PLEASE ADAPT EVERY QUESTION, OPTION AND THE LANGUAGE ACCORDING TO YOUR
COUNTRY’S SPECIFICITIES.
United Nations Evidence and Data for Gender Equality
(EDGE) Project and ADB R-CDTA8243 Statistical Capacity
Development for Social Inclusion and Gender Equality
Manual of Instruction for Measuring Asset Ownership and
Entrepreneurship from a Gender Perspective
Table of Contents
CHAPTER ONE ......................................................................................................................................... 1
INTRODUCTION TO THE PROJECT .................................................................................................... 1
ABOUT THIS SURVEY MANUAL .......................................................................................................... 1
SURVEY OBJECTIVES ......................................................................................................................... 2
STRUCTURE OF THE MODULES......................................................................................................... 2
GLOSSARY OF TERMS ........................................................................................................................ 3
SAMPLE DESIGN AND SURVEY PERIOD ........................................................................................... 7
SURVEY ORGANIZATION .................................................................................................................... 7
YOUR ROLE AS ENUMERATOR .......................................................................................................... 7
TRAINING OF ENUMERATORS ........................................................................................................... 8
SUPERVISION OF ENUMERATORS .................................................................................................... 9
HOW TO APPROACH THE PUBLIC ...................................................................................................... 9
CONDUCTING AN INTERVIEW .......................................................................................................... 10
IDENTIFYING ELIGIBLE RESPONDENTS............................................................... 10
BUILDING RAPPORT WITH THE RESPONDENT ................................................... 18
TIPS FOR CONDUCTING THE INTERVIEW ............................................................ 19
FIELDWORK PROCEDURES .............................................................................................................. 20
GENERAL PROCEDURES FOR COMPLETING THE QUESTIONNAIRE .......................................... 21
ASKING QUESTIONS ............................................................................................... 21
RECORDING RESPONSES...................................................................................... 22
FOLLOWING INSTRUCTIONS ................................................................................. 22
CHECKING COMPLETED QUESTIONNAIRES ....................................................... 23
DATA QUALITY.................................................................................................................................... 23
CHAPTER TWO: INSTRUCTIONS TO COMPLETE THE HOUSEHOLD QUESTIONNAIRE .............. 24
MODULE 1A: HOUSEHOLD IDENTIFICATION PARTICULARS ........................................................ 24
MODULE 1B: STAFF DETAILS ............................................................................................................ 25
MODULE 2A: HOUSEHOLD ROSTER .............................................................................................. 26
MODULE 2B: HOUSEHOLD DWELLING CHARACTERISTICS ...................................................... 34
CHAPTER THREE: INSTRUCTIONS TO COMPLETE THE INDIVIDUAL QUESTIONNAIRE ............. 37
IDENTIFICATION PARTICULARS....................................................................................................... 37
MODULE 3: DWELLING .................................................................................................................... 38
MODULE 4: AGRICULTURAL LAND................................................................................................. 42
MODULE 5: LIVESTOCK ................................................................................................................... 49
MODULE 6A: LARGE AGRICULTURAL EQUIPMENT ........................................................................ 49
MODULE 6B: SMALL AGRICULTURAL EQUIPMENT ........................................................................ 52
MODULE 7: NON-AGRICULTURAL ENTERPRISES AND ENTERPRISE ASSETS ......................... 52
MODULE 8: OTHER REAL ESTATE .................................................................................................. 59
MODULE 9: CONSUMER DURABLES .............................................................................................. 64
MODULE 10 : FINANCIAL ASSETS..................................................................................................... 64
MODULE 11: LIABILITIES ................................................................................................................... 66
MODULE 12: VALUABLES .................................................................................................................. 68
MODULE 13: END OF QUESTIONNAIRE ........................................................................................... 68
CHAPTER ONE
INTRODUCTION TO THE PROJECT
The United Nations Evidence and Data for Gender Equality (EDGE) project 1 is developing
methodological guidelines on measuring individual-level asset ownership and control and
entrepreneurship from a gender perspective. Because most assets are owned by individuals (either
solely or jointly), individual-level data are better, more able than household-level data to provide insights
into three broad sets of policy issues. These are: (1) women’s empowerment and decision-making, (2)
understanding livelihoods (including entrepreneurship), and (3) reducing poverty and vulnerability. Yet,
relatively little data exist on individual ownership of assets, particularly data derived from nationallyrepresentative surveys. Instead, asset data continues to be collected at the household level by asking
questions about whether anyone in the household owns land, housing, or other key assets.
To integrate data collection on individual-level asset ownership/control and entrepreneurship into the
regular production of official statistics, the EDGE initiative is undertaking methodological work on the
following key issues:
 Which assets should be measured?
 How should the ownership and control of assets be defined and measured?
 How should the value of assets be obtained?
 Who in the household should be interviewed about individual-level asset ownership and
control?
 How should gender differentials in entrepreneurial participation, enterprise performance,
motivations and aspirations, and entrepreneurial resources and constraints be measured?
 Which indicators on asset ownership/control and entrepreneurship should be proposed for
regular measurement?
In order to test and refine the EDGE methodology, the NSOs of eight countries, including [NSO], have
agreed to pilot the data collection on individual-level asset ownership and entrepreneurship in 2015. 2
The lessons learned from these pilots will be incorporated into the final EDGE methodological guidelines
on measuring asset ownership and control from a gender perspective, which will be presented to the
United Nations Statistical Commission in 2017 for endorsement.
ABOUT THIS SURVEY MANUAL
This survey manual describes the objectives of the survey which is to collect data on ownership of
assets and entrepreneurship from a gender perspective. Relevant survey concepts and definitions,
issues related to the sampling design, elements of training of enumerators and supervisors for field
work, appropriate approach to field work and detailed instructions for collecting data with the
questionnaires used in the survey are discussed in this manual. Considering that this survey is different
from other usual household surveys, as the intention here is to collect data on the ownership of assets
from more than one individual adult members of the household, special care is required in managing
the field operations and in undertaking household and individual interviews. The manual was drafted by
1
The United Nations Evidence and Data for Gender Equality (EDGE) project is executed jointly by the United
Nations Statistics Division (UNSD) and the United Nations Entity for Gender Equality and the Empowerment of
Women (UN-Women) and seeks to accelerate existing efforts to generate comparable gender indicators on health,
education, employment, entrepreneurship, and asset ownership. The project focuses on (i) the development of a
platform for international data and metadata compilation covering education, employment and health indicators, (ii)
the development of international definitions and methods for measuring gender-disaggregated entrepreneurship
and asset ownership, and (iii) testing the newly developed methods in selected countries. The project is guided by
a steering committee composed of national statistical offices that are members of the Inter-agency and Expert
Group on Gender Statistics, regional commissions, regional development banks, and key international agencies in
the development of gender statistics, including the World Bank and OECD.
2
These countries are Fiji, Georgia, Maldives, Mexico, Mongolia, Philippines, South Africa, and Swaziland.
1
the UNSD EDGE team based on the questionnaires and manual of instructions used for the MEXA
survey in Uganda. The draft manual and the questionnaires significantly benefited from the detailed
discussions that took place at the regional workshop in Manila from 6-9 April 2015 organized by the
Asian Development Bank (ADB). The workshop was attended by the statisticians from the national
statistics offices of the three countries – Georgia, Mongolia and the Philippines, and other experts. The
questionnaires and the manual were revised based on the workshop discussions and followup
consultations between ADB and the UNSD EDGE project team. The manual will serve as the guiding
document of the three countries undertaking EDGE pilot surveys under ADB’s technical assistance.
SURVEY OBJECTIVES
The main objective of the EDGE pilot is to test the EDGE methodology for measuring individual lelvel
asset ownership and control and entrepreneurship from a gender perspective. This includes quantitative
and qualitative assessments of: (1) the design of the EDGE modules to ensure that questions are clear,
response categories are adequate for the survey population, difficult/sensitive questions are identified,
and
concepts are operationalized well; (2) the feasibility of interviewing the household members
selected for interview according to the EDGE field protocols; and (3) the relevance of the proposed
EDGE global indicators to the country context.
STRUCTURE OF THE MODULES
The questionnaire has two parts.
The first part is the Household Questionnaire. It includes the roster of all household members and
collects demographic and economic information on each member of the household. The modules
embedded within the Household Questionnaire are:
1a. Household information
1b. Staff Details
2a. Household Roster
2b. Household Dwelling Characteristics
The second part is the Individual Questionnaire. The Individual Questionnaire is designed to collect
information about the assets owned by any member of the household, including the respondent.
These assets may be owned exclusively or jointly with someone else. The Individual Questionnaire
also includes questions on the control and valuation of assets, .
The modules embedded within the Individual Questionnaire which collect information on physical and
financial assets are:
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
Principal dwelling
Agricultural land
Livestock
Agricultural equipment (large and small)
Non-Agricultural Enterprises and enterprise assets
Other real estate
Consumer durables
Financial assets
Liabilities
Valuables
End of Questionnaire
2
GLOSSARY OF TERMS
What is an “asset”?
Assets are all items that are source of benefits accruing to the owner (a household or members of the
household, for example), by holding or using it for producing goods and services over a period of
time.
Assets may include (i) household dwelling, (ii) agricultural parcels, (iii) livestock, (iv) agricultural and
non-agricultural machinery and implements, (v) durable household items, such as stoves, vehicles,
and refrigerators, (vi) dues receivable against loans advanced in cash and kind, and (vii) financial
assets, such as shares in a company, national saving certificates, and deposits with banks, post
offices and other individuals, and (viii) valuables, such as precious metals and stonesheld as store of
value.
An asset has three characteristics:
•
Its ownership right, whether legal and/or economic, is enforced;
•
It is used repeatedly in the process of production for producing goods/services or held as a
storage of value; and
•
It can be used for more than a year.
What are “valuables”?
Valuables are produced goods of considerable value that are not used primarily for purposes of
production or consumption, but are held as stores of value over time. The nature of valuables is that
they are held as a store of value in the expectation that their value will increase over time. Valuables
include precious metals and stones, antiques, and art objects. These are often regarded as
alternative forms of investment. At various times, investors may choose to buy gold rather than a
financial asset when the prices of financial assets were behaving in a volatile manner.
Individuals/households may also choose to acquire some of these items knowing that they may be
sold if there is a need to raise funds.
What do we mean by “ownership”?
Ownership can be classified into three different categories:
1) Reported ownership: This form of ownership is obtained by asking the respondent to identify
who is (are) the owner(s) of an asset.
2) Documented ownership: This form of ownership refers to the existence of any document an
individual can use to claim ownership rights in law over an asset.
 Ownership document is usually for land and housing, but can exist separately for housing
and land. It refers to any type of written documentation (government-issued or not) including a
title deed, certificate of customary ownership, will, or purchase agreement that states which
persons own, have inherited, have been allocated, or have purchased the land and/or
dwelling.
3) Economic ownership: This form of ownership refers to having the right to claim the economic
benefits associated with the use or sale of an asset.
Joint ownership is a concept that falls under reported, documented, or economic ownership. It refers
to two or more individuals reportedly, legally and/or economically owning an asset together.
3
What do we mean by involved in decision-making related to assets?
When an individual is considered to be involved in the decision to sell an asset? It means that in
the perception of the respondent ‘whether the concerned household member will be consulted before
permanently giving away the asset in return for cash or in-kind benefits?’. The decision making
process may involve the documented/reported owner(s) of the asset only, or owner(s) plus other
adult member(s) of the household (including non-household member(s)), or only other adult
household members without the consultation of owner(s. For the situation where a
documented/reported owner is not included in the decision making process, an example could be a
very old member of the household who might have documented ownership of the asset but does not
get involved in the decision making process due to old age, ill-health, or just lack of interest. The
emphasis here is on “who is consulted” if a decision is to be made regarding the sale of an asset.
Example 1: In a given household, Marc (59 years old) is the documented owner of an agricultural
parcel. Other members of the household are his wife, Sheila (54 years old), his sister-in-law, Karen
(47 years old) and Marc and Sheila’s son, Jonathan (25 years old). All individuals are members of the
household. When Marc considers to sell the agricultural parcel, he will consult his wife and son on the
whether to sell the parcel, about the expected price, whom to sell the land to and other concerns
related to the agricultural parcel. In this case, Marc, Sheila, and Jonathan will be listed as those
involved in the decision to sell an asset. Karen is NOT involved in the decision making process to sell
the asset in question.
Example 2: In a given household, Mathilda (79 years old) is the documented owner of an agricultural
parcel. Other members of the household are her older daughter, Kristina (52 years old), her second
daughter, Pauline (50 years old) and her son, James (45 years old). Given Mathilda’s old age and illhealth, she does not participate in the decision making process, but will only sign the final sale
agreement without any questions. Kristina is the person that primarily considers the sale of the asset
and consults Pauline but not James. In this case, Kristina and Pauline will be listed as those involved
in the decision to sell an asset. Mathilda will not be included in this list because even though she is an
owner she is not actually involved in the decision making process. James will also not be included as
being involved in the decision making process to sell an asset.
Example 3: In a given household, Matthew (60 years old) is the head of the household. Other
members of the household include his wife, Joyce (58 years old), and their daughter Patty (30 years
old) and Patty’s husband, Robert (32 years old). Matthew and Joyce have a joint reported ownership
of an agricultural parcel. Matthew only consults his son-in-law, Robert about any decisions related to
the sale of the agricultural parcel. Joyce and Patty are not involved in any stage of the decision
making process, although Joyce has to sign the legal sale agreement. In this case, Matthew and
Robert will be listed as those involved in the decision to sell an asset. Joyce will not be included in this
list of decision makers because eventhough she is an owner, she is not actually involved in the
decision making process. Patty will also not be included as being involved in the decision making
process to sell an asset.
When a household member is considered as a decision maker(s) in bequeathing an asset, it
means that he/she will be consulted prior to the decision to give away or leaving an asset to other
individual(s) by a person owning the asset, either orally or in a written will format after the death of the
owner. The situation where a documented/reported owner is not included in the decision making
process of bequeathing, an example could be a very old member of the household who might have
documented ownership of the asset and is required to sign the final bequeath agreement but does not
get involved in the decision making process. The emphasis here is on who is consulted regarding
bequeathing related decisions for an asset.
4
How are agricultural holding, parcels, and plots related?
An agricultural holding is an economic unit of agricultural production under single management
comprising all livestock kept and all land used wholly or partly for agricultural production purposes,
without regard to title, legal form, or size.
Single management may be exercised by an individual or household, jointly by two or more
individuals or households, by a clan or tribe, or by a juridical person such as a corporation,
cooperative or government agency.
The holding's land may consist of one or more parcels, located in one or more separate areas or in
one or more territorial or administrative divisions, provided the parcels share the same production
means utilized by the holding, such as labour, buildings, machinery, or draught animals. The
requirement of sharing the same production means utilized by the holding, such as labour, agricultural
buildings, machinery, or draught animals should be fulfilled to a degree to justify the consideration of
various parcels as components of one economic unit.
A parcel is any piece of land, regardless of type of tenure, entirely surrounded by other land, water,
road, forest, or other features not forming part of the holding or forming part of the holding under a
different land tenure type. A parcel may consist of one or more plots within. Note that in urban areas,
people may also refer to a parcel of land as a plot.
A plot is a part or whole of a parcel on which a unique crop or crop mixture is cultivated.
What are the different types of marriages and marital statuses?
Civil marriage is a marriage solemnized before the Registrar of Marriages under the National
Registration of Marriage Act.
Cohabitation refers to an unmarried man and an unmarried woman living together as if they were
husband and wife.
Monogamous marriage is a marriage between a man and a woman neither of whom, during the
subsistence of the marriage, shall be at liberty to enter into or contract any other valid marriage.
Customary marriage is a marriage celebrated according to the rights of the local community to which
one or both of the parties belong.
(FOR COUNTRIES: Please add examples of customary marriage practices prevalent in your
country for benefit of the enumerators)
Religious marriage is a marriage solemnized in a place of worship (e.g. mosque, church) by a
recognized minister; includes, a marriage solemnized by a recognized minister in a place directed by
the Minister’s license.
Separated refers to a person who does not physically live with his or her spouse/partner without
having gone through a legal divorce but may be considering divorce or a permanent separation. This
does not include spouses in a polygamous marriage who live in separate houses.
Widow/er refers to a person whose spouse/partner is deceased and who is not currently married.
Divorced refers to a person who has terminated legal marriage through the legal system.
5
Annulment is a legal procedure for declaring a marriage null and void. Unlike divorce, it is
usually retroactive, meaning that an annulled marriage is considered to be invalid from the beginning
almost as if it had never taken place.
Additional definitions:
An adult is an individual who is at least 18 years old on the date of survey.
A household consists of a person or group of persons, related or unrelated, who live together in the
same dwelling unit, who acknowledge one adult male or female as the head of household, who share
the same living arrangements, who pool some, or all, of their income and wealth and who consume
certain types of goods and services collectively, mainly housing and food , and are considered as one
unit. In some cases, one may find a group of people living together in the same house, but each
person has separate eating arrangements; they should be counted as separate one-person
households. Collective living arrangements such as hostels, army camps, boarding schools, or
prisons are not considered as households in this survey.
When the individual(s) inherits an asset, it means that he/she receives the asset from another family
member(s) upon the death of the family member(s) in question.
A liability is established when one party (the debtor) is obliged to provide a payment or a series of
payment to the other party (the creditor).
The primary respondent is the household member who is most informed (or knowledgeable) about
the main topic of the study, i.e., assets of the household members. The primary respondent has to be
at least 18 years of age.
However, the age criteria will be relaxed in exceptional circumstances such as (i) where in a sample
household with one or more adults the household members still identify a non-adult member as most
informed about the household assets or (ii) in a sample household with no adult household member.
This household will have a non-adult member identified as the primary respondent.
Note that the primary respondent need not be the ‘head of the household,’ the person whose authority
is acknowledged by all household members – as traditionally defined during a household listing. Also
note that the primary respondent may or may not be married/cohabitating and could be female or
male.
The principal couple comprises of the primary respondent, i.e., the household member (aged 18 or
above barring exceptions as described above) most knowledgeable about household assets and
his/her spouse or partner (aged 18 or above) who is also a household member. The principal couple
may be married under one of the types of marriage recognized within the country or cohabitating, i.e.
living together as if they were husband and wife but not married. In polygamous households, where a
man has more than one wife or partner living in the household, the wife/partner who has been married
to/cohabitating with the principal male longest should be considered the member of the principal
couple. In polyandrous households, where a woman has more than one husband or partner living in
the household, the husband/partner who has been married to/cohabitating with the principal female
longest should be considered the member of the principal couple.(Please delete the yellow shaded
portions if polygamy and polyandry are not practised and not legal in your country).
Note that there may be cases in which a household has no ‘principal couple’.
Case 1: A married/cohabitating couple is member of a household, but if neither member of the couple
is the most informed about the household’s assets, they would not be considered members of the
6
principal couple. For example, a household may consist of a female adult, who is most knowledgeable
about the household’s assets, her adult son and her married parents. Even though this household has
a married couple (parents) they would not be considered to be a principal couple and thus would only
be interviewed if they were randomly selected from the household roster.
Case 2: If the primary respondent (the most knowledgeable member) has no spouse/partner ( i.e. if
he/she is single, widow/widower, divorced, or separated), a principal couple will not exist in the
household. In such case apart from the primary respondent the enumerator will have to randomly
select another adult household member as a second respondent for the individual questionnaire. The
procedure for selection of individuals for the individual questionnaire is provided in the following
section. The selection of a third individual will be required when the selected household belongs to the
second stage stratum 1 (households with three or more adults).
SAMPLE DESIGN AND SURVEY PERIOD (COUNTRIES MAY PROVIDE DETAILS OF THEIR
SAMPLING STRATEGY and OTHER DETAILS)
The geographical area of a country is generally divided into smaller administrative units like
States/regions and each State/Region is divided further into rural/urban. To ensure statistical
enumeration of any variable at the county level using a sample survey, without omission or
duplication, rural and urban areas are further divided into smaller units generally called “enumeration
areas (EA)/enumeration blocks (EB)”.
Number of households in each EA is generally available from the recent population census, which is
called its ‘size’.
Two-stage stratified sampling design is recommended to be used. At the first stage, for each
State/region appropriate number of EAs, both from the rural and urban areas, are selected with
probability proportional to size. Number of EAs to be selected from rural and urban areas depends on
the composition of the population of the pilot country.
At the second stage, a sample of pre-defined number of households is selected from each of the
selected EAs. Number of households to be selected from each EA is to be decided based, amongst
other things, on cost considerations.
With a view to ensure that we have sufficient number of households in the sample with a
specified number of adult members, households in the EA should be stratified into two sub
strata according to the number of adult members in the household.
 Second Stage Stratum – I: comprises of households with 3 or more adult members,
and
 Second Stage Stratum – II: comprising rest of the households.
For this purpose, at the listing stage of the EA information on the auxiliary variable in terms of
the number of adult members in the household is required.
SURVEY ORGANIZATION (Please modify according to your field logistics and field teams)
The National Statistics Office (NSO) has the major responsibility for conducting the EDGE pilot.
Each field team will be equipped with a vehicle and will be made up of one Supervisor, four
enumerators, and one Driver. The Supervisor is the team leader and is responsible for overseeing,
monitoring and, where necessary, correcting the work of the enumerators. In addition, the Supervisor
is responsible for managing the team’s logistics. There will be [#] field teams in total.
(COUNTRIES TO MODIFY BASED ON THEIR SURVEY ORGANIZATION)
YOUR ROLE AS AN ENUMERATOR
Your job is to interview eligible adult members in the sampled households in the Enumeration Area
(EA). You must make every effort to interview the selected respondent alone.
7
If there are other people around before conducting the interview, politely ask them, or suggest
that the respondent ask them, to leave. In doing so, local protocol and cultural practices must
be followed.
Your task is to ask questions and record the answers as stated on and required by the
questionnaire. You must make every effort to obtain complete and accurate answers and then
record them correctly. The success of the survey depends on the respondents’ willingness to
cooperate and it is your job to obtain it by being polite, patient, and tactful.
The information you obtain is strictly confidential. You are not permitted to discuss it, gossip about
it, or show your records to anyone not employed on the survey project. At no time should the
questionnaire be left lying around where unauthorized people may have access to them.
You may only ask such questions as are necessary to enable you to complete the questionnaire. It is
expected that the targeted adults in the sampled households will give you such information about
themselves and other household members.
TRAINING OF ENUMERATORS
Although some people are more adept at interviewing than others, one can become a good
enumerator through experience. Your training will consist of a combination of classroom training and
practical experience. Before each training session, you should study this manual carefully along with
the questionnaire, writing down any questions you have. Ask questions at any time to avoid mistakes
during actual interviews. Enumerators can learn a lot from each other by asking questions and talking
about situations encountered in practice and actual interview situations.
Each of you will receive the following materials:
 Personal Identification
 Listing Form
 Household Questionnaire
 Individual Questionnaire
 Enumerator’s Training Manual
 Pencil
 Eraser
 Pencil Sharpener
 Clipboard
 A bag to carry materials
Please ensure that you bring these materials each day during training and to the field during
fieldwork.
During training, the questionnaire modules, questions, and instructions will be discussed in detail. You
will see and have demonstration interviews conducted in front of the class as examples of the
interviewing process. You will practice reading the questionnaire aloud to another person several
times so that you may become comfortable with reading the questions aloud. You will also be asked
to take part in role playing in which you practice by interviewing other trainees.
