a household, rather a natural cluster of households, viz., hamlets in villages,
or, created clusters, viz., schools, malls, etc., may be decided. The first list of
clusters may be selected using the SRS or the PPS sampling techniques. Then,
from each selected cluster, all units, or, some of the units, may be selected as per
the required sample size using Stratified Random Sampling or the Systematic
Random Sampling techniques.

This sampling technique is quite popular in evaluation surveys in health – it is

also called the 30 Cluster Sampling Technique. This is also a rapid method of
data collection as the researcher can collect more data in less time due to the
decrease in transportation time as compared with other sampling techniques.

4.3.2 Non-Probability Sampling

A non-probability sample is one in which a case in a sample is chosen in such
a manner that it gives you information for the sample itself and makes it possible
to generalize the findings for the population with certain degree of precision.
Such a sample is also called a purposive sample. This kind of sampling is primarily
used to collect information on market surveys to know the attitude, opinion,
behaviour, reactions of individuals. There are many types of non-probability
samples, including snowball sampling, convenience, purposive/ judgment, quota
sampling, etc.

1) Convenience Sample
The convenience sample is so called because it is relatively easy to obtain
and contact. In this method the investigators are usually asked to select the
people for the interview in accordance to the instructions from the researcher.
The benefit of a convenience sample is that the interviewer can usually get
interviews done quickly and cheaply. Convenience sampling is appropriate
for exploratory research.

60
2) Judgments Sample Sampling

A judgment sample is similar to that of convenience sample. In a judgment

sample, the researcher selects samples that are believed to represent the
population. The selection of samples is based on the knowledge of the
population and the characteristics which the sample is to represent. It is less
costly and very useful for forecasting.

3) Quota Sample
Quota sampling is like stratified sampling. In quota sampling, the population
is categorized into several strata which consist of an expected size, and the
samples are considered to be important for the population they represent.
The advantages of quota sample are that it involves a short time duration, is
less costly, and gives moderate representation to a heterogeneous population.

4) Snowball Sample
This is one of the important types of non-probability sampling. In snowball
sampling, the investigator encourages the respondents to give the names of
other acquaintances and it continues growing in size and chains until the
research purpose is achieved. It is also, therefore, known as networking,
chain, or referred sampling method. It is very useful in the study of networking
and is less costly.

A comprehensive overview of the various types of sampling can be seen in

figure 4.1
Sample Types

Probability Non-
Sampling Probability
Sampling

Simple Systematic Stratified Cluster

Random Sample Sample Sample
Sample

Convenience Judgement Quota Snowball

Sample Sample Sample Sample

Fig. 4.1: Types of Sample

4.4 SAMPLE DESIGN PROCESS

The sample design process follows five steps as given in Box-1 61
Measurement and Sampling Box 4.1: Sample Design Process

Step-1 Define the Population

Step- 2 Decide if it would be better to take a sample or a census

Step-3 If possible, construct or obtain an appropriate sampling

frame

Step-4 Decide whether to use a probability sample or a non-

probability sample

Step-5 Select the sampling method

Source: John Boyce (www.mhhe.com/av/boyceze)

Step-1: Define the Population

We use the word, population, frequently in our day-to-day conversations,
for example, ‘The population of India’, or, ‘The population of Punjab’,
or, ‘The population of Kerela’. However, the meaning of the word,
population, in research is different from what we use in day-to-day
conversation. A research population may be defined as ‘a clearly defined
group of entities that have some characteristics in common’. This means
the kind of people on whom we wish to base our research project.
Sometimes, in research, we use the word, universe, instead of population.

In a research project, our intention is to learn or infer something about

the population. Whether we would use a sample or a population has to
be clearly defined. For example, if we want to conduct a study on road
safety, then the task of defining the population for a survey would be
whether we should
• interview only the people who drive two wheelers
• interview only the people who drive four wheelers
• interview the pedestrians
• interview only who are hand rickshaw pullers or ride bi-cycle.
Therefore, judging a population is the starting of the sampling process.
Step-2: Decide whether to take a sample or a census
After judging the population, the next step in the sampling process is to
decide whether to take a sample or a population in your research project.
In a census, usually every member of the population is interviewed.
62
While in a sample method only selected members of the population are Sampling
included. From the census we obtain data that are called population
parameter, and from the sample we obtain statistics in a parameter. A
parameter is a measurement of a characteristic of a population, while a
sample statistic is used as an estimate of a population parameter.

Usually, in individual research, we use census when the population is

small, and sample when the population is large.

Step-4: Decide whether to use a probability sample or a non-probability

sample
The fourth step in the sampling process is whether to use probability
sampling or non-probability sampling. In a probability sample, the
sample elements are chosen by random selection, while in non-
probability sampling, each sample element is chosen according to
whether the researcher decides that it should be included or not.

Step-5: Select the sampling method

Last, but not least in the sampling process, is the selection of the sampling
method. In the probability sampling method, the following four principal
kinds of probability sampling are used: the simple random sample, the
systematic sample, the stratified sample, and the cluster sample. The
main non-probability sampling methods are the convenience sample,
the judgment sample, the quota sample, and the snowball sample.

Sampling Frame
A sampling frame is a listing of all the elements from which you will draw the
sample. In the ideal situation, the sampling frame will include all elementary
units in the target population. A list of employees in an organization can create a
sampling frame that exactly matches the population of interest. You should try to
ensure that the sampling frame has the following characteristics.
• It is actually created from the target population.
• It is as complete a list as possible of the elements in the population.
In this section, you have read about the various types of sampling and the sample
design process. Now, answer the following questions in Check Your Progress 2.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What is a stratified sample?
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63
Measurement and Sampling 2) What is a cluster sample and when is it best used?
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3) What do you understand by a quota sample?
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4.5 ERRORS IN SAMPLING

Many mistakes and errors in social science research happen because of misleading
and biased sampling. A sample which does not represent the population is called
a biased sample. According to Yule and Kendal, “Bias may be due to imperfect
instruments, the personal qualities of the observer, defective techniques and other
cases. Like experimental error, it is difficult to eliminate entirely, but usually
may be reduced to relatively small dimensions by taking proper care.” There are
two types of errors such as sampling errors and non-sampling errors. These are
discussed below:

i) Sampling Error
By definition, when you have collected a sample from a population, you
have less than complete information about the population. This, in turn,
means that there is a chance that the sample statistics you calculate, (for
example, the mean of a variable, a frequency distribution, etc.) may not be
an unbiased estimate of the population parameter.

The error in the sample estimate is not an intrinsic impediment to analysis.

For probability samples, sampling theory allows you to calculate the expected
amount of error given a particular sample size, sampling method, and the
specific statistic of interest. In general terms, the sampling error for a statistic
can be defined as:

Variance sd
Standard error = =
n n
Where n refers to the number of respondents (sample size).
64
As the sample size increases, the standard error of a statistic decreases; as Sampling
the variance, or dispersion, of a statistic increases, so does its sampling
error.

Sampling error decreases rapidly as the sample size increases from a few
hundred to about 1000 respondents. However, there is rarely any reason to
select larger samples while comparing the increased cost of survey with
reduction in sampling error (see ‘Calculating the Sample Size’, in next
section).
The formula for the standard error of a proportion is simple and easy to
apply:

Standard error =

Here, p represents the proportion of successes (favourable response, those

who received the benefits), {q = (1-p)} represents the proportion of failures
(those who did not receive the benefits), and n is the total number of
respondents. The standard error of a statistic is greatest when p and (1-p)
are equal, which occurs when each is 0.50, or 50%, of the sample.

ii) Non-Sampling Error

Before discussing how to determine sample size, we will briefly review
other sources of error in surveys. When you read a a news article that reports
the results of a national poll, the error in the estimates is always listed,
derived, generally speaking, from Equation 6.2. However, experienced
p ´ (1 - p) survey researchers know that errors due to other sources are typically greater
than the error due to sampling alone. Following are some other types of
n errors.
• Measurement errors, caused by poorly written questions, poorly
designed questionnaires, respondent errors in completing questionnaires,
and so on.
• Non-response errors, caused because the respondents are not a
representative subset of the population.
• Data coding errors, caused, by errors in coding and entering the data.
Of these error sources, the first two are typically more severe. In mail surveys,
non-response error is often the most serious problem.

There are two critical characteristics of these non sampling errors. First, as
mentioned above, their sum is often greater than the sampling error. Second,
and more insidious, these errors are often impossible to estimate for any one
survey, especially measurement and non-response errors. Consequently, using
Equation 6.1 and Equation 6.2 to estimate the error in a statistics often provides
a false sense of security.

Experienced survey researchers take this fact into account by being more cautions
in discussing survey results than the sampling error alone would indicate, and
you should do the same. Ideally, the other sources of error would balance
themselves out so that errors in one direction negate errors in the other directions,
but you cannot assume that this is the case.
65
Measurement and Sampling
4.6 DETERMINATION OF SAMPLE SIZE
The sample size can be determined by:
i) Using a formula
ii) Using a table

4.6.1 Determining Sample Size Using a Formula

(when population is greater than 10,000)

n
nf =
1 + (n / N) (when population is less than 10,000)

n, nf = desired sample size

Z = the standard normal deviate
p = the portion in the target population estimated to have a particular characteristic.
If there is no reasonable estimate, then use 50 percent (.50).
q = 1-p
d= degree of accuracy desired, usually set at .05 or occasionally at .02.
n = the estimate of the population size
Z at 99% confidence level i.e. at 1% level of significance = 2.58
Z at 95% confidence level i.e. at 5% level of significance = 1.96
Z at 90% confidence level i.e. at 10% level of significance = 1.65
Exaple: (when population is more than 10,000)
If the proportion of target population with a certain characteristic is .50, the Z
statistic 1.96 and we desire accuracy at the 0.05 level, then the sample size is

(1.96) 2 (.50´.50)
n=
(0.05) 2
3.84´ 0.25
=
(.0025)
0.96
=
0.0025
= 384
If we use the more convenient 2.0 for the Z statistic, then the sample size will be
smaller.

= 286
66
4.6.2 Determining Sample Size by Using a Table Sampling

Another way to determine sample size is to rely on published tables which provide
the sample size for a given set of criteria. Table 1 presents sample size values
that will be appropriate for many common sampling problems. The table includes
sample sizes for both continuous and categorical data assuming alpha levels of
.10, .05, or .01.

Table 4.1: Table for Determining Minimum Returned Sample Size for a
Given Population Size for Continuous and Categorical Data

Sample size

Continuous data Categorical data

(margin of error= .03) (margin of error= .05)

Population alpha=.10 alpha=.05 alpha=.01 p=.50 p=.50 p=.50

size t=1.65 t=1.96 t=2.58 t=1.65 t=1.96 t=2.58

100 46 55 68 74 80 87

200 59 75 102 116 132 154

300 65 85 123 143 169 207

400 69 92 137 162 196 250

500 72 96 147 176 218 286

600 73 100 155 187 235 316

700 75 102 161 196 249 341

800 76 104 166 203 260 363

900 76 105 170 209 270 382

1,000 77 106 173 213 278 399

1,500 79 110 183 230 306 461

2,000 83 112 189 239 323 499

4,000 83 119 198 254 351 570

6,000 83 119 209 259 362 598

8,000 83 119 209 262 367 613

10,000 83 119 209 264 370 623

In this session you studied about errors in sampling and determination of sample
size. Now, answer the questions given in Check Your Progress 3.

67
Measurement and Sampling Check Your Progress 3
Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What is sampling error?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) How the sample size is determined using the formula?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

4.7 LET US SUM UP

In this unit, we discussed the meaning and various concepts in sampling
particularly of sample and population. There is also a detailed discussion on the
sample types and sample design process. There are two types of sampling such
as probability and non-probability sampling. The types of probability sampling
are the Simple Random Sample, the Systematic Sample, the Stratified Sample,
and the Cluster Sample, while different types of non-probability sample are the
Convenience Sample, the Quota Sample, the Judgment Sample, and the Snowball
Sample. The unit also discusses various steps of the sampling design process.
This is followed by two of the very important concepts of sampling: the
determination of sample size and errors in sampling.

4.8 KEYWORDS
Sample : A sample is simply a subset of a larger aggregation,
i.e., typically a population and it contains all the
characteristics of a population,

Sampling : The process of selection of subjects/study elements

to create a sample for collecting information about a
population.

Standard Error : This is the expected amount of error while estimating

the specific statistic of interest, using a particular
sample size and sampling method with respect to
actual population value.
68
Sampling Error : While collecting information from a sample, there is Sampling
a chance that the sampling statistics may not be equal
to the same values in the population. The error is that
the sample does not contain complete information
about the population.

Confidence Interval : This gives the probability of the sample estimate

falling within the interval.

Sample Size : The number of elementary units in a sample is called

a sample size.

4.9 REFERENCES AND SELECTED READINGS

Daroga S. and F.S. Chaudhary (2002), Theory & Analysis of Sample Survey
Designs, New Age International Publishers Ltd.
Goldberg H. I. (1991), Survey Sampling: In Epidemiological Approach to
Reproductive Health, WHO.

Henderson R. H and Sundaresan T (1982), Cluster Sampling to Assess

Immunisation Coverage: A Review of Experience with a Simplified Sampling
Method, WHO Bulletin.

Pandurang V. S. (1984), Sampling Theory of Surveys with Applications, Iowa

State Press.

Cochran W. G. (1977), Sampling Technique, John Willey & Sons.

4.10 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1

1) What do you mean by sampling? What are the advantages of sampling?

Generally, a sample implies a small representative of a large whole. This
sampling method is frequently used in social science research to save time.
Some of the key advantages of sampling are: (i) it costs less; (ii) takes less
time; (iii) data are sometimes wanted quickly; (iv) fewer mistakes are likely;
(v) a more detailed study can be done.

2) What is the difference between a parameter and an estimator?

Any function of the values of units in the population, such as the population
mean or population variance, is termed, a population parameter. There can
only be one set of values for a population, there population values are treated
as constant. However, the function of the values of the units in the sample,
such as the sample mean and sample variance is known as a statistic. The
value of the mean and variance differs from sample to sample and, therefore,
it is a random variable.

69
Measurement and Sampling Check Your Progress 2

1) What is stratified sampling?

In stratified sampling, the target population of N units is first divided into k
subpopulations of units. These populations are non-overlapping and together
they comprise the whole population, so that

The sub-populations are called strata. The number in each stratum should
be known. A sample is drawn from each stratum independently. The sample
sizes within ‘k’ strata are denoted by respectively. If the total sample size n
is to be drawn from the target population then

If a simple random sample is drawn in each stratum, the whole procedure is

described as stratified random sampling.

2) What is cluster sampling and when is it best used?

Cluster sampling is a sampling technique used when natural groupings are
evident in a statistical population. It is often used in marketing research. In
this technique, the total population is divided into these known groups (or
clusters) and a sample of the groups is selected. Then, the required
information is collected from the elements within each selected group. This
may be done for every element in these groups or a sub sample of elements
may be selected within each of these groups. The technique works best
when most of the variation in the population is within the groups, not between
them.

3) What do you understand by quota sample?

Quota sampling is like stratified sampling. In quota sampling, the population
is categorized into several strata which consist of an expected size and they
are considered to be important for the population they are supposed to
represent. The advantages of the quota sample are: shorter time duration,
less costly, and gives moderate representation to a heterogeneous population.

Check Your Progress 3

1) What is sampling error?

By definition, when you have collected a sample from a population, you
have less than complete information about the population. This, in turn,
means that there is a chance that the sample statistics you calculate, (for
example, the mean of a variable, a frequency distribution, etc.) may not be
unbiased estimate of the population parameter. This error is called sampling
error.

2) How is the sample size determined using the formula?

The calculation of the sample size is concerned with the number of
respondents required. To determine the number to select for the sample
drawn from the sampling frame, you must estimate the non-response rate.
The actual sample size to be drawn is:

So, if any survey organization decides that they need 700 respondents, and
the expected response rate from the population is 50%, then 700/0.50, or
70 1400, customers must be drawn from the sampling frame.
Quantitative Data
UNIT 1 QUANTITATIVE DATA COLLECTION Collection Methods and
Devices
METHODS AND DEVICES

Structure
1.1 Introduction
1.2 Primary Data Collection: Meaning and Methods
1.3 Questionnaire Method of Data collection
1.4 Interview Schedule
1.5 Secondary Data Collection Methods
1.6 Let Us Sum Up
1.7 References and Selected Readings
1.8 Check Your Progress - Possible Answers

1.1 INTRODUCTION
There are two types of primary research: one is done through quantitative data
collection and the other, through qualitative data collection. Customarily, quantitative
data collection means using numbers to assess information. As you are aware,
some kinds of information are numerical in nature, for example, a person’s age,
or annual income. The answers to these questions are in numbers.
Quantitative data is used for testing of a hypothesis and drawing inferences.
Quantitative data is collected by using the following two set of data resources:
i) Primary data
ii) Secondary data.
In this unit, we will discuss in detail, methods of collecting primary and secondary
data, along with the advantages and disadvantages of the methods.
After reading this unit, you should be able to
• explain the primary data collection methods
• discuss the questionnaire and interview methods of data collection
• describe secondary methods of data collection

1.2 PRIMARY DATA COLLECTION: MEANING

AND METHODS
Data which are originally collected by the investigators are called primary data,
while the secondary data are collected through some other sources. For example,
information collected by an investigator from a student regarding his class, caste,
family background, etc., is called primary data. On the other hand, if the same
information collected about the student from the school record and register, then
it is called secondary data.
However, the difference between primary and secondary data is largely of degree,
and there is hardly any watertight difference between them. The data collected
through primary sources by one investigator may be secondary in the hands of
5
Data Collection and Analysis others. For example, field data collected by an investigator for writing his thesis
is primary to him, and when the same data is used by another investigator, for
reference purposes, then it became secondary data. Let us discuses the methods
that are used to collect primary and secondary data.
There are various types of quantitative primary data gathering tools, but the
important ones among them are:
• The Questionnaire
• The Interview Schedule

1.3 QUESTIONNAIRE METHOD OF DATA

COLLECTION
Questionnaires are a popular method of data collection. Although they look easy,
it is difficult to design a good questionnaire. Careful design of a questionnaire is
vital for the collection of required facts and figures. Any frivolous attempt in
framing a questionnaire will lead to either shortage, or, collection of unnecessary
information neither of which will be useful to your research. Questionnaire design
depends on whom, and, from where information has to be collected; what facts
and figures need to be collected; and the calibre of the informants.
The questionnaire can be broadly categorized into two types:
i) structured questionnaire
ii) unstructured questionnaire.
i) Structured questionnaires are prepared in advance. They contain definite
and concrete questions. The structured questionnaire may contain close ended
questions and open ended responses. In the close ended questionnaire, the
question setter gives alternative options for which the respondent has to
give definite response. The best example of the close ended questionnaire
format is the one that leads respondents to the “Yes” or “No”/ “True” or
“False” answers.
ii) Unstructured questionnaires are those that are not structured in advance,
and the investigators may adjust questions according to their needs during
an interview.

1.3.1 Methods of Data Collection Using Questionnaires

Questionnaire methods are conducted in different ways. A few important methods
are outlined here.

i) Personal Interview
In personal interviews, the interviewer or investigator personally approaches
the interviewee and administer questions. This method is largely followed
in research and the accuracy of data is very high. However, it is an expensive
method.

ii) Mail Questionnaire

In this method, the investigator mails the questionnaire to respondents and
respondents are requested to fill it up and return it to the investigator. In
many cases, a self addressed stamped envelope is sent along with the
6
questionnaire to facilitate the the return of the questionnaire mail immediately. Quantitative Data
Collection Methods and
This method is usually adopted where the respondents are widespread and Devices
the investigator has limited resources to approach them. The success of this
method depends of the literacy level of the respondents and the accuracy of
the address database. One of the drawbacks of this method is that, sometimes,
the respondents do not take the questionnaire seriously, and, as a result the
answer may not be accurate.

Implementing a Mail Survey

• Design a written questionnaire with identification number.
• Pretest questionnaire to assure validity and reliability.
• Select sample population.
• Two weeks before mailing the survey, send an advance letter
• Mail the questionnaire including a cover letter and a stamped, self-
addressed envelope
• Send a postcard a week or so later, thanking those who responded
and reminding those who did not return the questionnaires
• Three weeks after mailing the first questionnaire, send a follow-up
letter stating that a response has not been received, including a
replacement questionnaire and a stamped, self-addressed envelope.
• In developing the mailing schedule avoid holidays.
• For most purposes, a 60 to 90 percent return rate is considered
satisfactory.
(Source : Suvedi et.al., 2008)

iii) Telephone
In this method, the investigator administers a questionnaire by seeking
responses from the respondent over the telephone. It is largely administered
to the urban respondents where telephone facilities are widely available.
However, the success of this method depends on the availability of telephone
with the respondents. It is also expensive as well.
Implementing a Telephone Survey
• Arrange the facilities for survey.
• Identify the sample and their telephone numbers.
• Send an advance letter if addresses are available with information
on when you will be likely to contact respondents, during working
or non-working hours and how much time you need.
• Prepare well on the background information about the survey to
answer respondents questions, if any.
• Develop an interview schedule.
• Decide on the number of calls to make to each number. In local
surveys six to seven calls are customary.
• Decide how to handle refusals.
• Stick to the time schedule
7
Data Collection and Analysis Sample Call Sheet for Telephone Interviews
A call-sheet is used for each number chosen from the sampling frame. The
interviewer records information that allows the supervisor to decide what to
do with each number that has been processed. Call sheets are attached to
questionnaires after an interview is completed.

Telephone Interview Call Sheet

Survey title : ...................................................................................................

Questionnaire identification number ...............................................................

