African household survey capability programme : some aspects of household survey methodology

UNITED NATIONS

ECONOMIC AND SOCIAL COUNCIL

Distr.

LIMITED

E/CN. 14/CAS. 10/18

16 May 1977

Original: ENGLISH

ECONOMIC COMMISSION FOR AFRICA"

Tpnth session of thp Conferpnce of African Statisticians Addis Ababa, 17-22 October 1977

AFRICAN HOUSEHOLD SURVEY CAPABILITY PROGRAMME Some aspects of household survey methodology

CONTENTS

Paragraphs Pages

Introduction „<.„.„., 1-10 1- 2

Repeated-visit economic survey 11-12 2 - 3

Background 11-12 2-3

Sample design ... 13-30 3 - 9

Survey pro cedures ... 31 — 47 10 - 15l

Questionnaires 16-37

Working sheets ... D o - „ 38-42

Single-visit economic survey 48 - 106 43 - 52

Survey design and content 48-50 43

Notes on questionnaire 51-53 43

Questionnaire „.»...,. 53 — 61

Labour force survey .... 107 - 113 63 - 65 Survey design and content 107 - 113 63 - 65

Questionnaire • •.. 67 - 70

INTRODUCTION

lo The ninth session of the Conference of African Statisticians indicated that it would welcome the circulation of specimen survey questionnaires, Such documents can often make a useful contribution tc the design of specific national inquiries and they help to avoid duplication of effort in developing methodology appropriate to the African region.

2- Resources available in the "3CA secretariat are at present too limited for any comprehensive review of African survey designs and questionnaires.

It is also doubtful whether such an exercise .would Toe profitable because many of the previous surveys were of an ad hoc nature and not consistent with the current aim of establishing continuing and integrated survey programmes within the context of national statistical systems-

3« The secretariat therefore proposes to respond to the wish of the Conference by distributing information on survey designs in 'which ECA is directly involved, and which can be regarded as components of ongoing pro grammes c In general1, ths material will relate to methodology already applied

or under active consideration by countries of the regions plus tentative iedas on new survey arrangements which may meet special conditions or data requirements. In the initial stages there will be no attempt to produce anything approaching a polished surveys manual<» It seems more important to circulate relevant information as it becomes available and the present paper is a first attempt to present details of economic surveys.

4* To some extent the population field has already been covered by the

ECA/UNESCO Manual on Demographic Sample Surveys for Africa which comprises a

technical and practical body of operational survey detail. However it was written before the need for integrated survey programmes became apparent and some of its proposals may need revision with respect to the programming of survey activitiess use of core questions, etc.

5. The secretariat would like to suggest that ECA should not be the only

agency which distributes information on survey methodology in the African region. One of the essential concepts of the African Household Survey Capability Progr-tmme is that surveys will develop more q/\ickly if countries help cne another in technical matters. This can be achieved cults easily through bilateral exchange of information and the more general circulation of relevant documents» However such arrangements are not working well at the moment and a special effort will be needed on the part of survey statisticiansc It also has to be borne in mind that most surveys can bo organized in a number of different ways and the approaches of individual bxpsrtb arc j.nflusnoed by thei^ training and rracti'sO oxp?7iL-i?r:e!< I?CA is therefore anxious that the views of its own staff should not be the only ones circulated in the region* Many national statisticians hava equally interesting experience and it is important that they should contribute to the overall process of methodological development.

E/CN.14/CAS.10/13

Page 2

6. In the present paper information is given on two kinds of household economic survey. The first is a repeated-visit arrangement of the type favoured by African countries because it provides not only structural data but also details of expenditure patterns, seasonal changes, etc. The second is an untested survey design drafted "by the secretariat in the hope that it may be of use to countries which need basic household economic data but lack the resources for repeated visits to a sample of reasonable size. It con centrates on the fundamental details which any co-operative household can make available during a single lengthy visit and then goes on to use these

details-in constructing a broad but comprehensive set of household accounts.

It must be emphasised that the second survey arrangement is strictly

experimental and some of its procedures may prove to be over-enthusiastic.

7. The chcioe of the two survey designs in this paper results from the priority which African countries are giving to household economic data. In

this connection it is interesting to note that there are some differences between the African approach and that in other parts of the world.

8. Household surveys in industrialized countries are labour force oriented and also to some extent have to keep track of changes in patterns of con sumption expenditure- They provide essential data for estimating the level of employment and cost of living which are the two main considerations under present conditions. They can also be relatively modest in scale because a great deal of other information on household conditions and activities is available from administrative sources-

9. Information available at ECA on survey activities in other developing regions is at present rather limited. Latin America appears to be con

centrating on labour force and basic income data along the lines proposed in

■the "Atlantida" study prepared ~by "the US Bureau of the Census- In the Far East the Indian National Sample Survey has been developing independently

during the last quarter of a century as a rather comprehensive data collection instrument but notably also excludes the current African emphasis on details of consumption expenditure.

10. In the future there will be a need for Africa to keep its data collection priorities under review, mainly because lengthy budget surveys are expensive.

The single-visit method suggested here probably goes too far in the effort to reduce costs but it should be noted that it is still a more intensive inquiry

than those proposed for household income and expenditure surveys in the Atlantida study-.

REPEATED-VISIT ECONOMIC SURVEY

Background

11. The survey design described in this section is being considered for

application in the Sudan and is based on previous experience in Ghana, Kenya

and Lesotho. It covers both urban and rural areas and aims to obtain a com prehensive record of household transactions during a period of one year.

E/GN.14/CAS.10/18

Page 3

12. Although the presentation here has "been generalised as far as possible, it still reflects its origin in the documentation relating to a specific country. This perhaps points to one important conclusion: survey designs are generated from a body of internationally accepted concepts, definitions, classifications and basic probability theory, but each survey must neverthe less be tailor-made to meet particular conditions and requirements.

Sample design Rural sample using census frame

13«■ It is usual to base the sampling arrangements for household surveys on the geographical frame available from a previous population census. Four possible methods for use in rural areas are examined in the following notes.