The training also will include field practice interviewing in which you will interview household
respondents. You will be required to check and edit the questionnaires just as you would do in the
actual fieldwork assignments.
During the training, you will be given TESTS to see how well you are progressing during your formal
training period. At the end of the training course, the enumerators will be selected based on
attendance, participation in training, test results, and performance during the mock interviews and
field practice.
8
The training you receive as an enumerator does not end when the formal training period is completed.
Each time a supervisor meets with you to discuss your work; your training is continuing. This is
particularly important during the first few days of fieldwork. As you run into situations you did not cover
in training, it will be helpful to discuss them with your team. Other enumerators may be running into
similar problems, so you can all benefit from each other’s experience.
SUPERVISION OF ENUMERATORS
Training is a continuous process. Observation and supervision throughout the fieldwork are a part of
the training and data collection process. Your team leader will play a very important role in continuing
your training and in ensuring the quality of the data. He/she will:

Spot-check the households selected for interview to be sure that you interviewed the correct
households and the correct respondents.

Review each questionnaire to be sure it is complete and consistent.

Observe some of your interviews to ensure that you are asking the questions in the right
manner and recording the answers correctly.

Meet with you on a daily basis to discuss performance and give out future work assignments.

Help you resolve any problems that you might have with finding the assigned households,
understanding the questionnaire, or dealing with difficult respondents.
HOW TO APPROACH THE PUBLIC
Enumerators should ensure that their dress code is acceptable within the community they are
working.
Act as though you expect to receive friendly cooperation from the public and behave as though you
deserve it. Before you start work, introduce yourself to the Local Council (LC) officials of your EA. Use
the introduction letters provided by the NSO and the respective District Local Governments. Start
interviewing only when you have identified yourself and exchanged greetings, explained the purpose
of the survey, and what it is about, and you have answered all the questions about the survey that
people may ask.
During interviews, let people take their time. Do not suggest answers for them. Work steadily and
make sure that answers are clear to you before you record them. Do not accept at once any
statement you believe to be mistaken, but tactfully ask further questions (probe) to obtain the correct
answers.
Someone may refuse to be interviewed because of a misunderstanding. Remain courteous and stress
the importance of the survey and that the data collected is purely for statistical purposes only and it
has nothing to do with taxation or any similar government activity. Further, point out that the
information will be kept confidential and that the survey results will be published as numerical tables in
such a way that it will be impossible to identify characteristics of individual persons and households.
9
You should be able to clear any misunderstandings, but if you cannot persuade a person to respond,
or if his/her refusal is deliberate, tell the person that you will report the matter to your supervisor and
do so at the earliest opportunity.
CONDUCTING AN INTERVIEW
Successful interviewing is an art and should not be treated as a mechanical process. Each interview
is a new source of information, so make it interesting and pleasant. The art of interviewing develops
with practice, but there are certain basic principles that are followed by every successful enumerator.
In this section you will find a number of general guidelines on how to build rapport with a respondent
and conduct a successful interview.
IDENTIFYING ELIGIBLE RESPONDENTS
Specific households will be selected to be interviewed, and you should not have any trouble in
locating the households assigned to you if you use the listing form. The supervisor will assign an
enumerator to make the first contact with each of the selected households selected for interview.
All respondents selected for interview should be 18 years of age or older, unless otherwise noted
below.
Household Questionnaire
Note that in this survey, the PRIMARY RESPONDENT and his/her spouse/partner (together
defined as the PRINCIPAL COUPLE) are important units of analysis unlike other household
surveys where primacy is given to the head of the household.
The Household Questionnaire needs to be administered to only one respondent per household. The
respondent is ideally the primary respondent for the household, i.e. the person who has the most
information related to assets owned by household members. If the primary respondent is not
available, the next person in line is his/her spouse if applicable. If this person is also not available,
then another adult (18+) member of the household should be chosen. Every effort MUST be made to
get the primary respondent to serve as the respondent for the household questionnaire. The primary
respondent (or any other respondent providing the information) may consult other members of the
household for specific information such as educational attainment, primary employment, etc. that
he/she might not be aware of. Note that only one household questionnaire will be filled by the survey
team that will also be used for data entry of the household roster.
The information collected in the Household Questionnaire MUST be recorded on the questionnaires
by ALL enumerators who are assigned to the household for administering the Individual
Questionnaire. The team leader will determine whether these data will be entered at the same time as
the interview for the Household Questionnaire is taking place or prior to the start of the Individual
Questionnaires – depending on the workload of the enumerators of the team and the team
composition. Information collected in the household roster will be copied by all enumerators for the
purpose of undertaking individual interviews. Thus, each enumerator assigned to interview individuals
separately in the same household will have to use a copy of the same household roster. Before
starting the interview, double check to ensure that you have completed the household roster. This will
be needed to match the owners of the assets in the individual questionnaire with their IDs in the
household roster.
After the information from the Household Questionnaire has been recorded, the interviews for the
Individual Questionnaire will begin for the selected adult members of the household. These interviews
must take place alone with each respondent. If only one enumerator is being deployed per household,
10
the interviews should be conducted back to back, to the extent possible, so that there is no
opportunity for the respondents to share information about the interview with each other and thus,
potentially bias responses. (PLEASE MODIFY THE YELLOW SHADED PORTION DEPENDING
UPON HOW COMPOSITION OF THE FIELD TEAM AND FIELD LOGISTICS)
Individual Questionnaire
The households in each sample EA are grouped into either Second Stage Stratum 1 (SSS-1) or
Second Stage Stratum 2 (SSS-2) at the time of sample selection based on the information on the
number of adults in the household in the sampling frame. SSS-1 comprises of households with at
least three adult members and SSS-2 consists of remaining households (with 2 or less adults). The
number of adults (and the household size) in the household at the time of the survey might be
different from the number of adults in the sampling frame. Number of individual interviews in a
household will depend on the number of adult members in the household at the time of field survey
irrespective of whether the selected household belongs to SSS-1 or SSS-2. After completing the
household questionnaire and having filled in the household roster, the enumerator will know the
current number of adults who are members of the household.
Adhere to the following protocols for identifying respondents eligible for the Individual Questionnaire:
Second Stage Stratum 1
Second Stage Stratum 1 (SSS-1) comprises households with three or more adult members. Three
adult members per household should administered the Individual Questionnaire. Adhere to the
following protocols for identifying respondents eligible for individual interview in Stratum 1:
1. In households with exactly three adult members, interview each of the three adults members
separately.
2. In households where there are more than three adult members, this will require following
protocol for selection of three adult members.
(i) In households with a principal couple, i.e. the household member (aged 18 or above) most
knowledgeable about household assets (primary respondent) and his/her spouse or partner (aged
18 or above) both members of the principal couple should be interviewed, as well as a third adult
member of the household who is randomly selected for interview from the household roster.
These interviews should be conducted separately and to the extent possible, simultaneously. If
either member of the principal couple and/or the third adult member randomly selected are not
available for interview at first try, assess whether they will return during the enumerator’s time in
the EA.



If they will return during the enumerator’s time in the EA and all three members of
the household will be available for interviews at the same time, schedule a
callback/follow-up time to administer the Individual Questionnaire to all three
members separately and simultaneously.
If either member of the principal couple or the third adult member randomly selected
will return during the enumerator’s time in the EA but all three members will not be
available for interview at the same time, interview the member(s) available at first try
and schedule a callback/follow-up time to interview the additional member(s).
If either member of the principal couple or the third adult member randomly selected
will not return during the enumerator’s time in the EA, interview the available
member(s) and randomly select an additional adult member from the household
roster to interview. Randomly select as many adult members as needed to complete
three individual questionnaires per household. If there are no additional adult
11
household members, explain in the household questionnaire, Module 1B, under
remarks by enumerator.
(ii) In households with no principal couple - If the selected household does not have a
principal couple, interview the primary respondent, i.e. the household member who is most
informed about household assets and randomly select two additional adult members from the
household roster to interview.


If the primary respondent will not be available during the enumerator’s time in the EA,
randomly select three adult respondents from the household roster to interview.
Note that there may be cases in which a married/cohabitating couple are members of
a household, but if neither member of the couple is the most informed about the
household’s assets, they should not be considered a principal couple.
3. If only one or two adult household members are available for interview during the
enumerator’s time in the EA despite best efforts to complete all the three interviews, interview
the one or two available household adult members.
Second Stage Stratum 2
Second Stage Stratum 2 (SSS-2) comprises remaining households i.e. households with one or two
adult members or no adult members (less than three adult members). These one or two adults should
be administered the Individual Questionnaire.
1. In households with two adult members, if both members are available at first try, interview
them separately and to the extent possible, simultaneously.
2. If one member is not available for interview at first try, assess whether he/she will return
during the enumerator’s time in the EA.
a. If he/she will return during the enumerator’s time in the EA and both members of
the household will be available for interviews at the same time, schedule a
callback/follow-up time to administer the Individual Questionnaire to both members
separately and to the extent possible simultaneously.
b. If he/she will return during the enumerator’s time in the EA but both members will
not be available for interview at the same time, interview the member available at
first try and schedule a callback/follow-up time to interview the other member.
c. If one member will not return during the enumerator’s time in the EA, interview the
available member.
3. If there is only one adult member in the selected household, he/she will be interviewed in any
case.
4. In exceptional circumstances, there can be a household with no adult member. Such
households should also be considered in the sampling of households in SSS-2. This is an
exceptional case. If such a household gets selected, a primary respondent should be
identified and individual questionnaire should be filled in. Further, if the primary respondent
happens to be married/cohabiting, then both the primary respondent and the spouse
(irrespective of their age) will be interviewed (See below). Suitable remarks may be noted in
the Remarks column in the questionnaire.
For both Stratum

In exceptional situations where one or both members of the principal couple are
below the age of 18, interview them anyway.
12

If the principal male in the selected household has two or more wives or partners who
live in the household, the enumerator should ascertain which of the spouses/partners
has been married to, or lived longer with, the principal male. This woman should be
considered the principal spouse and interviewed. However, if she will not be available
during your time in the EA, and the second spouse is available, the second spouse
can be selected as the respondent for interview. This same protocol applies to
households in which polyandry is practiced.

If the respondent decides to terminate the interview after completing the household
questionnaire, but before completing the individual questionnaire, ask the respondent
if you can schedule a follow up interview to complete the individual questionnaire. If
the household questionnaire interview status code is “not completed” in Q226, end
interview and enter the reason for not interviewed on the space provided. Fill out the
appropriate codes and responses in Q1301, Q1302, Q1303 Then inform the team
leader.

If the selected household has a principal couple, but the primary respondent does not
agree for his wife to be interviewed separately and alone, explain the importance of
interviewing the couple separately and alone. Discuss with your team leader the
possibility of a female enumerator to interview the wife if needed. If the primary
respondent still refuses, enter the appropriate codes and responses in Q226, Q1301,
Q1302, and explain the reason in Module 1b, “Staff details” of the questionnaire
under “enumerator remarks.”
NOTE: Each household in the selected sample, as mentioned above, will be assigned to SSS-1 if it
has three or more adult members and the remaining households will be assigned to SSS-2. If at the
time of filling the household questionnaire, it is discovered that a household was wrongly classified in
a stratum (e.g. a household belonging to SSS-2 is actually having three or more adults on the date of
the survey, fill in the household questionnaire and select three individual following the protocol of
Household with three or more adults as explained above). Similarly, if a household belonging to SSS1 is actually found to have only one (or two) adult(s), then complete the household questionnaire and
fill the individual questionnaire(s) for one (or two) adult(s) and give remarks under item 8 in Module
1B.
Randomized selection of household members – Procedure
Randomized selection of household members will be needed only for the households in SSS-1 that
have more than 3 adult members. For adult members that have to be selected randomly, there are
two alternative randomized selection procedures that can be be used.
First is the birthday method. In this method, it selects the person in the household (among all
eligibles–adult members 18 years and above) who had the birthday (only the day of birth without the
month) nearest (counting forward only) to the date of the survey.
For example, suppose the date of conducting the survey is 15 September and the principal couple is
already chosen. In the roster, there are 3 adult members other than the principal couple. Their
birthdays are 31 September, 18 July, and 22 Ferbruary. The third eligible respondent should be the
one whose birthday is 18 July instead of the one whose birthday is 31 September since counting is
forward. To illustrate further, below are some examples:
1. survey date (MM/DD/YYYY) – 09/15/2015
eligible adult member 1: 12/12/1986
eligible adult member 2: 06/09/1960
eligible adult member 3: 07/06/1996
13
 The third person to be interviewed in the household is adult member 3 whose birthday is 06
July because counting forward from the date of the survey, we will have 15, 16, 17, 18, 19, 20…29,
30, 31, 01, 02, 03, 04, 05, 06, 07, 08, 09, 10, 11, 12, 13, 14. Note that the first date nearest to the
survey date is 06. The date “09” and “12” will come only after 06 counting forward.
2. survey date (MM/DD/YYYY) – 10/05/2015
eligible adult member 1: 09/20/1995
eligible adult member 2: 09/29/1997
eligible adult member 3: 09/30/1987
 The third person to be interviewed in the household is adult member 1 whose birthday is 20
September because counting forward from the date of the survey, we will have 05, 06, 07, 08, 09,
10…19, 20, 21, 22, 23, 24, 25, 26,27, 28, 29, 30. Note that the first date nearest to the survey date is
20. The date “29” and “30” will come only after 20 counting forward.
Another example is when two adult members have the same day of birth. Suppose there are three
adult members of the household from which a third respondent will be selected. Two of the three adult
members have the same day of birth, which happens to be the closest to the date of interview (15 th of
September). Their birthdays are 22 February, 22 April, and 8 June. In this situation, the enumerator
can go by the birth month nearest to the month of interview (again, counting forward).
3. survey date (MM/DD/YYYY) – 09/15/2015
eligible adult member 1: 04/22/1999
eligible adult member 2: 02/22/1994
eligible adult member 3: 06/08/1984
 The third person to be interviewed in the household should be the person whose birthday is 22
February because counting forward from the month of survey, we will have September,
October,..., February, March, April, May, June. Note that the first month nearest to the survey month
is February. The months April and June will come only after February counting forward.
The second method is the use of random number table. In this method, each member of the
household listed in the household roster has a unique person ID code. The random number table is a
set of digits arranged in random order. Each digit represents the household member ID code. The
table of random number is prepared so that each eligible household member will have an equal
chance of being selected for the individual interview. Below are some examples.
CASE 1: Where the primary respondent has a spouse or a partner and both are 18 years of age
or older
Step 1: Identify the ID codes of those adult household members that are 18 years and above.
Step 2: The first individual selected for the individual questionnaire will be the primary respondent, i.e.
the member of the household that is most knowledgeable about assets. The second individual
selected for the individual questionnaire will be the spouse/partner of the primary respondent, hereby
forming the principal couple.
Step 3: Eliminate the ID codes of the primary respondent and his/her spouse or partner. You will be
left with the remaining ID codes which is a list of adult individuals out of which a third respondent
needs to be selected.
Step 4: Use the random number table provided to you. Starting from the first number that has not
already been used, move row-wise to the right and find the first number that matches one of the IDs in
the list of adult individuals out of which a third respondent needs to be selected. If a number does not
14
match any of the remaining individual IDs, then cross it out and move on to the next number. Once
you have arrived at the first number that matches the list of individual IDs, mark it with a square box
and select that individual as the third person to be interviewed.
This case is illustrated with an example.
Example 1: Let us assume a household has 6 members, ID# 01, 02, 03, 04, 05, and 06. Individuals
05 and 06 are below 18 years of age while the remainder individuals are 18 years and above. ID#02
has been identified as the primary respondent, while ID#01 is the spouse of the primary respondent.
The two together form the principal couple. These two individuals are automatically chosen for the
individual questionnaire. We are now left with Individuals 03 and 04 out of which a third respondent
needs to be selected.
The table below is the random number table provided to you.
14
5
4
12
1
8
16
10
17
2
17
13
7
2
6
17
2
13
12
5
9
16
19
16
4
3
7
10
15
3
20
4
7
2
1
17
6
6
10
18
8
20
19
12
4
18
6
17
10
16
8
15
6
8
10
8
3
1
18
8
14
2
17
7
10
18
8
10
3
13
8
14
We start with the leftmost number and move row-wise. The first number 14, is not a valid ID number
for this example household, so we cross it out
14
17
2
4
7
8
10
3
10
We then move on to 17 which is also not a valid ID number for this example household so we cross it
out.
14
17
2
4
7
8
10
3
10
We then move on to 2. Remember that 02 is part of the principal couple and is already being
interviewed and is not part of the remaining individuals out of which the third respondent needs to be
selected. So we cross this individual out.
14
17
2
4
7
8
10
3
10
We move on to 4. Individual ID 04 is part of the remaining individuals (03 and 04) so we go ahead
with selecting 04 as the third respondent.
14
17
2
4
7
8
10
3
10
15
Do not throw this sheet of paper of random numbers, because you will continue with the next
number for the next household that you arrive at for the selection of individuals. Put a dark
line next to the selected individual to remind you that you have to start with the next number
for the next household you interview that has three or more individuals.
14
17
2
4
7
8
10
3
10
CASE 2: Where the primary respondent has a spouse or a partner, the primary respondent is
18 years and above but the spouse/partner is below 18 years of age
The procedure is similar to Case 1. You interview both the primary respondent and the
spouse/partner, even though the spouse/partner is below 18 years of age. You select the third
respondent who is 18 years and above using the same procedure outlined in Case 1.
CASE 3: Where the primary respondent is 18 years and above but does not have a spouse or a
partner (A household without a principal couple)
Step 1: Identify the ID codes of those adult household members that are 18 years and above.
Step 2: The first individual selected for the individual questionnaire will be the primary respondent, i.e.
the member of the household that is most knowledgeable about assets. In this case, we do not have a
spouse for the primary respondent, which means that we now need to select two individuals for
individual selection.
Step 3: Eliminate the ID code of the primary respondent. You will be left with the remaining ID codes
which is a list of adult individuals out of which a second and third respondent needs to be selected.
Step 4: Use the random number table provided to you. Starting from the first number that has not
been used, move row-wise to the right and find the first number that matches one of the IDs in the list
of adult individuals out of which a second respondent needs to be selected. If a number does not
match any of the remaining individual IDs, cross it out and move on to the next number. Once you
have arrived at the first number that matches the list of individual IDs, mark it with a square box and
select that individual as the second person to be interviewed. Remember to put a dark vertical line
next to this number.
Step 5: Move on to the next number and verify if this number matches with one of the adult
individuals that is eligible for selection as the third individual. If yes, put a square box around this
person’s ID and end the selection process. If not, continue eliminating through the list row-wise until
you find a number in the table that matches one of the remaining ID codes and put a square box
around this person’s ID and end the selection process. Remember to put a dark vertical line next to
the third selected individual to remind you that you have to start with the next number for the next
household you interview that has three or more individuals.
This case is illustrated with an example.
Example 2: Let us assume a household has 10 members, ID# 01, 02, 03, 04, 05, 06, 07, 08, 09, and
10. Individuals 03, 07, 08, and 10 are below 18 years of age while the remainder individuals are 18
years and above (ID# 01, 02, 04, 05, 06, 09). ID#04 has been identified as the primary respondent,
but this individual is not married. So the first respondent to the individual questionnaire is the primary
respondent, ID#4. Hence the second and third individual respondents need to be randomly selected
from the remainder list of individuals that are 18 years or above (ID# 01, 02, 05, 06, 09). We continue
with the same list that was being used in the previous example.
16
14
5
4
12
1
8
16
10
17
2
17
13
7
2
6
17
2
13
12
5
9
16
19
16
4
3
7
10
15
3
20
4
7
2
1
17
6
6
10
18
8
20
19
12
4
18
6
17
10
16
8
15
6
8
10
8
3
1
18
8
14
2
17
7
10
18
8
10
3
13
8
14
ID 7 is below 18 years of age, so we cross this number out. ID 8 is also below 18 years of age, so we
cross this number out. ID 10 is below 18 years of age, so we cross this person out. ID 3 is also below
18 years of age, so we cross this number out. Again 1D 10 is below 18 years of age, so we cross this
number out.
14
17
2
4
7
8
10
3
10
We now go to the next row and start with 5. ID# 05 is 18 years or above, so we put a square around
this person ID. This is our second respondent.
14
5
17
2
2
13
4
3
7
2
8
20
10
16
3
1
10
18
We move on to the next number. ID #2 is 18 years or above, so we put a square around this person
ID. This is our third respondent and put a mark to remind us where we stopped for the next time we
need to make an individual selection.
14
5
17
2
2
13
4
3
7
2
8
20
10
16
3
1
10
18
CASE 4: Where the primary respondent has a spouse, but both are below 18 years of age
In the event that the primary respondent identified is below 18 years of age, do not refute the
respondent and proceed with the interview of both the primary respondent and that of the spouse.
Ensure that the primary respondent identified is the most knowledgeable about the assets of the
household. Having selected the principal couple, select the third member (who will be an adult) using
the procedure described in Example 1 above.
THE CONSENT FORM
The consent form must be read to the respondent(s) chosen. The respondent and enumerator must
sign and put a date at the bottom of the form to make sure that the respondent(s) understands the
nature, purpose, and confidentiality of his or her response.
Any refusals by households to participate in this survey should first be brought to the attention of the
team supervisor who in turn will be required to go back to the household and convince the
respondent(s). If the supervisor is unable to convince the respondent(s) as well, then this will have to
be explained in Module 1b, “Staff details” of the questionnaire under “Supervisor Remarks” and
identify that the interview was NOT completed. The enumerator also has to fill the reason for not
completing the interview in Module 2 or Module 13, wherever applicable.
17
All attempts will be made to interview the originally selected household. However, in exceptional
circumstances there will be replacement of households for refusals although the replacement of
households compromise the analysis of the survey data. So you must do your best to communicate to
the respondent the importance of this survey. Up to the extent possible, interview the originally
selected household unless the household is found locked and/or household members are not
available during the period of the survey. Contact the supervisor to convince the originally selected
household for the interview and get respondent buy in for the survey. (PLEASE DESCRIBE THE
PROCEDURE FOR REPLACEMENT OF HOUSEHOLDS AS APPLICABLE TO YOUR COUNTRY)
BUILDING RAPPORT WITH THE RESPONDENT
As an enumerator, your first responsibility is to establish a good rapport with a respondent. At the
beginning of an interview, you and the respondent are strangers to each other. The respondent’s first
impression of you will influence their willingness to cooperate with the survey. Be sure that your
manner is friendly as you introduce yourself. Before you start to work in an area, your supervisor will
have to inform the local leaders about the the survey, who will in turn inform selected households in
the area that you will be coming to interview them. You will also be given a letter and an identification
card that indicates that you are working with the NSO.
1.
Make a good first impression.
When you arrive at the household, do your best to make the respondent feel at ease. With a
few well-chosen words, you can put the respondent in the right frame of mind for the
interview. Open the interview with a smile and greeting such as “good afternoon” and then
proceed with your introduction.
2.
Always have a positive approach.
Never adopt an apologetic manner, and do not use words such as “Are you too busy?” Such
questions invite refusal before you start. Rather, tell the respondent, “I would like to ask you a
few questions” or “I would like to talk with you for a few moments.”
3.
Confidentiality of responses when necessary.
