India - Unincorporated Non-Agricultural Enterprises (Excluding Construction) - JULY 2015 - JUNE 2016, 73 round

1.3 Sample Design

1.3.1 Outline of sample design: A stratified multi-stage design will be adopted for the 73rd round survey.

Rural sector: The first stage units (FSU) will be the census villages in the rural sector. For rural part of Kerala, 2011 Population Census Enumeration Blocks (EBs) will be taken as FSUs.

Urban sector: The first stage units (FSU) will be the Population Census EBs in the urban sector. For those urban areas where Sixth EC data will not be used latest updated UFS (Urban Frame Survey) blocks will be the FSUs.

The ultimate stage units (USU) will be enterprises for both the sectors. In the case of large FSUs, one intermediate stage of sampling will be the selection of three hamlet-groups (hg's)/sub-blocks (sb's) from each large FSU.

1.3.2 Sampling frame to be used for selection of FSUs

Census 2011 list of villages will be used as the sampling frame for rural areas. Auxiliary information such as number of enterprises, number of workers, type of enterprises, activities of enterprises, etc. available from Sixth EC frame will be used for stratification, sub-stratification and selection of FSUs, for those rural areas where EC data will be used. For other rural areas where EC data will not be used, the auxiliary information on non-agricultural workers (i.e. household industry workers + other workers) based on Primary Census Abstract (PCA) 2011 will be utilized for stratification, sub-stratification and selection of FSUs. For this purpose both main and marginal workers will be considered.

In rural areas of Kerala, list of EBs as per Census 2011 will be used as sampling frame.

For all urban areas, where EC data will be used, list of EBs as per Census 2011 will be used as sampling frame. The latest updated list of UFS blocks will be the sampling frame for those urban areas wherever EC data will not be used.

1.3.3 Stratification: Each district will be treated as a stratum. Within each district of a State/UT, generally speaking, two basic strata will be formed:

(i) rural stratum comprising of all rural areas of the district and

(ii) urban stratum comprising of all the urban areas of the district. However, within the urban areas of a district, if there are one or more towns with population 1.5 million or more as per Census 2011, each of them will form a separate basic stratum and the remaining urban areas of the district will be considered as another basic stratum.

(iii) In case of rural sectors of Nagaland, one special stratum will be formed within the State consisting of all the villages which are difficult to access.

1.3.4 Sub-stratification:

(i) In rural areas of those States/UTs where EC data will be used: There will be three sub-strata in the rural sector:

Sub-stratum 1: Villages with at least 3 establishments (NDE/DE) under coverage as per Sixth EC data for the following categories:

Table 1.1: NIC 2008 codes for forming sub-stratum '1'
NIC 2008 codes Description of activities
20, 21 Manufacture of chemicals, chemical products, pharmaceuticals, medicinal products etc.
451, 453 Sale of motor vehicles, motor vehicles parts and accessories
50 Water transport
521 Warehousing and storage
68 Real estate activities
582, 62, 631 Computer relating services
691 Legal activities
692 Accounting, book-keeping and auditing activities; tax consultancy
70, 71, 72, 73, 74, 78, 80, 81, 82 Research development, employment activities etc.
855 Educational support services
37, 381, 382, 39 Sanitary services
87, 88 Residential care activities, social work activities without accommodation

Sub-stratum 2: Out of the remaining, villages having at least 8 establishments (NDE/DE) under coverage in the manufacturing and services sectors as per Sixth EC data;

Sub-stratum 3: Remaining villages of the stratum.

(ii) In rural areas of those States/UTs where EC data will not be used:

If 'r' be the sample size allotted for a rural stratum, 'r/4' sub-strata will be formed in that stratum. The villages within a stratum (district) as per frame will be first arranged in ascending order of non-agricultural workers (i.e. household industry workers + other workers) as per PCA 2011. Then sub-strata 1 to 'r/4' will be demarcated in such a way that each sub-stratum will comprise a group of villages of the arranged frame and have more or less equal number of non-agricultural workers taken into consideration as per PCA 2011.


(iii) In rural areas of Kerala:

Sub-stratum 1: EBs with at least 3 establishments (NDE/DE) under coverage as per Sixth EC data as mentioned in Table 1.1;

Sub-stratum 2: Out of the remaining, EBs having at least 8 establishments (NDE/DE) under coverage in the manufacturing and services sectors as per Sixth EC data;

Sub-stratum 3: Remaining EBs of the stratum.