They are all self-weighting and incorporate an income stratification of the ultimate-stage household sample. A self-weighting sample makes it somewhat easier to process the rather detailed records from an income-expenditure survey and the sample is more efficient if larger proportions of higher- income households can be selected. Figures relating to the Sudan have been retained for purposes of illustration.

14* Basic data

Supervision Areas (SA) In whole country

^numeration Areas (EA) In whole country.

Average number per SA Households

Average number per SA Average number per EA

2 18

2,049

,462 ,800

,142

832 108

7.636068

.308 -997

Other abbreviations: PP3 Probability proportional to size.

EP Equal probability.

S/F Sampling fraction.

15« PPS selection at first and second stages. 50 SAs, two EAs in each selected SA and 2,400 households at the third stage.

Selection chances in unsr.ratified sample*

Any SA (PPS): 50h /2,049-142 (where h is number of households

_{s .-,, \ s}

in SA)

Any EA in this SA (PPS): 2h /h (where h is number of households e S in EA) e

Any one of 24 households in this EA: 24/h

e ' ■

Overall selection chance for any rural

household: 50 x 2 x 24/2,049*142 = 2,400/2,049*142.

Suppose the PPS sample gives 12,000 households in the 100 EAs selected.

Then the sampling fraction in each EA will be: 2,400/12,000 x 120/h , e.g.

in an EA of 275 households the number to be selected is 0*2 x 0.436 x 275*** 24*

In this form there is a fixed third-stage sampling fraction applicable to the entire rural sample plus a deflator which deals with the size variation of individual EAs* The arrangement is used below in introducing an income stratification of households. * "■- :

Three income strata are needed along the lines of the following illustration:

Total households . Number to be selected Overall sampling

btratum ±n selected eas i/ . at third stage fraction

1 2,000 800 0.400 ■-

2 4,000 800 00200

3 6,000 800 O^ljj

12,000 2,400 0«200

Examples:

Large EA with average income distribution

vj. j. tt v -> ^ Sampling. To be , Stratum Households fraction selectsd

2 200 o'.O4O 8 S/F deflator: 120/600

3 300 0.027 _8 .- <-: " °'2

600 24

Large EA with high proportion of lovr-income households:

„. . T, . .. , Sampling To be S tr atum Househol ds ^ A. -ixj

fraction selected

1 - 0,096

2 100 0.048 5 S/F deflator: 120/500

3 400 0.032 13 - 0*24

' <'■"■■■■■■ 500 -. .. 18 _ . __;. ■

Small zone with large proportion of high-income households:

1 20 0.686 14

2 40 0.343 14 S/F deflator: 120/70

3 10 0,228 _2 - 1.715

70 30

1/ The strata are arranged so that each accounts for an appToximately stare of total

E/OT.14/CAS..10/18

Page 5

The number of households to be selected is not affected by variations in EA size "but is affected by variations in the income distribution* The maximum

(48 in this illustration) occurs when the EA has households only in Stratum 1 and the minimum (16) occurs when there are households only in Stratum 3»

In some ways the arrangement may be self-defeating. For example high- income farmers may constitute an EA with few households because their farms are large; their transactions are more complicated to investigate and it is a disadvantage if it is necessary to apply a "deflator" which significantly

increases the workload.

There is a further cause for doubt (probably unjustified) in relation to PPS selection of SAs and EAs. If there is soms unknown variable or

characteristic associated with SA or EA size there is the possibility that a sample concentrating on larger EAs would have a bias which could not be

easily detected-

Use of this arrangement would require revision of the draft Working Sheet 3 (see page 41 )•

16, EP selection in three stages. 50 SAs, 100 EAs and 2,400 households.

Selection chances in unstratified sample:

Any SA, of size ns: 50/2,462

Any BA in a selected SA: 100/£n , the same sampling fraction having been applied to each selected SA,£ n being the total number of EAs in the

sample.

Any household in a selected EA: 2,400/12,000, the same sampling fraction being applied to each selected SA, 12,000 being the total number of households

in the sample•

Overall selection chance for any rural household:

50 x 100 x 2,400/2,462 x<n x 12,000.

Assuming the same overall income distribution as in the previous

illustration the strata sampling fractions would be 0.400, 0,200 and 0.133

in every selected EA. Applying these in the three examples given abovo the

numbers of households to be selected would be 120, 73 and 17 • These are of

course extreme cases but they serve to indicate that enumerators* workloads

could vary widely in the event of large differences in EA sizes. A pre

liminary effort would therefore be needed to group smaller EAs and divide

larger ones as far as possible to achieve roughly constant sizes. Similarly the frame of SAs would need modification to ensure that each SA contains

approximately the same number of EAs. This would be a formidable task

involving the entire rural part of the country and would appear to rule out

the use of two area stages selected on an EP basis.

^7« EP selection :in two stages. 100 £*As and 2,400 Loueo

Hers -the chance of selecting any FA would "he 100/7.8* 800 and the chance of selecting any household,in-a -selected EA £f4OO/l23OOQ? giving an overall

selection chance for .any. rural: household of 2^400/2,256^000. Strata sampling

fractions would be. the came: in; <=■!! s«lfcufce& FA tic

The method provides a inore efficient sample at the expanse of an increase in transport problems« As beX'ors it would be high?.?.'" desirable to reduce the si^.e yar?nt?.^r of EAo before making the firci; yi;age selection*.

1&° ??5 selection in two rtagesP . 100 Bus and 2?4OO households*

If it were necessary to accommodate .p. oi^vJfloant FiA size variation in a two-stag3 sample the first stage could .}>» sGl?oted or. a PPS "^aslaa Then

the chanoss of selecting any EA. would bo 100h^/2;049^142 and the chance of choosing any one of 24 households ir. any selected . cue would be 24/h , giving the overall selection ohance of 2,400/2,049,142 for znj individual household.

Strata sampling fractions for individual gor.es would then.be deflated as indicated in the illustration.