If the respondent is hesitant about responding to the interview or asks what the data will be
used for, explain that the information you collect will remain confidential, no individual names
will be used for any purpose, all information will be used for statistical purposes only and
grouped together to write a report. Also, you should never mention other interviews or show
completed questionnaires to the supervisor or the field editor in front of a respondent or any
other person.
4.
Answer any questions from the respondent frankly.
Before agreeing to be interviewed, the respondent may ask you some questions about the
survey or how he/she was selected to be interviewed. Be direct and pleasant when you
answer.
The respondent may also be concerned about the length of the interview. If he/she asks, tell
him/her that the interview usually takes about 30 to 40 minutes. Indicate your willingness to
return at another time if it is inconvenient for the respondent to answer questions then.
The respondent may ask questions or want to talk further about the topics you bring up during
the interview. It is important not to interrupt the flow of the interview so tell him/her that you
will be happy to answer his/her questions or to talk further after the interview.
18
TIPS FOR CONDUCTING THE INTERVIEW
1.
Understand the difference between probing and prompting
It is very important to understand the difference between probing and prompting. Probing
refers to asking questions like “Is that all?”, “Anything else?” in trying to help the respondent
to remember all the relevant information. If the respondent gives an ambiguous answer, try to
probe in a neutral way, asking questions such as the following:
“Can you explain a little more?”
“I did not quite hear you; could you please tell me again?”
“There is no hurry. Take a moment to think about it.”
Prompting is mentioning the possible answers to the respondent. The questionnaire will often
indicate whether or not you have to prompt or probe. Note the difference between ‘probing’
and ‘prompting’. Follow these instructions carefully.
2.
Be neutral throughout the interview.
Most people are polite and will tend to give answers that they think you want to hear. It is
therefore very important that you remain absolutely neutral as you ask the questions. Never,
either by the expression on your face or by the tone of your voice, allow the respondent to
think that he/she has given the “right” or “wrong” answer to the question. Never appear to
approve or disapprove of any of the respondent’s replies.
The questions are all carefully worded to be neutral. They do not suggest that one answer is
more likely or preferable to another answer. If you fail to read the complete question, you may
destroy that neutrality. That is why it is important to read the whole question as it is written.
3.
Never suggest answers to the respondent.
If a respondent’s answer is not relevant to a question, do not prompt her/him by saying
something like “I suppose you mean that. . . Is that right?” In many cases, she/he will agree
with your interpretation of her/his answer, even when that is not what she/he meant. Rather,
you should probe in such a manner that the respondent herself/himself comes up with the
relevant answer.
4.
Do not change the wording or sequence of questions.
The wording of the questions and their sequence in the questionnaire must be maintained. If
the respondent has not understood the question, you should repeat the question slowly and
clearly. If there is still a problem, you may rephrase the question, being careful not to alter the
meaning of the original question. Provide only the minimum information required to get an
appropriate response.
5.
Handle hesitant respondents tactfully.
There will be situations where the respondents simply say, “I don’t know,” give an irrelevant
answer, act very bored or detached, or contradict something they have already said. In these
cases, you must try to re-interest them in the conversation. For example, if you sense that
they are shy or afraid, try to remove their shyness or fear before asking the next question.
Spend a few moments talking about things unrelated to the interview (for example, their town
or village, the weather, their daily activities, etc.).
If the respondent is giving irrelevant or elaborate answers, do not stop them abruptly or
rudely, but listen to what they have to say. Then try to steer them gently back to the original
question. A good atmosphere must be maintained throughout the interview. The best
19
atmosphere for an interview is one in which the respondent sees the enumerator as a friendly,
sympathetic, and responsive person who does not intimidate them and to whom they can say
anything without feeling shy or embarrassed.
If the respondent is reluctant or unwilling to answer a question, explain once again that the
same question is being asked all over the country and that the answers will all be merged
together. If the respondent is still reluctant, simply note in your remarks the modules or
questions that the respondent was hesitant to answer. Some of the more sensitive questions
relating to valuing different items have “refusal” codes, as well. Remember, the respondent
cannot be forced to give an answer.
6.
Do not form expectations.
You must not form expectations of the ability and knowledge of the respondent. For example,
do not assume female respondents from rural areas or those who are less educated or
illiterate do not know about the value of assets.
7.
Do not hurry the interview.
Ask the questions slowly to ensure the respondent understands what is being asked. After
you have asked a question, pause and give the respondent time to think. If the respondent
feels hurried or is not allowed to formulate their own opinion, they may respond with “I don’t
know” or give an inaccurate answer. If you feel the respondent is answering without thinking
just to speed up the interview, say to the respondent, “There is no hurry. Your opinion is very
important, so consider your answers carefully.”
FIELDWORK PROCEDURES
The fieldwork will proceed according to a timetable, and the survey will be successful only if each
member of the interviewing team understands and follows correct field procedures. The following
sections review these procedures and describe the proper procedures for keeping records of selected
households.
1. Assigning enumerators by gender
Male enumerators should interview male respondents and female enumerators should interview
female respondents, to the extent possible.
2. Use of interpreters
If one or both of the eligible household members selected for interview do not speak a language
which the enumerator knows, the team leader must find an interpreter from outside of the
household and the EA and deploy him or her to the household with the enumerator.
3. Making callbacks
Because each household has been carefully selected, you must make every effort to conduct
interviews with the selected respondents in that household. Sometimes, the selected respondent will
not be available at the time of your first visit. You need to make at least 3 visits at three separate
times of the day or days when trying to obtain the selected respondent to maximize the possibility of
successfully completing the interview. The enumerator must never substitute the selected
respondent with another household member.
If no appointments were made, make your callbacks to a respondent at a different time of the day
than the earlier visits. For example, if the initial visits were made in the early afternoon, you should try
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to arrange your schedule so you make a callback in the morning or late afternoon. Scheduling
callbacks at different times is important in reducing the rate of non-response (i.e., the number of
cases in which you fail to contact a household).
4. Keeping information confidential
You are responsible for ensuring that the information is kept confidential. Do not share the
information with other enumerators. You should not attempt to see the completed questionnaires for a
household nor discuss the interview results with your colleagues.
5. Supplies and documents needed for fieldwork
Before starting fieldwork each morning, ensure that you have everything you need for the day’s work.
Some necessary supplies include:








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Personal Identification
Listing Form
Household Questionnaire
Individual Questionnaire
Enumerator’s Training Manual
Pencil
Eraser
Pencil Sharpener
Clipboard
A bag to carry materials
GENERAL PROCEDURES FOR COMPLETING THE QUESTIONNAIRE
As enumerators, you must understand how to ask each question, what information the question is
attempting to collect, and how to handle problems that might arise during the interview. You must also
know how to correctly record the answers the respondent gives and how to follow special instructions
in the questionnaire.
ASKING QUESTIONS
It is very important that you ask each question exactly as it is written in the questionnaire. When you
are asking a question, speak slowly and clearly so that the respondent will have no difficulty hearing
or understanding the question. At times you may need to repeat the question to be sure the
respondent understands it. In those cases, do not change the wording of the question, but repeat it
exactly as it is written.
If, after you have repeated a question, the respondent still does not understand it, you may have to
restate the question. Be very careful when you change the wording, however, that you do not
alter the meaning of the original question.
In some cases, you may have to ask additional questions to obtain a complete answer from a
respondent (we call this ‘probing’). If you do this, you must be careful that your probes are “neutral”
and that they do not suggest an answer to the respondent. Probing requires both tact and skill, and it
will be one of the most challenging aspects of your work as an enumerator.
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RECORDING RESPONSES
Most of the questions in the EDGE Household and Individual Questionnaires have pre-coded
responses.
Questions with pre-coded responses.
For such questions, we can predict the types of answers a respondent will give. The responses to
these questions are listed in the questionnaire. To record a respondent’s answer, you merely enter
the number (code) that corresponds to the reply.
Example: Q414. Is there an ownership document for this [PARCEL]?
YES, A TITLE DEED............................1
YES, A CERTIFICATE OF CUSTOMARY OWNERSHIP....2
YES, A CERTIFICATE OF OCCUPANCY..............3
YES, A WILL..................................4
YES, A PURCHASE AGREEMENT....................5
NONE........................................ 6
YES, OTHER (SPECIFY)........................96
DON'T KNOW..................................98
If [an ownership document for this [PARCEL] is a title deed, record code 1, If [an ownership document
for this [PARCEL] is a certificate of customary ownership, record 2, etc.
In some cases, pre-coded responses will include an “Other (specify)” category. The “Other (specify)”
code should be entered when the respondent’s answer is different from any of the pre-coded
responses listed for the question. Before using the “Other (specify)” code, you should make sure the
answer does not fit in any of the specified categories. When you enter the code “OTHER” for a
particular question you must always write the respondent’s answer in the space provided.
FOLLOWING INSTRUCTIONS
Throughout the questionnaire, instructions for the enumerator are printed in CAPITAL LETTERS or in
bold, whereas questions to be asked of the respondent are printed in small letters. You should pay
particular attention to the skip and filter instructions that appear throughout the questionnaire.
It is very important not to ask a respondent any questions that are not relevant to his/her situation. In
cases where a particular response makes subsequent questions irrelevant, an instruction is written in
the questionnaire directing you to skip to the next appropriate question. It is important that you
carefully follow skip instructions. Enumerators should be mindful that some questions need to be
asked only to certain respondents.
Example 1: Q414. Is there an ownership document for this [PARCEL]?
YES, A TITLE DEED............................1
YES, A CERTIFICATE OF CUSTOMARY OWNERSHIP....2
YES, A CERTIFICATE OF OCCUPANCY..............3
YES, A WILL..................................4
YES, A PURCHASE AGREEMENT....................5
NONE........................................ 6 ► 416
YES, OTHER (SPECIFY)........................96
DON'T KNOW..................................98 ► 416
In Module 4, notice that if you recorded ‘6’ or ‘98’ for Q414, you would skip to Q416.
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CHECKING COMPLETED QUESTIONNAIRES
It is the responsibility of the enumerator to review each questionnaire when the interview is finished.
This review should be done before the enumerator leaves the household, going over the
entries in the questionnaire is important to check that every appropriate question was asked
and was not left unanswered.
SUBMISSION OF COMPLETED QUESTIONNAIRES TO SUPERVISOR
After reviewing the questionnaires for obvious errors, you will hand over the completed questionnaires
to your field supervisor for an initial round of review. The field supervisor will review the
questionnaires for completeness, consistency, and accuracy, and highlight mistakes and
inconsistencies to be corrected by the enumerator. The field supervisor will then return the
questionnaires with errors to the enumerators for correction.
DATA QUALITY
It is the responsibility of the Supervisor to review the questionnaires from a sample cluster while the
interviewing team is still in the cluster. It is especially important for the supervisor to conduct thorough
edits of questionnaires at the initial stages of fieldwork. The supervisor should discuss with each
enumerator the errors found in the collection of data. It may sometimes be necessary to send an
enumerator back to a respondent in order to correct some errors.
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CHAPTER TWO
INSTRUCTIONS TO COMPLETE THE HOUSEHOLD QUESTIONNAIRE
MODULE 1A: HOUSEHOLD IDENTIFICATION PARTICULARS
(FOR COUNTRIES: These codes and identification particulars will be
customized as per country circumstances)
Each household will be given a set of code numbers which will uniquely identify the sample
household. The identification is very important so accuracy of information should be observed here.
The identification consists of the following:
ITEM 1: Stratum name and code.
ITEM 2: District name and code.
ITEM 3: County name.
ITEM 4: Sub-county name.
ITEM 5: Parish name.
ITEM 6: EA name and code.
ITEM 7: Code 1 if the selected household belongs to second stage stratum 1 (SSS-1) i.e. has 3 or
more adult household members. Code 2 if household belongs to second stage stratum 2 (SSS-2) i.e.
has two or less adult household members.
ITEM 8:Three digit serial number assigned to this household during the listing exercise will be
recorded.
ITEM 9: Sample number. Sample number refers to the order number during the process of selecting
the [xx] households that will be interviewed in the EA.
ITEM 10: Identify if this is a replacement household or not. A replacement household is the one that
was not part of the original selection of households within the two sub-stratums.
Item 11: Record the reason for replacement of household. If no respondent was available due to other
commitments in the household that was originally sampled, code 1. If the original household refused
to be interviewed, code 2. For other reasons, code 3 and specify the reason in the space to the left.
ITEM 12: The primary respondent will be identified first when the survey team approaches the
household for enquiry. It is important that the enumerator asks the respondent who is the most
knowledgeable about the assets of the household members. Record the name of the primary
respondent; i.e. the person named when you ask the question “Who is the most informed adult
household member about household assets?” This person may or may not be the head of household
recorded in items 16 and 17.
ITEM 13: Record the person ID code of the primary respondent.
ITEM 14: Record the name of the primary respondent’s spouse/partner (if applicable). If the primary
respondent happens to be married or has a cohabiting partner, then the spouse/partner of the primary
respondent (if member of the same household) will automatically be the second respondent.
ITEM 15: Record the person ID code of the primary respondent’s spouse/partner (if applicable). In the
event that the primary respondent identified has no spouse/partner, write ‘99’. This item should not be
left blank.
ITEM 16:Record the name of the household head. In case the name is different from what was
recorded in the listing questionnaire, the reason should be explained as remarks attached to the
question.
ITEM 17: Record the person ID code of the head of household. Note that the head of household
should always be assigned code ‘01’ in Q203 and be listed first in the household roster.
ITEM 18: Record neatly the location address of the household surveyed.
ITEM 19: Record GPS coordinates of dwelling (Delete item if not applicable to your country).
ITEM 20: Record the code of the main language spoken at home.
ITEM 21: Record the code of the language used during the interview.
ITEM 22: Record the total number of individual questionnaires attached. This information will be filled
after all the individual questionnaires have been completed for a particular household.
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ITEM 23: After the completion of all interviews for a particular household, record the individual IDs of
the household members selected for interview for the individual questionnaire.
ITEM 24: Record the interview status code of the household members selected for interview for the
individual questionnaire. If the household member selected was successfully interviewed, code 1. If
partially done, code 2. If not interviewed, code 3. Note that every household member selected for
interview must have an interview status code and should be consistent with the completion status
code provided in Q1301 of the individual questionnaire.
ITEM 25: If item 24 is code 3 ‘Not Interviewed’, record the code on the reason for not interviewed
status. Note that information given on this item should be consistent with the information provided in
Q1302 of the individual questionnaire.
For items 23–25: In the event that there were no household members selected for interview or there
are less than 3 household members interviewed. DO NOT leave the box blank. Put a cross (X) in
blank boxes.
ITEM 26: Record the manner in which the individual interviews were conducted. Record code 1
(simultaneously) if the eligible household members were separately interviewed at the same time;
code 2 (sequentially) if the eligible household members were interviewed sequentially one after the
other; code 3 (simultaneously and sequentially) if two members were interviewed simultaneously by
two enumerators followed by the third member being interviewed thereafter immediately or similar
such combination; and code 4 for other modes of interviews.
ITEM 27: Record the household size and number of adult members (18 years or above) of
“interviewed” and “partially interviewed” households as of the time of listing operation and
enumeration. The intention is to give a quick reference to the supervisor on the deviations between
listing and enumeration in the field for the selected household, especially on the number of adults.
MODULE 1B: STAFF DETAILS
ITEMS 1, 2, 3, 4, and 8: TO BE FILLED BY THE ENUMERATOR:
ITEM 1: Record the two digit code of the enumerator conducting the interview.
ITEM 2: Record the name of the enumerator conducting the interview.
ITEM 3: Record the date of interview in dd/mm/yyyy format.
ITEM 4: Record the time at which the interview started. The time is recorded in the 24 hour format
(HH:MM). So 10:30 PM will be written as 22:30 while 10:30 AM will be written as 10:30.
At this point, the enumerator can skip to Module 2 - Household Roster. Make sure that you have
given the household a brief description of what the survey is all about as presented after
“Remarks by Supervisor”. At the end of the household interview, if you have any general
comments about the household, please record in ITEM 8: “Remarks by Enumerator”
ITEM 8: Record any general notes about the interview and record any special information that will be
helpful for supervisors and the analysis of this questionnaire. This is particularly useful if there are any
data gaps or inconsistencies that might require explaining.
ITEMS 5, 6, 7 and 9: TO BE FILLED BY THE SUPERVISOR WHEN THE ENUMERATOR HAS
COMPLETED BOTH THE INDIVIDUAL AND HOUSEHOLD QUESTIONNAIRES:
ITEM 5 and 6: Record the two digit code and the name of the supervisor.
ITEM 7: Record the date when the Household Questionnaire was reviewed by the Supervisor.
The supervisor should now skip to ITEM 9 and provide any observations, she/he may have
about the household and individual interview.
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ITEM 9: Record any general observations from review of the questionnaire, any callbacks made, data
inconsistencies and completion related, and the interview process and record any special information
that will be helpful during the analysis of this questionnaire.
MODULE 2: HOUSEHOLD ROSTER
Purpose: The purpose of this Module is to:
(i)
Obtain a complete listing of all members of the household;
(ii)
collect basic demographic information such as age, sex, and marital status of each
household member;
(iii)
collect basic economic information about each household member
(iv)
To identify the household members who are eligible for individual interviews.
Respondent: The respondent for this module should be the primary respondent. If he/she is not
available, his/her spouse, if applicable, could substitute as a respondent. If the spouse is also not
available, an adult household member (aged 18 or above) could be interviewed. The respondent
should be an eligible household member (more on this below) and should be capable of providing all
the necessary information about other members of the household. Note that other members can help
by adding information or details in the questions concerning them, such as questions related to
education, employment, etc.
Definitions
Household: Consists of a person or group of persons, related or unrelated, who live together in the
same dwelling unit, who acknowledge one adult male or female as the head of household, who share
the same living arrangements, who pool some, or all, of their income and wealth and who consume
certain types of goods and services collectively, mainly housing and food , and are considered as one
unit.
In some cases, one may find a group of people living together in the same house, but each person
has separate eating arrangements: they should be counted as separate one-person households.
Also, collective living arrangements such as hostels, army camps, boarding schools, or prisons are
not considered as households in this survey.
Household members should include individuals that live together and have been sharing meals
together for at least 6 of the 12 months preceding the interview. Therefore, the member of the
household is defined on the basis of the usual place of residence or the place where the person
usually resides. The 6 months requirement does not have to be continuous but could be cumulative
over the past 12 months.
There are, however, some exceptions to this rule as described below:
1. The following individuals are considered as household members even though they have lived for
less than 6 months in the past 12 months:
a. infants who are less than 6 months old,
b. newly married who have been living together for less than 6 months,
c. students and seasonal workers who have not been living in or as part of another
household (e.g. working or attending school in some other place but usually comes home
at least once a week), and
d. other persons (relatives and non-relatives) living together for less than 6 months but who
are expected to live in the household permanently (or for a longer duration).
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2. Servants, agricultural workers and other such individuals who have been living and taking meals
with the household are to be identified as household members, even though they may not have
blood relationship with the household head as long as they have been living in the household for
at least six months or are planning to live in the household permanently (or for a longer duration).
3. People who have lived in the household for more than 6 months of the past 12 months, but have
permanently left the household (e.g. divorced or dead) are not considered as members of the
household and should not be listed in the household roster.
People who live in the same dwelling, but do not share food expenses or eat meals together are not
members of the same household. For example, if a man has two or more wives who (with their
children) live and eat together, then they form one household. Alternatively, if each wife and her
children live and eat separately, then this family will form more than one household. Similarly, if two
brothers each having his own family live in the same house, but maintain separate food budgets, they
would constitute two separate households. The following are examples of a household:
– a household consisting of a man and his wife/wives and children, father/mother, nephew and
other relatives or non-relatives;
– a household consisting of a single person; and
– a household consisting of a couple or several couples with or without their children..
Instructions
The household roster must be filled out with greatest care. In order to do so you must have a clear
understanding of the definition of a household and the guidelines for identifying household members:
IN ORDER TO MAKE A COMPREHENSIVE LIST OF INDIVIDUALS CONNECTED TO THE
HOUSEHOLD, USE THE FOLLOWING PROBING QUESTIONS TO THE PRIMARY
RESPONDENT:
1.
The first person recorded must be the head of household, even if he/she is not the
respondent being interviewed and even if he/she is absent;
2.
Next, enter the names of members of his/her immediate family (wives/husband and children)
who have been sleeping in the dwelling and taking their meals together for at least 6 of the
past 12 months, cumulatively. If there is more than one wife, start with the first wife, followed
by her children in order of age, then the second wife and her children in order of age, and so
on.
3.
Then ask the names of any other persons related to the head of the household or any other
household member that have been living and eating their meals in this household for at least
6 out of the past 12 months. Record their names.
4.
Then record the names of persons not present, but who normally live, sleep, and eat together
with the household i.e. those who are traveling on a short work related trip, vacation, etc.
These individuals must have been living in the household for cumulatively at least 6 of the
past 12 months.
5.
Ask about newly married individuals, infants less than 6 months and others who even though
have not lived and eaten in the household in the past 6 months are expected to live
permanently in the household. Include their names in the roster.
6.
Ask about other non-relatives, such as servants who have been living and eating their meals
in this household for at least 6 out of the past 12 months or are expected to live in this
household permanently (or long term). Include their names in the roster.
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DO NOT INCLUDE
1.
Non members and guests who have stayed or are staying temporarily, less than 6 cumulative
months a year;
2.
Those who have left the household permanently or died in the last 12 months.
FILL OUT QUESTIONS 201–203 FOR ALL MEMBERS FIRST AND THEN ADMINISTER THE
OTHER QUESTIONS TO THE PRIMARY RESPONDENT, ROW-WISE. THE PRIMARY
RESPONDENT MAY SEEK ASSISTANCE FROM OTHER HOUSEHOLD MEMBERS TO FILL
QUESTIONS THEY MAY NOT HAVE COMPLETE INFORMATION ON.
Person ID code (ID)
Each household member will be assigned a two-digit identification number, beginning with the
head of household with code ‘01’. The head of household must be a member of the household as
defined above. The rest of the household members will be assigned codes ‘02’, ‘03’, ‘04’, and so on
until all the household members have been recorded; starting with the spouse, children (preferably
starting from the eldest to the youngest), etc.
The identification code is extremely important, as it allows the information gathered in the various
modules of the questionnaire that pertains to the same household member to be linked together. For
instance if a person is assigned identification code 05 in the roster, then in all other modules of the
questionnaire where information is collected for individual household members, the information
pertaining to this particular person should always be entered in the row corresponding to identification
code 05. Examples of questions that could be linked to the same individual in other modules of the
survey are “Q303: Which household member(s) own this household dwelling?”, “Q306: Whose names
are listed as owners on the ownership document for the dwelling or plot of land on which the
household dwelling is located?”, and all other questions that require listing of IDs of household
members.
Particulars of each household member in this module will be filled in a separate row. Provision has
been made for 15 rows. If there are more than 15 persons to be listed on the household roster, use
additional questionnaire to accommodate all the household members and complete the roster in the
additional questionnaire. You will record the information on the remaining household members in the
addtional questionnaire and the ID number should be the continuation of those in the first, that is
starting from ID code 16 and so on. Questionnaires must be stapled together and household
identification particulars should be copied to all used questionnaires.
Q201: Name of household member
You will record the names of all the household members as given by the respondent, starting with the
first name, middle name, and then the last name. In case of long names, you will record the first
name, an initial for other names and the surname. Newly born babies without names may be recorded
as ‘Baby Boy of name of mother/father’ or ‘Baby Girl of name of mother/father’ although whenever
possible, try to get a name for every respondent. The gender should be made explicit in the case of
babies without names so that in following modules, the referencing becomes easier.