Area code & number ( ) ...................................... & .......................................

Contact attempts Date Time Result code & Interviewer I.D.

comments
1
2
3
4
5
6
Additional
comments
Code Result Codes
No answer after seven rings
Busy, after one immediate redial
Answering machine (residence)
Household language barrier
Answered by nonresident
Household refusal
Disconnected or other non-working number
Temporarily disconnected
Business or other non-residence
No one meeting eligibility requirement
Contact only
Selected respondent temporarily unavailable
Selected respondent unavailable during field period
8
Quantitative Data
Selected respondent unavailable because of physical/mental Collection Methods and
handicap Devices

Language barrier with selected respondent

Refusal by selected respondent
Partial interview
Respondent contacted - completed interview
Other

Sample Help Sheet for Interviewers

Name of sponsoring agency:
Purpose of study:
Contact person for survey:
Size of survey:
Identity of interviewer:
How respondents name was obtained:
Issues of confidentiality:
How to get a copy of results:
How will results be used:
(Source : Suvedi et.al., 2008)

iv) E-Mail
With the IT revolution, nowadays, questionnaires are attached to the e- mails
and sent to respondents who send an answer through return e-mail. The
success of this method depends on the availability of internet facilities.

1.3.2 Qualities of a Good Questionnaire

Questionnaire framing is the most arduous task in social science research. Careful
framing of questionnaires is essential to obtain reliable data,. Some of the
principles that need to be taken into consideration while framing a questionnaire
follow.

i) It must be simple: the questions must be simple and straightforward. They

must also be short, which could be easily answered.

ii) Begin with a covering letter: the front page of the questionnaire must contain
an introduction to investigator or institution collecting data, and the purpose
of the quest. If the questionnaires are to be returned by mail, then, the address
to which they are to be sent must be clearly mentioned.

iii) The number of questions must be kept to a minimum: the questions

asked in the questionnaire must be kept to a minimum and restricted to the
subject and topic of the study. Any questions which do not have direct bearing
on the problem must be avoided.
9
Data Collection and Analysis iv) Minimum use of Technical Terms: try to avoid the technical terms as far
as possible. If abbreviations are used, they need to be explained with
illustrations, either separately or in the questionnaire itself. However, the
investigator should be conversant about those technical terms.

v) Questions must be logically arranged: here lies the acumen of the

investigator or question setter. He, or, she must arrange the questions in such
a way that such questions should flow naturally from the answer to the
previous question.

vi) Avoid asking controversial questions: do not include questions which are
controversial in nature, or, are too personal or specific to community
sentiments. Hypothetical questions, too, need to be avoided.

vii) Pre testing of questionnaire: before final administration, questionnaire need

to be pre tested among a small number of respondents. This will give an
opportunity to the investigator to rectify the problems, and, if required, any
addition and deletion of questions.

1.3.3 Physical form of Questionnaire

While designing the questionnaire, the physical form of the questionnaire may
be meticulously prepared. The following factors needed to be taken into
consideration.

i) Size: the size of the questionnaire depends on the scope of the study. Adequate
space should be provided for recording the comments and suggestions of
the respondents. However, a single space is needed provide for recording
the response. The Coding of questionnaire will reduced the need for space.
Taking all these factors into consideration, the size of the questionnaire can
be fixed, accordingly.

ii) Quality of the paper: good quality paper should be used in the question so
that it lasts for a longer period. Except for the front page, white papers may
be used in other pages.

iii) Covering Letter: Every questionnaire must have a covering letter. The
purpose of the questionnaire must be clearly mentioned. Assurance should
be given that the information gathered will be used only for research purpose,
and be given confidential treatment.

1.3.4 Advantages of Questionnaires

The advantages of questionnaires are:
i) they are less expensive compared to the interview schedule and can be
administered over a large number of respondents.
ii) they are less time consuming.
iii) since the interviewer is not present during the administration of a questionnaire,
respondents may feel freer and have greater confidence in answering questions
iv) one of the advantages of the questionnaire method is that once it is
standardized, then, the information collected from the respondents becomes
more uniform.
10
1.3.5 Disadvantages of Questionnaire Quantitative Data
Collection Methods and
Some disadvantages of questionnaires are : Devices

i) In a questionnaire, there is no personal contact between the investigator and

the respondents because of which clarifications on responses, if needed,
cannot be sought.
ii) a questionnaire is not a suitable mode when a spontaneous answer is required
through probing
iii) it is possible that the investigator may not get a response for all questions.
Sometimes the responses may be vague and provide incorrect information
iv) there is the chance that information may be manipulated.

Sample Questionnaire
Indira Gandhi National Open University
School of Extension and Development Studies
PG Diploma in Urban Planning and Development

Title: Functioning of Primary School in Municipality

1) Name of the State ...................................................................................

2) Name of the District ..............................................................................
3) Name of the Block .................................................................................
4) Name of the Municipality .......................................................................
5) Name of the Teacher (Respondent) ........................................................
6) Sex: Male/Female .....................................7. Age ................................
8) Educational Qualification .......................................................................
9) Caste .......................................... 10. Marital Status .................................
11) Years of Teaching ....................................................................................
12) Training received, if any .........................................................................
13) If yes, write the subjects taught in the training programme ....................
14) Subject you are teaching
Mathematics ...........................................................................
Science ...........................................................................
Literature ...........................................................................
Any other; specify ...........................................................................
15) Medium in which you are teaching
English ...........................................................................
Hindi ...........................................................................
Any other, specify ...........................................................................
11
Data Collection and Analysis
16) In your opinion, which students were performing better in the class:
General Caste ...........................................................................
SC ...........................................................................
ST ...........................................................................
Girls ...........................................................................
Boys ...........................................................................
17) Your interaction with the
Categories Frequent Occasional Not at all
Parents
Father
Mother
18) The role of municipality in your school management
Good ...........................................................................
Average ...........................................................................
Poor ...........................................................................
19) Functioning of the Education Committee
Good ...........................................................................
Average ...........................................................................
Poor ...........................................................................
Areas of their involvement ....................................................................
20) In your opinion, who are the real beneficiaries of education?
Economically Poor ...........................................................................
Girl Children ...........................................................................
Socially backward ...........................................................................
All ...........................................................................
21) Write the main problems of your School
1
2
3
22) What are your suggestions for improvement of the school conditions?
1
2
3

In this section, you studied about quantitative data collection and the questionnaire
method of data collection. Now, answer the questions given in Check Your
Progress-1.
12
Check Your Progress 1 Quantitative Data
Collection Methods and
Note: a) Write your answer in about 50 words. Devices

b) Check your answer with possible answers given at the end of the unit
1) What is primary data?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What are the advantages of a questionnaire?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

1.4 INTERVIEW SCHEDULE

Interview schedule is a common practice in research. The schedule puts the whole
thing in a structured form, so that the tabulation and analysis of data become
easier. The basic difference between the schedule and the questionnaire is that in
case of former, the presence of a field investigator or interviewer is a must, while
the same may not be mandatory in the latter case. In other words, in the case of
the interview schedule, the field investigator is an essential component. In other
aspects, there is not much difference between the interview schedule and the
questionnaire.

Some important aspects need to be taken into consideration in the preparation

and execution of interview schedule.

i) Selection of Respondents: The selection of respondents is the key to

interview schedule administration. The respondents are selected through
various sampling methods and their names and addresses are noted down.
The field investigator approaches them for data collection by filling up the
interview schedule.

ii) Training of the Field Staff: Before sending field investigators for data
collection, try to give them proper training on the interview schedule. If
possible, some orientation on various aspects of the problem may be given.
It will enable the field investigator to effectively interact with the respondents.
Nowadays, the NFHS (National Family Health Survey), RCH (Reproductive
and Child Health) surveys and many base line surveys conducted by various
agencies spend a lot of money in training of the field investigator before
sending them for data collection.
13
Data Collection and Analysis iii) Method of Conducting an Interview: The field investigator must be
practiced in conducting interviews; otherwise, respondents sometimes may
not allow them to take the interviews. He must approach the respondents
politely, introduce himself/herself and tell them the purpose of interview
and the confidentiality involved in it. The respondents must be approached
by the field investigator according to their convenience. Getting correct
information from the informants depends on the skill of the field investigator.

iv) Editing of the Interview Schedule: Editing of the interview schedule is a

must before sending it for tabulation and analysis. While checking the
schedule, one must notice the number of cases allotted, number of cases
contacted, and number of cases lost due to refusal. The field supervisor must
check the schedule filled up by the field investigator. If information is missing
from any schedule then the field investigators could be sent again for data
collection. If the schedules have codes for different alternative responses,
these should also be checked, and, if any contradiction exist must be shared
before sending it for final data entry and tabulation.

Sample Interview Schedule

Title: Socio-Economic Study of Households in an Urabn Slum
(To be filled by the Head of the Household Or Any Adult Member of
the Family)
Name of the Respondent: ..............................................................................
I) Identification of slum:
1) Name of the slum ............................................................................
II) Identification of Household: .................................................................
1) Household Survey No ....................................................................
(marked by the survey team)
2) Name of the Head of the Household ...............................................
3) Religion ...........................................................................................
4) Caste/Sub Caste, Specify .................................................................
III) Housing Condition:
1) Type of House;
i) Kacha (…..)
ii) Pacca (…..)
iii) Semi Pacca (…..)
iv) Any other (…..)
2) Main source of drinking water;
i) Government/own hand pump (…..)
ii) Tap/pipe (…..)
iii) Canal/river (…..)
iv) River/well/pond (…..)
v) Any others, specify .................................................................

14
Quantitative Data
3) Toilet facilities; Collection Methods and
Devices
i) Flush (…..)
ii) Pit (…..)
iii) Open field (…..)
iv) Any other (…..)
4A) Main source of light;
i) Electricity (…..)
ii) Kerosene/Oil (…..)
iii) Gas (…..)
iv) Any other (…..)
4B) Main source of cooking;
i) Traditional chulha (…..)
ii) Bio-gas/gas (…..)
iii) Kerosene/electric stove (…..)
iv) Any other (…..)
5) Communication Media;
i) Radio/transistor/tape recorder (…..)
ii) Television (…..)
iii) Newspaper/magazine (…..)
iv) Any other (…..)
6) Agricultural land owned by the household in their village
i) 1-10 Bigha (…..)
ii) 11-20 Bigha (…..)
iii) 21-30 Bigha (…..)
iv) 31-40 Bigha (…..)
v) 41 Bigha and above (…..)
(Note : One hectare is equivalent to approximately 12 Bigha)

7) Average monthly income of household (Rs. per month);

i) Rs.1-1000 (…..)
ii) Rs.1001-2000 (…..)
iii) Rs.2001-3000 (…..)
iv) Rs.3001-4000 (…..)
v) Rs.4001-5000 (…..)
vi) Rs.5001 and above (…..)
(Kindly mention actual income of the household……………………)

15
Data Collection and Analysis
IV) Household Profile

Marital Status
Sr. Members of the house

Relationship

Occupation
No. hold (start from Head

Education

Diseases
of the house hold)

Age
Sex
(1) (2) (3) (4) (5) (6) (7) (8) (9)
1
2
3
4
5
6
7
8
9

10

Note: 1) If there are more than 15 members in a household, use another

household schedule to fill the relevant data of the household profile.
2) If age of any member, under (Col.5) is below 5 years then Col. 6,
Col. 7 and Col. 8 are not to be filled.

Col. (3) Relationship:

(i) Head of household-01; (ii) Spouse (wife/husband)-02; (iii) Son-03; (iv)
Daughter-04 (v) Grandson-05; (vi) Granddaughter-06; (vii) Father-07; (viii)
Mother-08; (ix) Grandfather-09; (x) Grandmother-10; (xi) Son in law-11;
(xii) Daughter in law-12; (xiii) Brother-13; (xiv) Sister-14; (xv) Brother in
law-15; (xvi) Sister in law-16; (xvii) Uncle-17; (xviii) Auntie-18; (xix)
Nephew-19; (xx) Niece-20; (xxi) Servant-21; (xxii) Other household member
specify……………………-22. (It should be clear that persons sharing their
meals in a single kitchen, are considered as family members)

Col. (6) Marital Status:

(i) Currently married-01; (ii) Separated-02; (iii) Widow-03; (iv) Widower-
04; (v) Divorced-05; (vi) Never married-06

Col. (7) Education:

(i) Illiterate-01; (ii) Literate (non-formal)-02; (iii) Primary-03; (iv) Middle-
04; (v) High School-05; (vi) Higher Secondary or Intermediate-06; (vii)
Graduate-07; (viii) Post Graduate and above-08; (ix) Professional or Technical
Education-09; (x) Any other, specify…………………..-10.
16
Quantitative Data
Col. (8) Occupation: Collection Methods and
Devices
(i) Cultivator-01; (ii) Agricultural/casual labourer-02; (iii) Self-employed -
03; (iv) Private service-04; (v) Government service-05; (vi) Household/
domestic activities-06; (vii) Student-07; (viii) Unemployed-08; (ix) Any other,
specify…………………..-10.

Col. (9) Diseases:

(i) Tuberculosis (T.B.)-01; (ii) Asthma-02; (iii) Cataract/Blindness-03; (iv)
Laprosy-04; (v) Physical impairment-05; (vi) Malaria during last 3 months-
06; (vii) Diabetes-07; (viii) Hypertension-08; (ix) Heart Problem-09; (x) Any
other specify…………………..-10.

1.4.1 Advantages of Interview Schedule

i) the interview probes the problem in detail which gives scope to gather detailed
information
ii) there is a personal touch between the investigator and the respondents and,
therefore, detailed and exhaustive information can be collected
iii) there is greater accuracy in getting the information
iv) the interview method is particularly suitable for illiterate respondents.

1.4.2 Disadvantages of Interview

i) it is a time consuming and expensive method, compared to the questionnaire
method
ii) lack of objectivity is a common lacuna of the interview method
iii) the interview method sometimes leaves investigators at the mercy of
respondents.
Now that you have read about interview schedule, try and answer the following
questions in Check Your Progress 2.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What are the advantages of the interview schedule method?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
17
Data Collection and Analysis 2) What steps need to be taken while preparing an interview schedule?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

1.5 SECONDARY DATA COLLECTION METHODS

Secondary data are collected by investigators from sources other than primary
respondents. Secondary data are collected from both, published and unpublished
sources. The main resources of secondary data are given below.
i) Official publications of the Central Government such as Census, NSSO
Report, Human Development Report, SRS report, etc.
ii) Research and study reports of bilateral and multilateral organizations such
as WHO, World Bank, IMF, UNESCO, UNICEF, etc. A few of them include,
the World Development Report, World Development Indicators, Human
Development Report, etc.
iii) Reports brought out by committees and commissions such as the Mandal
Commission Report, the National Planning Commission Report, the Human
Rights Commission Report, the Population Commission Report, etc.
iv) Policy documents of the Central and State Government such as National
Population Policies, National Education Policies, National Health Policies,
etc.
v) Publications brought out by the research institutes, universities and
organizations.
vi) Publications of data sources on different national and international journals
such as Economic and Political Weekly, Indian Economic Journal, etc.
vii) Books and articles published on various subjects.
viii) Official publications of the Reserve Bank of India, State Bank of India,
Association of Indian Banking, etc.
ix) Information available in year books and encyclopaedias.
x) Statistical abstracts published both by the Central and State Governments.
xi) Information published in the directories and bulletins of various institutions
such as the Indian Council of Social Sciences Research, the Indian Council
of Agricultural Research, etc.
xii) Abstracts and index of reports and articles published by various research,
teaching, and related organizations.

18
1.5.1 Precautions in the use of Secondary data Quantitative Data
Collection Methods and
While using secondary data for the study, users have to be careful. Sometimes, Devices
the data published by an individual researcher may be full of errors and even
drawn from an inadequate sample. Some factors to keep in mind while using the
data from secondary sources are listed below.

Adequacy –sometimes data available from the secondary, sources are not
adequate for the investigation. Data may either be from a different time period,
or partially fulfil the requirement of the study. Therefore, adequacy of the data
must be ensured before conducting the study.

Reliability – before using secondary data, its reliability must be taken into
consideration. For example, the reliability on sample size and the sampling method
used in the collection of data may be taken into consideration. Besides, the
investigator has also to know the degree of bias in collection of data.

Suitability –the investigator has to check whether the data is suitable for the
purpose of the research study. Sometimes, the secondary data may be suitable
for tabular presentation, but, unsuitable for statistical analysis.

The investigator has to take all these factors into consideration before using the
secondary data.

In this section you read about the secondary data methods. Now try and answer
the questions in Check Your Progress-3.

Check Your Progress 3

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What are few sources of secondary data?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What precautious have to be taken while using secondary data?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
19
Data Collection and Analysis
1.6 LET US SUM UP
This unit describes in detail the various sources and methods of collection of
quantitative data. It also deals with the methods of collection of primary data
and secondary data. The advantages and disadvantages of various methods of
data collection have also been envisaged in the unit. The unit also narrates the
precautions one has to take care up while collecting the primary and secondary
data.

1.7 REFERENCES AND SELECTED READINGS

Abramson JH (1990), Survey Methods in Community Medicine. London:
Churchill- Livingstone.

Cohen, L., Manion, L. and Morrison, K. (2000), Research Methods in Education

5th Edition. London: Routledge Falmer

Dillon, W.R., Madden, T.. and Firtle, N. H., (1994) Marketing Research in a
Research Environment, 3rd edition, Irwin.

Green, P.E. Tull, D.S. and Albaum G (1993) Research methods for marketing
decisions, 5th edition, Prentice Hall, p.136.

Joselyn, R. W. (1977) Designing the marketing research, Petrocellis/Charter,

New York, p.15.

Moser CA, Kalton G (1989), Survey Methods in Social Investigation. Hants,

UK: Gower Publishing Company.

Patton MQ (1990, 2nd ed.) Qualitative Evaluation and Research Methods.

Newbury Park, USA: Sage Publications.

Pretty JN, Guyt I, Thompson J, Scones I (1995) Participatory Learning & Action.
A Trainer’s Guide. London: International Institute for environment and
Development (IIED).

Suvedi,M., Singh,B., Vijayaraghavan,K., Padaria,R.N., and Wason,M. (2008).

Evaluation Capacity Building in Rural Resource Management : A Manual, IARI,
New Delhi.

1.8 CHECK YOUR PROGRESS-POSSIBLE

ANSWERS
Check Your Progress 1
1) What do you mean by primary data?
Primary data are those data which are originally collected by the investigators,
while the secondary data are used by investigator collected through some
other sources. For example, information collected by an investigator from a
student regarding his class, caste, family background, etc., is called primary
data. On the other hand, if the same information is collected about the student
from the school record and register, then it is called secondary data.
20
2) What are advantages of a questionnaire? Quantitative Data
Collection Methods and
The advantages of a questionnaire are Devices

a) it is less expensive compared to interview schedule and can be administered

over a large number of sample
b) it is less time consuming.
c) the interviewer is not present during the administration of questionnaire,
the respondents have greater freedom and confidence in answering
questions
d) one of the adventures of the questionnaire is that once it is standardized,
then there is greater uniformity in getting responses.

Check Your Progress 2

1) What are the advantages of the interview schedule?
The advantages of the interview method are as follows:
a) the interview probes the problem in detail which gives scope to gathering
detailed information
b) there is a personal touch between the investigator and the respondents,
and, therefore, detailed and exhaustive information can be collected
c) there is greater accuracy in getting the information
d) the interview method is particularly suitable for illiterate respondents.
2) What precautious have to be taken care of while preparing an interview
schedule?
The precautions that have to be taken care of during the preparation of the
interview schedule are:
• Selection of Respondents: this is the key to interview schedule administration.
• Training of the Field Staff: before sending the field investigator for data
collection, try to give them proper training on the interview schedule.
• Method of Conducting an Interview: the field investigator must be apt
in conducting the interview, otherwise respondents sometimes may not
allow them to take interview
• Editing of the Interview Schedule: the investigator has to do proper
editing of the interview schedule before sending it for tabulation and
analysis.

Check Your Progress 3

1) What are a few sources of secondary data?
1) Official publication of the Central Government such as Census, NSSO
Report, Human Development Report, SRS report, etc.
2) Research and Study Reports of bilateral and multilateral organizations
such as WHO, World Bank, IMF, UNESCO, UNICEF, etc. A few of
them like World Development Report, World Development Indicators,
Human Development Report, etc.
21
Data Collection and Analysis 3) Reports brought out by Committees and Commissions such as Mandal
Commission Report, National Planning Commission Report, Human
Rights Commission Report, Population Commission Report etc.
2) What precautious have to be taken care of while using secondary data?
Some of the factors to be kept in mind while using the data from secondary
sources are:
Adequacy –sometimes data that is available from secondary sources are not
adequate for the research project. Data may either be from a different time
period or partially fulfil the requirement of the study.
Reliability – before using the secondary data, its reliability must be taken
into consideration. The investigator has also to know the degree of bias in
the collection of data.
Suitability –the investigator has to see whether the data is suitable to his or
her study. Sometimes, the secondary data available may be suitable for tabular
presentation, but unsuitable for statistical analysis.

22
Quantitative Data
UNIT 2 QUALITATIVE DATA COLLECTION Collection Methods and
Devices
METHODS AND DEVICES

Structure
2.1 Introduction
2.2 Qualitative Data - Meaning and Concept
2.3 Methods and Techniques of Qualitative Data Collection
2.4 Features of Qualitative and Quantitative Research
2.5 Let Us Sum Up
2.6 Keywords
2.7 References and Selected Readings
2.8 Check Your Progress – Possible Answers

2.1 INTRODUCTION
Data Collection is an important aspect of any type of research study. Data
collection techniques allow us to systematically collect information about the
subject of our study (people, objects, phenomena), and about the environment.
In the collection of data we have to be systematic. If data are collected haphazardly,
it will be difficult to answer our research questions in a conclusive way. Inaccurate
data collection can impact the results of a study and ultimately lead to invalid
results.
After studying this unit, you should be able to:
• discuss the meaning and concept of qualitative data.
• describe the features of various methods and devices used for qualitative
data collection.
• state the uses and limitations of various qualitative data collection methods.