(iv) In urban areas of those States/UTs (except 1.5 million plus cities) where EC data will be used: There will be three sub-strata in these areas:

Sub-stratum 1: EBs with at least 3 establishments (NDE/DE) under coverage as per Sixth EC data and establishments mentioned in Table 1.1;

Sub-stratum 2: Out of the remaining, EBs having at least 8 establishments (NDE/DE) under coverage in the manufacturing and services sectors as per Sixth EC data;

Sub-stratum 3: Remaining EBs of the stratum.
(v) Urban - 1.5 million plus cities where EC data will be used:

In each such stratum, 14 sub-strata will be formed as under:

Table 1.2: Coverage in terms of NIC 2008 codes for forming sub-strata in 1.5 million plus cities
sub-stratum number Description Coverage in terms of NIC 2008 codes
1 EBs with one or more establishment in warehousing and storage 521
2 Out of the remaining, EBs with one or more establishment in accommodation, event catering and other food service activities 55 , 562
3 Out of the remaining, EBs with one or more establishment in real estate, legal, accounting, management consultancy, professional, scientific and technical etc. 681, 69, 70, 71, 72, 73, 74, 78, 80, 81, 82
4 Out of the remaining, EBs with one or more establishment in manufacture of non-metallic products, basic metals, recycling, fabricated metal products etc. 23, 24, 25, 331
5 Out of the remaining, EBs with one or more establishment in manufacture of food products and beverages 101, 102, 103, 104, 105, 107, 11
6 Out of the remaining, EBs with one or more establishment in manufacture of textiles, wearing apparel, leather and related products 13, 14, 15
7 Out of the remaining, EBs with one or more establishment in manufacture of wood and wood products, furniture, paper and paper products, printing, publishing of books, periodicals etc. 16, 17, 18, 31
8 Out of the remaining, EBs with one or more establishment in sale of motor vehicles and wholesale trade, except of motor vehicles and motorcycles 451, 46
9 Out of the remaining, EBs with one or more establishment in transport, supporting and auxiliary transport activities, travel agency, tour operators, financial service and insurance activities, postal, courier, software publishing, information service and communication etc. 492, 50, 522, 53, 582, 61, 62, 63, 643, 649, 661, 662, 663, 79
10 Out of the remaining, EBs with one or more establishment in veterinary, human health, residential care, social work activities and membership organizations 75, 86, 87, 88, 941, 949
11 Out of the remaining, EBs with one or more establishment in education 85
12 Out of the remaining, EBs with one or more establishment in remaining manufacturing activities 016, 106, 108, 12, 19, 20, 21, 22, 26, 27, 28, 29, 30, 32, 332, 351
13 Out of the remaining, EBs with one or more establishment in remaining other services activities 37, 38, 39, 561, 563, 581, 59, 60, 639, 682, 771, 772, 773, 90, 91, 92, 93, 95, 96

14 all the remaining EBs of the stratum


(vi) In urban areas of those States/UTs where EC data will not be used:

For each stratum, there will be two sub-strata based on the information as available from the latest available UFS blocks as follows:

sub-stratum 1: UFS blocks identified as Bazaar area (BA)/ Industrial area (IA)/ Hospital area (HA)/ Slum area (SA) which are likely to contain relatively higher number of enterprises
sub-stratum 2: remaining UFS blocks of the stratum

If the number of FSUs in the frame of a rural or urban sub-stratum is found to be less than 12, then separate sub-stratum will not be formed and it will be merged with the adjacent sub-stratum.


1.3.5 Total sample size (FSUs): About 16348 FSUs will be covered for the central sample at all-India level. State wise allocation of sample FSUs is given in Table 1 of page A-36.

1.3.6 Allocation of total sample to States and UTs: All-India sample size (FSUs) will be allocated to different State/UTs in proportion to total number of non-agricultural workers under coverage as per Fifth EC keeping in view the total allocation and number of FSUs surveyed in earlier rounds.

1.3.7 Allocation of State/UT level sample to rural and urban sectors: State/UT sample sizes will be allocated to rural and urban sectors of the State/UT in proportion to number of non-agricultural workers under coverage as per Sixth EC for the States/UTs where EC data will be used for frame preparation. For those States/UTs where EC data will not be used, sample sizes will be allocated to rural and urban sectors of the State/UT in proportion to non-agricultural workers (i.e. household industry workers + other workers) as per PCA 2011 within the State/UT. A minimum of 8 FSUs (minimum 4 each for rural and urban sector separately) will be allocated to each State/UT.

1.3.8 Allocation to strata: Stratum allocations of State/UT for each sector will be made in proportion to number of non-agricultural workers under coverage as per Sixth EC or in proportion to non-agricultural workers (i.e. household industry workers + other workers) as per PCA 2011as the case may be. Stratum level allocation will be adjusted to multiples of 4 with a minimum sample size of 4.