19 o Conclusion

If transport problems can be overcome and ii1 the frame of EAc can be modified to avoid a largo size variation i'i.- wcvC.d be desirable to use n

two-stage EF s&mpleo It it is not possible to reduce the variation in EA siaes £ PPS selection of PAs would, be the so3.ut5.ono

In the event cf serious transport and Qommiui^oaticna difficulties it might be necessary to use a thrGe--r?tage sample with PPS selection at the f irs b two std^os. However this would aot be -iocira^ls beo?usc- it would significantly reduce f?amp3 ing efficiencyc A better alternative world Vie to exclude those parts of the country which arc spaisely populated or economically less impor tanV

The average of 24 households to j^ chcsori in selected BA& is perbaps a little high.. The.number ooulo. be reduced to 18 .l:;' ±t Lva'eiQG the t-ask of

r^tocrn and pr^onsfr-ing s c^f f fji^nxricantly ^aaicx-o Rural sample "based on local

£0. It nay transpire that. -Mho frame fron the les-i. population census io

difficult to use for sampling "because of oae or both of the following reasons:

(1) it was initially J .precise or has not l:een kept systematically .up to date;

(2) it has been„■ at least partially invalidated .by a change in local government

structure.

E/CN.14/CAS. 10/18 Page .7-."

21. If only the first of th9£u difficulties is encountered the solution is straightforward^ the frame has to be improved and Drought up to date, after which it oan be used along the'lines' indicated above. Cn the other

hand, if it is seriously inconsistent with new local government arrangements

and consequently r.lso out of date- aner approach is necessary. This was

the situation in the Sadan and it is likely to be found in a number of other

African countries.

22. A comprehensive national cartographic exercise would require considerable

resources and delay the initiation jf a sorvey programme, fortunately there is a short-cut "by using a direct approach through the local government

structure* Again using the Sudan da4^, and with a slightly increased sample

size, "the arrangement is as follows.

23« PPS selection at first and second stages. 120 local authorities, one enumeration area "f E1A) in each local authority and 2,880 households

at the third stage.

Selection chances in unstratified sample?

Any local authority (PPS)s 120 h /2,049»142 (where hQ is number of households in council).

Any EA in this local authority (PPS): h /hg (where hQ is number of households in EA). ■

Any one of 24 households in this EA: 24/h •

Overall selection chance for any rural household: 120x24/2,049 >H2

= 2880/2,049? H2.

Suppose the PPS sample gives 14,400 households in the 120 local

authorities selectedc Then the sampling fraction in each local authority

will bes 2s880/l4,400 x 120/h e.g.- in an EA of 275 households the

number to be selected is 0*2 ie0u436 x 275 * 24- Income stratification

at the third stage remains unchanged-

24« The method requires a rather extensive tut unavoidable exercise in compiling a complete list of local government unite and the approximate numbers of households they contain but this is quicker than a national

cartographic operation*

25* A].though some of the data on local authority sizes could be built up from previous census records it is probably "better to envisage an operation in collaboration with the local authorities. This approach is in any case

needed for survey administration and in preparing for the next census. A

simple questionnaire covering the necessary details is given on Page 9

but it should be understood that the returns received from local authorities will need to be reconciled with any available census records.

E/CN.14/CAS. 10/18

Page 8

26. Local authorities are normally too large for survey preliminary enumera

tion purposes end would lead to households too widely scattered for

convenience during budget recording* It is for this reason that they are divided into Eis of approximately 100 households with one EA being drawn from each local authority, again with probability proportional to size. Villages are not recommended as suitable units for the second area stage because of

considerable size variation It should also be noted i.iat the demarcation of EAs is a further contribution to preparations for the next population census.

27 • Mapping and all other preparatory field work for the survey are confined to the selected local authorities. Other aspects of the sampla design are similar to those in the samples drawn from e census frams described above and tbe arrangements remain self-weighting as before^.

28* Coverage limit=itionc to exclude nomadic and any other special areas should

be decided beforo the selection of primary area units begins. The point to be borne in mind in this respect is that earlier surveys should oovar as much of the total population as possible but there would be no advantage to be derived from extending operations to parts of 3 country where communications and other difficulties are severe.

Urban sample

29. The urban sample can be very similar to that for rural areas and details are not discussed here. It will be seen that the rural sample requires the use of 100—120 enumerators i.e. one to each of the selected penultimate—stage units* For the urban areas about another 60 enumerator are needed. If each deals with 24 households; as in the rural areas, budget recording can take place on lr440 households at any given time. It is suggested that the

ultimate-stage sample should be replaced every three months which means that

5*760 households can be investigated in the course of a yoar.

30a In addition to considerations of economy5 the reasons for sample , replacement along these lines are the less significant- seasonal variations in urban area3, greater dependence on employment income which can be

measured in a short time, and the smaller amount of patience which urban people normally have for lengthy inquiries.

E/CN.14/CAS.10/18

Page 9

Questionnaire for collecting data on sizes of Village and Quarter Council

Province

List of Village/Quarter Councils %

People's Rural/Town Co.uncil Location of People's Counoil

Serial Number

Name of Village/

Quarter Council. Location Approximate Number

of households Observations

Prepared Date

\J See paragraph 25.

E/CN.14/CA3.10/18

Page 10

Survey procedures ... ■

31. The methods of selecting enumeration areas (liAs) is described above.

In each of the selected EAs it will be necessary to enumerate all households

using two simple questionnaires (Forms 1 and 2 on pages 17 and 18 ).

32, Form 1 is a visitation record which summarizes data according to the dwelling units covered by.the enumeration. It gives minimal information on the numbers of households and persons in each unit and ia also used as a means of recording basic housing information.

33« Form 2 is concerned with the structure of individual households in each dwelling unit and with crude income data which provide a basi3 for

stratification in the ultimate-stage sample of households. This form consists essentially of a normal census-type listing of household members plus estimates of non-agricultural earning by individual members (wages,

.trading, .handicrafts, etc) and the value of agricultural sales of the

household as a whole in the past year. There are additional questions on property owned and accommodation which are intended as supplementary information and the form also includes a summary of household membership.

34» It should be understood that Form 2 is required to provide only a broad distinction between lower, middle and higher income households. However it should be borne in mind that it uses cash income as an indicator of total income and would therefore be less effective in areas with a high proportion

of subsistence.activity5 this form may need some modification after field

testing.