2.2 QUALITATIVE DATA - MEANING AND

CONCEPT
Qualitative research is grounded in the assumption that individuals construct
social reality in the form of meanings and interpretations, and that these
constructions tend to be transitory and situational. Qualitative research typically
involves qualitative data, i.e., data obtained through methods such as interviews,
on-site observations, and focus groups that is in narrative rather than numerical
form. Such data are analyzed by looking for themes and patterns. It involves
reading, re-reading, and exploring the data. How the data are gathered will greatly
affect the ease of analysis and utility of findings.
Qualitative data are descriptive in nature and can be statistically analyzed only
after processing and after having them classified into some appropriate categories.
Qualitative data can, however, facilitate in-depth analysis of a social situation.
There are certain situations where qualitative research alone can provide the
researcher with all insights needed to make decisions and take actions; while in
some other cases quantitative research might be needed as well. 23
Data Collection and Analysis
2.3 METHODS AND TECHNIQUES OF
QUALITATIVE DATA COLLECTION
Qualitative methods are ways of collecting data which are concerned with
describing meaning, rather than with drawing statistical inferences. They provide
in-depth and rich descriptions. In this section, a detailed description and
comparison of the most commonly used qualitative methods employed in social
science research is given. These include observations, in-depth interviews, and
focus groups.

2.3.1 Observation Method

In our daily life we observe many things and events around us, but this sort of
observation is not scientific. Observational techniques are methods by which an
individual or individuals gather first hand data on programs, processes, or
behaviours being studied. They provide evaluators with an opportunity to collect
data on a wide range of behaviours, to capture a great variety of interactions, and
to openly explore the evaluation topic. By directly observing operations and
activities, the evaluator can develop a holistic perspective, i.e., an understanding
of the context within which the project operates. This may be especially important
where it is not the event that is of interest, but rather how that event may fit into,
or be impacted by, a sequence of events.

Scientific observation is a methodical way of recognizing and noting a fact or

occurrence, often involving some sort of measurement. Scientific observations
should be specific, and recorded immediately. Understanding the culture of the
people and the ability to interact with them are essential for good observation.
Researches may be based solely on observation, but in most cases observation
precedes other methods of data collection.

When to use observations: Observations can be useful during both the formative
and summative phases of evaluation. For example, during the formative phase,
observations can be useful in determining whether or not the project is being
delivered and operated as planned. In the hypothetical project, observations could
be used to describe the faculty development sessions, examining the extent to
which participants understand the concepts, ask the right questions, and are
engaged in appropriate interactions. Such formative observations could also
provide valuable insights into the teaching styles of the presenters and how they
are covering the material.
Advantages
i) Subjective bias may be eliminated, if observation is done accurately>
ii) Information relates to current state of affairs ; and it is
iii) Independent of respondents’ willingness or capability to respond.
Limitations
i) A time consuming and expensive method
ii) A limited amount of information may be available; and
iii) Extraneous factors may interfere with the task of observation.
24
Types of observation: Qualitative Data Collection
Methods and Devices
Structured and unstructured observation: in case the observation is
characterized by a careful definition of the units to be observed, the manner of
recording the observed information, standardized conditions of observation, and
the selection of pertinent data of observation, then the observation is called as
structured observation. But, when the observation is conducted without these
features thought out in advance, the same is termed an unstructured observation.
Structured observation is considered appropriate in descriptive studies, whereas,
in an exploratory study, the observational procedure should be relatively
unstructured.

Participant and non-participant observation: this depends on the degree of

involvement of the researcher with the situation being observed. In participant
observation, the researcher who may be an outsider, while observing the group,
also plays the role of a group member. It is necessary to have the observation in
an unbiased way, without getting emotionally involved in the affairs of the group
or the community. The main advantage of participant observation is that, it helps
the observer to get an intimate knowledge of the group or the community being
observed, under natural condition. For example, if one wants to study the
fishermen community, reliable information may be obtained through the method
of participant observation. Participant observation, however, requires longer time,
greater resources, and there may be loss of objectivity, if not properly done. In
non-participant observation, the researcher observes the group or the community,
while maintaining physical and psychological isolation from them. This ensures
collection of information in an objective way.

Controlled and uncontrolled observation: when observation takes place

according to a definite pre-arranged plan involving experimental procedure, the
same is termed a controlled observation. The aim of a controlled observation is
to check any bias due to faulty perception, incomplete information and effect of
external stimuli on a specific situation. An uncontrolled observation on the other
hand, is one where the researcher observes the behaviour and activities of a
group under natural conditions (as they are) without any stimulation from the
outside. This method provides a wide range of information and helps in developing
an insight about the group or community. Care should, however, be taken against
subjective interpretation of observed phenomenon.

Recording Observational Data

Observations are carried out using a carefully developed set of steps and
instruments. The observer is more than just an onlooker, but, rather, comes to
the scene with a set of target concepts, definitions, and criteria for describing
events. While, in some studies, observers may simply record and describe, in the
majority of evaluations, their descriptions are, or eventually will be, judged against
a continuum of expectations.

Observations usually are guided by a structured protocol. The protocol can take
a variety of forms, ranging from the request for a narrative, describing events
seen to a checklist or a rating scale of specific behaviours/activities that address
the evaluation question of interest. The use of a protocol helps assure that all
observers are gathering the pertinent information and, with appropriate training,
applying the same criteria in the evaluation. For example, an observational
25
Data Collection and Analysis approach is selected to gather data on the faculty training sessions, the instrument
developed would explicitly guide the observer to examine the kinds of activities
in which participants were interacting, the role(s) of the trainers and the
participants, the types of materials provided and used, the opportunity for hands-
on interaction, etc.

Field notes are frequently used to provide more in-depth background or to help
the observer remember salient events if some forms are not completed at the
time of observation. Field notes contain the description of what has been observed.
The descriptions must be factual, accurate, and thorough without being judgmental
and cluttered by trivia. The date and time of the observation should be recorded,
and everything that the observer believes to be worth noting should be included.
No information should be trusted to future recall.

Technological tools, such as a battery-operated tape recorder or a Dictaphone,

laptop computer, camera, and video camera, can make the collection of field
notes more efficient and the notes themselves more comprehensive. Informed
consent must be obtained from participants before any observational data are
gathered.

2.3.2 Interview/Questionnaire Method

In these methods, the data are collected by presenting stimuli to the respondents
in the form of questions for eliciting appropriate responses from them. The
questions may be presented to the respondents in a face-to-face situation as
oral-verbal stimuli, and the researcher or personnel trained for the purpose
(interviewers, enumerators) note down their oral-verbal responses. This method
is known as the interview method, and the set of questions is known as the
interview schedule. In another method, the questions are delivered (generally
mailed) to the respondents, who note down their responses on it and send it back
to the researcher. This method is known as the questionnaire method, and the set
of questions is known as a questionnaire.

In both, answers to some systematically organised questions, relevant to the

objectives of the study are sought. The questions should be accurate and clearly
understood by the respondents, so that the responses are accurate. Both the
methods have some advantages and limitations. The success of the questionnaire
method depends more on the quality of the questionnaire itself, but in case of
interview method much depends upon the honesty and competency of the
enumerators.

Types of interview
Interviews may be of different types according to the needs of the situation.
Structured interview: For this purpose an interview schedule is used which is
well structured with specific questions to be asked. The questions are precisely
worded and systematically organised, and are prepared in advance after requisite
pre-testing. The interviewer is not expected to make any change while
interviewing the respondents. The data received are comparable and are more
amenable to statistical analyses. The structured interview is also known as
standardized, controlled or guided interview.
Unstructured interview: Here the interviewer proceeds with some well thought
26 out themes or guidelines to be inquired into, and brings out the required
information from the respondents through the process of conversation. The Qualitative Data Collection
Methods and Devices
situation is free and informal and no interview schedule is used. This provides
more flexibility and freedom, but at the same time demands deep knowledge
and greater skill on the part of the interviewer. The process may yield good
amount of information, but the data lack comparability and are less amenable to
statistical analysis. Unstructured interview is suitable for exploratory or
formulative research studies.

Focused interview: In focused interviews, some specific issue, occurrence,

experience, or event is taken into consideration instead of general aspects of a
situation. The interviewer has the freedom to decide the manner and sequence in
which the questions would be asked, and, has also the freedom to explore reasons
and motives. The main task of the interviewer, however, is to confine the
discussion to the specific issue under investigation. Such interviews are
convenient for development of hypotheses, action research etc. and constitute a
major type of unstructured interviews.

In-depth interview: An in-depth interview is a dialogue between a skilled

interviewer and an interviewee. Its goal is to elicit rich, detailed material that can
be used in analysis. These interviews are designed to discover motives and desires,
and, are often used in motivational research. Such interviews are held to explore
needs, desires, and feelings of respondents. Such interviews are best conducted
face to face, although in some situations telephone interviewing can be successful.

In-depth interviews are characterized by extensive probing and open-ended

questions. Typically, the researcher prepares an interview guide that includes a
list of questions or issues that are to be explored and suggested probes for
following up on key topics. The guide helps the interviewer pace the interview
and makes interviewing more systematic and comprehensive.
The dynamics of interviewing are similar to a guided conversation. The
interviewer becomes an attentive listener who shapes the process into a familiar
and comfortable form of social engagement - a conversation - and the quality of
the information obtained is largely dependent on the interviewer’s skills and
personality. In contrast to a good conversation, however, an in-depth interview
is not intended to be a two-way form of communication and sharing. The key to
being a good interviewer is being a good listener and questioner. Tempting as it
may be, it is not the role of the interviewer to put forth his or her opinions,
perceptions, or feelings. Interviewers should be trained individuals who are
sensitive, empathetic, and able to establish a non- threatening environment in
which participants feel comfortable. They should be selected during a process
that weighs personal characteristics that will make them acceptable to the
individuals being interviewed; clearly, age, sex, profession, race/ethnicity, and
appearance may be key characteristics. Thorough training, including
familiarization with the research problem and its goals, is important.
Specific circumstances in which in-depth interviews are particularly appropriate
include
• complex subject matter
• detailed information sought
• busy, high-status respondents
• highly sensitive subject matter. 27
Data Collection and Analysis 2.3.3 Case Study Method
The case study method is a very popular form of qualitative analysis and involves
a careful and complete observation of a social unit, be that unit a person, a family,
an institution, a cultural group, or, even the entire community. It is a method of
study in depth rather than breadth. The case study places more emphasis on the
full analysis of a limited number of events or conditions and their interrelations.
The case study deals with the processes that take place and their interrelationship.
Thus, a case study is essentially an intensive investigation of the particular unit
under consideration. The object of the case study method is to locate the factors
that account for the behaviour patterns of the given unit as an integrated totality.

Pauline V. Young describes case study as “a comprehensive study of a social unit

be that unit a person, a group, a social institution, a district or a community.”’ In
brief, we can say that the case study method is a form of qualitative analysis
where careful and complete observation of an individual, situation, or an
institution is done; efforts are made to study each and every aspect of the concerned
unit in minute detail, and then, from case data generalizations and inferences are
drawn.

Characteristics: the important characteristics of the case study method are listed
below.
i) In this method, the researcher can take a single social unit or more such
units for his study purpose.
ii) Here the selected unit is studied intensively, i.e., it is studied in minute
detail. Generally, the study extends over a long period of time to ascertain
the natural history of the unit so as to obtain enough information for drawing
correct inferences.
iii) In the context of this method we make a complete study of the social unit
covering all facets. Through this method we try to understand the complex
of factors that are operative within a social unit as an integrated totality.
iv) Using this method, the approach happens to be qualitative and not
quantitative. Mere quantitative information is not collected. Every possible
effort is made to collect information concerning all aspects of life. As such,
the case study method deepens our perception and gives us a clear insight
into life. For instance, in the case study method, we not only study how
many crimes a man has committed, but we peep into the factors that forced
him to commit crimes when we are making a case study of a man who is a
criminal. The objective of the study may be to suggest ways to reform the
criminal.
v) In respect of the case study method, an effort is made to know the mutual
inter-relationship I of causal factors.
vi) We study behaviour pattern of the concerned unit directly, and not by an
indirect and abstract approach.
vii) The case study method results in fruitful hypotheses, along with the data
which may be helpful in testing them, and, thus, this method enables
generalized knowledge to get richer and richer. In its absence, generalized
social science may get handicapped.
28
Assumptions: the case study method is based on several assumptions. The Qualitative Data Collection
Methods and Devices
important assumptions may be listed as follows.
i) The assumption of uniformity in basic human nature, in spite of the fact that
human behaviour may vary according to situations.
ii) The assumption of studying the natural history of the unit concerned.
iii) The assumption of comprehensive study of the unit concerned.
Major phases involved
i) Recognition and determination of the status of the phenomenon to be
investigated or the unit of attention.
ii) Collection of data, examination, and history of the given phenomenon.
iii) Diagnosis and identification of causal factors as a basis for remedial
developmental treatment.
iv) Application of remedial measures, i.e., treatment and therapy (this phase is
often characterized as case work).
v) Follow-up programme to determine effectiveness of the treatment applied.

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit.
1) What is the difference between the interview method and the questionnaire
method?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) List out the important assumptions of the case study method.
.......................................................................................................................
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.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

2.3.4 Focus Groups

Focus groups combine elements of both interviewing and participant observation.
The focus group session is an interview, not a discussion group, a problem solving
session, or a decision making group. At the same time, focus groups capitalize
on group dynamics. The hallmark of focus groups is the explicit use of group
interaction to generate data and insights that would be unlikely to emerge without
29
Data Collection and Analysis the interaction found in a group. The technique inherently allows observation of
group dynamics, discussion, and firsthand insights into the respondents’
behaviours, attitudes, language, etc.

Focus groups are a gathering of 8 to 12 people who share some characteristics

relevant to the evaluation. Originally used as a market research tool to investigate
the appeal of various products, the focus group technique has been adopted by
other fields, such as education, as a tool for data gathering on a given topic.
Focus groups, conducted by experts, generally take place in a focus group facility
that includes recording apparatus (audio and/or visual) and an attached room
with a one-way mirror for observation. There is an official recorder who may or
may not be in the room. Participants are paid for attendance and provided with
refreshments. As the focus group technique has been adopted by fields outside
of marketing, some of these features, such as payment or refreshment, have been
eliminated.

When to use focus groups: When conducting evaluations, focus groups are
useful in answering the same type of questions as in-depth interviews. Specific
applications of the focus group method in evaluations include
• identifying and defining problems in project implementation
• identifying project strengths, weaknesses, and recommendations
• assisting with interpretation of quantitative findings
• obtaining perceptions of project outcomes and impacts
• generating new ideas.
Although focus groups and in-depth interviews share many characteristics, they
should not be used interchangeably.

Developing a Focus Group

An important aspect of conducting focus groups is the topic guide. The topic
guide, a list of topics or question areas, serves as a summary statement of the
issues and objectives to be covered by the focus group. The topic guide also serves
as a road map and as a memory aid for the focus group leader, called a moderator.
The topic guide also provides the initial outline for the report of findings.

Focus group participants are typically asked to reflect on the questions asked by
the moderator. Participants are permitted to hear each other’s responses and to
make additional comments beyond their own original responses as they hear
what other people have to say. It is not necessary for the group to reach any kind
of consensus, nor is it necessary for people to disagree. The moderator must
keep the discussion flowing and make sure that one or two persons do not
dominate the discussion. As a rule, the focus group session should not last longer
than 1 ½ hours to 2 hours. When very specific information is required, the session
may be as short as 40 minutes. The objective is to get high quality data in a social
context where people can consider their own views in the context of the views of
others, and, where new ideas and perspectives can be introduced.

2.3.5 Content Analysis

Content analysis consists of analyzing the contents of documents, such as books,
magazines, newspapers, and the contents of all other verbal materials, either
30
spoken or printed. Content analysis prior to 1940’s was mostly quantitative Qualitative Data Collection
Methods and Devices
documentary materials concerning certain characteristics that can be identified
and counted. But since the 1950’s, content analysis is mostly qualitative analysis,
concerning the general importance of the existing documents.

The analysis of content is a central activity whenever one is concerned with the
nature of the verbal materials. A review of research in any area, for instance,
involves of the contents of research articles that have been published. The analysis
may be at a simple level, or, it may be a subtle one. It is at a simple level when we
pursue it on the basis of certain characteristics of the document, or, verbal materials
that can be identified and counted (such as on the basis of major scientific concepts
in a book). It is at a subtle level when researcher uncovers the attitude, say of the
press towards education by feature writers.

2.3.6 Other Qualitative Data Collection Methods

The last section outlines less common but, nonetheless, potentially useful
qualitative methods for project evaluation. These methods include document
studies, key informants and alternative (authentic) assessment.

i) Document studies: Existing records often provide insights into a setting

and/or group of people that cannot be observed or noted in another way.
This information can be found in document form. A document can be defined
as “any written or recorded material” not prepared for the purposes of the
evaluation, or, at the request of the inquirer. Documents can be divided into
two major categories: public records, and personal documents.

ii) Public records: are materials created and kept for the purpose of “attesting
to an event or providing an accounting”. Public records can be collected
from outside (external) or within (internal) the setting in which the evaluation
is taking place. Examples of external records are census and vital statistics
reports, county office records, newspaper archives, and local business records
that can assist an evaluator in gathering information about the larger
community and relevant trends. Such materials can be helpful in better
understanding the project participants and making comparisons between
groups/communities.

For the evaluation of educational innovations, internal records include

documents such as student transcripts and records, historical accounts,
institutional mission statements, annual reports, budgets, grade and
standardized test reports, minutes of meetings, internal memoranda, policy
manuals, institutional histories, college/university catalogues, faculty and
student handbooks, official correspondence, demographic material, mass
media reports and presentations, and descriptions of program development
and evaluation. They are particularly useful in describing institutional
characteristics, such as the backgrounds and academic performance of
students, and in identifying institutional strengths and weaknesses. They can
help the evaluator understand the institution’s resources, values, processes,
priorities, and concerns. Furthermore, they provide a record or history that
is not subject to recall bias.

iii) Personal documents: are first-person accounts of events and experiences.

These “documents of life” include diaries, portfolios, photographs, artwork,
31
Data Collection and Analysis schedules, scrapbooks, poetry, letters to the paper, etc. Personal documents
can help the evaluator understand how the participant sees the world and
what she or he wants to communicate to an audience. And, unlike other
sources of qualitative data, collecting data from documents is relatively
invisible to, and requires minimal cooperation from, persons within the setting
being studied.
The usefulness of existing sources varies depending on whether they are
accessible and accurate. In the hypothetical project, documents can provide
the evaluator with useful information about the culture of the institution and
participants involved in the project, which in turn can assist in the
development of evaluation questions. Information from documents also can
be used to generate interview questions or to identify events to be observed.
Furthermore, existing records can be useful for making comparisons (e.g.,
comparing project participants to project applicants, project proposal to
implementation records, or documentation of institutional policies and
program descriptions prior to, and, following the implementation of project
interventions and activities).
iv) Key informant: A key informant is a person (or, group of persons) who has
unique skills or professional background related to the issue/intervention
being evaluated, is knowledgeable about the project participants, or has access
to other information of interest to the evaluator. A key informant can also be
someone who has a way of communicating that represents, or, captures the
essence of what the participants say and do. Key informants can help the
evaluation team better understand the issue being evaluated, as well as the
project participants, their backgrounds, behaviours, and attitudes, and, any
language or ethnic considerations. They can offer expertise beyond the
evaluation team. They are also very useful for assisting with the evaluation
of curricula and other educational materials. Key informants can be surveyed
or interviewed individually or through focus groups.
In the hypothetical project, key informants (i.e., expert faculty on main
campus, deans, and department chairs) can assist with: (1) developing
evaluation questions, and; (2) answering formative and summative evaluation
questions.
v) Performance assessment: the performance assessment movement is
impacting education from pre-schools to professional schools. At the heart
of this upheaval is the belief that for all of their virtues - particularly efficiency
and economy - traditional objective, norm-referenced tests may fail to tell
us what we most want to know about student achievement. In addition, these
same tests exert a powerful and, in the eyes of many educators, detrimental
influence on curriculum and instruction. The search for alternatives to
traditional tests has generated a number of new approaches to assessment
under such names as alternative assessment, performance assessment, holistic
assessment, and authentic assessment. While each label suggests slightly
different emphases, they all imply a movement toward assessment that
supports exemplary teaching. Performance assessment appears to be the most
popular term because it emphasizes the development of assessment tools
that involve students in tasks that are worthwhile, significant, and meaningful.
Such tasks involve higher order thinking skills and the coordination of a
broad range of knowledge.
32
Performance assessment may involve qualitative activities such as oral interviews, Qualitative Data Collection
Methods and Devices
group problem-solving tasks, portfolios, or personal documents/creations (poetry,
artwork, stories). The quality of this product is assessed (at least, before and
after training) in light of the goal of the professional development program. The
actual performance of students on the assessment measures provides additional
information on impact.

2.4 FEATURES OF QUALITATIVE AND

QUANTITATIVE RESEARCH
In unit 1, we discussed various aspects of quantitative data collection methods.
Let us now see the main differences between qualitative and quantitative methods.