Q202: Sex of household members
Always ask for the sex of the household member before recording it. This is because some names
are given to both men and women; assuming a sex without checking can lead to mistakes. Record 1
for ‘Male’ and 2 for ‘Female’. As this survey is about collecting information disaggregated by sex for
the subject of enquiry, recording correctly the sex of each household member is very important.
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Q203: Relationship to head of household
The data on relationship to head of household provides an indication on the relationship among
household members. It is important that information on relationship to the household head or
reference to person be properly processed. Against each of the names listed, indicate the relationship
to the head of household by checking the appropriate codes. For instance, if a particular person is a
son of the head of household then write code ‘3’ in Q203. Be careful in obtaining the relationship to
the head of household in Q203. Pay special attention when the respondent is not the head of
household because the respondent in this case may give the relationship of the person in question to
him or herself rather than the head of household. Therefore, reconfirm the relationship to the head of
household before filling out the answer. The head of the household will always get code 1.
Q204: Age in completed years
This refers to age at last birthday. The person’s age should be recorded in completed years on the
day of the interview in two digits. For instance, if the person is an infant (age less than 1 year), write
‘00’; if the person is aged seven years and some months but not yet eight, write ‘07’.
The age of a person should not be left blank. Documents like birth certificates, immunization cards,
baptism certificates, and other documents with a recorded birth date can be used to ascertain age. If
the person does not know his/her age, refer to events of national or historical importance or festivals
to estimate his/her age or age will be indirectly estimated with reference to birth dates of another
member of the household. A reliable date of birth of one of the Household members may help you to
work out the birth dates of other members if it is known whether they are older or younger and by how
many years. If all fails, make the best estimate you can, judging by such things as the person's
appearance and position in the Household and by using your common sense knowledge, that women
do not usually bear children below the age of twelve or over fifty years, that people who were in the
same class at school are generally in similar age bracket and so on.
Q205: Date of Birth
Ask for each household member’s exact date of birth. This will serve to check the accuracy of ages
of household members. Record the person’s exact date of birth as follows:
i).
Day using a 2- digit code ranging from 01 to 31;
ii).
Month using a 2- digit code ranging from 01 to 12 that is January to December; and
iii).
Year using a 4- digit code.
If Day or Month of birth is unknown record 98 and if Year of birth is unknown record 9999.
For example, if somebody was born on Thursday, 17th February 2011, record the Date of Birth as
17/02/2011.
Some people may not know their age, but may know when they were born. Ask, "When was this
person born?" If the age is not known, but the year of birth is given, then you will compute the age of
the person. If the person has already had her/his birthday subtract the year of birth from the current
year (2015), otherwise subtract the year of birth from last year (2014). If the month of birth is not
known, but the year of birth is known then you subtract year of birth from the current year (2015). If
the date of birth is known, calculate the age. There should be consistency between the age of an
individual and his/her date of birth.
Q206: Ethnicity
Indicate the ethnic group the individual belongs to using the codes provided. The ethnic group are
dependent upon the country circumstances.
Q207: Religion
Record the religion of each member, using the codes given in the questionnaire. Do not assume that
all members belong to the same religion. Confirm the person’s religion before recording it. However,
29
do not irritate the respondent by asking the religion for each household member. When you get to
know the religion of
the primary respondent, ask a question ‘Does everyone in the household belong to the same
religion?’ If he/she says ‘no,’ ask for whose religion is different, what that religion is, and record that
against that person’s name. Even if they say yes, ask the following verification question: ‘Does
anyone married into this household have a different religion?’ If the answer to the second question is
yes, then find out which religion that is and record it against that individual’s name.
Q208: Marital status
This question is to be asked for all individuals aged 12 years or above. For persons below 12
years old, write code ‘1’ for single/never married without asking the question. (FOR
COUNTRIES: Countries may modify the minimum age based on usual standards followed in
national surveys) The present marital status refers to the person’s marital status as of the date of
the interview. Make sure that only those people who have never been married are classified as
“single/never married.” Individuals who have been married in the past, but are not currently married,
should be recorded as “divorced/annulment” (code 2) or “separated” (code 3). Similarly, those who
were married but their partners have died should be recorded as “widowed” (code 4). In the case of
marital status codes 5 through 7, enter the status which is the most formal. Therefore, a religious or
civil marriage replaces a customary marriage. A cohabiting relationship refers to partners that are
living together but are not married in any way (religious, customary, or civil). For household members
who are never married, divorced, separated, or widowed, skip to Q212. Some respondents may find
this question a sensitive issue. Avoid antagonizing the respondent. Do not refute the reported marital
status of any person. Disregard any knowledge you may have about the respondent and record only
whatever is reported by the respondent.
Q209: Spouse/partner residence status
This question is to be asked only to married or cohabitating household members, that is code
5, 6, 7, or 8 in Q208. Ask whether the household member’s spouse/partner lives in the household.
Record 1 for “yes” and 2 for “no” If “no”, skip to Q212.
Q210: ID code of resident spouse/partner
If the spouse/partner lives in the household, enter his/her ID code.
Q211. Year of marriage
Ask in what year the marriage or consensual union took place and record the year in four digit format
(YYYY).
Q212: FILTER QUESTION FOR ENUMERATOR – CHECK AGE OF PERSON ABOUT WHOM THE
QUESTION IS BEING ASKED
Check whether the household member is five years of age or above.
Check the age reported by the household member in Q204. If the reported age is 5 years or higher,
record 1 for “yes”, otherwise record 2 for “no”. If “no”, skip to next household member.
Q213: Highest grade completed
This question is to be asked for all individuals aged 5 years or above. Completing a level of
schooling means having passed the formal examinations at the end of the academic year – the last
full grade completed. For instance, for a person who dropped out in Standard 4 without completing
and passing the end of year examinations, then the highest grade completed will be Standard 3 since
he/she did not complete S4. ‘Never attended’ applies to those household members who report never
having attended any formal schooling. Use the education codes provided in Annex 2. (Please prepare
education code list in Annex 2 for your country).
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Q214: FILTER QUESTION FOR ENUMERATOR – CHECK AGE OF PERSON ABOUT WHOM THE
QUESTION IS BEING ASKED
Check whether the household member is fifteen years of age or above.
Check the age reported by the household member in Q204. If the reported age is 15 years or higher,
record 1 for “yes”, otherwise record 2 for “no”. If “no”, skip to next household member.
Q215: Status in Employment during the past 12 months
This question should be asked for all household members aged 15 years or above.
The purpose is to find out about the employment status in which the person spent the most time over
the course of the past 12 months. If the household member has been engaged in two or more
different types of employment status and the usual hours of work are the same in each, the main
employment status is the one that generates the highest income. We are interested in the
employment status that the reference person was engaged in during the last 12 months preceding the
date of data collection. For example, if the data is collected in month x of 2015, we would be
interested in knowing about the employment status among months (x-1) of year 2014 through month
(x-1) of 2015.
Minimum time spent in economic activity is one month. Minimum meaning that the economic activity
takes priority over being inactive or unemployed - i.e. if at least one month is spent in any kind of
economic activities one will be considered as employed and will be assigned relevant employment
status code 1 to 7 depending on in which employment status maximum time is spent in the reference
period of 12 months. Thus in Q215 one will be assigned code 8, if he/she was NOT engaged in any
economic activity at all during the last 12 months or engaged in economic activity for less than one
month in the last 12 months.
A person engaged in wage employment (code ‘1’) holds a paid employment job(s) and is typically
remunerated by wages and salaries, but may also be paid by commission from sales, or by piecerates, bonuses or in-kind payments, such as food, housing or training. This category excludes casual
labor, but includes paid trainee. Examples of persons engaged in wage employment are government
officials, nurse working full time in the hospital, or home-based nurse who works full-time in the
household, and personnel who are currently serving the armed forces.
A person engaged in self-employment (employer) (code ‘2’) holds a self-employment job and has
engaged on a continuous basis one or more persons to work for him/her in his/her enterprises as
employees. Examples are owners of bars or restaurants, factory owner, and owners of nonagricultural manufacturing enterprise (i.e. manufacturers of wines, textiles, wearing apparel, etc.,)
A person engaged in self-employment (own-account worker) (code ‘3’) holds a self-employment
job but has not engaged any employees on a continuous basis. A washerwoman that does laundry in
different households is not considered a self-employed (own-account worker) but a casual laborer.
Likewise, a weaver that provides his/her service to one specific person is not considered selfemployed (own-account worker).
A person engaged in self-employment (Member of producers’ cooperative) holds self-employent
job in a cooperative producing goods and services, in which each member takes part on an equal
footing with other members in determining the organization of production, sales and/or other work of
the establishment, the investments and the distribution of the proceeds of the establishment amongst
their members (code ‘4’). It should be noted that ‘employees’ of producers’ cooperatives are not to be
classified to this group.)
Self-employment jobs are those jobs where the remuneration is directly dependent upon the profits
(or the potential for profits) derived from the goods and services produced (where own consumption is
considered to be part of profits). The incumbents make the operational decisions affecting the
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enterprise, or delegate such decisions while retaining responsibility for the welfare of the enterprise.
(In this context “enterprise” includes one-person operations)
A contributing family worker (code ‘5’) holds a self-employment job in a market-oriented
establishment (i.e., enterprise or farm) operated by a relative living in the same household, who
cannot be regarded as a partner because his/her degree of commitment to the operation of the
establishment is not at a level comparable to that of the head of the establishment. For instance, a
son who does clerical work at home, without pay, for his father who is an independent practicing
lawyer is considered a contributing family worker.
A casual laborer (code ‘6’) refers to a person whose normal employment consists of a series of
short-term jobs. Casual labour is usually hired by the hour or day or for the performance of specific
tasks. A typical casual labourer of the late 19th and early 20th centuries was the dock worker. Other
major industries that have relied heavily on casual labour are construction, logging, sawmilling,
agriculture, and the service trades.
An unpaid trainee (code ‘7’) refers to a person of working age who performs any unpaid activity to
produce goods or provide services for others, in order to acquire workplace experience or skills in a
trade or profession. Note that “unpaid” is interpreted as the absence of remuneration in cash or in kind
for work done or hours worked; nevertheless, these workers may receive some form of support, such
as transfers of education stipends or grants, or occasional in cash or in kind support (e.g. a mean or
drinks).
Non-economic activity includes persons who are not working but seeking or available for work,
service rendered by and for household members attending to domestic duties (preparing and serving
meals; mending, washing and ironing clothes; shopping; caring for siblings and sick/disabled
household members; cleaning and maintaining the household dwelling; repairing household durables;
transporting household members and their goods); rentiers, pensioners, not able to work due to
disability, others (begging, etc). These activities, if indicated by the respondent, should be recorded as
“not engaged in economic activity” (code ‘8’).
Please note that person with a job but during the reference period temporarily absent due to illness or
injury, vacation, educational or training leave, temporary suspension of work, temporarily dismissal or
other similar reasons considered as engaged in economic activity for all categories.
In the event that the household member interviewed cannot be included in any of the preceding
categories record code “96” for other and specify the status in employment on the space provided.
Q216: Status in employment during the last 7 days
This question should be asked for all household members aged 15 years or above.
The purpose is to find out about the status in employment in which the person spent the most time
over the course of the last 7 days. This is the status in which the respondent has usually worked the
greatest number of hours during the week. If the household member has been engaged in two or
more different types of employment status and the usual hours of work during the week are the same
in each, the main employment status is the one that generates the highest income. We are interested
in the employment status that the reference person was engaged in during the last 7 days preceding
the date of data collection. For example, if the data is being collected on Monday, we would be
interested in knowing about the status in employment of the respondent during Monday to Sunday of
the past week.
Minimum time spent in economic activity is one hour. Minimum meaning that the economic activity
takes priority over being inactive or unemployed - i.e. if at least one hour is spent in (all kinds of)
economic activities one will be considered as employed and will be assigned relevant employment
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status code 1 to 7 depending on in which employment status maximum time is spent in the reference
period of 7 days. Thus, in Q216 one will be assigned code 8, if he/she was engaged in economic
activity for less than one hour in last 7 days.
Also note that person NOT engaged in any economic activity at all during the last 7 days OR engaged
in any economic activity for less than one hour during the past 7 days should be classified as not
engaged in economic activity (code 8).
If the household member is engaged in wage employment, is a contributing family worker, a casual
labourer, or an unpaid trainee, skip to Q219. If not engaged in economic activity, skip to Q220.
For details on the employment status classification refer to Q215.
Q217: Economic activity during the last 7 days
This question should be asked only for household members whose reported status in
employment in Q216 is self-employment (codes ‘2’ or ‘3’).
This question asks the household member if he/she was engaged in non-agricultural or agricultural
type of self-employment job during the last 7 days. Enter code ‘1’ if the household member was
engaged in non-agricultural self-employment.
Enter code ‘2’ if the household member was engaged in agricultural self-employment. If agricultural
self-employment, skip to Q219.
Q218: Type of Enterprise
This question should be asked only to an individual whose reported self-employment status
was non-agricultural (code ‘1’) in Q217.
A limited liability company, or "LLC," is a separate and distinct legal entity (registered
enterprise/business). This means that an LLC can obtain a tax identification number, open a bank
account and do business, all under its own name. The primary advantage of an LLC is that its
owners, known as members, have "limited liability", meaning that, under most circumstances, they
are not personally liable for the debts and liabilities of the LLC. For example, if an LLC is forced into
bankruptcy, then, absent special circumstances, the members will not be required to pay the LLC's
debts with their own money. If the assets of the LLC are not enough to cover the debts and liabilities,
the creditors generally cannot look to the members, managers or officers for recovery.
Sole director of [NAME’s] own limited-liability enterprise (code 1) is the one who starts an
enterprise on his/her own, has registered the enterprise as a limited liability enterprise and is
responsible for taking all decisions relating to the enterprise. The liability of the director is limited if the
enterprise runs into trouble.
A partner/associate in one’s own limited-liability enterprise (code 2): A partnership is a legal form
of business operation between two or more individuals who manage the enterprise and assume
responsibility for the partnership's debts. A limited liability partnership is a separate legal entity to its
partners, limiting how much partners are liable if the enterprise runs into bankruptcy
Running alone one’s own enterprise (code 3) are those persons who start an enterprise on their
own and operate as a sole trader.
A partner in an enterprise (code 4) refers to a partner in an enterprise operation between two or
more individuals who share management and profits. Partners are personally liable for the
partnership's obligations and debts. Each partner can act on behalf of the partnership, take out loans
and make decisions.
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Other (code 96), describe the type of organization of the enterprise and activity.
Please note that codes ‘1’ and ‘2’ relate to incorporated/registered businesses, where code ‘1’
indicates a sole owner and code ‘2’ indicates the joint ownership as a partner. Codes ‘3’ and
‘4’ relate to unincorporated/unregistered enterprise businesses where the owners have
unlimited liability in the sense that the owner and businesses are not separate entities.
Q219: Entrepreneurship in subsidiary capacity
Ask whether adult members of the household own and operate a non-agricultural enterprise in
addition to the main status in employment recorded in Q216. Record 1 for ‘Yes’ and 2 for ‘No’.
MODULE 2B: HOUSEHOLD DWELLING CHARACTERISTICS
Q220-222: Type of materials used for construction of the roof, wall, and floor
These questions deal with the physical characteristics of the dwelling: record the main construction
material of the roof, the external wall, and the floor of the main dwelling unit. Ask the respondent for
the main type of material used for construction and write the appropriate code. However, if the main
material used is obvious, record as observed. If more than one kind of material is used, record the
main type of material (i.e. the material that covers the largest part of the floor/roof/wall of the dwelling
unit). The quality of the material does not matter.
Construction materials are usually obvious. Descriptions of some of the materials are given below:
i) Roof: Thatch: this includes grass, papyrus, banana fibre, banana leaves etc.
ii) Wall:
Bricks: These are building materials molded from earth or clay. They may or may not be
burnt, and may or may not be stabilized with another material such as lime or cement or mud
not be burnt, and may or may not be stabilized with another material such as lime or cement
or mud.
Cement Blocks: These are building materials made out of a mixture of cement and sand.
They are usually larger than bricks..
iii) Floor
Cement screed: This is a thin layer on the floor made of sand and cement.
Concrete: Is a thick layer of hard core stones mixed with graved stone and cement.
Rammed Earth: Earth mixed with water, rammed and left to dry.
Q223: Type of toilet
This question seeks information about the type of toilet used by the household. Note that it refers to
use rather than ownership. Below is the description of the different types of toilet facilities
Definitions of Toilet Facility
Response Categories
Flush/pour toilet
Pit latrine
-
ventilated improved pit latrine (VIP)
-
pit latrine with slab
Definition
A flush toilet uses a cistern or holding tank for flushing
water and has a water seal, which is a U-shaped pipe,
below the seat or squatting pan that prevents the
passage of flies and odors. A pour toilet uses a water
seal, but unlike a flush toilet, a pour flush toilet uses
water poured by hand for flushing (no cistern is used)
Excreta is deposited without flushing directly into a
hole in the ground
A latrine ventilated by a pipe extending above the
latrine roof. The open end of the vent pipe is covered
with gauze mesh or fly-proof netting and the inside of
the superstructure is kept dark
A latrine with a squatting slab, or a platform or seat. A
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-
-
-
Definitions of Toilet Facility
latrine has a “slab” if the floor of the latrine is made of
a hard, smooth material that can easily be thoroughly
cleaned: e.g. cement, very smooth wood with no gaps,
or smooth stone. Latrines with floors made of dirt, mud
covered floors, or floors of mud and sticks do not have
a slab. The “slab” does not have to be raised above
ground level. A platform or seat must be firmly
supported on all sides and raised above the
surrounding ground level to prevent surface water from
entering the pit and for ease of cleaning
pit latrine without slab/open pit
A latrine without a squatting slab, platform or seat. An
open pit is a rudimentary hole in the ground where
excreta is collected
covered pit latrine
A latrine with a structure consisting of at least 3 walls
and a roof over it. The cover on the pit latrine keeps
rainwater from entering the latrine.
uncovered pit latrine
A latrine that does not have a structure over it or the
structure lacks either walls or a roof.
Ecosan toilets
A toilet where feaces and urine is either compositing or
dehydrating (using ash and /or other materials) on site
before it’s exposed to the environment.
For those who go to the bush, use polythene bags or buckets, write code 08 for “No facility”. For
households that use different toilet facilities during day and night, consider the facility used during day
time.
Q224. Main source of electricity
This question is about the main source of electricity used in the household. Use the codes listed in the
questionnaire. If the household uses a source of electricity that is not included on the list, code “96”
and record the source in words.
Q225. Main source of drinking water
This question identifies the main source of drinking water in the household during the rainy season.
Use the codes provided. If you put the code “96” make sure you write the main source of drinking
water in words. If there are more than two sources, mention the one used most frequently by the
household.
End of Household Questionnaire
At this point you have completed the administration of the household questionnaire. For the next set
of questions, the enumerator has to fill the appropriate codes.
Q226. Household Questionnaire completion status
Enter appropriate response code for completion status of household questionnaire. If completed, code
1 and proceed to the next question. If Not interviewed, code 2 and end interview. The reason for “not
interviewed” should be explained in detail in the blank space provided.
Q227. Respondent ID code
Record the Person ID code of the household member who completed the household questionnaire.
Q228. Individuals chosen for the Individual Questionnaire.
Refer to randomized selection of household members – procedure portion of this questionnaire to
select two or three individual household members to be interviewed for the Individual Questionnaire,
depending on the sub-Stratum the household falls under. Record the individual ID codes of these
respondents. In the event that there were no household members selected for interview or there are
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less than 3 household members interviewed. DO NOT leave the box blank. Put a cross (X) in blank
boxes.
Q229. End time of Household Questionnaire
Record the end time of interview for the Household Questionnaire.
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CHAPTER THREE
INSTRUCTIONS TO COMPLETE THE INDIVIDUAL QUESTIONNAIRE
IDENTIFICATION PARTICULARS
The first nine items follow from the cover page of the household questionnaire. Please copy down this
information correctly because the identification needs to be unique for consistency in data to be
maintained. The identification consists of the following:
ITEM 1: Stratum name and code.
ITEM 2: District name and code.
ITEM 3: County name.
ITEM 4: Sub-county name.
ITEM 5: Parish name.
ITEM 6: EA name and code.
ITEM 7: Code 1 if the selected household belongs to second stage stratum 1 (SSS-1) i.e. has 3 or
more adult household members. Code 2 if household belongs to second stage stratum 2 (SSS-2) i.e.
has two or less adult household members.
ITEM 8: Three digit serial number assigned to this household during the listing exercise wil be
recorded.
ITEM 9: Sample number. Sample number refers to the order number during the process of selecting
the [xx] households that will be interviewed in the EA.
ITEM 10: Record the person ID code of the individual being interviewed for the individual
questionnaire. You may refer to the household questionnaire to fill this information and the person ID
code should match with one of the codes entered in Q228, which was randomly chosen.
ITEM 11: Record the name of the individual being interviewed for the individual questionnaire. You
may refer to the household questionnaire to fill this information. This is the name of the person being
referred to in ITEM 10.
ITEM 12: Record the interview status code of the selected respondent interviewed for the individual
questionnaire. If the household member selected was successfully interviewed, code 1. If partially
done, code 2. If not interviewed, code 3. Note that every household members selected for interview
must have an interview status code and should be consistent with the completion status code
provided in Q1301 of the individual questionnaire.
ITEM 13: If item 12 is code 3 ‘Not Interviewed’. Record the code on the reason for not interviewed
status. Note that information given on this item should be consistent with the information provided in
Q1302 of the individual questionnaire.
Note that items 12 and 13 should be filled by the enumerator at the end of the interview.
ITEM 14: Record the date on which this Individual Questionnaire is being administered. The format is
DD/MM/YYYY.
ITEM 15: Record the time at which this interview started. The time is recorded in the 24 hour format
(HH:MM). So 10:30 PM will be written as 22:30 while 10:30 AM will be written as 10:30.
ITEM 16: Record the two digit code of the enumerator conducting the interview.
ITEM 17: Record the name of the enumerator conducting the interview.
At this point, the enumerator can skip to Module 3 – Dwelling. Ensure that all ITEMS from 1-17
are completed before moving to Module 3.
ITEM 18, 19, 20, 21: TO BE FILLED BY THE SUPERVISOR WHEN THE ENUMERATOR HAS
COMPLETED BOTH THE INDIVIDUAL AND HOUSEHOLD QUESTIONNAIRES:
ITEM 18 & 19: Record the two digit code and the name of the supervisor.
ITEM 20: Record the date when the Individual Questionnaire was reviewed by the Supervisor. The
format is DD/MM/YYYY.
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ITEM 21: The Supervisor should provide any comments he/she may have on the interview or the
household in the space provided.
If the respondent is different from the one completing the Household Questionnaire, please read the
statement of purpose confidently given in module 1B, and then give time for the respondent to ask
questions, before soliciting information.
MODULE 3: DWELLING
These questions ask about the plot of land and dwelling in which this household lives. It may be a
house, apartment, compound, or rooms in a compound. The questions in this module refer to the
dwelling the respondent lives in. If this household owns more than one dwelling, list in this module the
primary one in which the household lives in, and the other(s) should be listed in Module 8, i.e. Other
Real Estate.