35» In both Forms 1 and 2 a distinction is made between-household members

present and those temporarily away. Similar records are maintained

throughout the survey to take account of changes in effective household size. It should also be noted that in Form 2 it may be more convenient

for enumerators to record monthly wages and other earnings and then multiply the total by 12^ this would require only a minor modification in the form.

Processing of preliminary enumeration and selection of ultimate-stage household sample

36. The procedure for summarizing the preliminary enumeration records and

selecting the households to be included in the detailed survey of income, consumption and expenditure is outlined in the following notess

(l) Sort the Form 1 records into two packs; urban and rural. Arrange

the forms in each pack in a suitable geographical order.

(2; From Form 1 summarise the total numbers of houses, non-agricultural

and farming households and persons present and away. Enter the

figures for each EA in separate versions of Working Sheet 1 (Page 39) for urban and rural areas'and complete the Census Area sub-totals.

Overall totals for urban and rural areas will also be needed.

Page 11

Compare the figures for numbers of persons with those obtained from a previous population census if possible. Also »«e the sample results to give a national population estimate Whioh itlII serve as a further check on the enumeration and also indicate serve as 8 further check on the n

whether the EA sample is performing'in. a satisfactory ^ two versions of Working Sheet 1 for urban and rural areas

■ provide control and othsr fibres for the remainder of the

processing. Form 1 is set aside for more detailed"analysis at a

later stagec .

(3) Place the Form 2 records in separate files for each EA. The urban

and rural files need to be kept separate.

(4) Insect the forms to see roughly the range of declared earnings plus household sales of agricultural produce ./

(2) 7. This must be done separately for urban and rural areas because the income distributions are different- Divide these

two ranges into suitable classes and show the class limits in

Iparatf versions of Working Sheet 2 (Page 40 *«**?*\*°*

■ areas, In deciding the class limits care must be taken ^^

large proportion of lower-income households falling into the lowest class while at the same time retaining a satisfactory division of

the. higher-income households.

(5) Sort the forms in each EA file into income classes (remembering that the classes are different for urban and rural areas). Count the numbers of households in each class in each E4 ar.d_ complete Working Sheet.2 in the same geographical order as Hosfcing^Sheet 1.

From-the totals for the whole survey .calculate the total income in

each class- on the basis of the class mean. .

(6) Then decide the income classification to be used for division of the records into three urban and three rural strata, In urban and rural areas separately the"strata should-be arranged so that each accounts for an approximately equal share of'total income, Stra-i limits can be calculated from the data in working Sheet £.

(7) ''Enter the stratum number of each household in the unidentified box at the top of Form 2 and arrange the forms in each EA file in _

thT-ee strata packs. This does not involve a complete-new--sorting .operation because the forms, are already in the order of the

- original income classes. Count the forms and enter- the numbers m Wooing Sheet 3 (Page 41) which also has to be prepared separately

for urban and rural areas. Entries should be in the same _ geographical order as before- These figures provide the basis for

selecting the "budget sample,

(8) The numbers of households to be selected should be equally divided

■between the three strata/ Specific suggestions *n the size of the

household samples .in urban and rural areas are included m" the notes

on sample design but they must be reviewed in the light of travel

and other local conditions. In case of doubt it is safer to ctoose

E/CN.14/CAS.10/18

Page 12

the smaller numbers proposed? there is no point in stretching enumerators and supervisors beyond reasonable limits. The ratios between the numbers to be investigated and the corresponding ' overall totals in Working Sheet 3 give the three urban and three

rural strata sampling fractions. The sampling fraction deflators have to be calculated for each EA separately and are given by the average numbers of households per EA in the rural and urban samples divided by the number of households in the EA concerned (120/hQ in the last of the illustrations above). These figures are then applied to the appropriate overall strata sampling fractions to get the three deflated sampling fractions required for each EA, enter them in the spaces provided in "Working Sheet 3.

(9) Apply the deflated sampling fractions to the numbers of households in the corresponding strata in each EA and enter the number of households to be selected in forking Sheet 3-

(10) Select the ultimate-stage households according to the numbers ■ shown in Working Sheet 3 by a simple systematic arrangement. The forms for the selected households should be marked with a "B" and placed as a separate group at the beginning of each EA file,

(11) The M files are then returned to the enumerators in the field who contact the "3" households informing them that they have been selected for detailed budget recording. The object is to obtain' a definite assurance of co-operation at this stage because it is difficult to make substitutions once the recording has started.

In the case of a refusal or any other problem making it impracticable to retain a particular household in the sample the enumerator

should select another household from the same stratum with approximately the same income. It is for this reason that the

complete file of Form 2 records has to be returned to him.

(12) The number of substitutions must of course be small. Supervisors should report details of the changes proposed and the changes should be made only after authority has been given by the head

office.

(13) Enumerators then compile lists of the selected households in duplicate on Working Sheet 4- une copy is returned to the head office together with the file containing the preliminary enumeration records. Information on household members, etc. contained in

these records can be processed separately at a later stage.

(14) An additional operation to select sub-samples from the main

household sample would be required if it were decided to maintain daily records of consumption expenditure, etc. for a small

proportion of households. However no such arrangement is proposed -

in the present notes. . "'

k/cn.i.;/cas. :o/i8

Page 13

The arrangements described, above involve only one main and one subsidiary sorting operation on household forms. The households have to be counted in completing Working Sheets 2 and 3 hut the processing does not involve any additions of

the figures contained in Form 2. Some additions are required in compiling Working Sheet 1 from Form 1 but they are of a minor nature,,

All of the processing is carried out at the EA level which means that the forms can remain in their files Bad there is nc problem in handling the rather large quantity of papers involved- The wb/^le process can be completed very quickly provided there is sufficient clerical labour available.

The best way of ensuring an adequate supply of labour ia to arrange for field supervisors to bring the files for their own areas to the head office, carry out the analysis and then

take the files back to the field again when it is completed.

By participating directly in this part of the processing the supervisors gain a 'Very much better understanding of survey objectives and problems and also a clearer idea of the

economic and social conditions of the households they are investigating*

Detailed records of income, consumption and expenditure

37- The survey arrangement described in this note envisages continuous recording of the activities of a fixed sample of rural households over a

complete year and a sample of urban households which changes quarterly.