Qualitative research Quantitative research

Mainly for exploratory purposes and Used to obtain descriptive data
to generate hypotheses
Usual purpose is to generate a range Usual purpose is to consolidate the data and
and variety of data obtain a clear picture of the situation
The methods of inquiry are informal All methods are , carefully planned tightly
and flexible controlled
The researcher usually starts with only The research is confined to a list of research
a broad indication of the information objectives which set out what information
objectives of the project, but with clear is required
understanding of the overall purpose
of the research
The researcher usually works from a The interviewer uses a questionnaire, which
list of the topics to be covered, but the must be followed exactly as instructed in
course of each ‘interview’ will be every interview
influenced by the respondent
Based on small numbers of Based on larger numbers of respondents;
respondents who take part individually data are collected from each person
or in small groups individually
It cannot be known how true the May be possible to estimate how reliable
findings are of the population from the findings are. It depends on which
which the respondents are drawn sampling method is used
Data collection is usually handled by Usually done by trained interviewers or
research professionals through self-completion questionnaires
A qualitative project cannot be Can usually be replicated, because every
repeated exactly, because every data interview in the project follows the same
collection event in a project is different procedure
The findings can rarely be expressed Findings are expressed in number and can
in statistical form be analysed using statistical techniques
Analysis and conclusion rely heavily Because statistical procedures are used the
on the researcher’s perceptions and analysis is less likely to be disputed
interpretation skills

Source: John Boyce, Marketing Research, MacGraw Hill, Australia Pvt Ltd, 2005.

33
Data Collection and Analysis Check Your Progress2
Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What do you mean by focus group?
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2.5 LET US SUM UP

In this unit, we discussed the meaning and concept of qualitative data collection
and found that the selection of appropriate method for data collection and research
design depends on nature, scope and objective of enquiry. Each method of data
collection, however, does not suit all categories of research design. The selection
and preparation of tools for collecting data depends upon the types of data to be
collected.

The researcher must decide in advance of collection and analysis of data as to

which design would prove to be more appropriate for his research project. He/
she must give due weight to various points, such as the type of universe and its
nature, the objective of the study, the resource list or the sampling frame, the
desired standard of accuracy, and the like, when taking a decision in respect of
the design for the research project.

Qualitative data are descriptive in nature and can be statistically analyzed only
after processing, and, after having them classified into some appropriate
categories. Qualitative data can facilitate in-depth analysis of a social situation.

2.6 KEYWORDS
Key Informant : A key informant is a person (or group of persons)
who has unique skills or professional background
related to the issue/intervention being evaluated, is
knowledgeable about the project participants, or has
access to other information of interest to the
evaluator.

34
Content analysis : Content analysis consists of analyzing the contents Qualitative Data Collection
Methods and Devices
of document, such as books, magazines, newspapers
and the contents of all other verbal materials v either
spoken or printed.

Sociometry : Sociometry is a technique for describing the social

relationships among individuals in a group.

Case study : The case study method is a very popular form of

qualitative analysis and involves a careful and
complete observation of a social unit, be that unit a
person, a family, an institution, a cultural group, or
even the entire community. It is a method of study
in depth rather than breadth.

Pre-testing : Pre-testing means testing the interview schedule/

questionnaire in advance to find out whether it is
capable of eliciting appropriate responses from
respondents.

2.7 REFERENCES AND SELECTED READINGS

Festinger L.and Katn D. 1953. Research Methods in Behavioural Sciences. Holt,
Rinehart and Winston Inc., New York.

Goode W.J.and Hatt P.K. 1981. Methods in Social Research. McGraw- Hill Book
Company, Singapore.

Kothari C.R. 1996. Research Methodology: Methods and Techniques. Wishwa

prakashan, New Delhi.

Mulay Sumati and Sabarathanam V.E. 1980. Research Methods in Extension

Education. Manasayan, New Delhi.

Young P.V. 1996. Scientific Social Surveys and Research. Prentice –Hall of India
Pvt. Ltd., New Delhi.

2.8 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1
1) What is the difference between the interview method and the questionnaire
method?
In the interview method, the questions are presented to the respondents in a
face-to-face situation as oral-verbal stimuli, and the researcher, or personnel
trained for the purpose (interviewers, enumerators) note down oral-verbal
responses. In the questionnaire method, the questions are delivered (generally
mailed) to the respondents, who note down their responses on it and send
them back to the researcher.

35
Data Collection and Analysis 2) List the important assumptions of the case study method.
i) The assumption of uniformity in basic human nature, in spite of the fact
that human behaviour may vary according to situations.
ii) The assumption of studying the natural history of the unit concerned.
iii) The assumption of comprehensive study of the unit concerned.
Check Your Progress 2
1) Focus group combine elements of both interviewing and participant
observation capitalizing on group dynamics.

36
Qualitative Data Collection
UNIT 3 STATISTICAL TOOLS Methods and Devices

Structure
3.1 Introduction
3.2 Data: Meaning and Types
3.3 Variables and Tests
3.4 Measures of Central Tendency
3.5 Measures of Dispersion
3.6 Correlation and Regression
3.7 Hypothesis Testing and Inferential Statistics
3.8 Statistical Tests
3.9 Let Us Sum Up
3.10 Keywords
3.11 References and Selected Readings
3.12 Check Your Progress – Possible Answers

3.1 INTRODUCTION
Why a learner of urban planning and development needs to know about statistical
tests is simply because statistical tests will help him/her in analyzing data and
drawing up inferences about the data. Those who are middle as well as at the
decision making level need some understanding of statistical analysis to
understand the strengths and weaknesses of published data to take decisions on
whether to apply it in decision making. With the availability of several user
friendly software, use of statistical tests has now become a reality, even for non-
statisticians, provided they are computer literate and understand the basic
principles of statistical analysis. This unit will help you to acquire knowledge
about some basic statistical tools which you can use in data analysis.
After reading this unit you will be able to:
• define data, types of data and variables
• explain measures of central tendency
• calculate measures of dispersion, correlation and regression
• describe various inferential statistical tools.

3.2 DATA: MEANING AND TYPES

You know that some basic statistical tools need to be applied for the analysis of
data while writing a report of urban development studies. Before describing the
meaning of data, let us, know what we mean by statistics. According to Netter
and Wasserman “statistics refers to the body of technique or methodology which
has been developed for the collection, presentation and analysis of quantitative
data and for the use of such data in decision-making”. Statistical tools and
techniques are used by the researchers to analyse and interpret data. Thus ‘data’
is a fundamental requirement for any decision making. Data is generally defined
37
Data Collection and Analysis as the evidence of fact which describes a group or a situation and from which
conclusion is drawn. The data is the plural from the word ‘datum’, which means
fact? Data is usually classified into two types:
i) Primary data and Secondary data
ii) Discrete data and continuous data
i) Primary data and Secondary data: Primary data is the first hand
information gathered by an investigator or observer regarding a situation.
Researcher collects primary data keeping problems in mind. According to
P.V. Young, there are two types of sources of primary data i.e. direct primary
sources and indirect primary sources. In direct primary sources, researchers
have direct interaction of first hand filed work observation through interview
schedule and questionnaire. While in indirect primary sources, he uses the
medium of radio broadcasting, television appeal and other valuable
documents for gathering information. Some of the advantages of primary
data are: (i) Flexibility in collecting data; (ii) more appropriate for large
area.

The secondary data are gathered from personal or public documents. The
various sources of secondary data are books, journals, reports, letters and
diaries etc.

ii) Discrete Data and Continuous Data: Discrete data can take only a discrete
value, that can be divided into categories or group such as male and female,
white and black; boys and girls, etc.

On the other hand, the continuous data can take any value including decimal.
This is a type of data usually associated with some sort of physical
measurement. The height of trees in a nursery is an example of continuous
data.

3.3 VARIABLES AND TESTS

While dealing with the statistical tools and data you have to acquire knowledge
about two important concepts i.e. variables and tests. Let us discuss them one by
one.

i) Variables: Variables represents persons or objects which can be manipulated,

controlled or measured for the sake of research. There are two types of
variable in research such as independent and dependent variables.

The independent variable is the variable that is varied or manipulated by

the researcher. On the other hand, dependent variable is the response that is
measured. In other words, an independent variable is the presumed cause;
where as the dependent variable is the presumed effect. For example diseases
among children are the independent variable, while infant mortality is the
dependent variable.

ii) Statistical Test: Generally these are two types of tests applicable for
statistical interpretation of data for testing hypothesis and drawing inferences,
i.e. parametric test and non-parametric test. A parametric test is a test whose
model specifies certain conditions about the parameters of the parent
38
population from which the sample was drawn. On the other hand, non- Statistical Tools
parametric test is a test whose model does not specify conditions about the
parameters of the parent population from which sample was drawn.

In this session you read about data, variables and statistical tests, now answer the
questions given in Check Your Progress-1

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) check your progress with possible answers given at the end of the unit.
1) What are the important types of data?
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2) What do you understand by non-parametric test?
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3.4 MEASURES OF CENTRAL TENDENCY

Measures of central tendency help the researcher to provide quantitative
description of objects and events. Here numbers are assigned as per the rules and
after the assignment of numbers, the individual score are compared with the
average score to know the position of the individual in the group. Here average
is called as the “Central Value”. The score which represents the average
performance of a group is known as central tendency. The main benefits to study
the measures of central tendency are: (i) to get a single value that describe the
characteristics of the entire group; (ii) to get a clear idea about the entire data;
and (iii) lastly, it facilitates comparison.
There are three common measures of central tendency:
i) Mean or Arithmetic mean
ii) Median and
iii) Mode

3.4.1 Mean
Generally mean of a distribution is called as arithmetic mean. It is the average
value of the group. Mean is the sum of the scores divided by the number of
39
Data Collection and Analysis scores. It is defined as the point on the scale of measurement obtained by dividing
sum of all scores by the number of scores.

Mean is calculated from two types of data. (i) Ungrouped Data and (ii) Grouped
Data

i) Calculation of Mean from Ungrouped Data: the formula for calculation

of mean for ungrouped data is:

ΣX
X=
N
X̄ = Mean
X = Individual score
N = Total number of scores
Ó = Indicates “sum of”
Example: The following marks 70, 30, 20, 90, 40 are secured by the 5 candidates
in a term end examination conducted by a Municipality School. Calculate Mean.

Calculation of Mean
Candidates Marks
A 70
B 30
C 20
D 90
E 40
N=5 Óx=250

Σx
Mean =
N

Mean = X̄ = 50

ii) Calculation of Mean from Grouped Data: The mean from grouped data
is calculated by applying following formula:

Σfx
Mean = X =
N
Ó = stands for “sum of”
f = Stands for frequency
X = Stand for the mid point of class intervals
N = Total number of cases
Calculate mean value of the following group data:
40
Calculation Mean Value Statistical Tools

Class Interval Frequency

30-34 2
25-29 3
20-24 6
15-19 4
10-14 5
N=20

At first you have to calculate the mid point of the class interval. The method of
calculating mid point is

UL - LL
Mid Point = LL +
2
LL = Lower Limit
UL = Upper Limit
34 - 30
The Mid Point = 30 + = 32
2

For the first class interval 30-34

Class Interval Frequency X fx
Σfx 30-34 2 32 64
X=
N 25-29 3 27 81
20-24 6 22 132
15-19 4 17 68
10-14 5 12 60
N=20 Ófx= 405
Now by using the formula you can calculate the mean of data given you.

Mean =

405
= = 20.25
2
Let us know some of the important properties of mean.

Following are some of the important properties of mean:

i) The mean is used when a reliable and accurate measure of central tendency
is needed.

ii) The mean is used when scores are distributed symmetrically around the
central point.

41
Data Collection and Analysis Merits
i) It is easy to compute
ii) It is the best representative of the group.
iii) It is reliable.
Demerits
i) The value of mean depends on value of each item in the series.
ii) When scores are widely discrepant this measurement cannot be used.
iii) When scores are skewed mean can not be used.

3.4.2 Median
The median is a value that divides a distribution into two equal halves. The
median is useful when the data is in ordinal scale, i.e., some measurements are
much bigger or much smaller than the other measurement value. The mean of
such data will be biased toward these extreme values. Thus, the mean is not a
good measure of distribution, in this case. The median is not influenced by extreme
values. The median value, also called the central or halfway value, (50th percentile,
i.e., 50% value below median value, and 50% above it) is obtained in the following
way:
• List the observations in order of magnitude (from the lowest to the highest
value, or vice versa).
• Count the number of observations = n.
• The median value is the middle value, if n is odd {i.e., (n+1)/2} and the
mean of two middle values, if n is even {i.e., (n/2) and the next value}

i) Calculation of Median from ungrouped data

Below we have given a few examples of how to calculate Median.
Example :
Case 1: The weights of 7 women are given in Table below, then calculate
median value.
S.No. Weight of women (kg)
1 40
2 41
3 42
4 43
5 44
6 47
7 72
The median value is the value belonging to observation number (7 + 1)/2,
which is the fourth one value: 43 kg.

Case: If there are 8 observations as given in Table below then what will be
median:
42
Statistical Tools
S.No. Weight of women (kg)
1 40
2 41
3 42
4 43
5 44
6 47
7 49
8 72

The median would be 43.5 kg {the average of ‘(n/2=8/2) 4th value i.e. 43’
and ‘next value, i.e., 44’}; the median in this case would be (43+44)/2 =
43.5 kg}.

ii) Calculation of Median from Grouped Data

Let us calculate median for a grouped data given in below table.
Number of patients Number of clinics Cumulative frequency
0 - 19 5 5
20 - 39 8 13
40 - 59 10 23
éæ N ö ù 60 - 79 11 34
L + êçç - F ÷÷ ´ d ú / f
ê
ëè 2 ø úû 80 - 99 19 53
100 - 119 10 63
120 - 139 9 72
140 - 159 8 80
Total 80
The steps for calculation of median from grouped are as follows:
Step1: The total of frequency is first divided by 2, i.e., 80/2 (=40). The
cumulative frequency 40 will correspond to the class interval (80-99).
This is called the median interval.

Step2: The formula is Median =

Step3: Record all values of symbol variables from the table as given below:
L (=80) is the lower limit of the median interval,
F (=34) is the cumulative frequency of the class, preceding to median
class,
d (=20) is the width of class interval,
f (=19) is the frequency of median class.

43
Data Collection and Analysis Step4: Replace the symbol values with numeric values as noted in step3 in the
formula,

Therefore, Median = 80 + [(40-34) × 20] / 19 = 80 + 6.32 = 86.32 patients.

Merits and Demerits
Merits
i) It is rigidly defined
ii) It is easily understood and easy to calculate. In some cases it can be located
merely by inspection.
iii) It is not at all affected by extreme values.
iv) It can be calculated for distribution with open end classes.
Demerits
i) In case of even member of observation, median cannot be determined exactly.
We merely estimate it by taking the mean of two middle terms.
ii) It is not based on all the observation for example the median of 10,25,50,60
and 65 is 50. We can replace the observations 10 and 25 by any two values
which are smaller than 50 and the observation 60 and 65 by any two values
greater than 50, without affecting the value of median. This property is
sometimes described by saying that median is insensitive.
iii) It is not amenable to algebraic treatment.
iv) As compared with mean, it is affected much by fluctuations of sampling.

Uses
i) Median is the only average to be used while dealing with qualitative data
which cannot be measured quantitatively but still can be arranged in ascending
on descending order of magnitude, e.g. to find the average intelligence and
average honesty among a group of people.

ii) It is to be used for determining the typical value in problems concerning

wages, distribution of wealth, etc.

3.4.3 MODE
Let us consider the following statements.
i) The average height of an Indian (male) is 5’6”.
ii) The average size of the shoes sold in a shop 7.
iii) An average student in a hostel spends Rs. 150 p.m.
In all above cases, the average referred to its mode.
Mode is the value which occurs most frequently in a set of observations and
around which the other items of the set, cluster densely. In other word, mode is
the value of the variable which is predominant in the series. According to AM
Tuttle “mode is the value which has the greatest frequency density in this
immediate neighborhood”. Thus in case of dissent frequency distribution mode
is the value of X corresponding to maximum frequency. Let us calculate mode
44 from the data given below.
X: 12 3 4 5 6 7 8 Statistical Tools

F: 49 16 25 22 15 7 3
The value corresponding to the maximum frequency, viz 25 is 4. Hence mode is 4
Let us calculate mode of a grouped data given in the table below:

Class Interval Frequency

30-34 2
25-29 3
20-24 6
15-19 4
10-14 5
N=20

Following step will be used in the calculation of mode:

Step-1 Formula for calculating mode

Mode = L +

L = (20) Lower limit of the model class

F1 = (6) frequency of the modal class
F0 = (3) frequency of the class proceeding modal class
(f - f0 )
1
´h F2 = (4) frequency of the class succeeding modal class
2 ( f1 - f 0 - f 2 )
h = (4) magnitude of class interval
Step-2 Replace the symbol values with the numeric values as noted in the step-
1 in the formula
The calculated value of mode is:
é 4-3 ù
Mode = 20 + êê ú´4
ë2 ´ 20 - 4 - 3 ûú

= 20 + 1.08 = 21.08

If the distribution is moderately asymmetrical, the mean, median and mode obey
the following empirical relationship:
Mode=3 Median – 2 Mean
Merits and Demerits of Mode
Merits:-
i) Mode is relatively comprehensible and easy to calculate.
ii) Mode is not at all affected by extreme values.
iii) Mode can be conveniently located even if the frequency distribution has
class intervals of unequal magnitude classes proceeding and succeeding it
are of the same magnitude.
45
Data Collection and Analysis Demerits:
i) Mode is ill defined. It is not always possible to find an early defined mode.
In some cases, we may come across distribution with two modes, such
distribution are called bimodal. If a distribution has more than two modes it
is said to be multimodal.
ii) It is not based upon all the observation.
iii) It is not capable of further mathematical treatment.
iv) As compared with mean, mode is affected to a greater extent by fluctuation
of sampling.

3.5 MEASURES OF DISPERSION

The mean, median, and mode are measures of the central tendency of a variable,
but they do not provide any information of how much the measurements vary or
are spread. This module will describe some common measures of variation (or
variability), which in statistical text books are often referred to as measures of
dispersion. Measures of dispersion or variability of a data give an idea up to
which extent the values are clustered or spread out. In other words, it gives an
idea of the homogeneity and heterogeneity of data. Two sets of data can have
similar measures of central tendency but different measures of dispersion.
Therefore, measures of central tendency should be reported along with measures
of dispersion. There are various measures of dispersion. Those are discussed
below:

3.5.1 Range
It is the simplest measure of dispersion. This can be represented as the difference
between maximum and minimum values, or simply, as the maximum and
minimum values for all observations.

Example : If the weights of 7 women are as given in Table below, then what is
the range?
S.No. Weight of women (kg)
1 40
2 41
3 42
4 43
5 44
6 47
7 72

The range would be 72 – 40 = 32 kg.

Although simple to calculate, the range does not tell us anything about the
distribution of the values between the two extreme ones.

46
3.5.2 Percentiles Statistical Tools

A second way of describing the variation or dispersion of a set of measurements

is to divide the distribution into percentiles (100 parts). As a matter of fact, the
concept of percentiles is just an extension of the concept of the median, which
may also be called the 50th percentile. Percentiles are points that divide all the
measurements into 100 equal parts. The 30th percentile (P30) is the value below
which 30% of the measurements lie. The 50th percentile (P50), or the median, is
the value below which 50% of the measurements lie. To determine percentiles,
the observations should be first listed from the lowest to the highest just like
when finding the median. However, in case of grouped data, percentile can be
calculated on similar lines of calculating the median.

3.5.3 Mean Deviation

It is the average of deviation from arithmetic mean , where | | denotes

Mod, considering all differences ‘as positive’ or ‘in absolute value’.

a) Calculation of Mean Deviation (A.D.)

i) Ungrouped Data- The formula used for calculation y mean deviation is:

Sum of all deviations

Average Deviation = ——————————
N

Ó|x|
|X -X|
å in A.D. = ———
N

X = deviation of the raw score Mean

|x| = absolute deviation (disregarding the positive and negative sign)
N = Number of scores
Ó = sum total
Example: Calculate Mean Deviation (A.D.) from the following scores
10, 20, 30, 40, 50

Table: Calculation of Mean Deviation form ungrouped data

Score Deviation (Raw Score –Mean) x |x|
10 10-30 -20 20
20 20-30 -10 10
30 30-30 0 0
40 40-30 10 10
50 50-30 20 20
Ó x=150 Ó|x|=60

47
Data Collection and Analysis Ó|x| 150
Mean = ——— = —— = 30
N 5

Ó|x| 60
A.D. = ——— = —— = 12
N 5

Thus A.D. = 12

3.5.4 Standard Deviation (S.D.)

Standard deviation is the only measure of dispersion which has algebraic
treatment. It is the most stable measure of variability. The concept of S.D. was
first suggested by Karl Pearson is 1893. Here all the deviations of the scores
from mean are taken into account. In short it is considered as ‘Root-Mean-Squarer-
Deviation from Mean’. When the deviation are squared positive and negative
signs become positive. When we take positive square root of the deviations, it is
known as S.D. It is usually known as ó (sigma).
The formula used to calculate standard deviation is

Σ(X - M )
2

S.D. =
N

Σd 2
=
N

ó =

Where,
Ó = sum total
d = deviation (score-mean)
N = total number of cases

a) Calculation of S.D. from Ungrouped Data

The formula to calculate S.D. from ungrouped data is

ó =

Example. Find out the S.D. of the following scores:

8, 9, 10, 11, 12, 13, 14, 15
Procedure for the calculation of S.D are as follows.
o Calculate Mean
o Calculate deviation against each score
o square the deviations
o find the total or sum of squared deviations
o divide sum of squared deviation by N
o Find the square root of the division.
48
Table: Calculation of S.D from Ungrouped Data Statistical Tools

Score Deviation d d²
(X) d(X-M)
8 8-12 -4 16
9 9-12 -3 9
10 10-12 -2 4
11 11-12 -1 1
12 12-12 0 0
13 13-12 1 1
14 14-12 2 4
19 19-12 7 49
Ó x=96 Ód²|=84

Mean = =8

Σd 2 84
S.D. = = = 7 = 2.64
N 12

b) Calculation of S.D. from Grouped Data

Σx 96 In grouped data, deviations are taken from the mid points of the class intervals.
=
N 12 The deviations are squared and multiplied by frequency of the said class interval.
Then the root, mean of square deviations is to be calculated.
The formula to calculate S.D. is

Σd 2
ó =
N
Where,
Ó = sum total
f = frequency
d² = Square of deviation
N = total number of frequencies
Table: Calculation of Standard Deviation from Grouped Data
Class Interval (C.I) Frequency (f)
10-14 2
15-19 3
20-24 4
25-29 5
30-34 6
N=20
49
Data Collection and Analysis Computation of S.D. is given below.
C.I. f X fx X-M d d² fd²
10-14 2 12 24 12-20.5 -8.5 72.25 144.50
15-19 8 17 136 17-20.5 -3.5 12.25 98.00
20-24 6 22 132 22-20.5 1.5 2.25 13.50
25-29 2 27 54 27-20.5 6.5 42.25 84.50
30-34 2 32 64 32-20.5 11.5 132.25 264.50
N=20 Óf x=410 Ófd²=605.00

Mean =

410
= —— = 20.5
20

S.D. =

605.00
= = 30.25
20

= 5.5

The standard deviation is 5.5

3.5.5 Coefficient of Variation

100 times the coefficient of dispersion based upon standard deviation is called
coefficient variation (c.v), i.e.,

s
C.V.= 100 ×
X

According to profession Karl Pearson who suggested this measure, C.V.is the
percentage variation in the mean, standard deviation being considered as then
total variation in the mean.