Q301: Type of dwelling
This question seeks to establish the type of dwelling unit occupied by the household. The response
should refer to the characteristics of the biggest part of the dwelling unit.
A detached house (code 1) is one that stands alone without being attached in any way to another
building. NOTE: This excludes storied houses structurally built for use by one household.
A semi-detached house (code 2) commonly refers to two or more separate residences, attached
side-by-side.
This type of dwelling unit can appear as a single house with two different entrances, though
sometimes the houses have a shared entrance but with two separate doors. The semi-detached
house often looks like either two or more houses put together. It can be single or multiple storied, with
a common roof and shared walls between units.
A flat in a block of flats (code 3) commonly refers to a residential building consisting of apartments.
Servants’ quarters (code 5) refer to parts of the building, traditionally in a private house, which
contain the domestic offices and staff accommodation.
A Tenement (code 6) is a building for human habitation, especially one that is rented to tenants. It is
a rundown, low rented apartment building where facilities and maintenance barely meet minimum
standards, often over crowded especially in a poor section of an urban area. It is also a multi-unit
dwelling made up of several apartments.
If none of the stated dwelling unit types are appropriate, record code 96 for “Others, specify” e.g. if
the type of dwelling unit is containers and unipots. The household may occupy a unit which is not
intended for habitation e.g. a garage. In such cases, record code 7 for “Garage”.
Q302: Ownership status of the dwelling
This is the screening question to determine whether any household member owns the main dwelling
of the household. We will be asking additional questions about what it means to own the dwelling, so
at this point we want the respondent’s sense of whether or not someone in the household is the
owner. They may or may not have the title or an ownership deed. If the dwelling is owned by one or
more members of the household, code 1. If the dwelling is rented in by one or more members of the
household, code 2. If the dwelling was freely acquired, code 3. Freely acquired could just be an
abandoned dwelling that no one was occupying and was therefore freely available, because of which
the household decided to move in. It is not part of a government program or the community. For
government provided, code 4. For community provided that is acquired from a non-profit entity, code
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5. For Other, Specify, code 96. For Don’t Know, code 98. For codes 2, 3, 4, 5, 96 and 98 skip to
Q316. If code 1 “owned by someone in household”, proceed to the next question.
Q303: ID of owners of the dwelling
Enter the household ID(s) of adult person(s) who is the owner(s) of the dwelling. If the dwelling is
owned by more than one person in the household, enter the IDs of all adult owners. If the dwelling is
owned jointly with someone from outside of the household, enter code “99”. We will be asking
additional information about ownership, so the owner in this question is not necessarily the person
who is listed on the title as the owner. We want to know the person or people within the household
and outside of the household who claim ownership of the dwelling. Add additional space in the
questionnaire for listing IDs of adult owners, if required.
Please note to record the ownership of all adult household members owning a particular asset
across ALL assets. Not listing all owners would obviously lead to underestimation of individual level
asset ownership by sex.
Q304: Year of acquisition of dwelling or plot of land on which the dwelling is located
Record the year the adult owner(s) acquired the dwelling or plot of land on which the dwelling is
located. Enter the ID code of each owner and the year the owner acquired it since each owner may
have acquired the asset in a different year. This refers to ownership of adult household members
only. Record ‘98’ if don’t know. THE IDs IN 303 AND 304 SHOULD CORRESPOND AND BE
WRITTEN IN THE SAME ORDER.
Example:
A husband may have purchased the plot in a given year and his wife may have
become an owner through marriage to him two years later. If the first owner was the
husband and her wife became co-owner when they got married. For the husband,
record the original year of acquisition as reported by the husband. For the wife, the
year of acquisition should be the year of marriage only.
In case of multiple owners, the years of acquisition in Q304 will be specific to each person and can
obviously be different from each other depending on when the asset in question was acquired by
each of the owners. This point may be stressed clearly to the enumerators and the supervisors as
this has implications on the gender based analysis.
Q305: Mode of Acquisition of the dwelling or plot of land on which the dwelling is located
This question asks how the adult owner(s) of the dwelling the plot of land on which the dwelling is
located acquired it. If the dwelling/plot of land is jointly owned by two or more people, enter the ID
code of each owner and the code for the MOA (mode of acquisition) since each owner may have
acquired the asset in a different way. This refers to ownership of adult household members only. For
example, a husband may have purchased the dwelling (Code 1) and his wife may have become a
joint owner through marriage (Code 4). If inherited after the death of a natal family member, code 2.
If inherited after the death of a marital family member, code 3. Gifts or allocations from a household
member is code 5. Gifts or an allocation from a non-household member is code 6. If acquired
through a Government Program, code 7. If someone deliberately enters property without permission
and lives there, or intends to live there it is referred to as encroachment. Code this option as 8. If
Other, Specify, code 96 and explain the mode of acquisition. If Don’t Know, code 98. THE IDs IN
303 AND 305 SHOULD CORRESPOND AND BE WRITTEN IN THE SAME ORDER.
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Q306: Tenure status of dwelling or plot of land on which the dwelling is located
Here we are trying to get the legal tenure status of the dwelling or plot of land on which the dwelling is
situated, as reflected in the official categorization of the constitution of the country concerned. These
categories regulate formal property rights. It may be necessary to read and explain the options to the
respondent in order for them to understand in the local language what you are asking. Use the
following codes for ownership status:
CUSTOMARY..............1
LEASEHOLD..............2
FREEHOLD...............3
OTHER (SPECIFY)........96
DON'T KNOW.............98
Customary is a form of land tenure or property tenure where ownership lies with indigenous
communities and is administered in accordance with their customs, as opposed to statutory tenure.
If the dwelling or plot of land is customary land, code 1.
Leasehold is a form of land tenure or property tenure where one party buys the right to occupy land
or a building for a given length of time. If the dwelling or plot of land is leasehold, code 2.
Freehold is the ownership of real property, being land and all immovable structures attached to
such land. A freehold differs from leasehold in that property is purchased outright and thereafter
held for an indeterminate length of time. If the dwelling or plot of land is a freehold, code 4.
If Other Specify, code 96. If Don’t Know, code 98.
Q307 Ownership document of dwelling or plot of land on which the dwelling is located
We are asking whether there is an ownership document for the dwelling or plot of land on which the
dwelling is located and what type of document it is. It may or may not have the name of someone in
the household on it. If there are more than 1 type of document, list the one that is held by someone
in the household. If there is no ownership document or the respondent does not know, skip to Q309.
Examples:
1.
If there is a title deed, but the household member doesn’t have it, but has an invoice
or sales receipt, list the invoice under “Yes, Other Specify”, Code 96 and not the
deed.
2.
If a dwelling is reportedly owned by two sisters as given verbally in 1975 by their
father who died in 2003. However, the ownership document in the form of a title deed
still carries the name of the dead father. Assign code “96” and specify that the title
deed is still in the exclusive name of the dead father. Code “1-Title Deed” should only
be assigned if at least one of the owners whose name is in the title deed is living,
which gives security of tenure to the owner. A title deed in the exclusive name of a
dead owner does not provide secure of tenure to the reported owners.
Q308: ID(s) of person(s) listed as owner(s) on document of dwelling or plot of land on which
the dwelling is located
Record the ID code(s) of the adult household member whose name is listed as an owner on the
ownership document. If more than 1 household member is listed as an owner on the document,
enter the IDs of all adult owners. If the name of someone from outside of the household is listed as
an owner, enter code “99”. If the dwelling is owned by all household members and someone from
outside the household, use all the columns provided and enter “99” in one of the columns. Add
additional space in the questionnaire for listing IDs of adult owners, if required.
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Q309: Involvement in the decision to sell the dwelling or plot of land on which the dwelling is
located
Record the ID code of the person who is involved in the decision to sell the dwelling or plot of land
on which the dwelling is located even if he or she needs to obtain the consent or permission of
someone else. If more than 1 person is involved in the decision to sell, enter all household members
ID codes (from the household roster) or code “99” if someone from outside of the household is
involved in the decision to sell. A person involved in the decision is someone who is consulted
before the final decision to sell. It may or may not include the owner(s). For example, if an aged
person owns a property but her daughter is the one that makes the decision on sale, then the
daughter’s ID code should be recorded and not the aged person.
Q310: Involvement in decision to bequeath the dwelling or the plot of land on which the
dwelling is located
Record the ID code of the person who is involved in the decision to bequeath the plot of land on
which the dwelling is located even if he or she needs to obtain the consent or permission of
someone else. If more than 1 person is involved in the decision to sell, enter all household members
ID codes (from the household roster) or code “99” if someone from outside of the household is
involved in the decision to bequeath. A person involved in the decision to bequeath is someone who
is consulted before the final decision to bequeath is made. It may or may not include the owner(s).
For example, if an aged person can officially bequeath a property but her daughter is the one that
makes the decision on it and the aged person only signs the legal document, then the daughter’s ID
code should be recorded and not the aged person’s ID.
Q311 and Q312: Real estate market
Ask whether dwelling owners sell dwellings in and around the community (Q311) and if the
respondent is informed regarding the value of recent sales of dwellings (Q312). Enter the appropriate
code. If the respondent reports no sales (code 2) or don’t know (code 98) in Q311, skip to Q313.
Q313: Value of dwelling
Ask the respondent to estimate in local currency how much could be received for the dwelling and the
plot of land on which it is located were to be sold today. The estimate should be based on the location
and condition of their particular dwelling and reported in local currency. If he/she can’t estimate this,
enter “98”, or “97” if he/she refuses to answer. Please note that if an estimated value is obtained, skip
to Q315. Otherwise, proceed to Q314.
If the respondent does not know how much their dwelling might sell for, ask about the prices of similar
homes in the neighborhood that have been sold recently.
Q314: Cost of constructing dwelling
This question should only be asked to respondent who reported “code 1–detached house (single or
multi-story)” in Q301 and “code 97–refuse” or “code 98–don’t know” in Q313. Ask the respondent to
estimate in local currency how much it would cost to construct this type of dwelling today, including
the cost of the plot of land on which the dwelling is located. If he/she can’t estimate this, enter “98”, or
‘97” if he/she refuses to answer.
Please note that Q313 attempts to get market cost of the dwelling (including the land on which
it is situated). In the absence of any answer on the market cost in Q313, Q314 will be asked to
get the cost-based value.
Q315: Who would decide how to use money from the sale of dwelling
Ask the respondent, if the dwelling were to be sold today, who would decide how the money would
be used. Note that this question is hypothetical so the respondent should answer even if there are
41
no plans to sell the dwelling. Enter the ID code of the household member who would decide how to
use the money. If more than 1 person would be involved in deciding how the money would be used,
list ID codes of all such persons. If someone from outside of the household would decide how the
money from the sale of the dwelling would be used, enter code “99”. Add additional space in the
questionnaire for listing IDs, if required. Figure 1 shows the flow of skipping patterns in Q311–
Q315.
Figure 1 Flow of skipping patterns in Q311, Q312, Q313, Q314, and Q315.
Q311. Do dwelling owners
sell dwellings in or around
this community?
01 – YES
02 – NO
98 – DON’T KNOW
Q312. Are you informed
regarding the value of recent
dwelling sales transactions?
1 – Informed
2 – Not informed
Q313. If this dwelling and the plot of land on which it is located were to be sold today, how
much could be received for it?
97 – Refuse to answer
Some value
98 – Don’t Know
Q314. What would it cost to construct this
dwelling today including the cost of the plot of
land on which the dwelling is located? (for code 1
– detached house [single or multi-story] in Q301)
Some value
97 – Refuse to answer
98 – Don’t Know
Q315. If this dwelling were to be sold today, which HH member(s) would decide how
the money is used?
Q316. Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code
‘3’); with both adult males and females present (code ‘4’); with children present (code ‘5’); or with
both adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 4: AGRICULTURAL LAND
Q401: Ownership of agricultural parcels
This is the screening question to determine whether any household member owns agricultural
parcels, either exclusively or jointly with someone else. Agricultural parcels may include those that
are currently fallow, cultivated by someone in the household, rented out, or given away for free on a
42
temporary basis. We will be asking additional questions about what it means to own agricultural
parcels, so at this point we want the respondent’s sense of whether or not someone in the
household owns any agricultural parcels. He/she may or may not possess the title or an ownership
deed to the parcel. If no household member owns an agricultural parcel, or the respondent doesn’t
know, code 2 or 3 and skip to Q426.
Q402: Parcel Name
List all the agricultural parcels owned by any member of the household. For each parcel, ask the
respondent to give the parcel a “name”. For example, “Mia’s paddy rice parcel” or “Mia’s swamp rice
parcel”. Start with the largest parcel first, going down to the smallest parcel. Asking the respondents
about the largest parcel first is done so that if the household has more than 10 parcels, the smallest
parcels will be omitted.
Q403: Parcel Description and Informal Location
Write a brief description of each agricultural parcel so that you can make sure that when you refer to
each parcel of land, you are able to match the parcel ID code with the actual parcel. Descriptions
should at minimum include the major type of crop grown on the parcel, the type of land, the location
(irrigated rice plot; vegetable plot near the main road; wife’s parcel north of village). Provide the
location and description for each parcel before asking Q404.
Q404: Parcel location
Record the location of the agricultural parcel using the codes provided. Modify the response
categories according to country context.
WITHIN THE EA/LC1...........................1
OUTSIDE EA BUT WITHIN SAME PARISH...........2
OUTSIDE PARISH BUT WITHIN THE SUB COUNTY....3
ELSEWHERE IN THE DISTRICT...................4
OTHER DISTRICT..............................5
On Q404, use of geographical codes of the Parish, Sub county, and District can also be used as an
option to record the location of the agricultural parcel. The box can be sub-divided into 3 small subboxes (see illustration 4.1 below – boxes have been inserted for Parish, Sub county, and District),
each box will be used to record geographical codes of the admnistrative areas (parish, sub county,
dsitrict). The enumerators can fill in the codes after taking note of the names of parish, sub county,
district on which the parcel is located. If the parcel is located within the same sample, the codes can
be taken from the identification particulars in the cover page of the individual questionnaire. These
codes will also be helpful in matching the parcels between individual questionnaires of the two
respondents in the same household
Illustration 4.1
Parcel
ID
Q404.
Where is this [PARCEL] located?
DISTRICT SUB COUNTY PARISH
P01
P02
P03
P04
P05
P…
P10
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Q405: Area of Parcel
Ask the respondent to estimate the area of the agricultural parcel in acres. If the respondent is not
able to give a response, you can relate the size to a football pitch (which is roughly 1 acre) or some
other common area unit (i.e hectares). Please note the unit of measurement for land area should be
consistent in the questionnaire. In case the respondent does not know the area in acres but provide
other local units, the enumerator should have a standard conversion table for converting local units to
acres. For example, if the area given by the respondent is in square meters, convert this to acres by
dividing it by 4046.9 since one acre equals to 4046.9 sq.m.
Q406: Piece of land on which dwelling is located.
Ask the respondent if the parcel described in Q403 is the same parcel on which the principal
household dwelling is located. If ‘yes’, code 1 and skip to Next Parcel or if there are no other
agricultural parcel owned by a member of the household skip to Q426. If ‘no’, code 2.
Q407: Primary use of parcel
Record the primary use of the parcel in the most recent cropping season using the codes provided.
Own cultivated refers to crops that were grown by one or more of the household members. Annual
crops mean the crops are grown on an annual basis (such as rice), while perennial crops mean the
crops are grown perennially (like rubber). Code according to the response provided by the
respondent.
If the land is used for livestock, grazing, rearing or pasture, code 3. If the land is left fallow, code 4. If
the land is woodland/forest, code 5. If land is a swamp, code 6. If the land is rented out, code 7.
Rented out means the land has been given out to someone else in exchange for money or in-kind
benefits If the land is given out for free, code 8. . For Other Specify, Code 96 and write the other
category that is not listed in the options provided and for Don’t know, code 98. For codes other than 1
or 2, skip to Q409.
Note that growing of grass (also known as “fodder crops”) that are cultivated primarily for
animal feed (i.e. feeding of livestock) should be categorized as “own cultivated”. It should be
either code 1 or 2 (annual or perennial crops).
Q408: Crops cultivated
Record the crops using the crop codes in Annex 4 that were cultivated during the most recent
cropping season . The order of the crops should be listed in terms of the largest to smallest area
planted. If there are two crops which are intercropped and have equal area, list first the one which has
the largest revenue.
Q409: Decision-maker(s) for primary use of plots
Enter the household ID(s) of all adult person(s) who makes the decisions across the plots on the
agricultural parcel on the use of primary use of the plots listed in Q405 in the most recent cropping
season. If more than one household member makes these decisions, ID codes of all adult members
can be listed. If someone from outside of the household makes these decisions, enter code “99”. If
there is more than 1 plot on the parcel and each plot has a different decision-maker, enter the codes
of each decision-maker. Add additional space in the questionnaire for listing IDs, if required.
Q410: Soil type
Record the soil quality of the parcel using the codes provided. If the respondent does not know the
name of the soil type show them the pictures to identify the soil type. If the respondent is still unable
to answer, code 98 for “Don’t know”.
SANDY SOIL ............ 1
SILTY SOIL............. 2
CLAY SOIL.............. 3
PEATY SOIL..............4
SALINE SOIL.............5
LOAMY SOIL..............6
OTHER (SPECIFY)........96
DON'T KNOW.............98
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In its traditional meaning, soil is the natural medium for the growth of plants. Soil has also been
defined as a natural body consisting of layers (soil horizons) that are composed of weathered mineral
materials, organic material, air and water. (Refer: http://www.fao.org/soils-portal/about/alldefinitions/en/)
FOR COUNTRIES: Modify the soil type according to country context.
Sandy soil has the largest particles among the different soil types. It’s dry and gritty to the touch, and
because the particles have huge spaces between them, it can’t hold on to water.
Silty soil has much smaller particles than sandy soil so it’s smooth to the touch. When moistened, it’s
soapy slick. When you roll it between your fingers, dirt is left on your skin. Silty soil retains water
longer, but it can’t hold on to as much nutrients as you’d want it to though it’s fairly fertile. Due to its
moisture-retentive quality, silty soil is cold and drains poorly.
Clay soil has the smallest particles among the three so it has good water storage qualities. It’s sticky
to the touch when wet, but smooth when dry. Due to the tiny size of its particles and its tendency to
settle together, little air passes through its spaces. Because it’s also slower to drain, it has a tighter
hold on plant nutrients. Clay soil is thus rich in plant food for better growth.
Peaty soil is dark brown or black in color, soft, easily compressed due to its high water content, and
rich in organic matter. Peat soil started forming over 9,000 years ago, with the rapid melting of
glaciers. This rapid melt drowned plants quickly and died in the process. Their decay was so slow
underwater that it led to the accumulation of organic area in a concentrated spot.
Saline soil. The soil in extremely dry regions is usually brackish because of its high salt content.
Known as saline soil, it can cause damage to and stall plant growth, impede germination, and cause
difficulties in irrigation.
Loamy soil. The type of soil that gardens and gardeners love is loamy soil. It contains a balance of all
three soil materials—silt, sand and clay—plus humus. It has a higher pH and calcium levels because
of its previous organic matter content. Loam is dark in color and is mealy—soft, dry and crumbly—in
your hands. It has a tight hold on water and plant food but it drains well, and air moves freely between
soil particles down to the roots.
Illustrated examples:
Types of soil
Sandy soil
Silty soil
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Types of soil
Clay soil
Peaty soil
Saline soil
Loamy soil
Q411: Tenure status of parcel
Here we are trying to get the legal tenure status of the parcel, as reflected in the official categorization
of the Constitution of the country concerned. These categories regulate formal property rights. It may
be necessary to read the responses to the respondent in order for them to understand in the local
language what you are asking. Use the following codes for ownership status:
CUSTOMARY................1
FREEHOLD.................2
LEASEHOLD................3
OTHER (SPECIFY)..........96
DON'T KNOW...............98
For details on each of the categories refer to Q306.
Q412: ID of owner(s) of parcel
Enter the household ID(s) of the adult person(s) who is the owner(s) of the parcel. If the parcel is
owned by more than one person in the household, enter the IDs of all adult owners. If the parcel is
owned jointly with someone from outside of the household, enter code “99”. We will be asking
additional information about ownership, so the owner in this question is not necessarily the person
who is listed on the title as the owner. We want the person or people within the household and
outside of the household who claim ownership. Add additional space in the questionnaire for listing
IDs of adult owners, if required.
Q413: Year of acquisition
Record the year the owner(s) acquired the agricultural parcel. If the parcel is jointly owned by two or
more people, enter the ID code of each owner and the year the owner acquired it since each owner
may have acquired the parcel in a different year. Add additional space in the questionnaire for listing
IDs of adult owners, if required. Record ‘98’ if don’t know. THE IDs IN 412 AND 413 SHOULD
CORRESPOND AND BE WRITTEN IN THE SAME ORDER.
Example:
46
A husband may have purchased the parcel in a given year and his wife may have
become an owner through marriage to him two years later. If the first owner was the
husband and her wife became co-owner when they got married. For the husband,
record the original year of acquisition as reported by the husband. For the wife, the
year of acquisition should be the year of marriage only.
In case of multiple owners, the years of acquisition in Q413 will be specific to each person and can
obviously be different from each other depending on when the asset in question was acquired by
each of the owners. This point may be stressed clearly to the enumerators and the supervisors as
this has implications on the gender based analysis.
Q414: Mode of acquisition of agricultural parcel
This question asks how the owner(s) of the agricultural parcel acquired it. If the parcel is jointly
owned by two or more people, enter the ID code of each owner and the code for the MOA (mode of
acquisition) since each owner may have acquired the parcel in a different way. For example, a
husband may have purchased the parcel and his wife may have become a joint owner through
marriage. Add additional space in the questionnaire for listing IDs of adult owners, if required.
THE IDs IN 412 AND 414 SHOULD CORRESPOND AND BE WRITTEN IN THE SAME ORDER.
Q415: Ownership document
We are asking whether there is an ownership document for the parcel and what type of document it
is. It may or may not have the name of someone in the household on it. If there is more than 1 type
of document, list the one that is held by someone in the household. For example, if there is a title
deed, but the household member doesn’t have it, but has an invoice or sales receipt, list the invoice
under Yes, Other Specify, Code 96 and not the deed. If there is no ownership document code 6 and
skip to Q417. If the respondent does not know, code 98 skip to Q417.
Q416: ID(s) of person(s) listed as owner(s) on document
Record the ID code(s) of the adult household member whose name is listed as an owner on the
ownership document for the parcel. If more than 1 household member is listed as an owner on the
document, enter the IDs of all owners. If the name of someone from outside of the household is
listed as an owner, enter code “99”. Add additional space in the questionnaire for listing IDs of adult
owners, if required.
Q417: Involvement in the decision to sell agricultural parcel
Record the ID code of the adult person who is involved in the decision to sell the agricultural parcel
even if he or she needs to obtain the consent or permission of someone else. If more than 1 person
is involved in the decision to sell, ID codes of all such members (from the household roster) and/or
code “99” if someone from outside of the household is involved in the decision to sell. A person
involved in the decision is someone who is consulted before the final decision to sell. It may or may
not include the owner(s). For example, if an aged person owns an agricultural parcel but her
daughter is the one that makes the decision on sale, then the daughter’s ID code should be
recorded and not the aged person. Add additional space in the questionnaire for listing IDs, if
required.
