of molehills & mountains

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Of Molehills and Mountains

The Tiers & Tears ofResearch Enumeration

Exploring Methodology in Micro Research


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Variables in Survey Enumeration

Poverty? or Ingenuity? These photographs show dwellings erected out of driftwood and other

materials on a beach in Northern Samar, Philippines, after the typhoon seasona.

(This document represents the views of the author only.)

From the start of any research project in a developing country, an enumerator is faced

with a dilemma: With the staggering number of variables and consequences, comes thequestion, where do I start in this lot? The work of an enumerator is to collect and

enumerate raw information and present these in raw form prior to any analysis. Although

some analysis is always required, it is normally the role of an end users programme analyst

or statistician to interpret the information. Giving in to the tendency to analyse

information during a canvassing period is contrary to obtaining an unbiased result.

Also, the end user or the organisation/agency commissioning the research may be far

removed from the research site, may be making judgements from out of date or

manipulated macro information, or may have biases that are restrictive to an enumerator.

It is often assumed that one size fits all and many projects flounder and large amounts of

monies are lost because local or micro research was not undertaken, or that assumptions

were made from un-validated information. The enumerators first task is to guard against

assumptions that may colour the results of his research.

The Investors in Relief or Development Projects

The presentation of enumeration ways and means documents and the conclusions reached

from the enumeration are numerous and in context, vary widely and it is often in the

presentation that interested readers perceptions are formed. Keeping in mind that an end

user (be it academic or organisational) has financed a research project, many report

documents are deliberately couched in terms that do not affront an end user and these

can lose credibility in the eyes of knowledgeable readers. Research documents that openly(albeit inoffensively) point out to an end user that the end user lacks the ability to provide

a full response to a given situation, are taken as honest appraisals and viewed by readers

with respect. In other documents, we see where a researcher has openly stated that the

original parameters of a research project totally failed to encompass the need at the

micro level and that there was a need to carry out secondary enumeration that did reflect

the situation. These, however rare, also gain credibility insomuch that the researchers

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ability to respond. Thus, the research enumeration and analysis may show incidences

where the end user does not have sufficient technical resources available to be able to

respond to the full need. However, the recording of partial or total inability to respond

should be recorded with equal importance, since micro situations often do not fit macro

assumptions. However, macro level documentation is usually the starting point of any micro

level research, used to prime a format for a micro investigation.National and international agencies and organisations independently produce documentation

to show that certain areas [macro] of the world are under stress in terms of poverty.

There are sufficient statistics available to show that within the macro are distinct areas

[sub-macro] where particular stresses are highlighted. These may be environmenta

problems, conflicts, poverty, political, religious, or a combination. By definition, there are

variables at the macro and sub-macro levels that can only be explored and quantified at

the super-micro, micro or sub-micro levels. By definition, sub levels of macro or micro

situations are lead variables.

The author finds some difficulty in jumping between macro and micro without a safety net

and, for the purpose of this document. The terms macro and micro are used as points ofenumeration entry and further sub-divisions have been made to enable greater clarity. The

following are terms that may be found within this document.

Macro

Sub-Macro

Super-Micro

Micro

Sub-MicroFew organisations carry out research only for the sake of research. Usually, information is

required (A) to support or challenge an end users line of reasoning that certain areas

should be designated areas (focus areas) for involvement in relief, development or

monitoring, (B) to be able to provide primary profiles of these areas at micro level in order

to be able to determine the type and amount of financial and human resources for

involvement in these areas, (C) to establish a source of primary baseline data for the

potential assignment of available resources, or (D) to provide a source of primary baseline

data for future monitoring purposes.

Priming the Process

Once a decision is made regarding an area or situation in stress, it becomes necessary to

format a means of gathering the required core set of information in order to respond to

the end users need to plan a response to the given stress. The term core set is used to

define the very basic information required, in order to formulate a minimum response to

the stress situation. In formatting any data collection hardware for a survey, the question

is raised: What are the basics that the end user needs to know about these communities,

to aid them in decision making for involvement in aiding reduction of the stress factor?