Fun comparing the variability of two series, we calculate the co-efficient of

variations for each series. The series having greater c.v. is said to be more variable
than the other and the series having lesser c.v. is said to be more consistent than
the other.

In this session you read about measures of central tendency and measures of
dispersion, now answer the questions given in Check Your Progress-2

50
Check Your Progress 2 Statistical Tools

Note: a) Write your answer in about 50 words.

b) check your progress with possible answers given at the end of the
unit.
1) What are the different measures of central tendency?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What are the different measures of dispersion
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

3.6 CORRELATION AND REGRESSION

3.6.1 Correlation: Concept and Meaning
Correlation is relationship between the two sets of continuous data; for example
the relationship between height and body weight. Correlation statistics are used
to determine the extent to which two independent variables are related and can
be expressed by a measure called ‘coefficient of correlation’. The correlation
coefficient may be positive or negative and therefore it may vary from ‘-1’ to
‘+1’. Positive correlation means that values of two different variables increase
and decrease together. For example, height and weight correlate positively.
Negative correlation means that if the value of one variable decreases then the
value of the other variable increases (inverse relationship). For example, literacy
and number of children in family may correlate negatively.

The strength of a correlation is determined by the absolute value of the correlation

coefficient; the closer the value to 1, the stronger the correlation. For example, a
correlation of -0.9 indicates an inverse relationship between two variables and
shows a stronger relationship than that associated with a correlation of +0.2 or -
0.5. Correlation between two variables is shown by scatter plot (Figure 1) below.

Correlation analysis is important because it can be used to predict values of one

variable on the basis of value of other variable. A correlation does not mean
causation but it also does not mean absence of causation, that is, if two variables
exhibit strong correlation, then, one of the variables may cause the other.
Correlation data is, therefore, not sufficient evidence for causation.

51
Data Collection and Analysis

52 Fig. 3.1 : Scatter Diagram showing relation between two variables

The slopes of both the lines are identical in these two examples, but the scatter Statistical Tools
around the line is much greater in the second. Clearly the relationship between
variables y and x is much closer in the first diagram.

If we are interested only in measuring the association between the two variables,
then Pearson’s Correlation Coefficient (r) gives us an estimate of the strength
of the linear association between two numerical variables. Pearson’s Correlation
Coefficient can either be calculated by hand or the value of r can be obtained
using either a calculator with built in capability to do the calculation or a variety
of computer software programs. Note that in case there is curvilinear relationship,
the value of r will be shown to be zero. The correlation coefficient has the
following properties:
1) For any data set, r lies between ‘-1’ and ‘+1’.
2) If r = +1, or -1, the linear relationship is perfect, that is, all the points lie
exactly on a straight line. If most of the points lie on the line, then it is very
strong relationship and r is near to 1. If r = +1, variable y increases as x
increases (i.e., the line slopes upwards). (See Diagram A.) If r = -1, variable
y decreases as x increases (i.e., the line slopes downward). (See Diagram B.)
3) If r lies between 0 and +1, the regression line slopes upwards, but the points
are scattered about the line. (See Diagram C.) The same is true of negative
values of r, between 0 and -1, but in this case the regression line slopes
downward. (See Diagram D.)
4) If r = 0, there is very low linear relationship between y and x. This may mean
that there is no relationship at all between the two variables (i.e., knowing x
Σxy
Σxy tells us nothing about the value of y). (See Diagram E.).
Σx1S2Σ2 y 2
NS
Calculation of the Pearson’s Correlation Coefficient
Formula for calculation of Karl Pearson’s correlation co-efficient is:

r= =

Σxy
= N Σx Σy 2
2

N N

r = correlation coefficient
x = deviation from x̄ (Arithmetic mean) of the first set of variables
y = deviation from ȳ (Arithmetic mean) of the second set of variable
Ó = sign of summation
S1 = standard deviation of the first set of variables
S2 = standard deviation of the second set of variables
N = number of items in each set of variables
53
Data Collection and Analysis Example: Calculation the correlation coefficient between the following scores
of history and mathematics.

Calculation the coefficient of correlation between the following scores of history

and mathematics
Students A B C D E
History (X) 65 56 69 60 75
Mathematics (Y) 60 76 74 80 85

Computation of coefficient of correlation

Student History Deviation Mathematics Deviation y² xy
From A.M.=65 From A.M.=65
X x x² Y y
A 65 0 0 60 -15 225 0
B 56 -9 81 76 +1 1 -9
C 69 +4 16 74 -1 1 -4
D 60 -5 25 80 +5 25 -25
E 75 +10 100 85 +10 100 +100
325 Óx²=222 375 Óy²=352 Óxy=62

375
=65 Y= =75
5

Σxy 62
Coefficient of Correlation (r) = =
Σx Σy2 2
222 ´ 352

62 62
= = +0.22
78144 280

3.6.2 Regression: Concept and Meaning

In common language ‘regression’ means to return or to go back. In statistics, the
term ‘regression’ is used to denote backward tendency which means going back
to average or normal. The term ‘regression’ was first used by Sir Francis Galton.

Regression shows a relationship between the average values of two variables.

So regression is average value of one variable for a given value of the other
variable. It is useful for calculation of cause and effect relationship. The best
average value of one variable associated with the given value of the other variable
may be estimated or predicted by mean of an equation known as “Regression
Equation” and also by the help of a line called as “Regression Line” which shows
for a given value of other variable.

In order to estimate the best average values of the two variables, two regression
equations are required and they are used separately. One equation is used for
estimating the value of the first variable (X), this is called “Regression Coefficient
of X on Y” or “Regression Equation of X on Y” and the second equation is used
54
for estimating the value of the second variable (Y) for a given value of the first Statistical Tools
variable called “Regression Coefficient of Y on X” and “Regression Equation of
X on Y”.

The formula for calculation of regression coefficient are:-

Sx
1) Regression Coefficient of X on Y is bxy = r S
y

2) Regression Coefficient of Y on X is bxy = r

Sx = Standard Deviation of X series

Sy = Standard Deviation of Y series
r = Correlation coefficient between X and Y
1) Regression Equation of X and Y is

X – X̄ = r (Y – Ȳ )

2) Regression Equation of Y and X is

Y – Ȳ = r (X – X̄ )

S xy X = Value of X
S xy Y = Value of Y
X̄ = Arithmetic Mean of X series
Ȳ = Arithmetic Mean of Y series
Sx = Standard Deviation of X series
Sy = Standard Deviation of Y series
r = Correlation coefficient between X and Y
Example: obtain lines of regression for the following data:
Computation of Regression Equation

X̄ (X̄– 5) Y (Y-12)
x x² y y² xy
1 –4 16 9 –3 9 12
2 –3 9 8 –4 16 12
3 –2 4 10 –2 4 4
4 –1 1 12 0 0 0
5 0 0 11 –1 1 0
6 +1 1 13 +1 1 1
7 +2 4 14 +2 4 4
55
Data Collection and Analysis
8 +3 9 16 +4 16 12
9 +4 16 15 +3 9 12
ÓX̄= 45 Óx=0 Óx²=60 ÓY=108 Óy=0 Óy²=60 Óxy=57

Regression Coefficient (bxy) = r =r =

9 ´ 57 - 0 ´ 0 9 ´ 57 19
= = = = 0.95
9 ´ 60 - 0 2 9 ´ 60 20

Regression Coefficient (byx) = r = =

= = 0.95

i) The regression equation of X on Y is

X–X̄ = r (Y – Ȳ) is

X̄ – 5 =0.95 (Y – 12) = 0.95Y – 11.4

X̄ = 0.95Y – 11.4+5
X̄ = 0.95Y – 6.4
ii) The regression equation of Y on X is

Y – Ȳ= r (X̄ – X̄ ) is

Y – 12=0.95 (X̄ – 5) = 0.95X̄ – 4.75

Y = 0.95X̄ – 4.75 + 12
Y = 0.95X + 7.25
Differences between Regression and Correlation
Sl. Correlation Regression
1 Correlation quantifies the degree to Regression finds out the best fit line for
which two variables are related. You a given set of variables.
simply are computing a correlation
coefficient (r) that tells you how much
one variable tends to change when the
other one does.
2 With correlation you don’t have to With regression, you do have to think
think about cause and effect. You about cause and effect as the regression
simply quantify how well two line is determined as the best way to
variables relate to each other. predict Y from X.
56
Statistical Tools
3 With correlation, it doesn’t matter With linear regression, the decision of
which of the two variables you call “X” which variable you call “X” and which
and which you call “Y”. You’ll get the you call “Y” matters a lot, as you’ll get
same correlation coefficient if you a different best-fit line if you swap the
swap the two. two. The line that best predicts Y from
X is not the same as the line that predicts
X from Y.
4 Correlation is almost always used With linear regression, the X variable is
when you measure both variables. It often something you experimentally
rarely is appropriate when one variable manipulate (time, concentration...) and
is something you experimentally the Y variable is something you measure.
manipulate.
5 In correlation, on the other hand, our In regression analysis, we examine the
focus is on the measurement of the nature of the relationship between the
strength of such a relationship. dependent and the independent variables.
In regression we try to estimate the
average value of one variable h m the
given
6 In correlation, all the variables are In regression, at our level, we take the
implicitly taken to be random in nature. dependent variable as random, or
stochastic, and the independent variables
as non-random or fixed.

In this session you read about correlation and regression, now answer the questions
given in Check Your Progress-3

Check Your Progress 3

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) Differentiate between correlation and regression.
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

3.7 HYPOTHESIS TESTING AND INFERENCIAL

STATISTICS
3.7.1 Understanding True Difference
The analysis and interpretation of the results of our study must be related to the
objectives of study. It is important to tabulate the data in univariate and/ or bi-
variate or multivariate tables appropriate to the research objectives. We may find
some interesting results. For example, in a study on nutrition, we find that 30%
of the women included in the sample are anaemic as compared to only 20% of
the men. How should we interpret this result? 57
Data Collection and Analysis • The observed difference of 10% might be a true difference, which also
exists in the total population from which the sample was drawn.
• The difference might also be due to the chance; in reality there is no
difference between men and women, but the sample of men just happened
to differ from the sample of women. One can also say that the observed
difference is due to sampling variation.
• A third possibility is that the observed difference of 10% is due to defects in
the study design (also referred to as Bias). For example, we only used male
interviewers, or omitted a pre-test, so we did not discover that anemia is a
very important topic for women which require a female investigator.

If we feel confident that an observed difference between two groups cannot be

explained by bias, we would like to find out whether this difference can be
considered as a true difference. We can only conclude that this is the case if we
can rule out chance (sampling variation) as an explanation. We accomplish this
by applying a test of significance. A test of significance estimates the likelihood
that the observed result (e.g., a difference between two groups) is due to chance
or real. In other words, a significance test is used to find out whether a study
result, which is observed in a sample, can be considered as a result which indeed
exists in the study population from which the sample was drawn.

3.7.2 Tests of Significance

Different sets of data require different tests of significance. Throughout this
module, two major sets of data will be distinguished.
• Two (or more) groups, which will be compared to detect differences. (e.g.,
men and women, compared to detect differences in anemia.)
• Two (or more) variables, which will be measured in order to detect if there
is an association between them. (e.g., between anemia and income.)

In order to help you choose the right test, a flowchart and matrices will be
presented for different sets of data. We will discuss how significance tests work.
Please keep in mind that independent groups are treated as independent
populations.

i) How to state Null (Ho) and Alternative (H1) Hypothesis:

In statistical terms the assumption that no real difference exists between
groups in the total study (target) population (or, that no real association
exists between variables) is called the Null Hypothesis (Ho). The Alternative
Hypothesis (H1) is that there exists a difference between groups or that a
real association exists between variables. Examples of null hypotheses are
• There is no difference in the incidence of measles between vaccinated
and non-vaccinated children.
• Males do not drink more alcohol than females.
• There is no association between families’ income and malnutrition in
their children.
If the result is statistically significant, we reject the Null Hypothesis (Ho)
and accept the Alternative Hypothesis (H1) that there is real difference
58
between two groups, or a real association between two variables. Examples Statistical Tools
of alternative hypotheses (H1) are:
• There is a difference in the incidence of measles between vaccinated
and non-vaccinated children.
• Males drink more alcohol than females.
• There is an association between families’ income and malnutrition in
their children.
Be aware that ‘statistically significant’ does not mean that a difference or an
association is of practical importance. The tiniest and most irrelevant
difference will turn out to be statistically significant if a large enough sample
is taken. On the other hand, a large and important difference may fail to
reach statistical significance if too small a sample is used.

ii) The Concept of Type I and Type II Error

There are four ways in which conclusion of the test might relate to in our
study (i) true positive (ii) true negative and (iii) false positive and (iv) false
negative. These may be expressed in terms of error in statistical test of
significance in following terms:

Type I error (á): We reject the null hypothesis when it is true, or false
positive error, or type I error ‘á’ (called alpha). It is the error in detecting
true effect.

In the above example, type I error would mean that the effects of two drugs
were found to be different by statistical analysis, when, in fact, there was no
difference between them.

Type II error (â): We accept the null hypothesis when it is false or false
negative error; or simply, type II error ‘â’ (called beta) can be stated as failure
to detect true effect. In the above example, type II error would mean that the
effects of two drugs were not found different by statistical analysis, when in
fact there was difference.
The definition can be summarized as given below.

Actual Situation
True Ho False Ho
Investigator’s Accept Null Correct Error (Type II)
Decision hypothesis Acceptance
Reject Null Error (Type I) Correct Rejection
hypothesis

Note: Alpha (á) and beta (â) are the Greek letters and are used to denote
probabilities for type I error and type II error respectively.

We would like to carry our test, i.e., choose our critical region so as to minimize
both types of errors simultaneously, but this not possible in a given fixed sample
size. In fact decreasing one type of error may very likely increase the other type.
In practice, we keep type I error (á) fixed at a specified value (i.e., at 1% or 5%).
59
Data Collection and Analysis
3.8 STATISTICAL TESTS
Depending on the aim of your study and the type of data collected, you have to
choose appropriate tests of significance. Before applying any statistical test, state
the null hypothesis in relation to the data to which the test is being applied. This
will enable you to interpret the results of the test. The following sections will
explain how you will choose an appropriate statistical test to determine differences
between groups or associations between variables. Although there are many
statistical tests used in drawing inferences, here we will confine our discussion
to four main types of tests:
i) ÷2 test
ii) T-test
iii) Z- test
iv) F-test

χ 2)
3.8.1 Chi-Square Test (χ
Chi-square test is termed as a non parametric test. Karl Pearson first introduced
the concept of chi-square and its application in testing statistical hypothesis. The
value of chi-square is determined by (i) taking the difference between each
observed frequency (fo) and the corresponding expected theoretical frequency
(fe) (ii) squaring each difference (iii) dividing each squared difference by the
corresponding expected theoretical frequency and then (iv) adding all the quotient.
The value of chi-square is represented by the symbol χ2

Thus χ2 =

Uses of chi-square Test

The chi-square test is very powerful tool in the hands of statisticians for testing
hypothesis of a variety of statistical problems. The most important purposes
served by the application of test of chi-square are follows:
1) test of goodness fit – the chi-square test is used for the comparison of observed
frequencies with the expected theoretical frequencies in a sample.
2) test of Independence- the chi-square test is widely used to test the
independence of attributes.
3) Test of homogeneity- the chi-square test is also used to test the homogeneity
of attributes is respect to of a particular characteristic.
Formula used for computation of

c2 = å ê( 0 e ) ú
é f -f ù
êë f e úû

χ² = Chi-Square
Fo = Observed frequency
F2 = Expected frequency
Ó = Sum total
60
Example: Compute the chi-square of data given in table below: Statistical Tools

Computation of Chi-square test

(f - fe )
2
0
f0 fe f0 – fe (f0 – fe)²
fe
1. Favorably 20 27 -7 49 1.81
2. Unfavourably 40 27 13 169 6.25
3. Undecided 21 27 -6 36 1.33
81 81 9.39

Follows steps will be used in assessing the level of significance:

Step-1 Determining the Degree of freedom- The Chi-Square test depends on

degree of freedom. The degree of freedom deals with rows and columns
of a table. The formula to calculate degree of freedom is
df = (c-1) (r-1)
df = degree of freedom
C = columns of a table
r = rows of the table
the above table (question) has 3 rows and 2 columns.
df = (C-1)(r-1)
= (3-1) (2-1)
= 2X1
= 2
Step-2 Determining the Critical Value- χ² has pre-determined value. It
requires significance level (5% or 1%) for the computed degree of
freedom.
The df is 2. The critical value at 5% level is 5.991 and at 1% level is
9.210 by referring to χ² table.

Step-3 Comparing the critical value of Chi-Square with Computed Value-

the computed χ² value is 9.39. It is higher than 5% and 1% level table
value. So it is significant. Consequently null hypothesis is rejected in
favour of alternative hypothesis.

3.8.2 T -Test
A t-Test is a statistical hypothesis test. The T-Statistic was introduced by W.S.
Gossett under the pen name “student”. Therefore, the T-test is also known as the
“student T-test”. The T-test is a commonly used statistical analysis for testing
hypothesis, since it is straight forward and easy to use. Additionally, it is flexible
and adoptable to a broad range of circumstances. The T-test is applied, if you
have a limited sample, usually sample size is less than 30.

61
Data Collection and Analysis The formula used for the calculation of T-test is:

d
(
t = S X1 - X 2
)
Where,
t = t-test
d̄ = mean difference
S = standard deviation
X̄ 1 = Mean of first set of variables
X̄ 2 = Mean of second set of variables

Σd
Calculation of d =
N

Σd 2 (Σd )
2

S= -
n - 1 n(n - 1)

Example: An IQ test was administered to 5 person before and after they were
trained. The result are given below.
Candidates I II III IV V
IQ before Training 110 120 123 132 125
IQ after Training 120 118 125 136 121
Test whether there is any change in IQ after training programme

Candidates I Q before I Q before Difference d²

training x1 training x2 (x2- x1) d
I 110 120 10 100
II 120 118 -2 4
III 123 125 2 4
IV 132 136 4 16
V 125 121 -4 12
Ód=10 Ód²=140

Estimated standard deviation of population =ó

=
62
Statistical Tools

=2

d 2
(
t= = = 0.816
s X1 - X 2 ) 2.45

3) Level of significance: á=0.01

4) Decision At 0.01 level of significance for 5–1=4 degrees of freedom, the
critical value of t = 4.6 (using t-table) but the computed value of t = 0.816 is
less than the critical value of t = 4.6 [t = 0.816 < t = 406]. Hence the computed
value of t = 0.816 falls in the acceptance region. Thus the null hypothesis
(r1 = r) is accepted. So it may be concluded that there is no change in IQ after
_Σd _ 10
- ´
( )
ds =Xx11--x=X2 2 = s / training
35
30
140 5 10 10 programme.
30
n = = 2.45
42N 55´ 2 4 5
S1 S
+ 2 3.8.3 Z -Test
n1 n2 Z-Test is another type of test like T-test applied to compare sample and population
means to know if there is a significant difference between them. Z- Test is usually
applied in large sample size, having more than 30 sample.

The formula for calculation of Z-Test is

Where
x1 = mean of the first variable
x¯2 = Mean of the Second variable
S1= Standard deviation first equation
S2= Standard deviation second equation
n1= Standard size of first
n2= Standard size of Second

63
Data Collection and Analysis Example: The score in mathematics for boys and girls is given in table below,
calculate whether there is significant difference in score between them.