Q418: Involvement in decision to bequeath agricultural parcel
Record the ID code of the person who is involved in the decision to bequeath an agricultural parcel
even if he or she needs to obtain the consent or permission of someone else. If more than 1 person
is involved in the decision to bequeath, ID codes of all such members (from the household roster)
and/or code “99” if someone from outside of the household is involved in the decision to bequeath. A
person involved in the decision is someone who is consulted before the final decision to bequeath. It
may or may not include the owner(s). For example, if an aged person can officially bequeath a an
47
agricultural parcel, but her daughter is the one that makes the decision on it and the aged person
only signs the legal document, then the daughter’s ID code should be recorded and not the aged
person’s ID. Add additional space in the questionnaire for listing IDs, if required.
Q419–420: Real estate market
Ask whether land owners sell any land in and around the community (Q419) and if the respondent is
aware of the value of recent sales of land (Q420). Enter the appropriate codes. If the respondent
reports no land transactions (code 2) or if he/she doesn’t know (code 98) in Q419, skip to Q421.
Q421: Value of parcel
Ask the respondent to estimate in local currency how much could be received for the parcel if it were
to be sold today. The estimate should be based on the location and condition of their particular parcel.
If he/she can’t estimate this, enter code “98”, or code “97” if he/she refuses to answer.
Q422: Who would decide how to use money from sale of the parcel
Ask the respondent, if the parcel were to be sold today, who would decide how the money would be
used. Note that this question is hypothetical so the respondent should answer even if there are no
plans to sell the parcel. Enter the ID code of the household member who would decide how to use
the money. If more than one person would be involved in deciding how the money would be used,
ID codes of all adult persons can be listed. If someone from outside of the household would decide
how the money from the sale of the parcel would be used, record code “99”. Add additional space
in the questionnaire for listing IDs, if required.
Q423: FILTER QUESTION FOR ENUMERATOR - Is respondent Owner of [PARCEL]?
Check according to Q412. If the respondent is the owner/one of the owners of the parcel in
accordance with Q412, record code 1–Yes. If not, code 2 and skip to the next parcel or if there are no
other agricultural parcel owned by a member of the household skip to Q426.
Q424: Knowledge of agricultural parcel
Ask the respondent whether there is anyone in his/her household 18 years and above who does not
know about the agricultural parcel the respondent owns either solely or jointly with another person(s).
If ‘no’, skip to the next parcel or to Q426 if there are no other parcels owned by a member of the
household.
Q425: ID of person(s) who do not know about agricultural parcel
Enter the household ID(s) of the person(s) 18 years and above who do not know about the
respondent’s ownership of the agricultural parcel. Up to 3 IDs can be listed.
Q426: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code
‘3’); with both adult males and females present (code ‘4’); with children present (code ‘5’); or with
both adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
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MODULE 5: LIVESTOCK
FOR COUNTRIES: Please modify the livestock name according to country context. Countries
may also provide definitions of the different kinds of livestock existing/applicable in your
country.
Q501: Ownership of livestock
This is the screening question to determine whether any member of the household owns any
livestock, either exclusively or jointly with someone else. The enumerator must read the categories
of animals listed. Note that someone may own livestock that is not kept on the premises; the
livestock may be in another location in the care of a caretaker. Also note that livestock does not
include pets.
Ask Q501 for all categories of livestock listed before proceeding to the remaining questions in the
module. If nobody in the household owns any of the categories of livestock listed, code 2 and skip to
next item or the respondent doesn’t know, skip to the next item. If all livestock are coded as No or
Don’t know, then skip to Q505.
Q502: Ownership patterns of livestock
Enter the ID code(s) of any household member that owns one or more animals in this category of
livestock. ID codes of all owners can be listed.
QUESTIONS 503 AND 504 ARE ONLY APPLICABLE FOR MONGOLIA. PHILIPPINES AND
GEORGIA CAN SKIP THESE QUESTIONS.
Q503: Total number of livestock ownership
Enter the total number of livestock that a household owns exclusively or jointly with someone else.
Do not double count livestock if jointly owned. Include livestock of all ages.
Q504: Total value of livestock
Estimate the total value of livestock reported in Q503. The reporting of value should be in local
currency.
Q505: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code
‘3’); with both adult males and females present (code ‘4’); with children present (code ‘5’); or with
both adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 6A: LARGE AGRICULTURAL EQUIPMENT
DEFINITION AND GUIDANCE IS NEEDED TO DIFFERENTIATE LARGE AGRICULTURAL
EQUIPMENT FROM SMALL AGRICULTURAL EQUIPMENT. IN UNIVERSITY OF THE
PHILIPPINES LOS BAÑOS http://www.amtec.uplb.edu.ph/index.php/philippine-agriculturalengineering-standards-paes, SOME OF THE AGRICULTURAL MACHINERIES ARE
CLASSIFIED BASED ON EFFECTIVE CAPACITY. FOR EXAMPLE, THE CLASSIFICATION OF
MULTICROP JUICE EXTRACTOR IS BASED ON THE INPUT CAPACITY (HOUSEHOLD/SMALL
SCALE– INPUT CAPACITY OF UP TO 15KG/H; COMMERCIAL/LARGE SCALE–INPUT
CAPACITY OF MORE THAN 40KG/H)
Q601: Ownership of large agricultural equipment
This is the screening question to determine whether any household member owns any large
agricultural equipment, either exclusively or jointly with someone else. If nobody in the household
owns any of the categories of large agricultural equipment listed, or the respondent doesn’t know or
49
refuses to respond, enter the appropriate code and then skip Q615.
Q602: Listing of large agricultural equipment
The enumerator must read the categories of large agricultural equipment listed. For each
piece of large agricultural equipment owned by someone in the household, list the type of equipment
by entering the name and the appropriate code. If 2 or more of the same type of large agricultural
equipment are owned (for example, if two tractors are owned within the household), enter the name
and the code for each asset within the category by year of manufacture, from newest to oldest. List
all pieces of large agricultural equipment owned by members of the household before proceeding to
the remaining questions in the module, all of which should be asked one piece of agricultural
equipment at a time before proceeding to the next piece of equipment.
Q603: ID(s) of owner(s) of large agricultural equipment
Enter the household ID(s) of the adult person(s) who is the owner(s) of the large agricultural
equipment. If the agricultural equipment is owned by more than one person in the household, enter
the IDs of all adult owners. If the agricultural equipment is owned jointly with someone from outside
of the household, enter code “99”. We will be asking additional information about ownership, so the
owner in this question is not necessarily the person who is listed on the title as the owner. We want
the person or people within the household and outside of the household who claim ownership. The
difference between the concept of “reported ownership” and “documented ownership” should be
emphasized to the enumerators to avoid confusion during enumeration. A “99” is not a valid answer
because by default, we are only including large equipment owned by AT LEAST one of the
household members. Add additional space for listing of IDs of adult owners, if required.
Q604: Year of acquisition of large agricultural equipment
Record the year the owner(s) acquired the agricultural equipment. If the equipment is jointly owned
by two or more people, enter the ID code of each owner and the year the owner acquired it since
each owner may have acquired the equipment in a different year. Add additional space for listing of
IDs of adult owners, if required. Record ‘98’ if don’t know. The IDs in Q603 and Q604 should
correspond and be written in the same order.
Q605: Mode of acquisition of large agricultural equipment
This question asks how the owner(s) of the agricultural equipment acquired it. If the equipment is
jointly owned by two or more people, enter the ID code of each owner and the code for the MOA
(mode of acquisition) since each owner may have acquired the piece of equipment in a different
way. Add additional space for listing of IDs of adult owners, if required. The IDs in Q603 and Q605
should correspond and be written in the same order.
Q606: Involvement in the decision to sell large agricultural equipment
Record the ID code of the adult person who is involved in the decision to sell the agricultural
equipment, even if he or she needs to obtain the consent or permission of someone else. If more
than 1 person is involved in the decision to sell, enter all household members ID codes (from the
household roster) and/or code “99” if someone from outside of the household is involved in the
decision to sell. A person involved in the decision is someone who is consulted before the final
decision to sell. It may or may not include the owner(s). For example, if an aged person owns a
large agricultural equipment, but her daughter is the one that makes the decision on sale, then the
daughter’s ID code should be recorded and not the aged person. Add additional space for listing of
IDs, if required.
Q607: Involvement in decision to bequeath large agricultural equipment
Record the ID code of the person who is involved in the decision to bequeath a large agricultural
equipment, even if he or she needs to obtain the consent or permission of someone else. If more
than 1 person is involved in the decision to bequeath, enter all adult household members ID codes
(from the household roster) and/or code “99” if someone from outside of the household is involved in
50
the decision to bequeath. A person involved in the decision is someone who is consulted before the
final decision to bequeath. It may or may not include the owner(s). For example, if an aged person
can officially bequeath a large agricultural equipment, but her daughter is the one that makes the
decision on it and the aged person only signs the legal document, then the daughter’s ID code
should be recorded and not the aged person’s ID. Add additional space for listing of IDs, if required.
Q608–609: Market for agricultural equipment
Ask whether individuals sell large agricultural equipment in and around the community (Q608) and if
the respondent is aware regarding the value of recent transactions (Q609). Enter the appropriate
code provided. If the respondent reports no transactions (code 2) or if he/she does not know (code
98) in Q608, skip to Q610.
Q610: Value of large agricultural equipment
Ask the respondent to estimate in local currency how much could be received for the large agricultural
equipment if it were to be sold today. The estimate should be based on the age and current state of
the equipment. If he/she can’t estimate this, enter “98” or code “97” if he/she refuses to answer.
Q611: Who would decide how to use money from sale of large agricultural equipment
Ask the respondent, if the large agricultural equipment were to be sold today, who would decide how
the money would be used. Note that this question is hypothetical so the respondent should answer
even if there are no plans to sell the agricultural equipment. Enter the ID code of the household
member who would decide how to use the money. If more than 1 person would be involved in
deciding how the money would be used, ID codes of all such persons can be listed. If someone from
outside of the household would decide how the money from the sale of the agricultural equipment
would be used, record code “99”. Add additional space for listing of IDs, if required.
Q612: FILTER QUESTION FOR ENUMERATOR – Is respondent Owner of [EQUIPMENT]?
Check according to Q603. If the respondent is an owner of the large agricultural equipment in
accordance with Q603, record code 1–Yes. If not, code 2 and skip to next item or to Q615 if there
are no other agricultural equipment owned by a member of the household.
Q613–614 should only be asked to respondents identified as a sole or joint owner of the
agricultural equipment in Q603.
Q613: Knowledge of agricultural equipment
Ask the respondent whether there is anyone in his/her household 18 years and above who does not
know about the agricultural equipment the respondent owns either solely or jointly with another
person(s). If ‘no’, skip to the next piece of equipment, or to Q615 if there are no other agricultural
equipment owned by a member of the household.
Q614: ID of person(s) who do not know about agricultural equipment
Enter the household ID(s) of the person(s) 18 years and above who do not know about the
respondent’s ownership of the agricultural equipment. Up to 3 IDs can be listed.
Q615: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code
‘3’); with both adult males and females present (code ‘4’); with children present (code ‘5’); or with
both adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
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MODULE 6B: SMALL AGRICULTURAL EQUIPMENT
DEFINITION AND GUIDANCE IS NEEDED TO DIFFERENTIATE LARGE AGRICULTURAL
EQUIPMENT FROM SMALL AGRICULTURAL EQUIPMENT.
FOR COUNTRIES: Please modify the equipment name according to country context.
Q616: Ownership of small agricultural equipment
This is the screening question to determine whether any member of the household owns any small
agricultural equipment, either exclusively or jointly with someone else. The enumerator must read
the categories of equipment listed. Please note that this module intends to include all small
agricultural equipment, regardless how they are used.
Ask Q616 for all categories of small agricultural equipment listed before proceeding to the next
question in the module. If nobody in the household owns any of the categories of small equipment
listed, or the respondent doesn’t know, skip to Q618.
Q617: Owners of small agricultural equipment
For the categories of small agricultural equipment identified as being owned by an adult member of
the household, enter the ID code(s) of any household member who owns one or more pieces. ID
codes of all adult owners should be listed. Add additional space for listing of IDs of adult owners, if
required.
Q618: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code
‘3’); with both adult males and females present (code ‘4’); with children present (code ‘5’); or with
both adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 7: NON-AGRICULTURAL ENTERPRISES AND ENTERPRISE ASSETS
This module collects detailed information on all non-agricultural enterprises owned by any member of
the household at the time of survey. An enterprise is an undertaking which is engaged in the
production and/or distribution of some goods and/or services meant mainly for the purpose of sale
whether fully or partly no matter how small. We are interested in non-agricultural enterprises that are
currently operating, closed temporarily, or operating seasonally. We are not interested in enterprises
that are closed permanently. The enterprise may be run from the premises of the household or
outside of the household. It can be an informal enterprise or a formal one of any size. For instance,
one-person operations, providing goods/services to other non-household members/groups, i.e.
working independently on their own-account, MUST be classified as enterprises.
Enterprises might include, for example, making mats, bricks, or charcoal; working as a mason or
carpenter; firewood selling; metalwork; running a street corner stall; owning a major factory, making
local drinks, straw mats, carpets or baskets; any trade (in food, clothes or various articles) or
professional activity (like that of a private lawyer, a doctor, a carpenter, etc.) offering services for
payment in cash or in-kind.
Although you must not list household farms in this module, you must list household enterprises
based on post-harvest processing and trading of own-produced agricultural by-products, such as
starch, juice, beer, jam, oil, seed, wine, bran, etc. AND household enterprises based on trading of
agricultural crops purchased from non-household members. Thus, if rice is purchased by a household
member from another seller or shop and is then sold in the market or another location of that
household member, that is NOT considered as an agricultural activity but a trading activity. You must
52
report such activities. Likewise, if the household member grows and sells agricultural products like
grapes this is not considered as non-agricultural activity. But if the household member sells wine
produced from
home grown grapes, then it is considered as a non-agricultural activity
(manufacturing).
Q701–709: Enterprise screening questions
These are the screening questions to determine whether any member of the household owns an a
non-agricutural enterprise. Please note that the main intention of the entrepreneurial activity must be
the sale of goods and/or services for pay or profit in the market. If no member of the household owns
a non-agricultural enterprise, skip to Q748.
Note: Questions Q701–Q709 should also be asked to every household members selected for
interview irrespective of response codes on employment status in Q215 and Q216.
FOR COUNTRIES: Customize examples of enterprises in screening questions according to country
context. But maintain the notion that the main intention of entrepreneurial activity must be the sale of
goods and/or services for pay or profit in the market.
Q710: Name and address of enterprise
Enter the name and address of the enterprise. This is an important question because it will aid in
identifying enterprises owned by household members who administered the enterprise module. Be
very precise in capturing information. If there is no locational address, include landscapes or any
features near the enterprise that could serve as an identifier. For instance, if a household is close to a
church, major road, school etc. include that in the address. Note that if the location of the enterprise in
Q711 is classified as fixed premises/location. Write the complete name and address of the enterprise.
Q711: Location of enterprise
The objective of this question is to evaluate the extent of permanency of the business workplace and
the physical location. We make the difference between fixed location (specific place for the enterprise,
independent from home and public life) and with no fixed location (improvised or moving business
place). Any activity that is made in a specific place/room will be classified in “with fixed location”
(examples: shop on the first floor, workshop of tailoring). Otherwise, consider that the activity is not in
a fixed location (e.g, a hair dresser at the home of the client without salon). Choose the appropriate
option and write the code accordingly. If other, specify the type of location and record code ‘96’.
Q712: Description of enterprise main activity
Enter a brief description of the type of main economic activity the enterprise is engaged in. In case of
an enterprise having mixed activities; criteria such as highest income, highest turnover, or highest
employment can be used for deciding the main/major activity of the enterprise. The description should
be short and succinct (to the point), sufficient for classifying the enterprise by industry. Examples
include:
 vegetable seller in market
 bicycle repair
 palm mat weaving
 furniture or coffin making
 used clothes trading
 beer brewing
 charcoal making
Enter descriptions of all non-agricultural enterprises (in Q710–Q712) owned by members of the
household before proceeding to the remaining questions in the module, all of which should be asked
one enterprise at a time before proceeding to the next enterprise. (For industry codes, use the
industrial classification codes according to country’s standard industrial classification based on ISIC.
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Note that the description of each enterprise can be classified at the two-digit level industry code
following the completion of the interview, but the enumerator and supervisor MUST ensure it is done).
Q713: Number of months in the past 12 months the enterprise operates
Enter the number in completed months of the past 12 months that the enterprise operated. If the
enterprise operates less than a month, enter “00” and put appropriate remarks.
Q714: IDs of enterprise owners and share of owners
Enter the household ID of the adult person who owns the enterprise. If the enterprise is owned jointly
by more than one person in the household, enter the IDs of all owners. If the enterprise is owned
jointly with a person(s) from outside of the household, enter code “99”. For enterprises that are owned
jointly, record the percentage of the enterprise that each owner owns. The share should relate to the
capital invested by the owners in the enterprise or alternatively how the profits (or loss) are shared
among the owners. Add additional space for listing IDs of adult owners, if required.
Q715: Average number of hours spent per week managing or working enterprise in the last
operational month
Enter the average number of hours per week that each owner spent working on the enterprise in the
last operational month. Use the last operational month as the reference period. Operational month
means the month in which the business last conducted business activity. This is affected by
seasonality of businesses. For example, an enterprise that sells Christmas decorations might only
be operational around Christmas time.
Provide clear instructions in getting the average number of hours per week over the last operational
month. For example, suppose the last operational month was May, which has 4 weeks. Joel worked
for 36 hours on the 1st week, 40 hours on the 2nd week, 60 hours on the 3rd week, and 50 hours on
the 4th week. The average hours per week = ((36+40+60+50)/4 weeks) = 186/4 = 46.5 hours.
Therefore, record code ’05-41 to 59 hours’. Add additional space for listing IDs of adult owners, if
required. The IDs in Q714 and Q715 should correspond and be written in the same order.
Q716: Responsibilities for providing goods and services
Enter the ID code of the adult person who has the main responsibility for providing services and/or
producing the goods in the enterprise. If more than one person has the main responsibility, ID codes
of all such persons can be entered. Enter code “99” if non-household owner or a hired manager has
this responsibility. Enter code ‘98’ if respondent doesn’t know. Add additional space for listing IDs of
adult owners, if required.
Q717: Managing day-to-day operations
Enter the ID code of the person who has the main responsibility for managing the day-to-day
operations of the enterprise. If more than one person has the main responsibility, ID codes of all such
persons can be entered. Enter code “99” if non-household owner or if a hired manager is responsible
for this. Enter code ‘98’ if the respondent doesn’t know.Add additional space for listing IDs of adult
owners, if required.
Q718: Financial control
Enter the ID code of the adult person who has the main financial control of the enterprise, including
the ability to sign loans, leases, and contracts on behalf of the enterprise. If more than one person has
the main responsibility, ID codes of all such persons can be entered. Enter code “99” if non-household
owner or if a hired manager is responsible for this. Enter code ‘98’ if respondent doesn’t know. Add
additional space for listing IDs of adult owners, if required.
Q719: Mode of acquisition of enterprise
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This question asks how the owner(s) acquired the enterprise. If the enterprise has more than one
owner, the owners may have acquired the enterprise in different ways. For example, one owner
could have inherited the enterprise and his/her partner could have purchased, or bought into, the
enterprise. Thus, allow for multiple modes of acquisition if the enterprise has more than one owner.
If Other specify, code 96, or Don’t Know, code 98. The IDs in Q714 and Q719 should correspond
and be written in the same order.
In case of multiple owners, the modes of acquisition in Q719 will be specific to each person and can
obviously be different from each other depending on when the enterprise in question was acquired
by each of the owners.
Q720 - FILTER QUESTION FOR ENUMERATOR - CHECK IF RESPONDENT IS OWNER OF THE
ENTERPRISE ACCORDING TO Q714
Check according to Q714. If the respondent is the owner/one of the owners of the enterprise in
accordance with Q714, record code 1–Yes. If not, code 2 and skip to Q740.
Q721-739 should only be asked to respondents identified as a sole or joint owner of the
enterprise in Q714.
Q721 - FILTER QUESTION FOR ENUMERATOR - CHECK IF ENTERPRISE WAS FOUNDED OR
PURCHASED.
Check according to Q719. If the enterprise is “Code 1– Founded” or “Code 2–Purchased” in
accordance with Q719. If “Yes”, record code 1. If “No”, record code 2 and skip to Q723.
Q722: Source of start-up capital
This question seeks to find out the main source of capital used for purchasing or starting the
enterprise. Do not read out the codes for the source of capital, but allow the respondent to answer this
question and code the response appropriately. If the respondent mentions several sources of money,
ask him/her to rank them in order of importance and record the main one. Own savings could also
include money obtained from the sale of crops, livestock, or any other household possession.
Q723: Year of acquisition of enterprise
Record the year in which the respondent acquired the enterprise. The year should be recorded using
four digits, e.g. 1996, 2004, etc. Add additional space for listing IDs of adult owners, if required. Enter
code ‘98’ if don’t know. THE IDs IN 714 AND 723 SHOULD CORRESPOND AND BE WRITTEN IN
THE SAME ORDER.
Q724: Registration
This question is intended to check if the enterprise is registered with the government. Countries
should use their own definition as per the official definition of “registration” used in the country’s
enterprise surveys. (Countries: to modify the codes as needed)
Q725: What type of records or accounts was maintained by this [ENTERPRISE]?
Please record the code for the manner in which the financial accounts are maintained by the
enterprise. The categories for recording and accounting practices should be those prescribed in
existing laws and regulations of the country. (Countries: to modify the codes if needed)
Q726: Number of paid employees work for the enterprise on a continuous basis
Enter the number of paid employees that work for the enterprise on a continuous basis, excluding the
owner(s). If the number of paid employees fluctuates, record the number of paid employees during a
“normal” month when the enterprise is operating.
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On a “continuous basis" implies a period of employment which is longer than a specified minimum
determined according to national circumstances. (If interruptions are allowed in this minimum period,
their maximum duration should also be determined according to national circumstances.)
(Source: http://laborsta.ilo.org/applv8/data/icsee.html)
Q727: Source of operating/expanding capital
This question seeks to find out the main source of capital used to expand or improve the enterprise or
to pay for unexpected expenses in the past 12 months. Do not read out the sources of capital, but
allow the respondent to answer this question and code the response appropriately. If the respondent
mentions several sources of money, ask him/her to rank them in order of importance and record the
main one. Own savings could also include money obtained from the sale of crops, livestock, or any
other household possession.
Q728: Loans/lines of credit
Record whether the enterprise applied for a loan or a line of credit in the past 12 months. If ‘yes’, code
1 and if ‘no’, code 2 and skip to Q730.
Q729: Loan application status
This question should only be asked if the enterprise applied for a loan or a line of credit in the
past year (code ‘1’ in Q728).
Record whether the loan application was accepted. If the enterprise applied for more than 1 loan in
the past 12 months, consider the most recent loan applied for in the past twelve months. Irrespective
of whether code 1 or code 2 was chosen, skip to Q731.
Q730: Main reason did not apply for credit/loan
This question should only be asked if the enterprise did not apply for a loan or a line of credit
in the past year (code ‘2’ in Q728).
Ask the respondent the main reason why the enterprise did not apply for a loan or a line of credit in
the past year. Do not read out the reasons. If the respondent mentions several reasons he/she did not
apply for a line of credit/loan, ask him/her to rank them in order of importance and record the main
one.