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Also, given that most national and international information available is macro, giving the

impression that one size fits all, the canvassing needs to be carried out in community

types to better determine the differentials that may have an on influence the relief or

development needs. This type of survey would reflect common points that would be of use

to the end user in terms of the financial and human resources required to meet the need

As an example, the lifestyle of a coastal community cannot be compared with the lifestyleof an inland delta or upland community, although they may not be separated by large

distances. They may use the same fresh produce market and have access to the same local

government amenities, and yet many factors of their lifestyles could differ. The variables

to be found in attempting to include these individual communities in a common research

project are infinite. Within this survey, three individual sub surveys were in effect carried

out, thus providing an overall comparison as an added factor of research project results.

Too many surveys rely on household or environmental activities or assets only, omitting

community profiling that is important to determine the community management capability

that more often than not has a significant influence on the economics of the household or

status of the environment. Yet, it is not possible, or safe, to include all information on oneenumeration questionnaire. From this, it can be determined that two distinctive sets of

information can be gathered in each community type during a visit: A community profile

and individual household or environmental statistics. The poverty status of households

often depends on the overall management of a community by its democratic or dynastic

leaders, and the service provision within a community can often determine the communitys

ranking within a wider area.

Implementing the Process

For large scale information gathering exercises, there are two definite requirements: (A)

to gather the overall information as required by the end user and (B) to put together the

technical aspects that make up the core statistics. The task of enumerating the data

requires the expertise of a professional researcher, who possesses the discipline to

adhere to the rigid requirement of data gathering. This researchers expertise is

gathering data and he/she may not have the benefit of the technical know-how to be able

to interpret certain information. In this case technical advice is required, be it on a single

issue or multiple issues.

Categorising or typing the communities has great importance and should be of paramount

consideration before the onset of any survey activity. In the instance of natural resources

livelihood dependency or in an environmental stressed area, this is critical to any research

analysis. Basic information should be available to assist in these considerations. Varyingaltitudes affect natural resources livelihoods and environmental issues, and although there

may be common factors, imprecise results can be misleading to a non-technical enumerator

In the case of small-scale research projects, it is often sufficient to use an enumerator

with the technical know-how, primarily advised by an expert in data gathering.

To gather information, the lead enumerator should determine that, although the forma

formatting of the survey must be strictly adhered to, the means of canvassing might need



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changes should be made apart from slight changes in the presentation of the

questionnaire. The incidental information that is noted has great value, as this often

reflects community or individual free thinking, and, if presented correctly, can greatly aid

the end user in the decision making process. Too often, research projects are dehumanised

and clinically implemented at field level; this clinical approach is often responded to with

overt hostility towards the enumerators. The temptation is to get in and get out as rapidlyas possible, but to do so is a mistake. Time taken is wasted, time given is profitable.

Worst of all, enumerator fatigue can have an affect on the outcome of any field level

research project. Keeping a human perspective will reduce this unwanted risk. Thus, the

informal approach [or qualitative in the terms of Michael Wards research criteria] has

value. Meetings with community leaders or elders are often accompanied by food and

drinks, and although this may seem to take up a lot of the enumerators time, it is probable

that the time given may shorten the time needed for household data enumeration. Time

given is profitable.

It may not be necessary to spend large amounts of time in an area, as asserted by N. S.

Jodha in Social Science Research on Rural Change: Some Gaps in the book edited byPranab Bardhan in "Conversations Between Economists and Anthropologists" (1989). A

question to be raised here, where the enumerator/s had an almost permanent presence

over a number of years, is to ask what affect the almost permanent presence of an

enumerator had on the outcome of a communitys development. Is the intervention itself

significant on the communitys development

At meetings with community leaders, many issues are raised that have no direct

relationship with the data research project. These should be noted as incidenta

information for inclusion in a tour report. These may include health and nutrition matters,

seasonal income generation opportunities and problems, general production levels, womens

issues, youth issues, development priorities, co-operation of the local government

executives, etc. At no time, should national elections or politics be raised.