For special stratum formed in rural areas of Nagaland as discussed in para 1.3.3 (iii) 12 FSUs will be allocated.

1.3.9 Allocation to sub-strata: Allocations to sub-strata will be made in proportion to:

(a) number of non-agricultural workers under coverage as per Sixth EC in both rural and urban areas for EC based frame,
(b) non-agricultural workers (i.e. household industry workers + other workers) as per PCA 2011 for PCA based frame,
(c) number of UFS blocks with double weightage to 'sub-stratum 1', wherever possible, when UFS blocks are used as sampling frame.

Minimum allocation for a sub-stratum has, in principle, been decided as 4 to control seasonal fluctuation.

1.3.10 Sampling of FSUs: Sampling of the First Stage Units will be done separately in two phases - for first six months (July - December, 2015, 1st and 2nd sub-rounds) and next six months (January - June, 2016, 3rd & 4th sub-rounds). Samples are to be drawn in the form of two independent sub-samples in each phase for each sector ensuring stratum/sub-stratum allocation multiple of 2 (i.e. half of stratum/sub-stratum allocation which is multiple of 4). In the first phase, EC data will be used for preparation of sampling frame for those States, for which data will be available and for the remaining States, usual procedure of PCA based frame and UFS based frame will be used. For drawing of samples for 3rd and 4th sub-rounds only EC based sampling frame will be used for all States/UTs.

1.3.11 Selection of FSUs:

For both rural and urban sectors for EC based frame: From each stratum/sub-stratum, required number of sample FSUs will be selected by Probability Proportional to Size With Replacement (PPSWR), size being the total number of non-agricultural workers under coverage in the village/EB as per Sixth EC.

For rural sectors using PCA based frame: In rural areas, from each stratum/sub-stratum, FSUs will be selected by PPSWR with size as non-agricultural workers (i.e. household industry workers + other workers) as per PCA 2011. For this purpose both main and marginal workers will be considered.

For urban sectors using UFS frame: In urban areas, from each stratum/sub-stratum, FSUs will be selected by SRSWOR scheme.

Both rural and urban samples are to be drawn in the form of two independent sub-samples in each phase of six months and equal number of samples will be allocated among the two sub-rounds of each phase.

1.3.12 Proper identification of the FSU boundaries: The first task of the investigators is to ascertain the exact boundaries of the sample FSU as per its identification particulars given in the sample list. For urban samples where UFS blocks will be treated as FSUs, the boundaries of each FSU may be identified by referring to the map for the relevant UFS Phase. For the cases where EBs will be considered as FSUs, in order to ensure complete coverage, it would be necessary to locate and identify each and every structure in the EB. Therefore the investigator has to go around the EB and become familiar with its boundaries, land marks and location of houses with the help of Layout Map (LM) and Abridged House List (AHL) of EB.

The Layout Map (LM) of EB provides the identification particulars i.e., names and codes of State, District, Tehsil/Taluk/PS/Dev. Block/Circle/Mandal, Town/village, Ward and Enumeration Block. The AHL provides a list of all the structures in a particular EB along with some information regarding use of census house such as residential and non-residential and distinct Census house numbers.

1.3.13 Formation of segment 9 and selection of hamlet-groups/ sub-blocks

1.3.13.1 Formation of Segment 9: Having determined the boundaries of the sample FSU, all non-agricultural enterprises having 20 or more workers in the entire FSU and having operated at least one day during last 365 days preceding the day of survey (hereinafter to be called as 'big enterprises') will be listed and all the eligible units under coverage will be surveyed. All the listed big units (whether under coverage or not) will constitute segment 9. All eligible enterprises under coverage will be surveyed in segment 9.

1.3.13.2 Criterion for hamlet-group/sub-block formation: Having constituted segment 9 as stated above, it will be determined whether listing will be done in the whole sample FSU or not. For this, approximate present population (P) and approximate total number of non-agricultural enterprises (E) for the whole FSU may be ascertained first from knowledgeable persons. Depending upon the values of 'P' and 'E', it will be divided into a suitable number (say, DP and DE) of 'hamlet-groups' in the rural sector (except Kerala) and 'sub-blocks' in the urban sector and rural sector of Kerala as stated below. Final value of 'D' will be the higher of the two values 'DP' and 'DE' based on the dual criteria.