Scores of Boys Scores of Girls

40 30 22 42
35 20 33 19
25 11 26 26
26 36 33 29
24 39 44 39
20 44 20 49
45 19 41 23
43 28 33 15
28 36 37 40
33 27 27 26
29 34 18 27
31 18 19 28
41 47 44 11
49 16 32 31
21 47 22 29
34 22 36 25

X̄ 1 = 31.19
X̄ 2 = 29.56
S1 = 10.13
S2 = 9.56
S12 = 102.802
= 85.67

Z=

1.62
= = 0.67
2.42
Interpretation: The tabled value of z is 1.96. Since Z < - 1.96 (0.67<1.96), we
reject H0. It means that these is no significant difference between scores of boys
and girls.

3.8.4 F -Test
The F-test was first developed by R.A. Fisher. Hence it is known as fisher’s test
on more commonly as F test. The f-test is used either for testing the hypothesis
64
about the equality of two population variances of the equality of two or more Statistical Tools
population means. The ratio of two sample variances.

The formula for calculation of f is:

F=

Where,

= variance of first set of data

= variance of second set of data

Example
The time taken by workers in performing a job by method I and method II is
given below.
Method I 20 16 23 27 23 22
Method II 27 33 42 35 32 34 38
Do the data show that the variances of time distribution in a population from
which these samples are drawn do not differ significantly
Solution
Computation of Variances
Ss11222 ïìΣ2dïü22 ìï Σd üï
82
2
Method-I Method-II
S122 -= í ý1 - í 1 ý
s62 îï 2n1þï îï n1Xþï X1–22=d1 d1² X2 X2-34=d2 d1²
1

20 –2 4 27 –7 49
16 –6 36 33 –1 1
26 4 16 42 8 64
27 5 25 35 1 1
23 1 1 32 –2 4
22 0 0 34 0 0
Ód1= +2 Ó d1²=82 38 4 16
Ód2=3 Ó d1²=135
Method-I

= 13.55

Variance = 13.55

65
Data Collection and Analysis Method-II

Varience

= 19.28 – 0.18 = 19.10

Varience = S22 = 19.10

Computation of F-test statistic

Test Statistic F = = .709

3) degrees of freedom v1= n–1 = 6 –1 = 5

And V2= n2–1 = 7–1 = 6

4) Decision- at 5% level of significance the critical value of F=4.95 for v2=6

and v1=5 degrees of freedom. But the computed value of F=.709 is less than
the critical value of F=4.95. Hence the null hypothesis ó1²= ó2² is accepted.
So it may be concluded that the variance of time distribution in a population
from which the samples are drawn do not differ significantly.
In this session you read about different deferential statistics, now answer the
questions given in Check Your Progress-4
Check Your Progress 4
Note: a) Write your answer in about 50 words.
b) Check your progress with possible answers given at the end of the
unit.
1) What is t-test and where it is applied?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What is Chi-square?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
66 .......................................................................................................................
Statistical Tools
3.9 LET US SUM UP
Statistics is a science that deals with the collection, organization, analysis,
interpretation, and presentation of information that can be presented numerically
and/or graphically to help us answer a question of interest. The information or
data collected may be classified as qualitative and quantitative. It may also be
classified as discrete or continuous. Frequency distribution is an improved way
of presenting a data. For better and more concise presentation of the information
contained in a data set, the data is subjected to various calculations. If one wants
to further summarize a set of observations, it is often helpful to use a measure
which can be expressed in a single number like the measures of location or
measures of central tendency of the distribution. The three measures used for
this purpose are the mean, median, and mode. Measures of dispersion, on the
other hand, give an idea about the extent to which the values are clustered or
spread out. In other words, it gives an idea of homogeneity and heterogeneity of
data. Two sets of data can have similar measures of central tendency but different
measures of dispersion. Therefore, measures of central tendency should be
reported along with measures of dispersion. The measures of dispersion include
range, percentiles, mean deviation and standard deviation.

The results we obtain by subjecting our data to analysis may actually be true or
may be due to chance or sampling variation. In order to rule out chance as an
explanation, we use the test of significance. In this unit we have confined our
discussion to four tests i.e. ÷2 test, Z- test, t-test and f-test.

Correlation is relationship between the two sets of continuous data; for example
relationship between height and body weight. Correlation statistics is used to
determine the extent to which two independent variables are related and can be
expressed by a measure called the coefficient of correlation. Regression, on the
other hand, deals with the cause and effect relation between two sets of data.
Simple linear regression fits a straight line through the set of n points in such a
way that makes the sum of squared residuals of the model (that is, vertical
distances between the points of the data set and the fitted line) as small as possible.
The regression line, thus, obtained helps us to predict the value of dependent
variable for a given value of independent variable.

67
Data Collection and Analysis Annex I: Table of chi-square values
Degrees of freedom χ 2 value if χ 2 value if
α = 0.05 α = 0.01
1 3.84 6.63
2 5.99 9.21
3 7.81 11.34
4 9.49 13.28
5 11.07 15.09
6 12.59 16.81
7 14.07 18.48
8 15.51 20.09
9 16.92 21.67
10 18.31 23.21
11 19.68 24.72
12 21.03 26.22

Annexure-II
Degrees of freedom t-value if t-value if
chosen P Chosen P
α = 0.05 α = 0.01
1 12.71 63.66
2 4.30 9.92
3 3.18 5.84
4 2.78 4.60
5 2.57 4.03
6 2.45 3.71
7 2.36 3.50
8 2.31 3.36
9 2.26 3.25
10 2.23 3.17
11 2.20 3.11
12 2.18 3.05
13 2.16 3.01
14 2.14 2.98
15 2.13 2.95
16 2.12 2.92
17 2.11 2.90
68
Statistical Tools
18 2.10 2.88
19 2.09 2.86
20 2.09 2.85
21 2.08 2.83
22 2.07 2.82
23 2.07 2.81
24 2.06 2.80
25 2.06 2.79
30 2.04 2.76
40 2.02 2.70
60 2.00 2.66
120 1.98 2.62
infintie 1.96 2.58.

3.10 KEYWORDS
Independent variable : The characteristic being observed or measured
which is hypothesized to influence an event or
outcome (dependent variable), and is not influenced
by the event or outcome, but may cause it, or
contribute to its variation.
Dependent variable : A variable whose value is dependent on the effect
of other variables (independent variables) in the
relationship being studied.
Mean : The mean (or, arithmetic mean) is also known as
the average. It is calculated by totalling the results
of all the observations and dividing by the total
number of observations.
Median : The median is the value that divides a distribution
into two equal halves. The median is useful when
some measurements are in ordinal scale, i.e., much
bigger or much smaller than the rest.
Mode : The mode is the most frequently occurring value in
a set of observations. The mode is not very useful
for numerical data that are continuous. It is most
useful for numerical data that have been grouped.
The mode is usually used to find the norm among
populations.
Range : This can be represented as the difference between
maximum and minimum value or, simply, as
maximum and minimum values.

69
Data Collection and Analysis Percentiles : Percentiles are points that divide all the
measurements into 100 equal parts. The 30 th
percentile (P3) is the value below which 30% of
the measurements lie. The 50th percentile (P50), or
the median, is the value below which 50% of the
measurements lie.
Mean Deviation : This is the average of deviation from arithmetic mean
Standard Deviation : This denotes (approximately) the extent of variation
of values from the mean.
Parametric statistical test: Is a test whose model specifies certain conditions
about the parameters of the parent population from
which the sample was drawn.
Non-parametric : Is a test whose model does not specify conditions
statistical test about the parameters of the parent population from
which sample was drawn.
Normal Distribution : The normal distribution is symmetrical around the
mean. The mean, median, and mode assume the
same value if observations (data) follows a normal
distribution.
Sampling Variation : Any value of a variable obtained from the randomly
selected sample (e.g., a sample mean) cannot assume
the true value in the population. The variation is
called a sampling variation.
Test of Significance : A test of significance estimates the likelihood that
an observed study result (e.g., a difference between
two groups) is due to chance or real.

3.11 REFERENCES AND SELECTED READINGS

Altman, D.G. (1991), Practical Statistics for Medical Research, Chapman and
Hall, London.
Barker, D.J.P. (1982), Practical Epidemiology. (3rd ed.), Churchill Livingstone
Edinburgh, UK.
Bradford, H. A. (1984), A Short Textbook of Medical Statistics (11th ed.), Hodder
and Stoughton London, UK.
Castle, W.M. and North P.M. (1995), Statistics in Small Doses. Churchill
Livingstone Edinburgh, UK.
Bose, A (1988), Statistics, Calcutta Book House, Calcutta
Fletcher, R. H., S. W. Fletcher and E. H. Wagner (1996), Clinical Epidemiology:
The Essentials, Lippincott Williams and Wilkins, 351 West Canadian Street
Baltimore, Maryland, USA.
Glaser, A.N. (2000), High-yield Biostatistics, Lippincott Williams and Wilkins,
227 East Washington Square, Philadelphia, USA.
70
Greenhalgh, T.(1998), How to Read a Paper: The Basics of Evidence Based Statistical Tools
Medicine, BMJ publishing group, BMA House, Tavistock Square, London,UK.
Hicks, C.M. (1999), Research Methods for Clinical Therapists. 3rd Edition,
Churchill Livingstone, Robert Stevenson House, 1-3 Baxter’s Place,Leith Walk,
Edinburgh, UK.
Kelsey, J.L., W.D. Thompson and A.S. Evans (1986), Methods in Observational
Epidemiology, Oxford University Press, Oxford, UK.
Kidder, L.H. and C.M. Judd (1986), Research Methods In Social Relations, CBS
College Publishing, New York, USA.
Kleinbaum, D.G., L.L. Kupper and H. Morgenstern (1982), Epidemiologic
Research - Principles and Quantitative Methods, Van Nostrald Reinhold, New
York, USA.
Riegelman, R.F. (1981), Studying a Study and Testing a Test, Little Brown and
Company, Boston, MA, USA.
Schlesselman, J.J. (1982), Case-Control Studies - Design, Conduct, Analysis,
Oxford University Press, Oxford, UK.
Siegel, S. (1956), Nonparametric Statistics for the Behavioral Sciences, McGraw-
Hill Book Company.
Swinscow, T.D.V. and M.J. Campbell (1998), Statistics at Square One (11th ed.),
British Medical Association, London, UK.

3.12 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1
1) What are the important types of data?
There are two types of data: (i) qualitative data, viz., occupation, sex, marital
status, religion, and; (ii) quantitative data viz., age, weight, height, income,
etc. These may be further be categorized in two types viz., discrete and
continuous data.
2) What do you understand by non-parametric test?
A non-parametric statistical test is a test whose model does not specify
conditions about the parameters of the parent population from which sample
was drawn.
Check Your Progress 2
1) What are the different measures of central tendency?
The three measures of central tendency are the mean, median, and mode.
2) What are the different measures of dispersion?
The measures of dispersion are range, percentiles, mean deviation and
standard deviation.

71
Data Collection and Analysis Check Your Progress 3
1) Differences between Correlation and Regresion
The main difference between correlation and regression is that the correlation
quantifies the degree to which two variables are related. You simply are
computing a correlation coefficient (r) that tells you how much one variable
tends to change when the other one does. While regression finds out the best
fit line for a given set of variables.
Check Your Progress 4
1) What is t-test and where it is applied?
A t-Test is a statistical hypothesis test. The T-Statistic was introduced by
W.S. Gossett under the pen name “student”. Therefore, The T-test is also
known as the “student T-test”. The T-test is a commonly used statistical
analysis for testing hypothesis, since it is straight forward and easy to use.
Additionally, it is flexible and adoptable to a broad range of circumstances.
The T-test is applied, if you have a limited sample, usually sample size is
less than 30.
2) What is Chi-squre?
Chi-square test is termed as a non parametric test. Karl Pearson first
introduced the concept of chi-square and its application in testing statistical
hypothesis. The value of chi-square is determined by (i) taking the difference
between each observed frequency (fo) and the corresponding expected
theoretical frequency (fe) (ii) squaring each difference (iii) dividing each
squared difference by the corresponding expected theoretical frequency and
then (iv) adding all the quotient . The value of chi-square is represented by
the symbol χ².

72
Statistical Tools
UNIT 4 DATA PROCESSING AND ANALYSIS

Structure
4.1 Introduction
4.2 Data Measurement and its Types
4.3 Tabulation and Interpretation of Data
4.4 Let Us Sum Up
4.5 Keywords
4.6 References and Selected Readings
4.7 Check Your Progress – Possible Answers

4.1 INTRODUCTION
The purpose of data analysis is to identify whether research assumptions were
correct or not, and to highlight possible new views on the problem under study.
The ultimate purpose of analysis is to answer the research questions outlined in
the objectives with the collected data. However, before we look at how variables
may be affecting one another, we need to summarize the information obtained
on each variable in simple, tabular form, or, in a figure.

Some of the variables may produce numerical (continuous) data, while other
variables produce categorical data. In analyzing our data, it is important, first, to
determine the type of data that we are dealing with. This is crucial because the
type of data used largely determines the type of statistical techniques that should
be used to analyze the data. Once the data is processed, tables and graphs are
prepared, and the report writing work may be initiated.

After studying this unit, you should be able to:

• define data and describe various types and nature of data.
• describe techniques of data processing, tabulation, and presentation.
• describe and interpret data from tables that have been generated.

4.2 DATA MEASUREMENT AND ITS TYPES

4.2.1 Data Measurement
Measurement is the process of observing and recording the observations that are
collected as part of a research effort and the process of assigning numbers to
objects or observations. But do we measure abstract concepts like happiness,
quality of life, personality, opinion, etc? You have to understand that the qualities
of good measurement are: (i) Precise; (ii) Unambiguous; (iii) Free from errors;
(iv) Valid; (v) Reliable, and; (vi) Practical.
The tools, which are developed for measurement/ collection of data, should be
valid to measure the characteristic which it is intended to measure
reliable to the extent to which an experiment/ test/ or any measuring procedure
yields the same result on repeated trials
73
Data Collection and Analysis sensitive enough to detect differences in a characteristics
specific enough to represent only the characteristic of interest
appropriate to the objectives of the study
provides adequate distribution of response in the study population
meets the objective of the study
These are key points to keep in mind while developing effective tools for data
collection. However, the following factors may affect the validity of the data, so
remedial steps should be taken accordingly:

Respondents: reluctance, modesty, having little knowledge about details of the

research problem to answer, may not admit ignorance, guessing about response,
feel boredom due to long questioning, fatigue, and anxiety, etc.

Situation: lack of support to field investigators, lack of assurance on anonymity

and confidentiality, etc.

Investigator/ Interviewer: may reword or reorder questions, style, and look,

carelessness in filling the reply, incorrect coding, or calculation of scores.

Instrument: complex words, ambiguous meaning, poor printing, inadequate

space for answer, response choice omission.

4.2.2 Types of Data

Data can be classified as either
i) Primary or secondary data
ii) Time series, cross section and panel data
iii) Categorical and numerical data

i) Primary or Secondary Data

Primary Data
Primary data means original data that have been collected specially for the
purpose in mind. Research where one gathers this kind of data is referred to
as field research. Tools used for gathering primary data, for example, a
questionnaire, an interview schedule etc.

Secondary Data
Secondary data are data that have been collected for another purpose and
where we will use a statistical method with the primary data. This means
that after performing statistical operations on primary data the results become
known as secondary data. Research where one gathers this kind of data is
referred to as desk research. The source for gathering secondary data, for
example data from a book.

ii) Time series, Cross-Section and Panel Data

Cross-sectional data refers to data collected by observing many subjects
(such as individuals, firms or countries/regions) at the same point of time,
or, without regard to differences in time. Analysis of cross-sectional data
74 usually consists of comparing the differences among the subjects. For
example, we want to measure current obesity levels in a population. The Data Processing and
Analysis
cross-sectional data provides us with a snapshot of that population, at that
one point in time. Note that we do not know, based on one cross-sectional
sample, if obesity is increasing or decreasing; we can only describe the current
proportion.

Time series data is also known as longitudinal data, which follows one
subject’s changes over the course of time. For example, the average
production of wheat from 1990 to 2009.

Panel data combines both cross sectional and time series data and looks at
multiple subjects and how they change over the course of time. Panel analysis
uses panel data to examine changes in variables over time, and differences
in variables between subjects.

iii) Categorical and Numerical Data

Categorical or Nominal: Data that can be divided into categories or groups
such as male and female, and can take only discrete and not decimal values.
They are called categorical or nominal data. There are two types of categorical
data: they are nominal or ordinal. In nominal data, the variables are divided
into a number of named categories. These categories, however, cannot be
ordered one above another (as they are not greater or lesser than each other).

Continuous or Numerical: Data that can take any value, including decimal
values, are called continuous data. Data that can be measured on a scale is
said to be scalar. We speak of numerical data if they are expressed in numbers.
There are two types of numerical data: they are discrete or continuous.
Discrete data are a distinct series of numbers.

In this section, you studied about the data measurement and its types. Now answer
the following questions.

Check Your Progress 1

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What is panel data?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What do you understand by primary data?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
75
Data Collection and Analysis
4.3 TABULATION AND INTERPRETATION OF
DATA
The following operations need to be done to bring data into a presentable form:
Data coding, editing and feeding
Data tabulation
Figures and graphs
We will now discuss these operations, one after the other, for both categorical
and numerical data.

4.3.1 Data Coding, Editing and Feeding

Once data is collected the researcher thinks about the processing and analysis of
the data. This is a crucial stage of research work. Here, the researcher has to
consult the guide and other academicians who have done research in the related
field. Therefore, it is advised that data processing must be planned in advance,
and, necessarily, during the time of questionnaire formulation; and, during the
time of data collection. Nowadays, with the advent of the computer, researchers
might think it is the job of computer assistant, but it is not so. Before either
giving it to the computer assistant, or doing it manually, a lot of activities have to
be completed: (i) editing of the data which you received from the field; (ii) coding
of the data; (iii) preparation of the master chart if the data is to be computed
manually; and (iv) presentation of data.

i) Editing of the data

The editing of data is the first step of data processing and analysis. After
collecting data, either through the questionnaire or schedule, you have to
edit it. You have to carefully check for missing and wrongly entered data.
Therefore, in large scale surveys and research, the company undertaking the
research project appoints supervisors, or, editors, for proper checking of data.
An example of editing of data is given below.

Example – Suppose that you conduct a survey of the occupation status of

the people in a village, for which you have to collect data from heads of
households. The questionnaire for the purpose is as follows
Name of the Respondent : Rama Singh
Age : 56
Sex : Male
Cast : General
Occupation : Private Service
Income of the Respondent : 10,000
Wife’s name : Rita Singh
Age : 51
Occupation : House wife
Monthly Income : 800/-
76
In this questionnaire, the wife of Rama Singh is a housewife, but she earns Data Processing and
Analysis
Rs. 800. She may be a housewife, but by knitting she may be earning Rs.
800 per month. Therefore, her occupation may be categorized as self-
employment. Like this, you have to cross check the data and try to get accurate
information which will minimize error and strengthen your research findings.
Therefore editing of the data is very essential before sending it for processing.

ii) Coding of the data

The questionnaire must be properly coded. Before either, sending it for
feeding into the computer, or entering it in the master chart, the coding of
data is necessary. The coding of data will make data entry easy. Coding of
data means assigning numerical symbol to each response of the question.
The purpose of giving numerical symbols is to translate raw data into
numerical data, which may be counted and tabulated. An example of coding
of the marital status and education is given below.
Marital Status
Married : 01
Separated : 02
Widow : 03
Divorced : 05
Never Married : 06
Any Other : 07
The coding of data and checking that codes are properly inserted in the
questionnaire must be done during the editing of the questionnaire. It is
always better to prepare a code book for your questionnaire. The coding can
also be done during the time of data collection, if the code book is available
with you.

iii) Entering data in the Master Chart

If you are doing tabulation manually, it is always wise to enter the data into
a master chart. The master chart is a large sheet which will enable you to
enter all the codes of different variables into it. It will help you to generate
tables easily. An example of master chart is given below.

Master Chart
Sl. Name of the Variables
No respondent Sex Age Marital Status Education Occupation
1
2
3
4
5
Total

77
Data Collection and Analysis In the master chart you can enter the data of 14 sample respondents. Likewise
you can expand the number of respondents in the column and variables in
the rows. It is always better to enter code (numerical number) in the master
chart.

iv) Entering Data into the Computer

Computers are widely used for the analysis of data. It makes the calculation
much faster. The excel sheet, and the SPSS package can be used in social
science research. The following steps are used in the analysis of data by
using the SPSS package.
i) Entering of data in the SPSS statistical package
ii) Selection of procedure from the menu
iii) Selection of variables for analysis
iv) Examination of the output.
v) Presentation of Statistical Data
Statistical data are collected to serve a purpose. Therefore, data may be
presented in such a way that it may be easily grasped and the conclusion
may be drawn promptly. Generally, the following three methods are used for
the presentation of statistical information.

a) Textual Presentation: In this method, statistical information is presented

in text form. Generally, this type of presentation is made in a descriptive
way. It requires careful reading of the text in order to grasp the meaning
and significance of the facts and figures given, therein. But, for most
people, it is not a suitable and effective method of presentation of
statistical information, because it is not easy for the reader to single out
the individual information and figures. The advantage of this method is
that an ordinary person can prepare and present the text and a layman
can read it and grasp it.

b) Tabular Presentation: In this method, statistical information is

presented in the form of a table. Facts and figures are gathered, and
then, incorporated in tables. Generally, this type of presentation is made
in a tabular form with rows and columns. Tables summarize statistical
data in a logical and orderly manner. The main advantage of this method
is that tables are brief, concise, and contain only relevant figures. Tables
also facilitate the comparison of figures. The only disadvantage of this
method is that the presentation of tables and the interpretation of data
require some skills and techniques.

c) Graphical Presentation: In this case, statistical information is presented

in the form of graphs and charts. Facts and figures are gathered first,
and then, they are depicted in graphs and charts for presentation.
Generally, this type of presentation is made through figures, diagrams,
charts, or graphs. The main advantage of this method is that the facts
and figures become more attractive and appealing to eye. A disadvantage
of this method is that facts cannot be shown in detail and accurately.