It would be very unreasonable to compile records over such a long period without providing for frequent summaries of the results as a means of

assessing progress and identifying recording errors by comparing the survey aggregates with other available economic data,.

38- It is understood that the integration of the results of different

survey rounds in an on-going survey programme will be possible through the

introduction of certain core questions at the household level. Form 3 (Page 19)

has been designed for this purpose= The column headings are in most cases self-explanatory» However, the enumerator's manual should explain these in most detail. This core questionnaire at the ultimate-stage household level should be adapted to the prevailing conditions of any country.

39, Form 4 (Pages 20 - 37) has therefor^ "been designed as a monthly return to

be submitted by enumerators. As previously- indicated material is collected through four visixs to the sample household concerned. The form ia essentially a comprehensive record of receipts and payments and its structure ia

explained by the summary section on the first page. It applies to both urban and rural areas but a version of the form with less agricultural detail

might be more convenient for urban use.

i 10/18.

Page..1.4"

40. Commodity items and their units have not "been shown in the specimen Form 4 because they wiir vary from country to country \J* They have to be pre-printed in the spaces which have "been left "blank and are arranged in a way which

entails some repetition, "but permits easy summarisation of data at regional

office level. Examples' of the working sheets required for this purpose are not included in the present paper but they are very simple and follow the arrangement of Form 4. There is no need for coding of items "because they are

identified "by their standardised positions in the field records and the

working sheets-

*t" ■

41. The general arrangement envisaged is.as follows. At the end of each

month field supervisors bring the Form'4 records compiled by their enumerators

to the regional offices. They will have already scrutinized them in

collaboration with the enumerators and they will do so again with the staff

of the regional office. The set of columns at the right of Form 4 which

contain all necessary indicative information and the monthly totals can then be.out from the remainder of the form. They are then summarised manually within'strata straight onto the working.sheets. Weights are then applied to the strata totals which can then be added to provide a single set of monthly

totals for each geographical area, again keeping urban and rural areas

separate. An example of how the weights are calculated is given below.

42. Regional offices then send the monthly totals to the head office for

amalgamation at the national level.

43. This part of the processing indicates seasonal changes and also provides a continuing check on.the results of the survey so that recording and

other faults can1be identified and corrected quickly.

44. After the summaries have been completed each month the detached parts of,Form 4 are placed in files for individual households. At the end of the year the records for each household are summarised to give annual totals for rural households and quarterly ones for'those in urban areas. These

summaries-are'-the basis for the remainder of,the processing which comprises income, and other -classifications of the data. It is the only part of the processing which takes place after the field work has been completed and can

if necessary be computerized.

45. In addition to the. material collected in Form 4 other information can

be obtained from each household. For example it may be desirable to compile information on loans outstanding at the beginning and end of the survey and also, .to.measure the household farms, Additional modules of this kind can

normally be introduced without too much difficulty.

1/ ECA has commodity lists for a number of African countries and they

will be made available in a separate document.

E/CN.H/CAS. 10/18

Page 15

Calculation of strata weights

46. The strata weights referred to above are the same for all geographical

areas (urban and rural separate) covered by the survey unless adjustments have

to be made for missing households. Calculation of the weights is illustrated in the following table which again uses figures relating to the last of the rural sample designs discussed earlier.

Stratum

1 2 3 All strata

Total households in selected EAs

2 400

4 800

7 200

14 400

Number selected at ultimate stage

96O 960 96O 2 880

Sampling

fraction Weight

0.

0.

0.

400 200 133

0.

1.

1.

5

0

5

0.200

47* The weights are obtained by dividing the overall ultimate-stage sampling

fraction (0.200) by the individual ultimate-stage strata sampling fractions.

When applied to the survey results for each stratum, the weights produce

figures which would be obtained (less accurately) from an unstratified sample

with the same number of households as that actually used. Data for the three strata can then be added. The advantage of the arrangement is that there is no manual processing problem arising from any large change in the order of magnitude of the figures. When the data for all urban and rural areas have been nraalgamated, they can of course easily be raised to the level of national estimates if necessary^ most of the results are normally more useful and manageable if presented as household averages.

E/CN.14/GAS. 10/18 Page 16

Questionnaires

Pages Form 1 Visitation record for

preliminary enumeration 17

Form 2 Preliminary enumeration household

record 18

Form 3 Uliimate-stage household record 19 Form 4 Monthly record of household

transactions for ultimate-stage

sample 20

Page 17

Government of Form 1

Household economic surveys Year

Census!

area i

Supervision

area

Enumeration

area

Enumerator

Name: No.

Town or village

House No.

Tota

Jumber of households Non-

farm Farm

ing ^Total

List of dwelling units

Total persons Pres

ent Away- Total

Description of dwelling uni No. of

rooms

Structure Roof Walls Floor

. 1

Year when built

,10/18

Page 18 Fora 2

Governaeat of

Household Eoonoals Survey: Tur

Enuaerator

Supervise?

Visited

Oft

Cheeked

on

CeiMa*

Area Town or Village Address of heuseheld

SA EA House

No.

Ward or Quarter

HOMM- hold No.

Ho.

1 -.. 2 3

4

5 6 7 8 9 10 11 12 13 14 IS

N a m «

RP RA or VIS

R*latioft«M»

to head Sax Aga EdwatloMl

AttatnuMt

OMupailon

now or

last job

States 1. Employer 2* Salfcap.

3. Employet 4. Unaap.

Total (1)

Non-agr.

aarning*

In past

year

Value of agricultural sales In past year Property owned '_

Fields Building*

Near Far Total

Aeeoanodatl on No, of rooa*

Monthly rent Condition of tenanoy If not rented SiMwaryi

Household Members Present

Away

Total

Adults Juveniles Adults Juveniles

persons

M F Total

Crops

Llvs- stoek &

Poultry

Cash erops Cereals Roots Pulses Nuts & seeds Vegetables Fruit*

Other Large animals Saall anlaals etc.