Population/enterprise dual criteria
population (P) no. of hg's/ sb's to be formed (DP) no. of non-agricultural enterprises (E) no. of hg's/ sb's to be formed (DE)
less than 1200 1 less than 120 1
1200 - 1599 4 120 - 159 4
1600 - 1999 5 160 - 199 5
2000 - 2399 6 200 - 239 6
and so on … and so on …

While considering enterprise criteria, segment 9 enterprises, if any, may be excluded from the count of 'E'.

For rural areas of Himachal Pradesh, Sikkim, Andaman & Nicobar Islands, Uttarakhand (except four districts Dehradun, Nainital, Hardwar and Udham Singh Nagar), Punch, Rajouri, Udhampur, Reasi, Doda, Kishtwar, Ramban, Leh (Ladakh), Kargil districts of Jammu and Kashmir and Idukki district of Kerala, the number of hamlet-groups/sub-blocks will be formed as follows:

Population/enterprise dual criteria
population (P) no. of hg's/ sb's to be formed (DP) no. of non-agricultural enterprises (E) no. of hg's/ sb's to be formed (DE)
less than 600 1 less than 120 1
600 - 799 4 120 - 159 4
800 - 999 5 160 - 199 5
1000 - 1199 6 200 - 239 6
and so on … and so on …

1.3.13.3 Formation and selection of hamlet-groups/sub-blocks:

In case hamlet-groups/sub-blocks are to be formed in the FSU, the same should be done either by more or less equalising population or by equalising number of non-agricultural enterprises. If the criterion for deciding the value of 'D' is population, then hg/sb may be formed by equalising population. On the other hand, if enterprise criterion is used for deciding 'D', then equalise the number of non-agricultural enterprises to form 'D' number of hg/sb. If the value of 'D' is same for both population and enterprise criteria, then hg/sb may be formed by equalising population.

1.3.13.4 Segments 1 & 2: Two segments (in addition to segment 9 already formed) may be selected from a large FSU wherever hamlet-groups/sub-blocks have been formed in the following manner - Segment 1 will be the hg/sb having maximum number of establishments under the coverage. Two more hg's/sb's will be selected from the remaining hg's/sb's of the sample FSU with equal probability following the method of SRSWOR and combined to form Segment 2.

Listing and selection of the enterprises will be done independently in the two selected segments. The FSUs without hg/sb formation will be treated as sample segment number 1.

1.3.14 Listing of enterprises and formation of their frame: Having determined the area(s) to be considered for listing, the next step is to list all the households and non-agricultural enterprises (NAEs) [including those found to be temporarily locked after ascertaining temporariness of locked NAEs through local enquiry]. Although all non-agricultural enterprises are to be listed, only the unincorporated manufacturing, trade and service sector enterprises which are eligible as discussed in para 1.1.1 will be covered. Further, those enterprises which operated for at least 30 days (15 days for seasonal enterprises and SHGs) during the reference period (i.e. last 365 days preceding the date of survey) will qualify for survey. Such enterprises will hereafter be referred to as 'eligible enterprises'.

Listing and selection of enterprises will be done separately for each of the segments 1, 2 and 9. For segment 2, hg/sb with order of selection number 1 will be listed first followed by that with order of selection number 2 but selection of enterprises will be made from the combined list.

It may be noted that while listing/preparing the frame of enterprises, adequate care should be taken to list all the enterprises, run by household members, located within the household premises or without fixed premises (like those of mobile vendors). Such enterprises are to be listed against the corresponding households for which visit to every household is necessary to ascertain whether household members run such enterprises.

1.3.15 Formation of Second Stage Strata and allocation of enterprises for schedule 2.34:

Sixteen (16) second-stage strata (SSS) will be formed within each sample FSU. Composition of various SSS is as under:

(i) 3 SSS considering various broad manufacturing groups will be formed in each segment for Manufacturing sector Establishments: SSS 1 - Food products and beverages, SSS 2 - Cotton ginning, cleaning and bailing, textiles, wearing apparel, leather and leather products, wood and wood products, furniture, paper and paper products, printing, etc., SSS 3 - Grain mill products, prepared animal feeds, tobacco, petroleum, chemical and chemical products, pharmaceuticals, rubber, plastic, motor vehicle, transport equipments, electric power generation and other manufacturing activities.

(ii) 3 SSS will be formed in each segment for Trade sector Establishments: SSS 4 - Wholesale and retail trade and repair of motor vehicles and motorcycles, SSS 5 - Other wholesale trade, SSS 6 - Other retail trade.