Q731: Monthly turnover
Ask for the approximate monthly turnover of the enterprise in local currency. Respondents should
consider an average over the last 3 operational months. Turnover is the gross revenue that is
generated from the sale of goods and services produced without deducting expenses. In case of the
service enterprises, it is the gross revenue receivable from the services provided. In case of trading
enterprises, it is defined as the value of sales. Record the gross revenue without deducting the cost of
purchases of goods for resale. For the non-financial enterprises, turnover does not include receipts on
account of interest and dividends. For financial sector enterprise engaged in financial intermediation,
the turnover will be equal to the net interest earned or accrued to the enterprise plus other earnings
like fees, brokerage on trading, commission, costs of financial advice, etc.
Q732: Monthly income
Ask for the total monthly income in local currency the enterprise earns after paying all expenses.
Respondents should consider an average over the last operational 3 months. Expenses include
purchase of raw material and wages of employees, but do not include any wages paid to the
respondent or other owners if the enterprise is jointly owned.
Provide clear instructions. The average of last three operational months should be equal to the total
income for the last three months in which the enterprise was operational then divided by 3. For
example, suppose the last three operational months are August to October. The total income of the
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enterprise on August was USD 2000, for September USD 3500, and for October USD 5500. The
average monthly income = ((2000 + 3500 + 5500)/3 months = (11000/3) = USD 3666.67.
Q733: Changes in number of paid employees
Ask the respondent whether the number of paid employees has increased, decreased, or remained
the same over the past three years.
Q734: Desired size of enterprise
Ask the respondent if the enterprise is his/her desired size or he/she wished to grow it more. If the
answer of the respondent is “Enterprise is the size I prefer, record code 1 and skip to Q736; and if the
answer of the respondent is “I wanted to grow the enterprise, record code 2.
Q735: Constraints on enterprise
Ask this question only if code 2 was entered in Q734.
Ask the respondent whether any of the factors listed have constrained his/her ability to grow the
enterprise to the desired size. Do not read out the factors listed, but allow the respondent to answer
this question and code the response appropriately. Select up to three responses that apply.
Q736: Participation in training activity
Ask the respondent if he/she has ever participated in any course or training activity, whether formal or
informal, on how to start an enterprise. Types of training may include how to develop a business plan,
assess market opportunities, identify and access start-up capital, develop business networks, etc.
Note that training of any length (e.g. one hour or several months) or training received from any
organization should be included. Select up to three responses that apply.
Q737: Receipt of advice
Ask the respondent whether he/she receives managerial advice, once or more per month, from a
spouse/partner (code ‘1’); other family members/relatives (code ‘2’); friends (code ‘3’); a public
advising service, such as a bank, lawyer or accountant (code ‘4’); or other person(s), specify (code
‘96’. Types of advice may include advice on identifying new clients, investment opportunities,
diversifying goods or services, managing employees, etc. If the respondent says “None”, enter code
’5’. Do not read out the factors listed, but allow the respondent to answer this question and code the
response appropriately. Select up to three responses that apply.
Q738: Motivations for running/operating this enterprise
Ask the respondent what was his/her main motivation for running/operating the enterprise. Do not
read out the reasons listed, but allow the respondent to answer this question and code the response
appropriately. If the respondent mentions several reasons for starting the enterprise, ask him/her to
rank them in order of importance and record the main one.
Q739: Happiness/ satisfaction as entrepreneur
Ask the respondent what factors would increase his/her happiness or satisfaction as an entrepreneur.
Do not read out the factors listed, but allow the respondent to answer this question and code the
response appropriately. Select up to three responses that apply.
Q740-Q744 should be asked to all respondents.
Q740: Enterprise assets
Enter “1” in the appropriate column if the enterprise currently owns any equipment, machinery, or
furniture. Enter “1” in the appropriate column if the enterprise currently owns any stocks of material. If
“no” or the respondent “doesn’t know” for both equipment/machinery/furniture or stock material, skip
to Q745. However, enumerators should carefully probe to record even minor/small
equipment/machinery/furniture owned by the enterprise in its pursuit of production of goods and
services. For unincorporated enterprises the assets which cannot be segregated/distinguished from
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the household assets due to mixed use, should not be duplicated in this module and will be recorded
in other household assets modules. If any household member owns an incorporated enterprises, the
assets owned by the incorporated enterprise will be recorded here and the value will be estimated in
Q741.
Note that any land or buildings that the enterprise owns should be included in Module 8 on Other
Real Estate, not here.
Q741: Value of enterprise assets
Ask the respondent to estimate in local currency how much could be received for all of the equipment,
machinery, and furniture belonging to the enterprise if it were to be sold today. If he/she can’t estimate
this, enter “98” in the appropriate column or code “97’ if he/she refuses to answer.
Q742: Who would decide how to use money from sale of enterprise asset
Ask the respondent, if the enterprise asset were to be sold today, who would decide how the money
would be used. Note that this question is hypothetical so the respondent should answer even if there
are no plans to sell the enterprise asset. Enter the ID code of the adult household member who
would decide how to use the money. If more than one person would be involved in deciding how the
money would be used, ID codes of all such persons can be listed. If someone from outside of the
household would decide how the money from the sale of the enterprise asset would be used, record
code “99”. Add additional space for listing IDs, if required.
Q743: Involvement in decision to sell an enterprise
Record the ID code of the adult person who is involved in the decision to sell the enterprise, even if he
or she needs to obtain the consent or permission of someone else. If more than 1 person is involved
in the decision to sell, ID codes of all such persons (from the household roster) and/or code “99” for
someone from outside of the household can be recorded. A person involved in the decision is
someone who is consulted before the final decision to sell. It may or may not include the owner(s).
For example, if an aged person owns an enterprise, but her daughter is the one that makes the
decision on sale, then the daughter’s ID code should be recorded and not the aged person. Add
additional space for listing IDs, if required.
Q744: Involvement in decision to bequeath an enterprise
Record the ID code of the person who is involved in the decision to bequeath an enterprise even if
he or she needs to obtain the consent or permission of someone else. If more than 1 person is
involved in the decision to bequeath, ID codes of all such persons (from the household roster)
and/or code “99” for someone from outside of the household can be recorded. A person involved in
the decision is someone who is consulted before the final decision to bequeath. It may or may not
include the owner(s). For example, if an aged person can officially bequeath an enterprise, but her
daughter is the one that makes the decision on it and the aged person only signs the legal
document, then the daughter’s ID code should be recorded and not the aged person’s ID. Add
additional space for listing IDs, if required.
Q745: FILTER QUESTION – IS THE RESPONDENT THE OWNER OR ONE OF THE OWNERS
OF THE ENTERPRISE?
Check in accordance to Q714. If the respondent is the owner/one of the owners of the enterprise,
code 1. If the respondent is not an owner, code 2 and skip to next enterprise. If this is the last
enterprise, skip to Q748.
Q746-747 should only be asked to respondents identified as sole or joint owner of the
enterprise in Q714.
Q746: Knowledge of enterprise
Ask the respondent whether there is anyone in his/her household 18 years and above who does not
know about the enterprise the respondent owns either solely or jointly with another person(s). If ‘no’,
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skip to the next enterprise or to Q748 if there are no other enterprises owned by a member of the
household.
Q747: ID of person(s) who do not know about enterprise
Enter the household ID(s) of the person(s) 18 years and above who do not know about the
respondent’s ownership of the enterprise. Up to 3 IDs can be listed.
Q748: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code ‘3’);
with both adult males and females present (code ‘4’); with children present (code ‘5’); or with both
adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 8: OTHER REAL ESTATE
Q801: Ownership of other real estate
This is the screening question to determine whether any member of the household owns any other
real estate, either exclusively or jointly with someone else. Other real estate includes dwellings other
than the principal dwelling (such as a house in another village), buildings (completed or
uncompleted), flats, and non-agricultural plots, either rural or urban. Also included is any land or
stores belonging to a household enterprise. We will be asking additional questions about what it
means to own the real estate, so at this point we want the respondent’s sense of whether or not
someone in the household is the owner. They may or may not have an ownership document. If no
household member owns any other real estate or the respondent does not know, skip to Q823.
Q802: Listing of real estate
The enumerator must read the categories of other real estate listed. For each piece of real estate
owned by someone in the household, list the type of real estate by entering the appropriate code. If 2
or more of the same type of real estate are owned in the household (for example, 2 detached
houses), list them according to the year they were acquired, from most recent to oldest. List all other
real estate owned by members of the household before proceeding to the remaining questions in the
module, all of which should be asked one piece of real estate at a time before proceeding to the next
piece of real estate.
Q803: Location of real estate
Ask where the real estate is located. Based on the answer provided by the respondent, help
respondent identify whether the location is rural or urban and enter the appropriate code.
Q804: Include a location address of the real estate
Write a the location address of each real estate so that you can make sure that when you refer to
each real estate, you are able to match the real estate ID code with the actual real estate. Use
geographical codes of the Parish, Sub county, and District. The box can be sub-divided into 3 small
sub-boxes (see illustration 8.1 on the next page – boxes have been inserted for Parish, Sub county,
and District), each box will be used to record geographical codes of the admnistrative areas (parish,
sub county, dsitrict). The enumerators can fill in the codes after taking note of the names of parish,
sub county, district on which the real estate is located. If the real estate is located within the same
sample, the codes can be taken from the identification particulars in the cover page of the individual
questionnaire. These codes will also be helpful in matching the real estate between individual
questionnaires of the two respondents in the same household. Provide geographical codes of each
real estate before asking Q805.
Illustration 8.1
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Code
Q804.
Location address
ESTATE].
of
the
[REAL
DISTRICT SUB COUNTY PARISH
RE1
RE2
RE3
RE4
RE5
RE6
RE7
RE8
Q805: Real estate use
Ask the respondent what the real estate is used for. Do not read out the response categories for use
of real estate, but allow the respondent to answer this question and code the response appropriately.
If rented out (code 1), household non-commercial use (code 2), “other” (code 96) or respondent
doesn’t know (code 98), fill in the appropriate code and then skip to Q807.
Q806: Real estate ID code
This question should only be asked for real estate that is used by a member(s) of the
household for commercial use. Ask the respondent which enterprise belonging to a member of the
household the real estate is used for and enter the appropriate enterprise ID code from Module 7
(Non-agricultural Enterprises and Enterprise Assets) based on the respondent’s description.
Q807: IDs of real estate owners
Enter the household ID(s) of the adult person(s) who is the owner(s) of the real estate. If the real
estate is owned by more than one person in the household, enter the IDs of all adult owners. If the
real estate is owned jointly with someone from outside of the household, enter code “99”. We will be
asking additional information about ownership, so the owner in this question is not necessarily the
person who is listed on the title as the owner. We want the person or people within the household and
outside of the household who claim ownership. Add additional space for listing of IDs of adult owners,
if required.
Q808: Year of acquisition of real estate
Record the year the owner(s) acquired the real estate. If the real estate is jointly owned by two or
more people, enter the ID code of each owner and the year the owner acquired it since each owner
may have acquired the real estate in a different year. Record ‘98’ if don’t know. Add additional space
for listing IDs of adult owners, if required. THE IDs IN Q807 AND Q808 SHOULD CORRESPOND
AND BE WRITTEN IN THE SAME ORDER.
Example:
A husband may have purchased the real estate in a given year and his wife may have
become an owner through marriage to him two years later. If the first owner was the
husband and her wife became co-owner when they got married. For the husband,
record the original year of acquisition as reported by the husband. For the wife, the
year of acquisition should be the year of marriage only.
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In case of multiple owners, the years of acquisition in Q808 will be specific to each person and can
obviously be different from each other depending on when the asset in question was acquired by
each of the owners. This point may be stressed clearly to the enumerators and the supervisors as this
has implications on the gender based analysis.
Q809: Mode of acquisition of real estate
This question asks how the owner(s) of the real estate acquired it. If the real estate is jointly owned
by two or more people, enter the ID code of each owner and the code for the MOA (mode of
acquisition) since each owner may have acquired the real estate in a different way. The IDs IN
Q807 AND Q809 SHOULD CORRESPOND AND BE WRITTEN IN THE SAME ORDER.
Examples:
1. Suppose the respondent claims that her mother owns other real estate in the form
of non-agricultural land that was offered as a ‘collateral’ by the borrower to the
respondent’s mother as the ‘lender’. There were no legal of formal documents that
the land is already in the name of the respondent’s mother. The mode of
acquisition should be “Code 96-Other” and specify as “collateral”.
2. Suppose a woman inherited a real estate after her father’s death in 1993. The
mode acquisition for real estate ID 01 should be code 02–INHERITED AFTER
THE DEATH OF NATAL FAMILY MEMBER. This woman got married in 1998 and
her husband became an owner of the same real estate when they got married.
For the husband, the mode of acquisition of the real estate ID 01 should be code
04–ACQUIRED DUE TO MARITAL LAW/CUSTOM.
Q810: Ownership document
We are asking whether there is an ownership document for the real estate and what type of document
it is. It may or may not have the name of someone in the household on it. If there is more than 1 type
of document, list the one that is held by someone in the household. If there is no ownership document
or the respondent does not know, enter the appropriate code and skip to Q812.
Example:
If there is a title deed, but the household member doesn’t have it, but has an invoice
or sales receipt, list the invoice under “Yes, Other Specify”, Code 96 and not the
deed.
Q811: ID(s) of person(s) listed as owner(s) on document
Record the ID code(s) of the adult household member whose name is listed as an owner on the
ownership document for the real estate. If more than 1 household member is listed as an owner on
the document, enter the IDs all adult owners. If the name of someone from outside of the household is
listed as an owner, enter code “99”. Add additional space for listing IDs of adult owners, if required.
Q812: Involvement in decision to sell real estate
Record the ID code of the adult person who is involved in the decision to sell the real estate even if he
or she needs to obtain the consent or permission of someone else. If more than 1 person is involved
in the decision to sell, ID codes of all such household members (from the household roster) and/or
code “99” for someone from outside of the household can be recorded. A person involved in the
decision is someone who is consulted before the final decision to sell. It may or may not include the
owner(s). For example, if an aged person owns a real estate but her daughter is the one that makes
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the decision on sale, then the daughter’s ID code should be recorded and not the aged person. Add
additional space for listing IDs, if required.
Q813: Involvement in decision to bequeath real estate
Record the ID code of the adult person who is involved in the decision to bequeath a real estate even
if he or she needs to obtain the consent or permission of someone else. If more than 1 person is
involved in the decision to bequeath, ID codes of all such household members (from the household
roster) and/or code “99” for someone from outside of the household can be recorded. A person
involved in the decision is someone who is consulted before the final decision to bequeath. It may or
may not include the owner(s). For example, if an aged person can officially bequeath a real estate but
her daughter is the one that makes the decision on it and the aged person only signs the legal
document, then the daughter’s ID code should be recorded and not the aged person’s ID. Add
additional space for listing IDs, if required.
Q814 and Q815: Real estate market
Ask whether real estate owners sell out real estate in and around the community where the real
estate is located (Q814) and if the respondent is aware of the value of recent sales of real estate or
rental transactions (Q815). Enter the appropriate code. If the respondent reports no transactions
(code 2) or does not know (code 98) in Q814, skip to Q816.
Q816: Value of real estate
Ask the respondent to estimate in local currency how much could be received for the real estate if
were to be sold today. The estimate should be based on the location and condition of their particular
real estate. If he/she can’t estimate this, enter “98”, or code “97” if he/she refuses to answer. Please
note that if an estimated value is obtained, skip to Q819. Otherwise, proceed to Q817.
If the respondent does not know how much their real estate might sell for, ask about the prices of
similar real estate in the neighborhood that have been sold recently.
Q817: FILTER QUESTION – WAS THIS [REAL ESTATE] “CODE 1-DETACHED HOUSE
(SINGLE OR MULTI-STORY)” IN Q802?
Check in accordance to Q802. If the real estate owned by the household member is classified as
“code 1–detached house (single or multi-story)” in Q802, code 1. Otherwise, code 2 and skip to
Q819.
Q818: Cost of constructing real estate
This question should only be asked to respondent who reported “code 1–detached house (single or
multi-story)” in Q802 and “code 97–refuse” or “code 98–don’t know” in Q816. Ask the respondent to
estimate in local currency how much it would cost to construct this type of real estate today, including
the cost of the plot of land on which the real estate is located. If he/she can’t estimate this, enter code
“98” or code “97” if he/she refuses to answer.
If the respondent does not know how much the cost of constructing the real estate, ask about the
prices of similar real estate in the neighborhood that have been constructed recently.
Please note that Q816 attempts to get market cost of the real estate (including the land on
which it is situated). In the absence of any answer on the market cost in Q816, Q818 will be
asked to get the cost-based value.
Q819: Who would decide how to use money from the sale of real estate
Ask the respondent, if the real estate were to be sold today, who would decide how the money
would be used. Note that this question is hypothetical so the respondent should answer even if there
62
are no plans to sell the real estate. Enter the ID code of the household member who would decide
how to use the money. If more than 1 person would be involved in deciding how the money would
be used, ID codes of all such household members can be listed. If someone from outside of the
household would decide how the money from the sale of the real estate would be used, enter code
“99”. Add additional space for listing IDs, if required. Figure 2 shows the flow of skipping patterns in
Q814 – Q819.
Figure 2 Flow of skipping patterns in Q814, Q815, Q816, Q817, Q818 and Q819.
Q814. Do individual sell any
[REAL ESTATE] in or around this
community where it is located?
01 – YES
02 – NO
98 – DON’T KNOW
Q815. Are you informed regarding
the value of recent [REAL
ESTATE] sales transactions?
1 – Informed
2 – Not informed
Q816. If this [REAL ESTATE] were to be sold today, how much could be received for it?
97 – Refuse to answer
Some value
98 – Don’t Know
Q817.
Enumerator:
Was this [REAL
ESTATE] CODE
1 IN Q802?
No
Go to Q819.
Yes
Q818. What would it cost to construct this [REAL
ESTATE] today including the cost of the plot of land
on which the real estate is located? (for code 1 –
detached house [single or multi-story] in Q802)
Some value
97 – Refuse to answer
98 – Don’t Know
Q819. If this [REAL ESTATE] were to be sold today, which HH member(s) would
decide how the money is used?
Q820: FILTER QUESTION TO CHECK IF RESPONDENT IS OWNER/CO-OWNER OF REAL
ESTATE
Check with Q807. If respondent is reported as an owner or co-owner in Q807, code 1 in Q820. If no,
code 2 and skip to next piece of real estate. If the last piece of real estate, skip to Q823.
63
Q821-822 should only be asked to respondents identified as sole or joint owner of the real
estate in Q806.
Q821: Knowledge of real estate
Ask the respondent whether there is anyone in his/her household 18 years and above who does not
know about the real estate the respondent owns either solely or jointly with another person(s). If ‘no’,
skip to the next piece of real estate or to Q823 if there are no other pieces of real estate owned by a
member of the household.
Q822: ID of person(s) who do not know about real estate
Enter the household ID(s) of the person(s) 18 years and above who do not know about the
respondent’s ownership of the real estate. Up to 3 IDs can be listed.
Q823: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code
‘3’); with both adult males and females present (code ‘4’); with children present (code ‘5’); or with
both adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 9: CONSUMER DURABLES
FOR COUNTRIES: Please modify the livestock name according to country context.
Q901: Ownership of consumer durables
This is the screening question to determine whether any member of the household owns any
consumer durables, either exclusively or jointly with someone else. The enumerator must read the
categories listed.
Ask Q901 for all categories of consumer durables listed before proceeding to the remaining questions
in the module. If nobody in the household owns any of the categories of consumer durables listed, or
the respondent doesn’t know, skip to the next module. Note that consumer durables that are not
working/functional and which the owner has no intention of having them repaired for
consumption should not be listed.
Q902: Ownership patterns of consumer durables
Enter the ID code(s) of any adult household member that owns one or more pieces of the consumer
durables. ID codes of all adult owners can be listed. Add additional space for listing of IDs of adult
owners, if required.
Q903: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code ‘3’);
with both adult males and females present (code ‘4’); with children present (code ‘5’); or with both
adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 10: FINANCIAL ASSETS
Q1001: Ownership of financial assets
This is the screening question to determine whether any household member owns a financial asset,
either exclusively or jointly with someone else. If nobody in the household owns any of the categories
of financial assets listed, or the respondent doesn’t know or refuses to respond, skip to Q1008.
64
Q1002: Listing of financial assets
The enumerator must read the categories of financial assets listed. For each financial asset
owned by someone in the household, list the type of financial asset by entering the appropriate code.
If 2 or more of the same type of financial asset are owned in the household (for example, 2 bank
accounts), list them separately and order them, first based on type of financial asset and next based
on decreasing value of this financial asset. In case of equity, list by company. List all financial assets
owned by members of the household before proceeding to the remaining questions in the module, all
of which should be asked one financial asset at a time before proceeding to the next financial asset.
Q1003: ID(s) of name(s) on the financial asset
Enter the household ID of the adult person whose name is on the financial asset. If more than 1
household member’s name is on the financial asset, enter IDs of all. If the name(s) of someone from
outside of the household is on the financial asset, enter code “99”. Add additional space for listing of
IDs of adult owners, if required.
Q1004: Value of financial asset
Ask the respondent to estimate in local currency the current value of the financial asset. If the
respondent doesn’t know, enter “98”. If the respondent refuses to say, enter “97”. Suppose someone
in the household list “life insurance” as financial asset in Q1002. Record the value of the total
premium paid till date by the respondent.
Q1005. FILTER QUESTION FOR ENUMERATOR – CHECK IF RESPONDENT IS OWNER OR
JOINT OWNER OF THE FINANCIAL ASSET.
This can be done by looking at Q1003. If yes, code 1. If no, code 2 and skip to the next financial
asset.
Q1006: Knowledge of financial asset
Ask the respondent whether there is anyone in his/her household 18 years and above who does not
know about financial asset the respondent owns either solely or jointly with another person(s). If ‘no’,
skip to the next financial asset or to Q1008 if there are no other financial assets owned by a member
of the household.
Q1007: ID of person(s) who do not know about financial assets
Enter the household ID(s) of the person(s) 18 years and above who do not know about the
respondent’s ownership of the financial assets. Up to 3 IDs can be listed.
Q1008-1015 are about loans members of the household have made to others.
Q1008: Loan(s) made by household member(s)
This question asks whether any person, group of persons or institution has borrowed money from any
member of the household, for which money is still owed. We do not want to know about loans that
members of the household have made to others which have been completely repaid. If the
household member has a limited liability company, loans made out to others by the company
should not be included here. If no person or enterprise owes anyone in the household money,
enter ‘2’ and skip to Q1015. If the respondent doesn’t know, enter ‘98’ and skip to Q1015. If the
respondent refuses to answer, enter code “97” and skip to Q1015.
Q1009: Description and code of borrower
For each loan made by a member of the household, enter a brief description of whom the money was
lent to. Based on this description, enter the appropriate code from the list provided. Obtain a
complete listing of all loans before proceeding to other questions. If two or more of the same
type of borrowers exist, then make sure the written descriptions are separate to allow for
distinction of the loans.
65
Q1010: ID(s) of household lenders
Enter the ID code of the adult household member who lent the money. If more than one household
member jointly lent the money, list the ID codes of all. Add additional space for listing of IDs of adult
lenders, if required.
Q1011: Outstanding balance
Ask the respondent to estimate in local currency the total amount outstanding on the loan. This is the
amount that still has to be received back by the household member. Include both principal and
interest. If the respondent does not know, enter ‘98’. If the respondent refuses to answer, enter “97”.