Poultry Livestock i poultry products

; Total (2)

Total of (1) and (2)

OT7-343

For«3 Governmentof HouseholdEconomicSurveyiY«ar Enumerator Swpervlaor

Visited on Chaoked on■

Census Arei Townor Village Addressof hntunhnlri

SAEAHouse No. Wardor Quarter

Houae- holdNo, No. 1 7 3 4 5 6 7 B 9 10 XX 12 13 14 15

NAME

RP RA or Via

Relation ahlpto hxad

SaxAgsMarital atatusEthnic orotipDuration of prtaant raaldanoe

Plaeaof previous realdanca

bdnca~ tlonal attaln- MMt

Mainooeupatlon (Stat*Iffull tiM«student atpresent}

Siaiu* Ifune«p« £seeking work,state Ifnever worked before

whereworking Non- howse- hold •ett- vlty

House hold enter* prise Housing Type

condition: FloorWallaRoofNo.of roo«a

Yearwhen builtConditionof tenancyAnnual rentMeansof lightingSourceof waterQlstanoeofsourse ofwater(kas)Sewage PrimarysohoolSecondarysohoolHealthcentreLocalnarketCoop.storeBusroute

>■ hdCO a• 0>sw ao

H>

\OGO

Staple ^staple

Page 20 Government of

Receipts and payments record Address:

Household economic survey: Year

Census area I

Supervision Area j Enumeration Area I

Stratum i

i

Household j

I

Month jnumerator

Staple

4

~1

CO Eh H

O

H

CO EH Ml

Ph

Farming

income

Sales

Home

consumption of own produce

Crope Livestock

Livestock products Crops

Livestock j

Livestock products

Consumption of own-produced seed.; fodder,eto.

Income from other enterprises Private income

Other receipts

Total receipts Farm operating costs

Other enterprise operating costs

Consumption

Food and drink

Clothing and footwear Gross rent, fuel and power

Furniture, household go*ds and operation Medical care and health services

Transport and communications

Recreation, entertainment, education; etc

Miscellaneous goods and services

Home consumption of own produce Non-consumption current expenditure Other payments

Total payments

Explanation of "balance: Balance

+ or -

1

Page 21

NUMBER OF HOUSEHOLD 1st week No

Present

Adults Males Female Juveniles Males

Females

Awaii

Adults Males Females Total

2nd week Nc

3rd week No

4th week No

Total No

Averago No

!_.

Farming income Saleo

/

Page 22

Total livestock products Hime consumption of own produce

S.. 10/18 Pag,, 23

tie at Milk

Milk pro due ts_

1st -week.

Skins-or hides

2nd week Q. ^Y

3rd week V

4bh week v

Total

j

Hair ar wool M&ntirp

Total livestock products

Consumption of own- produced seed & fodder

Total own-produced seed and fodder

from other enterprises

Trading resales (ex

cluding own prr-

ductjon)

Y

Sale of goods pro- duced or processed Home consumption of goods produced or processed

Use of gooda produced or processed in house- hold enterprises

V Y V

Charges for services rendered or work done Other "business

receipts

Total income from other enterprises

E/CN,14/CAS.ir.'/l8

Page 24

Private income

Wages and salaries

Property income (rent, interest & dividends)

Social security and social assistance Remittances received,

transfers of goods, cash grants & gifta Insurance & private pension "benefits

Total private income

Other receipts

Sale of enterprise property

Sale of private

property _,

Loans received for enterprise activity Loans received for

private purposes

1st week 2nd week ^{3rd week} 4th week

V T V V

Total V

1

Repayment of loans given

Other non-income receipts

Total other receipts PAYMENTS

Farm operating costs Seed fodder, etc. from own produce

1 , _..

Seed, fodder, etc.

purchased Fertilizer

Insecticides and pesticides

Construction materials

repair

Sub-total fwd

E/CN ,i;

Page 25

Sub-total f"wd

Agricultural services and transport

Rental of equipment and Buildings

Wages and salaries

paid (including pay ments in kind)

Farming taxes less subsidies

Rent on land Interest paid on farm debt

T 0 tal farming_ costs Other enterprise opera-

tins costs

Value of own products used in household

enterprises

Cost of raw materials

& semi-finished goods

"bought for processing etc.

Cost of goods "bought for resale

iiixpenditure on miscel laneous business supplies

Rent and other charges paid in cash

Fuel, electricity,

gas, petrol, water, etc.

Cost of hire & repair of equipment- transport charges p&id & other miscellaneous expenses Repairs to buildings^

maintenance charges

Sub-total fwd

1st week V

—

2nd week V

3rd veok V

4th vroek V

■

Total V

6

E/CN.14/CA3.10/18

Page 26

3rd week 14th. week

-™E__I__

Sub-total fwd

Wages and salaries paia

(inol. payments in kind)

Business taxes,

licences, accountants' fees & other service charges

Interest paid on business loans

Total other enter prise operating costs

Consumption expenditure

Food and drink Cereals & cereal products

Total cereals &

products

Total meat

. 10/18

week } 2nd V

Pish

Fresh fish & shellfish Fish, dried or salted Canned fish & shellfish

; ! i

Kilk, dairy products and

Total milk, dairy products and eggs Oils and fats

Total oils & fats Fruits & ypgetables

(others than tubers)

E/CN.U/CAS.10/18

Page 20

Total vegetables

Total nuts & seeds Pota'tope, tubers and

roots Potatoes

Sweet potatoes Other starchy roots

Starches (pure, dry)

Other tubers & roots Total potatoes, tubers and otter roots

Page 29 •

Coffee (beans or ffround)

Total coffee, tea,

Othpr foods

Cost of processing foodstuffs other than cereals

Total other foods Non-alcoholic drinks

Total non-alcoholic drinks

E/CN.H/CAS.l'v/lb

Page 3^

Alcoholic drinks

__ . ^

Total alcoholic drinks

Tobacco Cigarettes Snuff

Pipe tobacco Other smokables

-Total tobacco Summary1 food & drink

Cereals and products Meat

Pish

Milk, dairy products and eggs

Oils and fats Fruits

Vegetables Pulses

Nuts and seeds

Potatoes, tubers, etc.

Sugar

Coffee, tea, cocoa, etc Other foods

Sub-total fwd

1st week Q

""■■-■—..