(iii) 7 SSS will be formed in each segment for Service sector Establishments (other than trade) corresponding to the following broad activities: SSS 7 - Accommodation, Event catering and other food service activities, SSS 8 - Transport, supporting and auxiliary transport activities, travel agency, tour operators etc., SSS 9 - Financial service and insurance activities etc., SSS 10 - Postal, courier, software publishing, information service and communication, SSS 11 - Education, SSS 12 - Veterinary, human health, residential care, social work activities and membership organizations, and SSS 13 - Other services activities.

(iv) 3 SSS will be formed in each segment for own account enterprises (OAEs) as follows: SSS 14 - OAEs in Manufacturing, SSS 15 - OAEs in Trade, and SSS 16 - OAEs in Other services.



SSS number NIC 2008 codes Description of major activities
Establishments
Manufacturing
1 101, 102, 103, 104, 105, 107, 11 Food products and beverages
2 01632, 13, 14, 15, 16, 17, 18, 31 Cotton ginning, cleaning and bailing, textiles, wearing apparel, leather and leather products, wood and wood products, furniture, paper and paper products, printing, etc.
3 106, 108, 12, 19, 20, 21, 22, 23, 24, 25, 26, 27, 28, 29, 30, 32, 33, 35103, 35105, 35106, 35107, 35109 Grain mill products, prepared animal feeds, tobacco, petroleum, chemical and chemical products, pharmaceuticals, rubber, plastic, motor vehicle, transport equipments, electric power generation and other manufacturing activities
Trade
4 45 Wholesale and retail trade and repair of motor vehicles and motorcycles
5 46 Other wholesale trade
6 47 Other retail trade
Other services
7 55 , 562 Accommodation, event catering and other food service activities
8 49211, 49219, 4922, 4923, 50, 52, 79 Transport, supporting and auxiliary transport activities, travel agency, tour operators etc.
9 64193 (chit funds), 643, 64309 (SHG), 6491, 6492, 64921 (investment club), 64929 (activity of private moneylenders), 6499, 6612, 6619, 6621, 663 Financial service activities, except insurance and pension funding and other financial activities
10 53, 58 - 62, 631, 639, 681, 69, 70, 71, 72, 73, 74, 771, 772, 773, 78, 80, 81, 82, 9511 Postal, courier, software publishing, information service and communication
11 85 Education
12 75, 86, 87, 88, 941, 9491 (organizations), 9499 Veterinary, human health, residential care, social work activities and membership organizations
13 37, 38, 39, 561, 563, 682, 90, 91, 92, 93, 9512, 952, 96 Other services activities
OAEs
14 01632, 10-33, 35103, 35105, 35106, 35107, 35109 Manufacturing
15 45, 46, 47 Trade
16 37 - 39, 49211, 49219, 4922, 4923, 50, 52 - 63, 64193, 643, 64309, 6491, 64920, 64921, 64929, 6499, 6612, 6619, 6621, 663, 68, 69, 70 - 75, 771, 772, 773,78 - 82, 85 - 93, 941, 949, 95, 96 Other services

1.3.16 Selection of enterprises

1.3.16.1 The number of enterprises to be selected for survey (excluding segment 9) from each FSU × segment × SSS is as given below:

enterprise type sector SSS number number of enterprises to be surveyed
without hg/sb formation with hg/sb formation (for each segment)
establishments manufacturing 1 2 1
2 2 1
3 2 1
sub-total 6 3
trade 4 2 1
5 2 1
6 2 1
sub-total 6 3
services 7 2 1
8 2 1
9 2 1
10 2 1
11 2 1
12 2 1
13 2 1
sub-total 14 7
OAEs manufacturing 14 2 1
trade 15 2 1
services 16 2 1
sub-total 6 3

It may be noted that from each segment × SSS, at least one enterprise must be surveyed if there are some enterprises in the corresponding frame. In other words, as per the notations used in Blocks 5a and 5b of Schedule 0.0, e > 0 if E > 0 for each FSU × segment × SSS.


1.3.16.2 In addition to the above, all the eligible enterprises of segment 9 will be surveyed.

1.3.16.3 Selection of Enterprises: Sample enterprises from each SSS will be selected by SRSWOR.

However, all the establishments in the frame will be selected for a broad category of establishments (manufacturing/trade/other services) in the following situations:

(i) All the manufacturing establishments if total number of establishments in manufacturing SSSs is less than or equal to 6 considering both the segments 1 & 2

(ii) All the trading establishments if total number of establishments in trading SSSs is less than or equal to 6 considering both the segments 1 & 2

(iii) All the 'other service sector' establishments if total number of establishments in other services SSSs is less than or equal to 14 considering both the segments 1 & 2.


There was no deviation from the original sampling design.