Variables within Variables

Within any community, there are factions (social groups) that have their own lifestyles and

possibly their own agendas, be they castes or special interest groups. Community lifestyle

is usually good where those who are responsible for the management of the community can

pull these groups together and where there are reasonable community services provision

(health, education, potable water etc). Service provision is often the key to a communitys

poverty and development status. Although not the only basis for conclusion, as there are

many variables, we often found that the least impoverished communities were those thathad a higher level of service provision and visa versa. Politics can have a role in this, as

investment in services from a higher authority is often dependent on the voting power and

persuasion of the community leaders.

Knowledge of the local language can prove important. In some communities, we noticed that

householders had dug holes in which to put their trash, whilst in other communities, the

trash was just thrown onto heaps. We wanted to ask about this. Since the translator did



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not (or would not, given the outcome) comprehend the word hole, hole is the word that we

used during interviews, with many hand gesticulations. This was always responded to with

mirth from the ladies present, and we later realised that they thought we were asking

about testicles, as the local word for this sounded very much like the word hole. We

dropped this line of enquiry as a result.

Whilst in an area, local market surveys can be commissioned for a basket of food andthese can show the market forces, both for natural resources produce and for

commodities. These can have added value, as they may show one or more variables that

affect separate communities. Communities A and B may have similar income sources and

levels, yet community A may have the capability to produce more fresh vegetables and

thus their basket of food items will cost less than community B where fresh vegetables

have to be imported, showing a disparity in household expenditure on basic foods.

Habituation to Enumerators

Out of interest (in India and Bangladesh) we looked at the number of times certaincommunities had been put under the microscope and much to our worst expectations we

found that those communities with easy access for vehicles had been subject to

researches many times, that those with reasonable access had been moderately

researched, whilst those with poor access had been rarely or never researched. From this

it would seem that enumerator comfort, including speed of progression, is a factor that is

given too much importance.

Furthermore, the communities that had been subjected to many surveys, had realised the

potential for development benefits to their community and subsequently focused their

responses on issues that were of most concern to them, overestimating the problems to

gain sympathy. Any information from these must be considered corrupt.Unfortunately, the findings from this incidental survey were never officially recorded and

thus, not presentable. However, they show that caution should be taken when the

selection of communities is in hand. It also shows that enumerators should be prepared to

travel in less comfort to reach the less accessible communities.

There is no right way

In chapter 2 of "Poverty, class and gender in rural Africa" (1990), the authors take the

brave step to criticize the methodology used by a number of previous researchers but

totally fail to make their case, despite valid points raised. To produce an unbalanced

criticism of previous methods used at different times, ranging from the 1950s to the

1980s, is at best foolhardy and at worst crass, especially in the light of vastly improved

hardware and support services available in the 1990s. To describe the "shortcomings" and

"problems" of previous methods could be supported if the authors had not gone on to give

the impression that theirs was, in the 1990s, the only right way. This is nave, particularly

when they go on to state "The methodology adopted for the fieldwork in the West

Usambaras could not escape entirely from the limitations arising from a time-specific

snapshot." But why should it? Nothing had to be "adopted" if the breaking of any moulds or



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challenges to any methods is to be undertaken. There is no need to attempt to trample

over other methods from previous times to gain notoriety when the parameters have

changed so much and decades have passed. The point of academe is to challenge the

boundaries of the fields of research, but to claim a new methodthat is actually adopted

from previous methods, while trashing those same methods, leads to a total loss of

credibility. There is noone right1

way in research.In terms of publishing, lengthy end notes only serve to confuse and cause much shuffling

through pages. Succinct2 footnotes provide adequate guidance.

In any survey, there are many variables that come to light. It would take academics

anthropologists and development experts many years to follow all of these through. In

addition, many different, even conflicting, conclusions would probably be reached. The old

adage that asking ten experts to give a conclusion will result in eleven or more documents

has a certain truth about it. The object of any survey is to provide the end user with one

of the many tools needed to determine its next strategical move as a relief or

development agency, whether or not they are resident in the area. Relief and development

agencies resources are finite and have to be used in the most effective way within a givenarea, situation or mandate. A survey is part of a process and, as such, proffers the most

basic and up to date information available regarding only a limited set of variables. To seek

to cover all variables would entail a process that would take many years. End users provide

a timeframe, within which to generate results, and sufficient funds to enable the research

to be undertaken. Should the end user require additional information to aid planning and

implementation, it is often the supporting or incidental information that provides

sufficient guidance and also may explain many of the variables. It might be found that a

variable may, in fact, have a significant impact on the overall status of a community

although this was not known prior to the enumeration.