78
4.3.2 Data Tabulation Data Processing and
Analysis
Tabulation is an orderly and systematic arrangement of numerical data presented
in rows and columns for the purpose of information, comparison, and
interpretation. So, a statistical table is a systematic arrangement of statistical
data into rows and columns. It summarizes the data in a logical and orderly
manner for the purpose of presentation, comparison, and interpretation. Tabulation
is, thus, a scientific process and means of recording, statistical data in a systematic
and orderly manner.
A statistical table has the following five parts.
i) Title: each table must have a title which convey the contents of the table. It
should be clear, concise and self-explanatory. It should be written on the top
of the table.
ii) Stub: this is a column used for mentioning the items and their heading. It is
the left most column of the table. A stub is generally marked with rows and
in each row, an item is mentioned. The stub should be clear and self-
explanatory.
iii) Caption: this is the heading for columns, other than the stub. It is the upper
part of the Table. Caption should be properly columned and worded.
Sometimes, below the caption, the units of measurement and column-
numbers, is called a box head.
iv) Body: the main part of the table. It contains the data which are exhibited in
the table. The figures inserted therein should be distinct.
v) Source & Footnote: the last part of a table. If the researcher is procuring
data from a secondary source, then the source of the data needs to be
mentioned. For example, if you are citing data from the Census of India then
the year and the department and the state need to be mentioned. After
mentioning the sources, the researcher has to provide a footnote, e.g., in the
same cell, if you are giving the figure, and in parenthesis, the percentage to
the total, and then, it must be mentioned in the footnote. An example of a
table is given below:

Title

Caption

STUB BODY BOX HEAD

Source:
Footnote:
79
Data Collection and Analysis 4.3.3 Types of Tabulation
Tabulation is done based on the data. The following types of tables are generally
constructed.
i) Construction of frequency distribution table
ii) Construction of cross- tabulation
iii) Construction of figures and graph

i) Construction of Frequency Distribution Table

A frequency distribution table can be of two types:
• Simple frequency distribution
• Grouped frequency distribution
In constructing a simple frequency distribution, the observations are not
divided into groups or classes. Only individual values are shown, whereas,
in the grouped frequency distribution the observations are divided into groups
or classes.
Here is a simple frequency distribution table.
Table 4.1: Mark obtained by class fifth students in mathematics
Marks Tally of marks Frequency
(No. of students)
20 IIII 5
21 IIII IIII II 12
25 IIII IIII III 13
30 IIII III 10
Total 40

Table 4.2: Grouped frequency distribution

Marks obtained Tally of marks Frequency
1-10 IIII IIII I 11
11-20 IIII IIII IIII IIII 20
21-30 IIII IIII IIII IIII I 21
31-40 IIII IIII III 13
41-50 IIII IIII 9

While preparing the group frequency distributions, the following points have to
be taken into consideration.

The groups must not overlap, otherwise there will be confusion about which
group a measurement belongs to.

There must be continuity from one group to the next, which means that
there must be no gaps. Otherwise, some measurements may not fit in a group.
80
The groups must range from the lowest measurement to the highest Data Processing and
Analysis
measurement so that all of the measurements have a group to which they can
be assigned.

The groups should normally be of an equal width, so that the counts in

different groups can easily be compared.

ii) Construction of Cross Tabulation

So far, we have made tables containing frequency distributions for one
variable at a time, in order to partially describe our data. Depending on the
objectives of our study, and the study type, we may have to examine the
relationship between several of our variables at the same time. For this
purpose it is appropriate to construct cross tabulation of data. Depending on
the objectives and the type of study, different kinds of cross tabulations may
be required. The examples of cross tabulation are given below. Here, three
different types of cross tabulation of data have been given.

Example 1: A study was carried out on the degree of job satisfaction among
doctors and nurses in rural and urban areas. To describe the sample, a cross
tabulation was constructed which included the sex and the residence (rural,
or urban) of the doctors and nurses interviewed. This was useful, because in
the analysis, the opinions of male and female staff had to be compared
separately for rural and urban areas.

Table 4.3: Type of teachers by residence

Residence Type of teachers Total
Principles Teachers
Rural 10 (16%) 69 (38%) 79 (33%)
Urban 51 (84%) 113(62%) 164 (67%)
Total 61(100%) 182 (100%) 243(100%)

Interpretation: Table 4.3 shows that a higher percentage of teachers than

principals work in rural areas, but, that, overall, a greater proportion of teaching
staff works in urban areas (67%).

Table 4.4: Sex of teachers by residence

Residence Sex of teachers Total
Male Female
Rural 54 (43%) 25 (21%) 79 (33%)
Urban 71 (57%) 93 (79%) 164 (67%)
Total 125(100%) 118 (100%) 243(100%)

Interpretation: It can be concluded from Table 4.4 that there are more males
serving in rural areas than females. These males in rural areas are apparently
teachers.
To obtain an overview of the distribution of principals and teachers by gender in
rural and urban areas, we can construct the following two-by-four cross-table.
81
Data Collection and Analysis Table 4.5: Residence and sex of principals and teachers
Teaching staff Residence Total
Rural Urban
Principals Males 8 (10%) 35 (21%) 43 (18%)
Females 2 (3%) 16 (10%) 18 (7%)
Teachers Males 46 (58%) 36 (22%) 82 (34%)
Females 23 (29%) 77 (47%) 100 (41%)
Total 79(100%) 164 (100%) 243(100%)

Interpretation: This table shows, in a glance, that male nurses dominate the
rural health services. It also indicates that males dominate in the medical
profession, (18% M > 7% F doctors) but, that, overall, there are more female
than male nurses, and that the females are mainly clustered in towns.

The data in the tables is usually listed in absolute figures, as well as in relative
frequencies (percentages or proportions). As already seen in Unit 3, for numerical
data (such as age) the mean, median, and/or mode, with standard deviation may
be calculated as well, to describe the sample.

General hints while constructing tables

Make sure that all the categories of the variables presented in the tables have
been specified, and that they are mutually exclusive (i.e., no overlaps and no
gaps) and are exhaustive.
When making cross-tabulations, check that the column and row counts
correspond to the frequency counts for each variable.
Also, check that the grand total in the table corresponds to the number of
subjects in the sample. If not, an explanation is required. This could be
presented as a footnote. (missing data, for example.)
Think of a clear title for each table. Also, be sure that the headings of rows
and columns leave no room for misinterpretation.
Number your tables and graphs and keep them together with the objectives
to which they are related. [Numbering of tables and graphs in a chapter (e.g.,
4) may be like table 4.1, table 4.2 and Figure 4.1 Figure 4.2, etc.] This will
assist in organizing your report and ensure that work is not duplicated.
iii) Construction of figures and graph
If your report contains many descriptive tables, it may be more readable, if you
present the most important ones in figures. The most frequently used figures for
presenting data include
Bar charts for categorical data
Pie charts
Histograms for continuous data
Line graphs
Scatter diagrams
Maps
82
We will now look at example of the abovementioned figures that can be used for Data Processing and
Analysis
presenting data.

1) Bar Chart
The data from Example 2 can be presented in a bar chart, using either absolute
frequencies or relative frequencies/percentages and an example is given in
Figure 4.1 below.

50
45
Percentage of clinicals

40
35
30
25
20
15
10
5
0
Never Rarely occasionally frequently

Figure 4.1: Relative frequency of shortage of anti-malaria drugs in rural health

institutions (n=148)

Note that the sample size must be indicated if you present the data in
percentages.

2) Pie Charts
A pie chart can be used for the same set of data, providing the reader with a
quick overview of the data presented in a different form. A pie chart illustrates
the relative frequency of a number of items. All the segments of the pie chart
should add up to 100%.

Figure 4.2: Relative frequency of shortage of anti-malaria drugs in rural health

institutions (n=148)
83
Data Collection and Analysis 3) Histograms
Numerical data are often presented in histograms, which are very similar to
the bar charts which are used for categorical data. An important difference,
however, is that in a histogram the bars are connected (as long as there is no
gap between the data), whereas in a bar chart the bars are not connected, as
the different categories are distinct entities. An example of histogram is given
in Figure 4.3.

No. of patients per month

Figure 4.3: Percentage of clinics treating different numbers of malaria patients in one
month (n=80).

4) Line Graphs
A line graph is particularly useful for numerical data if you wish to show a
trend over time. An example of a line graph is given in Figure 4.4 .

Figure 4.4: Daily number of malaria patients at the health centres in District X

It is easy to show two or more distributions in one graph, as long as the

difference between the lines is easy to distinguish. Thus, it is possible to
compare frequency distributions of different groups, i.e., the age distribution
between males and females, or cases and controls.

84
5) Scatter diagrams Data Processing and
Analysis
Scatter diagrams are useful for showing information on two variables which
are possibly related. The example of a scatter diagram, given below, is used
where we are dealing with the concepts of association and correlation.

Figure 4.5: Weight of five-year-olds according to annual family income

Note: It is important that all figures presented in your research report have
numbers, clear titles, and are clearly labelled (or keyed).

6) Maps
In addition to the figures above, the use of maps may be considered to present
information. For instance, the area, where a study was carried out, can be
shown in a map. If the study explored the epidemiology of cholera, a map
could be produced showing the geographical distribution of cholera cases,
together with the distribution of protected water sources, thus illustrating
that there is an association. If the study related to vaccination coverage, a
map could be developed to indicate the clinic sites and the vaccination
coverage among under-fives in each village, perhaps showing that home-
clinic distance is an important factor associated with vaccination status.

In this section, we discussed about the tabulation and interpretation of data. Now
answer the following questions.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What is meant by coding of data?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
85
Data Collection and Analysis 2) What is a pie chart and where is it used?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

4.4 LET US SUM UP

Understanding data quality and its measurement are of utmost importance for
any researcher. Poor quality data cannot be analysed properly, and, may also
give results which may not be valid, or, sometimes give results which could
have adverse consequences for society if those results are used as a base for
policy making. The presentation of data needs to be made in simple, as well as
cross table format. It is always advisable to prepare a cross tabulation plan as per
study requirements, and to present data in graphical way for clarity.

4.5 KEYWORDS
Data Measurement : Measurement is the process of observing and
recording the observations that are collected as
part of a research effort.
Type of Data : Broadly there are two types of data: (i) quantitative
and; (ii) qualitative which can be further classified
as categorical, nominal and continuous data.
Data Quality : The quality data can be characterized as: (i)
precise, (ii) unambiguous, (iii) free from errors,
(iv) valid, (v) reliable, and (vi) practical.
Data Processing : Means the generation of frequency distribution and
cross tabulation and calculation of other statistical
measures.
Frequency Distribution : Preparation of tables which distribute respondents
according to a particular characteristic of sample,
or research outcome.
Cross Tabulation : This is a process of generating tables giving the
outcome of interest in columns, and various
characteristics of respondents, or factors affecting
outcomes in rows.
Data Interpretation : Is drawing valid and meaningful conclusions from
the tables generated with the help of collected data.
Report Preparation : Is the process of documenting the whole process
of research conducted to identify the problem, or
to prove some relationships, or for proving the
success of some programme related activities.
86
Data Processing and
4.6 REFERENCES AND SELECTED READINGS Analysis

Gibaldi, J. (1995), MLA Handbook for Writers of Research Papers, Modern

Language Association of America, New York.

Yang, J. T. et al. (1996), An outline of Scientific Writing: For Researchers with

English as a Foreign Languag,. World Scientific Publishing, Singapore.

Trochim, W. M. (1999), The Research Methods Knowledge Base, 2nd Edition,

Online textbook, URL: <http://www.socialresearchmethods.net/kb/.

Training modules of International Development Research Council, Canada.

Health System Research Modules published by WHO.

Modules on Primary Health Care, Agha Khan Foundation, Geneva.

4.7 CHECK YOUR PROGRESS - POSSIBLE

ANSWERS
Check Your Progress 1
1) What is panel data.
Panel data combines both time series and cross sectional data and looks at
multiple subjects and how they change over the course of time. Panel analysis
uses panel data to examine changes in variables over time, and differences
in variables between subjects.
2) What do you understand by primary data?
Primary data is original data that have been collected specially with a purpose
in mind. Research where one gathers this kind of data is referred to as field
research, for example: a questionnaire.
Check Your Progress 2
1) What is meant by coding of data?
A questionnaire must be properly coded. Before feeding it into a computer,
or entering the data into the master chart, coding of data is necessary. The
coding of data will make data entry easy. Coding of data means assigning a
numerical symbol to each response of the question. The purpose of giving
numerical symbols is to translate raw data into numerical data, which may
be counted and tabulated.
2) What is a pie chart and where is it used?
A pie chart can be used for providing the reader with a quick overview of the
data presented in a different form. A pie chart illustrates the relative frequency
of a number of items. All the segments of the pie chart should add up to
100%.

87
Data Collection and Analysis
UNIT 5 REPORT WRITING

Structure
5.1 Introduction
5.2 Types of Report
5.3 Writing the Research Report
5.4 The Preliminary Pages of Research Report
5.5 Main Components or Chaptering of Research Report
5.6 Style and Layout of the Report
5.7 Common Weaknesses in Report Writing and Finalizing the Text
5.8 Let Us Sum Up
5.9 References and Selected Readings
5.10 Check Your Progress – Possible Answers

5.1 INTRODUCTION
A research report is considered a major component of any research study as the
research remains incomplete till the report has been presented or written. No
matter how good a research study, and how meticulously the research study has
been conducted, the findings of the research are of little value unless they are
effectively documented and communicated to others. The research results must
invariably enter the general store of knowledge. Writing a report is the last step
in a research study and requires a set of skills somewhat different from those
called for in actually conducting a research.
After reading this unit you will be able to:
• follow the various steps involved in writing a research report.
• explain the various components of a research report
• identify common mistakes committed while writing a research report.

5.2 TYPES OF REPORT

Research reports vary greatly in length and type depending on the subject. For
example banks and other financial institutions prefer short balance sheet type of
tabulations for their annual report. In mathematics, the report may consist of
many algebraic notations, whereas a chemists report may be in the form of symbols
and formulae. Students of literature usually write a long report critically analysing
a writer or book.

The news items found in newspapers are also a form of report writing. Other
examples of reports include book reviews, reports prepared by government
bureaus, PhD theses, etc. Any research investigation may be presented in like a
technical report, a popular report, an article, a monograph, or, at times, even in
the form of an oral presentation. The technical report is prepared for specialists
who have interest in understanding the technical procedure and terminology used
in the research project. The report will be in technical language. In the technical
88
report, the main emphasis is on: (i) the methods employed; (ii) assumptions Report Writing
made in the course of study and; (iii) the detailed presentation of the findings,
including their limitations and supporting data.

Popular data is intended for persons who have limited interest in the technical
aspects of the research methodology and research findings. The audience will
include laymen and even top executives who want summary reports. The popular
report is one which gives emphasis on simplicity and attractiveness. The
simplification should be sought through clear writing, minimizing of technical,
particularly mathematical details, and liberal use of charts and diagrams. Attractive
layouts along with large print and many subheadings is another feature of a popular
report. In such a report, emphasis is given on practical aspects and policy
implications.

5.3 WRITING THE RESEARCH REPORT

Once the data collection and analysis work is over, the researcher will start writing
the research report. Social and development research reports need to
have a logical, clear structure
be to the point
use simple language, and have a pleasant layout
Just as an architect has to draw a layout plan for a house that is being designed,
you first have to make an outline for your report. This outline will contain a
head, a body, and a tail. The head consists of a description of your problem
within its context (the country and research area), the objectives of the study and
the methodology followed. This part should not comprise more than one quarter
of the report, otherwise it becomes top-heavy. The body will form the bigger
part of your report: it will contain the research findings. The tail, finally, consists
of the discussion of your data, conclusions, and recommendations.

Before you start writing, it is essential to group and review the data you have
analysed by objective. Check whether all data has indeed been processed and
analysed as you planned in the research protocol/proposal which is duly approved.
Draw major conclusions and relate these to the research literature. Again, you
may be inspired to go back to your raw data and refine your analysis, or to search
for additional literature to answer questions that the analysis of your data may
evoke. Compile the major conclusions and tables or quotes from qualitative data
related to each specific objective. You are now ready to draft the report.
The research report will have, broadly, three parts.
Part I : The Preliminary Pages
Part II : The Main Text of the Research Report
Part III : The End Matter

5.4 THE PRELIMINARY PAGES OF RESEARCH

REPORT
The preliminary pages of the research report should have the following main
constituents. 89
Data Collection and Analysis • Title and cover page
• A foreword
• Preface
• Acknowledgements
• Table of contents
• List of tables
• List of figures
• List of appendices
• List of abbreviations
• Executive Summary
i) Title and Cover page
The cover page should contain the title, the names of the authors with their
designations, the institution that is publishing the report with its logo, (e.g.,
Health Systems Research Unit, Ministry of Health), the month, and the year
of publication. The title could consist of a challenging statement or question,
followed by an informative subtitle covering the content of the study and
indicating the area where the study was implemented. However, this is
suggestive in nature and should not be considered standard. It would be
appropriate if the cover page is designed by an expert in computer graphics
who may be suggested to include some important photograph related to
identity of organization or problem under study or from the field within the
background. Design software may be used. An example of a title of a research
report is given in the box below.

Title of the research report

Labour Migration and its Implication on Rural Economy of Indo-Gangetic
Plains of India

ii) Foreword
A foreword is usually a short piece of writing found at the beginning of a
book or other piece of literature, before the introduction. This may or may
not be written by the primary author of the work. Often, a foreword will tell
of some interaction between the writer of the foreword and the story, or, the
writer of the story. A foreword to later editions of a work often explains how
the new edition differs from previous ones. Unlike a preface, a foreword is
always signed. An example of a foreword is given in the box below.

Foreword
Migration of all kinds, particularly income seeking migration across state
boundaries, has attracted much attention in recent scholarly and policy
literature. This study provides sufficient evidences of the effect of labour
migration, more specifically, male outmigration on the rural economy of
the Indo-Gangetic region. The number of districts of high and moderately
high male outmigration has increased. The findings reveal the holistic
scenario of migration led changes in agricultural and household domains.
I am sure that this volume would be of great interest to researchers, policy
makers, and development agencies while framing strategies for agricultural
and rural development.
90
iii) Preface Report Writing

A preface, by contrast, is written by the author of the book. A preface generally

covers the story of how the book came into being, or how the idea for the
book was developed; this is often followed by thanks and acknowledgments
to people who were helpful to the author during the time of writing. A preface
is an introduction to a book or other literary work written by the work’s
author. An example of preface is given in the box below.

Preface
The present study was conducted in three states of Bihar, Uttar Pradesh,
and Punjab to study various aspects of labour migration, and its impact on
rural economy in the Indo-Gangetic plains in India. The study focused on
labour outmigration across two states of the Indo-Gangetic Region and in-
migration in Punjab. The results of this study would help researchers, policy
makers and planners as well as development agencies in addressing various
issues of labour migration and its implication in India.

iv) Acknowledgements
It is good practice to thank those who supported you technically or financially
in the design and implementation of your study. You should not forget to
thank your research guide and your employer, too, who has allowed you to
invest time in the study; and, the respondents may be acknowledged. You
should not forget to acknowledge the contribution of computer professionals,
library staff, local officials, and the community at large that provided the
information. Acknowledgements are usually placed right after the title page
or at the end of the report, before the references. An example of
acknowledgement is given in the box below.

Acknowledgements
I take this opportunity to thank the Indian Council of Agricultural Research
for providing funds and facilities for the project. I offer my sincere thanks
to the Director, Indian Agricultural Research Institute for his encouragement
and support for pursuing this study. I am also grateful to the head, Division
of Agricultural Economics, IARI for providing all needed support,
encouragement, and technical guidance. All the Research Associates, Senior
Research Fellows and technical assistants working under the project deserve
special appreciation for their hard work and sincere efforts in completing
this project.

v) Table of Contents
A table of contents is essential. It provides the reader a quick overview of
the chapters with major sections and sub sections of your report, and page
references, so that the reader can go through the report in a different order,
or skip certain sections. The sections and sub sections within each chapter
may be given numbers that are specific to the chapter. For example, a section
in chapter III may be given no as 3.1; and, a sub section as 3.1.1. An example
of a table of contents is given below.

91
Data Collection and Analysis Contents
S. No. Contents Pages
1 Introduction
2 Review of Literature
3 Methodology
3.1 Data
3.2 Analytical Tools
3.3 Profile of Area Under Study
4 Research Findings
4.1 Macro Level Evidences
4.2 Evidences from filed Survey
5 Discussion
6 Conclusions and Policy Implications
7 References
Appendix

vi) List of Tables

If you have many tables or figures, it is essential to list these also in a table
of contents with formatted with page numbers. The initial letters of the key
words in the title are capitalized and no terminal punctuation is used. An
example is given below.

List of Tables
S. No. Name of the Table Pages
2.1 Sampling Pattern of Households in the Study Area
3.1 Migrants by Last Residence in India
3.2 Total Inter-State Migrants by Place of Birth in Major States
3.3 Social Characteristics of Households in the Study Area
. .
. .
. .

vii) List of Figures

The list of figures appears in the same format as the list of tables, titled List
of Figures.
viii) List of Appendices
The appendices will contain any additional information that the researcher
have collected while carrying out the study. It may be a questionnaire, a
letter of appreciation, a government notification, etc. The list of appendices
appears in the same format as the list of tables.
92
ix) List of Abbreviations (optional) Report Writing

If abbreviations or acronyms are used in the report, these should be stated

in full in the text the first time that they are mentioned. If there are many,
they should be listed in alphabetical order as well. The list can be placed
before the first chapter of the report.