V

2nd week

ft

j

V

_-—-^""

V V

3rd week

Q

.-^

4th week

Q

i

1 —1

V

■

— ~.

V

V .

Total

Q

^V

V

11

Page 31

Sub-total fwd Non-alcoholic drinks Alcoholic drinks

Total food & drink Clothing and footwear

Men & "boys over 15 years

Total men & boys i/cmen & girls over 15 years

Total women & girls Children 15 yrs

Total children

E/CN.14/GAS.10/18

Page 32

Summarys clothing and footwear

Men & boys 'Women & girls Children

Total clothing &

footwear

Gross rnnt, fu*l & power House rent

Ea.tes.

Water Charcoal Firewood Kerosene Electricity

Electric batteries Gas

Other fuel & power Total rent, fuel and power

Furniture, houspnold poods & operation

Beds Chairs Tables Cupboards Shelves Mirrors

Pictures & decorations Lamps

Carpets. & rugs O.$her furniture Repairs to furniture

Total furniture

1st week V

,

2nd week V

3rd week V

i

1

4th week V

i

■

,. . .

Total V

--.- .

13 ■

E/CH-14/CAS.10/]-3

Page 33

Sheets Blankets Towels

Table clothes Napkins

Pillow cases Curtains Pillows Mattresses Other linen or bedclothes

Total linen, etc.

Stove, oven Refrigerator Fan

Air cooler, air conditioner

Sewing machine

Other durable equipment Repairs to equipment

Total equipment Pans

Trays Bowls

Dishes, plates Coffee pots Tea pots Cups

Glasses, mugs

Knives, spoons, etc.

Other utensils Repairs to utensils

Total utensils

1st week V

2nd week V

3rd week V

4th week V

Total V

14

E/CN.14/CAS.10/16

Page 34

Suit cases, "bags Animal skins Mosquito nets Thermos flasks Torches

Buckets & washing tubs Brushes

Rope and string Matches

Shoe polish

■Washing powder Cleaning powder Other

Total other equipment Cleaning and laundry Cooking and other domestic services

■ Total household services

Summary.;. fur ni tur e, household goods and operation

Furni ture Linen Equipment Utensils

Other equipment Services

Total furniture, household goods <k operation

1st week■

V

■

2nd week V

3rd week Y

4th vrsek V

■ 1

"i

.- ■ .-

-

r

Total V

...

... . ;.■■■■ ....-■-

!

i

_ __

i

E/GN.14/CAS, .0/18

Page 35

I^dical earn and health s^rvic^s

Kedicine

Doctors' fees, etc.

Other medical fees Hospital care, etc.

Total medical care Transport and communi- pations

Private car

Motorcycle, scooter Moped

Bicycle

Spare parts for private vehicles Repair of private vehicles

Petrol, oil, etc.

Train Bus, taxi Boat Airplane

Animal transport Removal & storage of

household goods Postal services

Telephone & telegrams Total transport &

communication

Recreation, pirtprtain—

mpnt, education and cultural services

Television Radio

Musical instruments Sub-total fwd

1st week V

2nd week V

3rd week j 4th week

V V

!

,

Total V

j

i

16

E/CN.14/CAS.10/18 Page 36

Sub-total fwd Sports equipment

Photographic equipment Repairs to equipment Cinemas

Sports

Clubs and unions Weddings

Funerals Births

Seasonal feasts Other recreation arid culture Books

Newspapers & magazines School fees

School equipment Total recreation, education, etc.

1st week V

2nd week V

i

JKisCellanedua goods j

and services

Hair dressing, etc- Other personal services Toilet soap

Perfume

Dry perfume (sandal- wood, etc.-)

Other toilet articles Gold ornaments

Silver ornaments Other ornaments Expenditure in restaurants, cafes

& hotels

Other servinefT n.e»o.

Total miscellaneous expenditure

3rd week V ■•

4th week V

Total V

j

■ ■ ■

■

•■

17

E/CN.M/CAS.IC/Lu

Page 37

4th week! Total V

Home consumption of own

produce (detailed above)

Livestock

Livestock products Other goods produced

processed

Total home consump

tion of own produce Non-consumption current

expenditure

Other direct taxes

Pension & social

security contributions Insurance premiums

Remittances & gifts (not to household members]

Total non-consumption current expenditure Other payments

Purchases of property Land for agriculture Land for business Land for residence

Vofcioles for Farm equipment Other enterprise

equipment

Construction of buildings (inol. major repairs or

extensions)

Loans given

Investment & purchase of other assets

Total other payments

Pago 38

he o to

ShOet 1 jifiLiiin-: rv; .;-( r,vi tpjS&XS.. ;. ^Q

sheet 2 Declared ircoms ■ Va"

_4U

Working

sheet 3 Selection of households 41

Working

shQ9b 4 ^ Ljst of bouEoholds selected "42

Super vision

Area

Enumera tion- Area

Total

I

^-.

Total

Total Census area total

Number of houses

Enumeration Totals

dumber of households Hon-farm

_

Farming Total

Page 39 Working Sheet 1

Number of persons Present

^ ^

Away Total

E/CN.U/CAS; 10/16 Page 40

[forking Sheet 2

Declared Income

Super vision

Area

■ - ■■

jnumera

tion Area

Total

Census area total

Income Class 1

. . ..

Total

National1 total Class mean Total income

Selection of households

E/CN.14/GAS.10/18

Page 41

Working Sheet 3

Super- Trision Area

Enumera tion Area

Available for selection 3 tra turn

■' 1 2 3

Total

Sampling fraction deflator

-■

Deflated sat pling fraction Stratum

1 2 ■3

To be selected

Stratum

1 2 3 •

E/CN.14/CA3.10/1H

Page 42

forking Sheet 4

Enumerator

Namei ^No. Census.

area Sector Zone

T

List of households selected

Reference No.

Home Household Address Stratum

S US OLE-VISIT ECOlToIvIIC 3"Ur Survey design and content

48. Some of the smaller countries and island states -wishing to initiate

survey programmes may find it impracticable to employ many enumerators or to visit individual households over long periods of time. In these

circumstances a single intensive visit to each of the households in n properly organised sample would "be an attractive solution for investigating household structure, economic activities and levels of living. Th« purpose of this section of the paper is to investigate the feasibility of such an operation*

49. It is clear that a single visit to any reasonably co-operative household can produce a great deal of useful information on its membership, activities

and living conditions. The problem is to know whether these "basic data can

be used as a starting point for establishing a crude but satisfactory set of

household accounts.