Q1012: FILTER QUESTION FOR ENUMERATOR – CHECK IF RESPONDENT IS IDENTIFIED AS
A SOLE OR JOINT LENDER IN Q1010.
Refer to Q1010. If yes, code 1. If no, code 2 and skip to the next loan. If the last loan, skip to Q1015.
Q1013-1014 should only be asked on loans for which the respondent was identified as a sole
or joint lender in Q1012.
Q1013: Knowledge of money lent out
Ask the respondent whether there is anyone in his/her household 18 years and above who does not
know about the money the respondent lent out. If ‘no’, skip to the next loan or to Q1015 if there are
no other loans made by a member of the household.
Q1014: ID of person(s) who do not know about financial assets
Enter the household ID(s) of the person(s) 18 years and above who do not know about the loan the
respondent made. Up to 3 IDs can be listed.
Q1015: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code
‘3’); with both adult males and females present (code ‘4’); with children present (code ‘5’); or with
both adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 11: LIABILITIES
People may be sensitive about providing information on their borrowing activities. You must do your
best to ensure that the respondent has confidence in you: remind the respondent that the information
he or she gives is confidential. You should also probe carefully here. Make sure you ask these
questions in private as much as possible.
Q1101: Outstanding loans borrowed
This is the screening question to determine whether any member of the household currently owes
money to any individual, group of individuals, or institution. Money may be owed to individuals or
institutions whose main function is the provision of financial services or to traders, employers,
landlords, or relatives of the borrower who lend money only in particular circumstances. Exclude daily
borrowing due to forgetting to bring money at a particular time that is repaid immediately to the lender.
We also do not want to know about loans that a household member took which have been
completely repaid. If nobody in the household currently owes money or the respondent doesn’t know
or refuses to respond, skip to Q1110.
Q1102: Description and code of lender
For each loan taken out by a member of the household, enter a brief description of whom the money
was borrowed from. Based on this description, enter the appropriate code from the list provided.
66
Obtain a complete listing of all loans before proceeding to other questions. Do not lump loans
even if it is in the same borrower. List each loan separately.
Q1103: Purpose for seeking loan
Record the main reason for which the loan was sought. Do not read the list of possible answers;
rather directly ask the respondent why he/she applied for the loan and record the main reason in case
of more than one answer. The categories have been split into non-agricultural household enterprises
and household consumption/agricultural enterprises. If the option is one from household
consumption/agricultural enterprises, enter appropriate code and skip to Q1105.
Q1104: Enterprise ID of the non-agricultural enterprise for which the loan was borrowed.
Refer back to Module 7. If the Loan referred to in Q1103 was for a non-agricultural enterprise
corroborate which enterprise it was for and enter the code.
Q1105: ID(s) of borrowers
Enter the household ID code(s) of the adult person(s) who borrowed the money. If more than one
member of the household borrowed the money, list ID codes of all such members. If the money was
borrowed jointly with someone from outside of the household, enter code “99”. Add additional space
for listing IDs, if required.
Q1106: Outstanding balance
Ask the respondent to estimate in local currency the total amount outstanding on the loan. This is the
amount that still has to be paid back to the lender. Include both principal and interest. If the
respondent does not know, enter ‘98’. If the respondent refuses to answer, enter “97”.
Q1107: FILTER QUESTION FOR ENUMERATOR – CHECK IF RESPONDENT IS IDENTIFIED AS
A SOLE OR JOINT BORROWER IN Q1105.
Refer to Q1105. If yes, code 1. If no, code 2 and skip to the next loan borowed. If the last loan
borrowed, skip to Q1110.
Q1108-1109 should only be asked on loans for which the respondent was identified as a sole
or joint borrower in Q1107.
Q1108: Knowledge of loan borrowed
Ask the respondent whether there is anyone in his/her household 18 years and above who does not
know about the loan the respondent borrowed, either solely or jointly with another person(s). If ‘no’,
skip to the next loan borrowed or to Q1110 if there are no other loans borrowed by a member of the
household.
Q1109: ID of person(s) who do not know about loan borrowed
Enter the household ID(s) of the person(s) 18 years and above who do not know about the loan the
respondent borrowed. Up to 3 IDs can be listed.
Q1110: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code
‘3’); with both adult males and females present (code ‘4’); with children present (code ‘5’); or with
both adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 12: VALUABLES
Valuables are produced goods of considerable value that are not used primarily for purposes of
production or consumption, but are held as stores of value over time. Valuables are expected to
67
appreciate or at least not to decline in real value, nor to deteriorate over time under normal conditions.
They consist of precious metals and stones, jewelry, works of art, etc.
FOR COUNTRIES: Types of valuables should be customized according to country context in
questionnaire.
Q1201: Ownership of valuables
This is the screening question to determine whether any member of the household owns any
valuables, either exclusively or jointly with someone else. The enumerator must read the categories
listed.
Ask Q1201 for all categories of valuables listed before proceeding to the remaining questions in the
module. If nobody in the household owns any of the categories of valuables listed, or the respondent
doesn’t know, skip to the next module. If the last item, skip to Q1203.
Q1202: Ownership patterns of valuables
Enter the ID code(s) of any adult household member that owns at least one of the valuables in the
category of valuables. ID codes of all adult owners should be listed. Add additional space for listing of
IDs of adult owners, if required.
Q1203: Code for ability of respondent to be interviewed alone
Upon completion of the module, enter the appropriate code for whether the respondent was
interviewed alone (code ‘1’); with adult females present (code ‘2’); with adult males present (code ‘3’);
with both adult males and females present (code ‘4’); with children present (code ‘5’); or with both
adult males and females and children present (code ‘6’). If the respondent was not able to be
interviewed alone, explain why.
MODULE 13: END OF QUESTIONNAIRE
Q1301-1305 should be completed by the enumerator.
Q1301: Completion status of Individual Questionnaire
Enter the appropriate code for whether the Individual Questionnaire was completed (code ‘1’);
partially completed (code ‘2’); not administered/interviewed because a household member refused to
allow the interview to take place or not administered/interviewed for another reason (code ‘3’).
Reason for “partially done” or “not interviewed” should be explained under “remarks by enumerator” in
Module 1B: Staff details. If completed, skip to Q1303.
Q1302: Partially done/ not interviewed for another reason
If code ‘2’, or ‘3’ was were reported in Q1301, enter the Reason why this individual questionnaire was
partially completed or the individual was not interviewed.
Q1303: Number of callbacks
Enter the number of callbacks made to the household in order to interview the respondent. If no call
backs were needed, enter ‘0.’
Q1304: End time of Individual Questionnaire
Record the end time of the individual questionnaire.The format is HH:MM.
Q1305: End date of Individual Questionnaire
Record the end date of the individual questionnaire. The format is (DD/MM/YYY)
ANY FURTHER COMMENTS Comments or any further observations that might be useful can be
place here.
SUGGESTION: TO INSERT A DIAGRAM ON SURVEY’S GENERAL FLOW OF ENUMERATION.
[As relevant to NSO, please modify accordingly]
68
ANNEX 1: LANGUAGE CODES
ANNEX 2: CODES FOR HIGHEST EDUCATION LEVEL ATTAINED (COUNTRIES TO REVISE THE
LIST)
1
2
3
4
10
11
12
13
14
15
16
17
21
31
32
33
34
35
36
41
42
43
44
45
46
47
96
97
Never been to school
Did not complete Pre-primary
Completed Pre-Primary
In P1 but did not complete/attend PrePrimary
Did not complete P1
P1
P2
P3
P4
P5
P6
P7
J1-J3
S1
S2
S3
S4
S5
S6
PROFESSIONAL CERTIFICATE
DIPLOMA
FIRST DEGREE
POST GRADUATE CERTIFICATE
POST GRADUATE DIPLOMA
MASTERS DEGREE
PHD
OTHER
NA
ANNEX 3: QUESTION 217 - ETHNICITY CODES (COUNTRIES TO REVISE THE LIST)
511
Acholi
512
513
514
515
516
517
518
519
520
521
522
523
524
525
Aliba
Alur
Aringa
Baamba
Babukusu
Babwisi
Bafumbira
Baganda
Bagisu
Bagungu
Bagwe
Bagwere
Bahehe
Bahororo
541
542
543
544
545
546
547
548
550
551
552
553
554
555
556
Basongora
Batagwenda
Batoro
Batuku
Batwa
Chope
Dodoth
Ethur
Ik (Teuso)
Iteso
Jie
Jonam
Jopadhola
Kakwa
Karimojong
572
573
574
575
576
671
672
673
674
675
676
677
678
681
682
Sabiny
Shana
So (Tepeth)
Vonoma
Other Ugandan
Kenya
Tanzania
Rwanda
Burundi
South Sudan
Dem. Rep. of Congo
Somalia
Other Africa
United Kingdom
Other Europe
69
526
527
528
529
530
531
532
533
534
535
536
537
538
539
540
Bakenyi
Bakiga
Bakhonzo
Banyabindi
Banyabutumbi
Banyakore
Banyara
Banyaruguru
Banyarwanda
Banyole
Banyoro
Baruli
Barundi
Basamia
Basoga
557
558
559
560
561
562
563
564
565
566
567
568
569
570
571
Kebu (Okebu)
Kuku
Kumam
Lango
Lendu
Lugbara
Madi
Mening
Mvuba
Napore
Ngikutio
Nubi
Nyangia
Pokot
Reli
683
684
685
686
687
688
689
Asia
USA
Canada
Central & Latin America
Australia
Oceania
Non-Ugandan-Not Stated
ANNEX 4: CROP CODES (COUNTRIES MAY REVISE THE LIST IF NEEDED)
Ser. No.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
Crop Name
Wheat
Barley
Rice
Maize
Finger Millet
Sorghum
Beans
Field Peas
Cow peas
Pigeon peas
Chick peas
Groundnuts
Soya beans
Sunflower
Simsim
Cabbage
Tomatoes
Carrots
Onions
Pumpkins
Dodo
Eggplants
Sugarcane
Cotton
Tobacco
Irish potatoes
Sweet potatoes
Cassava
Yam
Coco yam
Crop Code
111
112
120
130
141
150
210
221
222
223
224
310
320
330
340
410
420
430
440
450
460
470
510
520
530
610
620
630
640
650
Ser. No.
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
Crop Name
Oranges
Paw paw
Pineapples
Banana food
Banana beer
Banana sweet
Mango
Jackfruit
Avocado
Passion fruit
Coffee all
Cocoa
Tea
Ginger
Curry
Oil palm
Vanilla
Black wattle
Other
Natural pastures
Improved pastures
Fallow
Bush
Natural forest trees
Plantation trees
Bamboo
Other forest trees
Crop Code
700
710
720
741
742
744
750
760
770
780
810
820
830
840
850
860
870
880
890
910
920
930
940
950
960
970
990
70
ANNEX 5: ILLUSTRATED EXAMPLES OF SMALL AND LARGE AGRICULTURAL EQUIPMENTS
A. Large Agricultural Equipment
Name of Equipment
1. Ox-Plough
2. Plough
3. Tractor
Diesel Tractor
Description/Purpose
Source
Used
for
ploughing
the
agricultural land and helps in
saving time and farmers energy.
The first animal powered
ploughs
were
undoubtedly
pulled by oxen, and later in
many
areas
by horses (generally
draught
horses) and mules.
Image source:
Google images, ADB Photo
library
A tool (or machine) used in
farming for initial cultivation of
soil in preparation for sowing
seed or planting to loosen or
turn the soil.
Image source:
Google images
Vehicle specifically designed to
deliver a high tractive effort (or
torque) at slow speeds, for the
purpose of hauling a trailer or
machinery used in (SMALL
SCALE)
agriculture
or
construction
Image source:
www.masseyferguson.com
www.agriculture.newholland.
com
google images
Description source:
en.wikipedia.org/wiki/Plough
Description source:
en.wikipedia.org/wiki/Plough
Description source:
2011 ICP for Asia and the
Pacific Product Catalogue–
Special Purpose Machinery
71
A. Large Agricultural Equipment
Name of Equipment
Tracked tractor (crawl dozer)
Pedestrian controlled tractors
4. Trailer
Description/Purpose
Source
A specialized machine using
track-type mobility for digging
products such as clay, allows
penetration and low rolling
resistance.
Image source:
www.komatsu.com
Are small tractors equipped with
a single driving axle carried on
one or two wheels. They are not
usually fitted with a seat and the
steering is effected by means of
two handles.
Image source:
ADB photo library
A trailer is
generally
an
unpowered vehicle towed by a
powered vehicle. It is commonly
used for the transport of goods
and materials.
Image source:
Google images
Description source:
2011 ICP for Asia and the
Pacific Product Catalogue–
Special Purpose Machinery
Description source:
UN FAO Agricultural
Machineries classification.
available at
www.fao.org/fileadmin/templ
ates/ess/ess.../Definitions/A
gricMach.xls
Description source:
en.wikipedia.org/wiki/Trailer
_(vehicle)
72
A. Large Agricultural Equipment
Name of Equipment
5. Rice huller or Rice husker
Description/Purpose
A rice huller or rice husker is
an agricultural machine used to
automate the process of
removing
the chaff (the
outer husks) of grains of rice.
Source
Image source:
Philippines Statistics
Authority (PSA)
Description source:
en.wikipedia.org/wiki/Rice_h
uller
6. Maize sheller-with dehusker
7. Corn Planter
1.
It is used for dehusking and
shelling of maize cobs. It
removes skin cover and grains
separately
Image and description
source:
http://www.efreshglobal.com
/eFresh/FarmTools/Farm%2
0Tools%20and%20Machiner
y/Harvesting%20&%20Thres
hing%20Equipments/Harves
ting%20and%20Threshing%
20Equipments.html
Corn planter applies to seed
and fertilize corn, soybean, and
other suitable plant without
ploughing.
Image source:
Philippines Statistics
Authority (PSA)EDGE
questionnaire
Description source:
http://www.farmingmachine.com/product/plantin
g-machine/seed-drill.html
8. RiceTransplanter
2.
A rice transplanter is a
specialized transplanter fitted to
transplant rice seedlings
onto
paddy field.
Image source:
Philippines Statistics
Authority (PSA)EDGE
questionnaire-illustrated
examples; google images
Description source:
en.wikipedia.org/wiki/Rice_tr
ansplanter
73
A. Large Agricultural Equipment
Name of Equipment
9. Fertilizer Distributor
Description/Purpose
3.
Is a farm implement commonly
used for spreading seed, lime,
fertilizer, sand, ice melt, etc.
Source
Image source:
google images
Description source:
http://en.wikipedia.org/wiki/B
roadcast_spreader
10. Baler
11. Potato Digger
4.
Balers (including pickup balers)
are machines that collect grass,
hay or straw after it has been
cut. They form a round or
square bale by compressing the
material or tying it with twine
wire, or a plastic wrap.
Image source:
google images
Potato diggers are used for
harvesting and exposing the
potato tubers irrespective of
sizes from the soil.
Image and description
source:
http://www.efreshglobal.com
/eFresh/FarmTools/Farm%2
0Tools%20and%20Machiner
y/Harvesting%20&%20Thres
hing%20Equipments/Harves
ting%20and%20Threshing%
20Equipments.html
Description source:
en.wikipedia.org/wiki/Baler
74
A. Large Agricultural Equipment
Name of Equipment
12. Milking, dairy machinery
Description/Purpose
An electric machine for milking c
ows. A machine for harvesting
milk from the udders of cows,
goats, bison, sheep or animals.
Source
Image source:
google images
Description source:
Google web searches,
http://dictionary.reference.co
m/browse/milking+machine
13. Harvester
Combine harvester
A machine that harvest grain
crops. Includes a threshing
module, a separating module
and a cleaning module, all of
which are supported by a frame
Image source:
Google images
Description source:
2011 ICP for Asia and the
Pacific Product Catalogue–
Special Purpose Machinery
Self-propelled combine harvester
75
A. Large Agricultural Equipment
Name of Equipment
Rice harvester
Description/Purpose
A rice harvester produces rice at
eight times the speed of an
unequipped farmer and four
times the speed of a sickle user.
Source
Image source:
Google images
Description source:
wiki.cantr.net/index.php/Rice
_harvester
Corn harvester
A corn harvester is a machine
used on farms to
harvest corn stripping the stalks
about one foot from the ground
shooting the stalks through the
header to the ground.
Image source:
Google images
Description source:
en.wikipedia.org/wiki/Corn_h
arvester
76
B. Small Agricultural Equipment
Name of Equipment
1. Hoe
Description
A long-handled gardening tool
with a thin metal blade, used
mainly for weeding and breaking
up soil.
Sources
Image source:
Google images, Philippines
Statistics Authority
(PSA)EDGE questionnaireillustrated examples
Description source:
Google dictionary
2. Axe
3. Panga
An axe (in American English
also spelled ax) is an implement
that has been used for millennia
to shape, split and cut wood; to
harvest timber; as a weapon;
and as a ceremonial or heraldic
symbol.
Image source:
Google images
A bladed African tool like a
machete.
Image source:
Google images
Description source:
en.wikipedia.org/wiki/Axe
Description source:
www.memidex.com/pangas
4. Slasher/ Sickle
The sickle is general purpose
harvesting hand tool.
It is used for the harvesting of
vegetables, cereal crops and
cutting of the grass and other
vegetative matters
Image source:
Google images
Description source:
http://www.efreshglobal.com
/eFresh/FarmTools/Farm%2
0Tools%20and%20Machiner
y/Harvesting%20&%20Thres
hing%20Equipments/Harves
ting%20and%20Threshing%
20Equipments.html
77
B. Small Agricultural Equipment
Name of Equipment
5. Watering Can
Description/Purpose
A portable water container with
a long spout and a detachable
perforated
cap,
used
for
watering plants.
Sources
Image source:
google images, ADB photo
library
Description source:
www.memidex.com/watering
-pot
6. Wheel Barrow
7. Pruning Knife
A wheelbarrow is a small handpropelled vehicle, usually with
just one wheel, designed to be
pushed and guided by a single
person using two handles at the
rear, or by a sail to push the
ancient wheelbarrow by wind.
Image source:
google images
A knife specifically designed for
pruning, typically having a
sharp, slightly curved blade and
a hooked end.
Image source:
google images
Description source:
en.wikipedia.org/wiki/Wheel
barrow
Description source:
www.oxforddictionaries.com/
us/definition/american.../pru
ning-knife
78
B. Small Agricultural Equipment
Name of Equipment
8. Pruning Saw
Description/Purpose
A long-handled pruning saw
with a curve blade at the end
and sometimes a clipper; used
to prune small trees.
Sources
Image source:
google images
Description source:
www.thefreedictionary.com/
pruning+saw
9. Chain/Hand saw
A chainsaw (or chain saw) is a
portable, mechanical saw which
cuts with a set of teeth attached
to a rotating chain that runs
along a guide bar. It is used in
activities such as tree felling,
limbing, bucking, pruning, to fell
snags and assist in cutting
firebreaks in wildland fire
suppression, and to harvest
firewood.
Image source:
google images
Description source:
en.wikipedia.org/wiki/Chains
aw
http://www.thefreedictionary.
com/handsaw
A hand saw is a wood saw
worked by one hand
10. Sheller/ Corn Sheller
A corn sheller is a piece of
machinery to shell corn kernels
of the cob for feeding to
livestock or for other uses
Image source:
http://www.instructables.com
/id/Reconditioning-a-RootHeath-Corn-Sheller/ , google
images
Description source:
en.wikipedia.org/wiki/Corn_s
heller
79
B. Small Agricultural Equipment
Name of Equipment
11. Spade
12. Fork Hoe
13. Sprayer
Description/Purpose
Sources
A tool with a sharp-edged,
typically
rectangular,
metal
blade and a long handle, used
for digging or cutting earth,
sand, turf, etc.
Image source:
google images
cultivate soil deeply,
prepare seedbeds,
move or turn heavy mulch,
pull compost or gravel from a
truck.
Image source:
google images
A sprayer is a device used to
spray a liquid. In agriculture,
a sprayer is
a
piece
of
equipment that is used to apply
herbicides,
pesticides,
and
fertilizers on agricultural crops
Image source:
google images
Description source:
www.oxforddictionaries.com/
us/definition/american_engli
sh/spade
Description source:
http://www.easydigging.com/
fork-hoe.html
Description source:
en.wikipedia.org/wiki/Spraye
r
80
B. Small Agricultural Equipment
Name of Equipment
14. Milk Can/ Milk Churn
Description/Purpose
A milk churn is a tall, conical or
cylindrical container for the
transportation
of milk. It
is
sometimes referred to as a milk
can
Sources
Image source:
google images, ADB photo
library
Description source:
http://en.wikipedia.org/wiki/M
ilk_churn
15. Pail
A metal or wooden container
with a handle, used for carrying
liquids
Image source:
google images
Description source:
www.ldoceonline.com/dictio
nary/pail
16. Lantern
A lantern is a portable lighting
device or mounted fixture used
to illuminate areas
Image source:
google images
Description source:
en.wikipedia.org/wiki/Lanter
n
81
B. Small Agricultural Equipment
Name of Equipment
17. Cultivator
Description/Purpose
A mechanical implement for
breaking up the soil and
uprooting weeds
Sources
Image source:
google images
Description source:
http://www.encyclopedia.co
m/doc/1O999-cultivator.html
18. Weeder
A device, as a tool or machine,
for removing weeds
Image source:
google images
Description source:
dictionary.reference.com/bro
wse/weeder
19. Planter
Hand Planter
Image source:
google images
Description source: n/a
82
B. Small Agricultural Equipment
Name of Equipment
Stab Planter
Seed Planter
Description/Purpose
Sources
The stab planter is quite a bit
simpler than the walk-behind
unit in that it consists of an
opener/seed delivery tube and
some kind of seed metering
capability (sometimes as simple
as the operator dropping the
individual seeds into the tube).
Closing and pressing are
generally taken care of by the
operator’s foot.
Image source:
google images
A seed planter is a tool that's
used to spread seeds over a
certain area.
Image source:
google images
Description source:
http://www.grit.com/departm
ents/garden-seed-planterssowing-toolszm0z12jfznem.aspx
Description source:
www.wisegeek.com/what-isa-seed-planter.htm
A tool to plant corn crops.
Old-fashioned corn planter
Image source:
google images,
http://www.amazon.com/Leh
mans-Own-Old-FashionedCornPlanter/dp/B00TB7UFG2
Description source: n/a
83
B. Small Agricultural Equipment
Name of Equipment
20. Rakes
21. Agricultural hammer mill
Description/Purpose
Sources
An implement consisting of a
pole with a crossbar toothed like
a comb at the end, or with
several tines held together by a
crosspiece, used especially for
drawing together cut grass or
fallen leaves, or smoothing
loose soil or gravel
Image source:
google images
A hammer mill is a mill whose
purpose is to shred or crush
aggregate material into smaller
pieces by the repeated blows of
little hammers. These machines
have many sorts of applications
in many industries, including:
Ethanol plants
(grains);
a farm machine,
which
mills grain into coarse flour to be
fed to livestock; etc.
Image source:
google images
Description source:
Google dictionary
Description source:
en.wikipedia.org/wiki/Hamm
ermill
84
B. Small Agricultural Equipment
Name of Equipment
22. Other Small Agricultural equipments
Description/Purpose
Sources
Image source:
Philippines Statistics
Authority (PSA)EDGE
questionnaire-illustrated
examples
85