The table of contents and lists of tables, figures, abbreviations should be

prepared last, as only then can you include the page numbers of all chapters
and sections, sub-sections in the table of contents. Then, you can also finalise
the numbering of figures and tables and include all abbreviations. An
example of a List of Abbreviations follows.

x) List of Abbreviations
List of Abbreviations
AI : Agreement Index
CMIE : Centre for Monitoring of Indian Economy
CV : Coefficient of Variation
DEA : Data Envelopment Analysis

xi) Executive Summary

The summary should be written only after the first or even the second draft
of the report has been completed. It should contain
• a very brief description of the problem (Why this study was needed)—
the main
• objectives (What has been studied)
• the place of study (Where)
• the type of study and methods used (How)
• the major findings and conclusions
• the major (or all) recommendations.
The summary will be the first (and for busy programme manager/decision
makers most likely the only) part of your study that will be read. Therefore,
it demands thorough reflection and is time consuming. Several drafts may
have to be made, each discussed by the research team as a whole.

As you may have collaborated with various groups during the drafting and
implementation of your research proposal, you may consider writing
different summaries for each of these groups. For example, you may
prepare different summaries for policymakers and programme managers,
for implementing staff of lower levels, for community members, or for the
public at large (newspaper, TV). In a later stage, you may write articles in
scientific journals.

In this section, we discussed about the types of report and the contents to
be included in the preliminary pages of research report. Now answer the
following questions.

93
Data Collection and Analysis Check Your Progress 1
Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What should be included on the cover page of a research report?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What is the importance of writing an acknowledgement in a research report
and where should it be placed?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................

5.5 MAIN COMPONENTS OR CHAPTERING OF

RESEARCH REPORT
The Main Text includes the following chapters
• Introduction
• Review of Literature
• Methodology
• Research Findings
• Discussion
• Conclusion and Recommendations
• Summary

5.5.1 Chapter 1: Introduction

The introduction is a relatively easy part of the report that can best be written
after a first draft of the findings has been made. It should certainly contain some
relevant (environmental/ administrative/ economic/ social) background data and
information about the topic on which you are carrying out research for example
if you are doing research on primary education, then a brief about the status of
primary education, such as their number, state-wise break up, expenditure on
primary education, etc., need to be described. You may make additions to the
corresponding section in your research proposal, including additional literature,
and use it for your report.
94
Then, the statement of the problem should follow, again, revised from your Report Writing
research proposal with additional comments and relevant literature collected
during the implementation of the study. It should contain a paragraph on what
you hope/ hoped to achieve from the results of the study. Enough background
should be given to make clear to the reader why the problem was considered
worth investigating.

The general and specific objectives should also be included in this chapter. If
necessary, you can adjust them slightly for style and sequence. However, you
should not change their basic nature. If you have not been able to meet some of
the objectives of the project, this should be stated in the methodology section,
and in the discussion of the findings. The objectives form the heart of your study.
They determined the methodology you chose and will determine how you structure
the reporting of your findings.

5.5.2 Chapter 2: Review of Literature

Global literature can be reviewed in the introduction to the statement of the
problem if you have selected a problem of global interest. Otherwise, relevant
literature from individual countries may follow as a separate literature review
after the statement of the problem. A literature review is a body of text that aims
to review the critical points of current knowledge and or methodological
approaches on a particular topic. Literature reviews are secondary sources, and,
as such, do not report any new or original experimental work. Its ultimate goal is
to bring the reader up to date with current literature on a topic, and forms the
basis for another goal, such as future research that may be needed in the area.
A well-structured literature review is characterized by a logical flow of ideas;
current and relevant references with consistent, appropriate referencing style;
proper use of terminology; and an unbiased and comprehensive view of the
previous research on the topic. One research study should be presented in one
paragraph and it should mention the name of the researcher, year of study, topic
and area of study, sample size, main objectives, and findings of the study. An
example of a review is given in the box below.

Review of Literature
Singh (2008) conducted a study on labour out-migration from the Indo-
Gangetic plains of India. The study provides sufficient evidence of the
effect of male out-migration on the rural economy of the Indo-Gangetic
plains of India. Male out-migration has resulted in gender role reversal in
terms of decision making on important household and farm issues. Besides,
the women of the migrant households had to take up many male specific
activities, like land preparation, seed selection, broadcasting, irrigation,
and herbicide application. The study also proved that the crop returns of
non-migrant households were significantly higher than that of migrant
households in case of both rice and wheat cultivation. The technical,
allocative and economic efficiencies of non-migrant households was much
higher that the migrant households in both rice and wheat cultivation.

5.5.3 Chapter 3: Methodology

The methodology adopted in conducting the study must be fully explained. The
scientific reader would like to know about the basic design of the study, the
95
Data Collection and Analysis methods of data collection, information regarding the sample used in the study,
the statistical analysis adopted and the factors limiting the study .The methodology
section should include a description of
• the study type
• major study themes or variables (a detailed list of variables on which data
was collected may be annexed)
• the study/ target population(s), sampling method(s) and the size of the
sample(s)
• data collection techniques used for the different study populations
• duration of data collection
• how the data was collected and by whom
• procedures used for data analysis, including statistical tests (if applicable)
• any constraints and its management
• limitations of the study.
If you have deviated from the original study design presented in your research
proposal, you should explain to what extent you did so, and why. The
consequences of this deviation for meeting certain objectives of your study should
be indicated. If the quality of some of the data is weak, resulting in possible
biases, this should be described as well under the heading ‘limitations of the
study’. An example of methodology is given in the box below.

Methodology
Data Collection/Sample
A micro level study based on primary cross section data was designed to
attain the objectives of this project. The survey was conducted in three states;
Bihar, Uttar Pradesh and Punjab. A systematic interview schedule was used
to collect information on various aspects of labour migration and its impact
on rural economy of Indo-Gangetic Plains of India. The data was collected
for 200 families with migration and 200 families without migrating members.

Analytical tools
Various statistical tools were used in the analysis of data. Those are mean,
standard deviation, correlation, t-test, and regression.

5.5.4 Chapter 4: Research Findings

A detailed presentation of the findings of the study with supporting data in the
form of tables and charts, together with a validation of the results is the next step
in writing the main text of the report. The result section of the study should
contain the statistical summaries and reductions of data, rather than raw data.
All the results should be presented in a logical sequence and split into readily
identifiable sections.
The systematic presentation of your findings in relation to the research objectives
is the crucial part of your report.
The list of data by objectives will help you to decide how to organise the
96 presentation of data. The decision concerning where to put what can best be
made after all data have been fully processed and analysed, and before the writing Report Writing
starts.
When all data have been analysed, a detailed outline has to be made for the
presentation of the findings. This will help the decision-making on how to organise
the data, and is an absolute precondition for optimal division of tasks among
group members in the writing process.

At this stage you might as well prepare an outline for the whole report, taking
the main components of a research report as a point of departure.
An outline should contain
• the headings of the main sections of the report
• the headings of subsections
• the points to be made in each section
• the list of tables, figures and/or quotes to illustrate each section.
The outline for the chapter on findings will predictably be the most elaborate.
The first section under findings is usually a description of the study/ target
population. When different study populations have been studied, you should
provide a short description of each group before you present the data pertaining
to these informants.
Then, depending on the study design, you may provide more information on the
problem you studied (size, distribution, characteristics). Thereafter, in an analytic
study, the degree to which different independent variables influence the problem
will be discussed.
For better understanding, an example of how the research findings are tabulated
and presented in the form of findings is given in the following table. An analysis
of table 5.1 is given in the box below.

Table 5.1: Social Characteristics of Migrants (Percentage)

Particulars Bihar UP Overall
Number 245 308 553
i) Age Profile
Up to 30 Years 69.80 56.49 62.39
31 to 45 Years 26.53 35.39 31.46
Above 46 Years 3.68 8.11 6.15
ii) Literacy Status
Illiterate 33.88 19.16 25.50
Primary 50.20 29.87 38.00
Matriculation and above 15.92 50.97 36.48
iii) Social Status
Upper Caste 22.86 9.42 15.37
SC/ST/BC 77.15 90.58 84.63
97
Data Collection and Analysis
Analysis of Table 5.1
The socio-economic characteristics of the migrants are depicted in Table 3.
The table clearly shows that in UP there had been 308 migrants from 200
households while Bihar had only 245 migrants from 200 households. On an
average, 62 percent of the migrants were below 30 years of age with a higher
percentage of younger migrants from Bihar than from UP. Most of the
migrants from both UP and Bihar were literate, and only 25 per cent of the
total migrants from both UP and Bihar were illiterate. Most of the migrants
belonged to a schedule caste or backward class, the percentage being higher
in UP (91%) compared with Bihar (77%).

Tables and Figures in the text should be numbered and have clear titles. It is
advisable to first use the number of the section to which the table belongs. In the
final draft you may decide to number tables and figures in sequence. It is
appreciated in case some pictures from the field are also appropriately presented
to give visual presentation of the field information.

Include only those tables and figures that present main findings and need more
elaborate discussion in the text. Others may be put in annexes, or, if they don’t
reveal interesting points, be omitted.

It is advisable to involve statistician/data analyst from the very beginning and in

each process of the research so that he may provide meaningful tables and himself
judge irrelevant findings.

Note: It is unnecessary to describe in detail a table that you include in the

report. Only present the main conclusions.
The first draft of your findings is never final. Therefore, you might concentrate
primarily on content rather than on style. Nevertheless, it is advisable to
structure the text from the beginning in paragraphs and to attempt to phrase
each sentence clearly and precisely.

5.5.5 Chapter 5: Discussion

The findings can now be discussed by objective or by cluster of related variables
or themes, which should lead to conclusions and possible recommendations.
The discussion may also include findings from other related studies that support
or contradict your own. For easy understanding, the discussion of the table given
in findings is given in the box below.

The socio-economic characteristics of the migrants are depicted in Table 3.

The number of migrants gives an idea about frequency of migrants in a
household. In UP, the percentage of households having more than one migrant
was relatively higher when compared with that of Bihar. Most of the migrants
in both the states were up to 30 years of age. This clearly indicates that
young men in their productive age were more involved in migration. Similar
results were reported by Sidhu et.al. (1997) and Kumar et.al. (1998) in their
studies, that most of the migrants of both the states were literate and belong
to the backward sections of the society. The underlying fact is that the
backward classes belonging to the lower social hierarchy were more capable
of doing menial jobs and tasks, which required lot of energy.
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5.5.6 Chapter 6: Conclusions and Recommendations Report Writing

The conclusions and recommendations should follow logically from the

discussion of the findings. Conclusions can be short, as they have already been
elaborately discussed in Chapter 5. As the discussion will follow the sequence in
which the findings have been presented (which in turn depends on your objectives)
the conclusions should logically follow the same order. Sometimes, it is advisable
to present conclusion and recommendations in specific sections related to issues
of importance/under investigation/objectives of the study for better clarity to
different stake holders. The conclusions should be given in bullets so that it can
easily catch the attention of the reader.

Remember that action-oriented groups are most interested in this section.

The conclusions should be followed by suggestions or recommendations. While
making recommendations, use not only the findings of your study, but also
supportive information from other sources. The recommendations should be
generated from the findings and conclusions. It should not be generalized; rather
it should be specific to particular stake holders in pure, actionable term which is
feasible in relation to social context, policy and constitution of country, political
acceptability, budget, time, etc. One should not give general recommendations
such as, “Government should provide free treatment to everyone for all health
problems”.

If your recommendations are short (roughly one page), you might include them
all in your summary and omit them as a separate section in Chapter 6 in order to
avoid repetition.

5.5.7 Chapter 7:References

This is the list of books/articles in some way pertinent to the research which was
followed while conducting research. It should contain all those works which the
researcher has consulted. The references in your text can be numbered in the
sequence in which they appear in the report and then listed in this order in the list
of references (Vancouver system). Another possibility is the Harvard system of
listing in brackets the author’s name(s) in the text, followed by the date of the
publication and page number, for example: (Sharma et. Al., 2000: 84). In the list
of references, the publications are then arranged in alphabetical order by the
principal author’s last name. You can choose either system as long as you use it
consistently throughout the report unless some guidelines specifically ask for it
(in case of research publications).
The references should be given in the following order.
1) Name of the author, last name first.
2) Title, underlined to indicate italics.
3) Place, publisher and date of publication.
4) Number of volumes.
Example
Kothari, C.R., Quantitative Techniques, New Delhi, Vikas Publishing House
Pvt. Ltd., 1978.

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Data Collection and Analysis For magazines and newspapers the order may be as follows.
1) Name of the author, last name first.
2) Title of the article, in quotation marks.
3) Name of the periodical, underlined to indicate italics.
4) The volume and number.
5) The date of the issue.
6) The pagination.
Example
Robert V. Roosa, “Coping with Short-term International Money Flows”, The
Banker, London, September, 1971, p.995.

5.5.8 Annexure
The annexes should contain any additional information needed to enable
professionals to follow your research procedures and data analysis.

Information that would be useful to special categories of readers but is not of

interest to the average reader can be included in annexes as well.
Examples of information that can be presented in annexes are
• tables, figures (graphs) and pictures referred to in the text but not included
in order to keep the report short
• lists of hospitals, districts, villages, etc., that participated in the study
• questionnaires or check lists used for data collection
• A list of research team members.
Note: Never start writing without an outline. Make sure that all sections
carry the headings and numbers consistent with the outline before they are
word-processed. Have the outline visible on the wall so that everyone will
be aware immediately of any additions or changes, and of progress made.

5.6 STYLE AND LAYOUT OF THE REPORT

The style of writing and layout of writing are two important components of
report writing. However, revising and finalizing the text may also be considered
as another important aspect in same line.

5.6.1 Style of Writing

Remember that your reader
• is short of time
• has many other urgent matters demanding his or her interest and attention
• is probably not knowledgeable concerning ‘research jargon’.
Therefore, the rules are
• simplify- Keep to the essentials
• justify- Make no statement that is not based on facts and data
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• do not quote the name of anyone who has provided the information Report Writing

• in case of sensitive findings, one should think not to clearly mention name
of village/ location, etc.
• quantify when you have the data to do so; avoid ‘large’, ‘small’- instead, say
‘50%’, ‘one in three’
• the percentage 45.8 in table may be presented in the text as about 46% and
45.3% may be presented as approximately 45%
• be precise and specific in your phrasing of findings
• inform, not impress - avoid exaggeration
• use short sentences
• use adverbs and adjectives infrequently
• be consistent in the use of past and present tenses
• avoid the passive voice, if possible, as it creates vagueness (e.g., ‘patients
were interviewed’ leaves uncertainty as to who interviewed them) and
repeated use makes dull reading
• aim to be logical and systematic in your presentation.

5.6.2 Layout of the Report

A good physical layout is important, as it will help your report
• make a good initial impression
• encourage the readers
• give them an idea of how the material has been organised so the reader can
make a quick determination of what he will read first.
Particular attention should be paid to make sure there is
• an attractive layout for the title page and a clear table of contents
• consistency in margins and spacing
• consistency in headings and subheadings, e.g.: Font size 16 or 18 bold, for
headings of chapters; size 14 bold for headings of major sections; size 12
bold, for headings of sub-sections, etc.
• good quality printing and photocopying
• correct drafts carefully with spell check as well as critical reading for clarity
by other team-members, your facilitator and, if possible, outsiders
• numbering of figures and tables, provision of clear titles for tables, and clear
headings for columns and rows, etc.
• accuracy and consistency in quotations and references.

5.6.3 Revising and Finalising the Text

Prepare a double-spaced first draft of your report with wide margins so that you
can easily make comments and corrections in the text. Have several copies made
of the first draft, so you will have one or more copies to work on, and one copy
on which to insert the final changes for revision. When a first draft of the findings,
discussion, and conclusions has been completed, all working group members
and facilitators should read it critically and make comments.
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Data Collection and Analysis The following questions should be kept in mind when reading the draft.
• Have all important findings been included?
• Do the conclusions follow logically from the findings? If some of the findings
contradict each other, has this been discussed and explained, if possible?
Have weaknesses in the methodology, if any, been revealed?
• Are there any overlaps in the draft that have to be removed?
• Is it possible to condense the content? In general a text improves by
shortening. Some parts less relevant for action may be included in annexes.
Check if descriptive paragraphs may be shortened and introduced or finished
by a concluding sentence.
• Do data in the text agree with data in the tables? Are all tables consistent
(with the same number of informants per variable), are they numbered in
sequence, and do they have clear titles and headings?
• Is the sequence of paragraphs and subsections logical and coherent? Is there
a smooth connection between successive paragraphs and sections? Is the
phrasing of findings and conclusions precise and clear?

The original authors of each section may prepare a second draft, taking into
consideration all comments that have been made. However, you might consider
the appointment of two editors amongst yourselves, to draft the complete version.
The help from proof readers may also be taken to remove minor mistakes from
the draft.

It is advisable to have one of the other groups and facilitators read the second
draft and judge it on the points mentioned in the previous section. Then a final
version of the report should be prepared. This time you should give extra care to
the presentation and layout: structure, style and consistency of spelling (use spell
check!).

Use verb tenses consistently. Descriptions of the field situation may be stated in
the past tense (e.g., ‘Five households owned less than one acre of land.’).
Conclusions drawn from the data are usually in the present tense (e.g., ‘Food
taboos hardly have any impact on the nutritional status of young children.)

Note: For a final check on readability you might skim through the pages and
read the first sentences of each paragraph. If this gives you a clear impression
of the organisation and results of your study, you may conclude that you did
the best you could.

5.7 COMMON WEAKNESSES IN REPORT

WRITING AND FINALIZING THE TEXT
It is important to know the general mistakes committed in report writing and
also the points to consider while finalising the text.

i) Endless Description without interpretation is a pitfall. Tables need

conclusions, not detailed presentation of all numbers or percentages in the
cells which readers can see for themselves. The chapter discussion, in
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particular, needs comparison of data, highlighting of unexpected results, your Report Writing
own or others’ opinions on problems discovered, weighing of pro’s and con’s
of possible solutions. Yet, too often the discussion is merely a dry summary
of findings.

ii) Neglect of Qualitative Data is also quite common. Quotes of informants as

illustration of your findings and conclusions make your report lively. They
also have scientific value in allowing the reader to draw his/her own
conclusions from the data you present. (Assuming you are not biased in
your presentation!). Presentation of important photographs also makes report
attractive and explains facts better.

iii) Sometimes qualitative data (e.g., open opinion questions) are just coded
and counted like quantitative data, without interpretation, whereas they
may provide interesting illustrations of reasons for the behaviour of
informants or of their attitudes. This is serious maltreatment of data that
needs correction.

In these sections you have read about the main text and end matter of the research
report. You have also read about the style and layout of the research report. The
general mistakes committed while writing a research report and the method of
finalizing the text have also been given. Now, answer the questions that follow
in Check Your Progress 2.

Check Your Progress 2

Note: a) Write your answer in about 50 words.
b) Check your answer with possible answers given at the end of the unit
1) What is the order of chaptering in a research report?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
2) What information do annexes and appendices contain?
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
.......................................................................................................................
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Data Collection and Analysis
5.8 LET US SUM UP
The last part of any research is writing the research report. The report writing is
an art as well as science. You have to identify who will be reading your report
and the report should be prepared accordingly. A summary of report in the
beginning is important. The report layout plan should be comprehensive and all
aspects of report including realistic recommendations and future directions of
research should be described.

5.9 REFERENCES AND SELECTED READINGS

Ackoff, R. L. (1961), The Design of Social Science Research, Chicago: University
of Chicago Press.

Bailey, K. D. (1978), Methods of Social Research, New York.

Berelson, B. (1952), Content Analysis in Communication Research, Free Press,

New York.

Berenson, B. and C. Raymond (1971), Research and Report Writing for Business
and Economics, Random House, New York.

Kothari, C.R.(1978), Quantitative Techniques, New Delhi, Vikas Publishing

House Pvt. Ltd.

Gatner, E.S.M and C. Francesco (1956), Research and Report Writing, Barnes
& Noble Inc., New York.

Gaum, C.G., H.F. Graves and L. Hoffman (1950), Report Writing, 3rd ed., Prentice
Hall, New York.

Gopal, M.H. (1965), Research Reporting in Social Sciences, Karnatak University,

Dharwad.

5.10 CHECK YOUR PROGRESS – POSSIBLE

ANSWERS
Check Your Progress 1
1) What should be included on the cover page of a research report?
The cover page should contain the title, the names of the authors with their
titles and positions, the institution that is publishing the report with its logo,
and the month and year of publication. The title could consist of a challenging
statement or question, followed by an informative subtitle covering the
content of the study and indicating the area where the study was implemented.
2) What is the importance of writing an acknowledgement in a research report
and where should it be placed?
It is good practice to thank those who supported you technically or financially
in the design and implementation of your study. Also your employer who
has allowed you to invest time in the study and the respondents may be
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acknowledged. You should not forget to acknowledge the contribution of Report Writing
computer professionals, library staff, local officials, and community at large
that provided the information. Acknowledgements are usually placed right
after the title page or at the end of the report, before the references.
Check Your Progress 2
1) What is the order of chaptering in a research report?
In any research report, the general trend of chaptering is as follows:
Chapter 1 Introduction
Chapter 2 Objectives
Chapter 3 Methodology
Chapter 4 Research Findings
Chapter 5 Discussion
Chapter 6 Conclusions and Recommendations
2) What information do annexes and appendices contain?
The annexes should contain any additional information needed to enable
professionals to follow your research procedures and data analysis.
Information that would be useful to special categories of readers but is not
of interest to the average reader can be included in annexes as well.

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