50# The suggestion is that such work can be don<* >y a small team of well

trained enumerators provided it is accepted that the figures for private consumption expenditure will be considerably less accurate and detailed than in the normal kind of household budget survey. A draft questionnaire for a single—visit survey is given on pages 53-61 and is discussed in the following notes.

Notes on questionnaire

51. The questionnaire is intended to "be applied to f> sample f»f much the

same kind as described elsewhere in this paper i.e. households selected from fully enumerated geographical units. Again an economic stratification

of households would have significant advantages.

52. Although many parts of the questionnaire have been based on current and previous surveys the form as a whole has not yet been tested in the

field. The comments which follow therefore aim to provide both a description of the questionnaire content and an indication of special points or weaknesses

which statistical offices might wish to take into account when adapting the questionnaire for experimentation under local conditions. The numbers of

sub-headings "below refer to sections in the questionnaire.

53. At the top of the first page, -the information for identification of the sample household is given. The information on census area, SA and EA together with house number and household number may "be coded. The reference to Town or Village, Ward or Quarter and the Address of the sample household will "be useful to the field-personnel for locating the household on the ground.

However, an item that will seem superfluous under the existing conditions of any country should >e omitted from the questionnaire. The house number will come fron the visitation record given in Form 1 in rage ]_y#

E/CN.14/0AS.10/10

Page 44

1• List of household members

54. The questionnaire "begins with the normal type of census listing to which a few additional items have been added to provide a guide for the more

detailed investigation of ecojiomiii_apt_iyity.._. _...

55. First it is necessary to be clear about the household definition.

Essentially this is of a de jure nature because there is oniy a single opportunity, for compiling the list arid changes cannot be recorded as in a budget survey covering a period of some months. The suggestion is therefore

that all persons considered to be full members of the household when regarded as an economic unit should be included. Column 3 provides an indication of whether or not individuals are normally present. The general guideline should perhaps be that anyone wh^ is stated to be not normally present and does not participate significantly in the household economy, or belongs to a permanent household elsewhere, should probably be excluded from the list.

55* The form makes no specific provision for visitors present at the time of the interview and it is probably better to exclude them unless there is an important economic relationship with the household. In'special cases they could be included in the list nf household members. A more complete alternative would be to list all visitors and identify them as such by an additional classification in column 3- This has the advantage of giving the de facto as,well as the de jure population covered by the survey but the additional information does not'appear to be of special value in the kind of

inquiry discussed here.

57. Relationship to head of household, sex, age and level of education (columns 4-7) have the same purposes~as-a:n--a normal census form and need no detailed explanation. The only point to be noted is that the first and last of these items call for the preparation of code lists? it is envisaged that enumerators would code all their own records in the field.

58. Main occupation in column 8 is also straightforward, and also calls for a single code list. However its relationship t^ the last set of questions in

columns 10-13 requires a little thought. For example a person whose main

occupation is blacksmith may also work on the household farms. The relationship ie therefore raxaer loose and could nou be made more precise without specifying secondary occupations which might unduly complicate the form.

59. Colvmn 9 indicates economic status in the main occupation and a simple code such as 1, Employer 2. Self-employed 3- I*nployee 4. Unemployed may be

shown on the form so that entries can be made directly by the enumerator.

Again the question is a guide rather than a precise indicator for the

completion of columns 10-13*

£0. The :.a;;-l four columns .'"a re intended to shew the main sources from which tbe household gets its funds and they are investigated in more detail on

subsequent pages of the questionnaire. No attempt should be made on the first

page to include any estimates of income? these figures have to be obtained

from a very much more careful examination of household activities.

E/CN.14/CAS.10/18

Page 45

61. However it is necessary to have a clear idea of what is meant by

household and non-household enterprises from the outset. There seems to be no precise .formal definition of a household enterprise but broadly it concerns

the kind of productive activity which takes place at home or in the immediate surroundings. Such activities include independent farming and livestock production, trading, handicrafts, etc. Some of the household enterprises can employ full-time labour.

62. A non-household enterprise has to be something which can be distinguished separately from normal household activities. If a member of the household

has a wage or salary income he is usually working in a non-household enterprise.

A more difficult case arises where a member owns and operates a business with

separate premises. If such a business is covered by the establishment surveys of the country concerned it can perhaps be regarded as a non-household

enterprise with the owner and any other members working in it having private

incomes from that source. Otherwise it is probably better to treat it as a

household enterprise and record its activities in the appropriate part of

the questionnaire.

63. Columns.10-13 should show the economic activities in which each house hold member is engaged. Some members may have no economic activity while others may be engaged in one or more. The questions give a broad indication

not only of the sources of household income but also of the distribution of

household labour. It should be noted that farming is intended to cover both

crop production and livestock. A separate column has been used for fishing

because it is important in some countries and the industry is organisationally rather different from agricultural activities. The headings should of course be arranged.in the light of local circumstances.

64. It should be noted that to permit integration of the results of different

survey- rounds of the on-going programme, this suggested schedule with items on marital status, ethnic group and migration added to it, may serve as the core questionnaire. However, care should be taken to keep the questionnaire

as simple as possible so that undue importance is not paid to topics unrelated

to economic activity of the household. It is imperative that great care and

emphasis be given to the items relevant to the economic survey.

2. Housing and amenities

65. This se.ction has been derived from part of a questionnaire currently being used in Kenya. By way of illustration the Kenya coding arrangement has also been indicated. This involves the ticking of appropriate cells

(except in the last part of 2.1 and in 2.2) and then later entering the

corresponding code numbers in the external boxes. An alternative would be to enter the code numbers direct and to omit the provision for the initial ticks.

66» Questions in section 2 give general information on housing, water

supplies, lighting and sanitation and the availability of various amenities.

They are placed on the second page of the questionnaire because they are easy to answer and give the enumerator an opportunity to gain the confidence of household respondents.