An example of this might be the influence that a seasonal weather pattern may have on

the cost of fresh market produce or work opportunities. The correlation of information

can show significant consequences on whole communities, in as much that malnutrition

expenditure on health remedies, loan repayments etc., are considerably affected by these

variables.

The Variables

The dictionary defines variable as A quantity that may take on any set of values.

Time factors and costs are a major restraint to any field research, as end users have

budgets and deadlines to meet. Often, the fact-finding tours are a necessary evil to be

endured and they want these completed in the shortest available time. This puts theenumerators at a considerable disadvantage, as shortcuts may have to be taken.

Who, in the space of a single document or time allotment, could describe all of the

variables and inter-related consequences attached to them? Some of course are obvious

1 Right: as in correct, accurate, true or precise.2 Succinct: as in brief, concise or to the point.



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members. Too often, the structure of a dwelling is used as a poverty indicator; where

there are natural materials used for dwellings, households are usually assumed to be

poorer than those that use modern materials. Researchers ignore the social preference of

the occupants who may think that natural materials are more comfortable than modern

materials. There is no doubt that dwelling construction is a poverty indicator but not an

absolute indicator.In education, it is often assumed that the high dropout rate of children in the first year

of education is due to poverty. This is not always so, as there are other variables that may

trigger dropouts. Many children, for example, stay at home because they find school very

boring; it is more interesting to stay at home to help mum or dad. The assumption is made

that because these children are seen to be working, they do so because of poverty. What

people sometimes fail to consider is, although may be from low-income families, they may

be working because they find it more interesting than being at school. These are variables

that have nothing to do with poverty but are a social preference or social concerns

Parents themselves, mostly poorly educated, may say that it is okay if their child does not

wish to attend school. This could be called social indifference. The decision to drop outmay also have been caused by doubts regarding the aptitude of teachers, in which case,

interventions to improve teacher training may be more effective than anti-poverty

activities.

In many instances, it may be necessary to break the habituation to existing circumstances

as this does not allow thinking out of the box.

In documentation [Beyond the Visions and Missions of Development in Northern Samar

(Philippines) VSO / PDI 2006] the author used statistics from a 2003 community and

household survey [Project 813] and correlated the results of this with the provincial

governments database information, the Department of Agriculture statistics and the

National Statistics Office 2002 Agricultural Census. The final document also included

market price statistics, weather and other statistics. Although the VSO survey showed

many instances where the VSO enumerated information aligned with the other information

available, there were instances where variances were found. Further research showed that

those responsible for this information had not updated their information from physica

research or had used old information and manipulated these. There were other instances

when deeper investigation of the local government information clearly showed that one

mathematical formula had been carried over to all of the individual municipalities. The end

result was a totally false representation of actual statistics. Visits to communities

revealed that no local government enumerator had been seen in the area for many years

The author of the VSO/PDI document had to spend many months validating as much loca

government information as was possible, prior to including these in the documentation.

VSO = Voluntary Service Overseas PDI = Project Development Institute



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As many authors on research methodology have noted, the use of electoral rolls, consumer

and other lists for sampling immediately introduces biases in any research project. For

example, the 1973 survey of smallholder tea producers in Tanzania [Sheila Smith 1990]

produced a list of names that included names of family members who had no ownership

rights or participation in tea production. This was because the names were given at the

behest of others, to avoid acreage limits on tea garden ownership. Many have usedelectricity consumer lists as guides, overlooking that these are comprised mostly of people

in urban areas, where electrical supply is the norm, whilst there are large areas of non-

urban communities, where electricity is perhaps still a thing of the future. In addition

electricity consumer lists may not even accurately reflect the number of people with

electrical connections. It has also been found that official records show that (say) 40% of

dwellings have connections, whereas physical research shows that (say) 85% of dwellings

receive electricity. Many of the unofficial connections buy electricity from their

neighbours, avoiding the need of official meters.

When most communities were originally established, common sense dictated that these

communities settle near a source of safe drinking water, and modern records still reportthese as being sources of potable water. However, there are many cases where the size of

the community has outgrown the sustainable supply of water, or that the water supply is

adequate but no longer safe to drink. There is now a requirement to make a distinction

regarding whether or not the once potable water is still safe. Prime water sources are now

in many cases, polluted and no longer potable. Other variables show that spring water

sources have diverted due to natural causes and whole communities have been left dry.

Maps that we often have to refer to can be fifty years old or more. Very few local people

have ever seen a map and cannot relate a flat piece of paper to their environment, the

usefulness of maps may be limited. However, studies in India and other countries have

shown the remarkable accuracy with which the local people can create a three dimensionalmap out of soil and pieces of wood. We learn from the communities as much, we hope, as

they learn from us, and this is especially so when development advisors are assigned to a

project at grass roots level.

Reading the Numerations

An investigation into the number of malnourished schoolchildren showed that the root

cause was directly related to the work opportunities available and these, in turn

dependent upon seasonal weather changes.



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Northern Samar, PhilippinesLow-Income Household

Work Opportunity Monitoring

70%

75%

80%

85%

90%

95%

100%

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Work

Opportunity

Trendline

An end user was interested to look at a particular region and discern why certain

communities had increasing amounts of household debt. They suspected that declining rice

yields was the cause. As it turned out, they were correct in their thinking, yet there were

many variables that took control out of the householders hands.

The result of the investigation showed that although the low crop yields were the primary

cause, there were many unavoidable variables, with consequences, that required attention

Not least of these was the need to neutralise the soil condition and assist with soil erosion

defences in the upland areas. Many rice production areas depend on heavy rainfall and, tosome extent, flooding. Yet one of the major problems often found is that, during

monsoons, there is too much water. Few communities have put up storm-water dispersa

systems. Great effort has been made to entrap water to ensure sufficient water-logging

for cultivating and planting, yet this same system is often the cause of excessive flooding

and crop loss. In this instance, the only activity that these community members could have

undertaken was to have improved the storm water drainage prior to the monsoon season.



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The roll over affect from this single problem causes subsequent cultivating and planting

delays over a number of cropping seasons.

As an example, the following chart shows an actual situation of illegal logging being carried

out on one island in the Philippines. The extract is taken from a document entitled "The

Domino Effect", commenting on the consequences of one action upon another within a

community, in which the main source of income for rebels came from the illegal loggingactivities.

The chart poses some questions regarding cause and effect. Does this depict the cycle

and are the armed forces correct in their assumption that rebels are at the beginning of

this cycle? Or, are the rebels a result of the lack of social services and of environmenta

depletion?

Of Molehills and MountainsAs can be classically seen from the excellent analysis in Uncertainty on a Himalayan

Scale (Thompson, Warburton & Hatley 1986), it is not possible to define what form a

molehill may take at any given time. Indeed, molehills at the foot of a mountain are unseen

much less noticed, by those that sit atop the lofty peaks. The comprehension of many an

end user is often one that suits the end users ability to respond. Thus, any knowledge

gained should fit their parameters. Too often, end users find that the knowledge gained



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fits only where it touches and thus inappropriate claims are made to be able to respond to

the whole need, whereas, in fact, the end user may only be able to respond to a small

percentage of the whole. The corporate status seems to be from the ownership of the

knowledge and not the ownership of the responsibility.

It is simply not possible to identify a micro situation from a macro overview, although an

end users macro viewpoint is the prime motivation of preliminary response. It also showsus that not only do we need assistance in the navigation of these lofty heights; we also

need assistance to navigate through the mass of molehills, or even to identify variables on

in and around the molehills.

Those that dare to challenge the forgone conclusions made at macro level may be seen as

pariahs by some, and yet are seen as guardians of the moral right by others. Until we, who

work in the field, stoically plodding through the maze of incidentals that make up micro

research, decide to stand with the pariahs, we too shall be lost amid the plethora of smal

details.

That we need scientific information is a given; otherwise how will we be able to judge if we

are involved in assisting forward motion or maintaining stagnancy. The challenge, as stated

in Uncertainty on a Himalayan Scale, is whether to face mountain "bald as a coot, or

buried under a pile of biomass. We dramatically alter the lifestyles at micro level and

alienate individual communities when we lump them together as one entity.

Research documents provide historical information, although these often out of date by

the time of publishing. None the less, these are extremely important documents that, if

validated, should not be taken lightly. We all need starting points. We can also be tempted

to go off at tangents, but if the tangent (variable) is interesting enough, there is cause to

include this in documentation.

Never has there been or ever will be one right way to collect micro level statisticsalthough there are many wrong ways. And like fleas on a dogs back, variables are

numerous but not always seen.

Core Studies-2006



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Understanding [or otherwise] some of terminology in humanitarian projects used in this

document:

Community

profile:

This is the result of research and enumeration of community statistics, the

management capability of the community leaders and the service provision

within a community, whereby management decisions affect individua

community members whether or not individual community members have aparticipatory role in any immediate decision taken on their behalf.

Community

management:

Whether official or not, all communities have some form of hierarchy, be it

through tribal elders that lead through family ties and have guided a

community for many generations, or through regularly elected officials. Al

communities are managed, in one way or another.

Community

typing:

All communities have an identity and, in enumeration analysis, it is important to

use these identities as a means of comparing lifestyles. Communities within a

given area may vary in livelihood dependency and it is of great importance that

these are identified or typed. Subsequent intervention planning decisions may

depend on the ability to recognise the essential identity of individua

communities.Core set of

data:

Used to define the very basic information required, in order to formulate a

minimum response to the stress situation. Once agreed upon, it cannot be

altered, as this will corrupt all previous data.

End user: The primary agency or organisation that instigates a research project todetermine a value of any given situation that it believes needs addressing.

Incidental data: Information gathered that is not part of the core data but has value.

Informal data: Information gathered that is not part of the core data but has value.

Intervention: No country or organisation should intervene in any country other than toprovide emergency relief under a United Nations flag.

Involvement: Any country or organisation can be involved with any project at the invitation

of a host country or organisation.Lifestyle: The lifestyle of any community is the essence by which a community exists and

is often dependent on a typical livelihood or a cultural tenet. Any relief or

development involvement must take into account these variables. Similar

communities within a given area can be compared but cannot assumed to be

representative of the whole area under consideration.

Macro: As implied, this term provides a picture at a large or overall scale.

- - Sub-macro: This provides a picture where necessary, at a scale that is neither macro normicro.

Marginal: In this context, the term marginal is used to describe core or variable data. Itmay refer to a community on the borderline of impoverishment, at risk of

descending into an impoverished situation should an overall situation

deteriorate. Can equally apply to the environment, agriculture, community

members, etc.

- - Super-micro

Micro: As implied, this term provides a picture at small scale.

- - Sub-micro: This provides a picture at a scale smaller than micro, when it is deemednecessary to do so.



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Poverty

indicator:

Any set of validated statistics that shows a community or individual as below a

set standard value of impoverishment. Caution is required on two levels. 1

That many assumptions are made that do not consider important variables and

2 that many indicators are set at macro level and have no relevance in a micro

or local situation.

Socialindifference:

This is where community members accept without question a given situationnot knowing or giving heed to any consequences. Can equally be termed as

fatalism or habituation.

Social

preference

This is where community members select an action to invoke a personal choice

as being their prime choice.

Tour report: A report that accompanies the final presentation of the core data and acts asa source of incidental or informal information relative to the core data.

Variable: A quantity that may take on any set of values. A variable can be any value thathas a direct bearing with one or more values within a set of core data and / or

has a direct consequence within the area of interest of a core data value.

a The photographs depict a small business enterprise by a low-income family; to collect driftwood

and sell this as fuelwood. The answer is yes to both questions.

of molehills & mountains

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