Chapter One

Introduction

1.0.0 General: The National Sample Survey (NSS) was started by the Government of India in 1950 to collect socioeconomic data employing scientific sampling methods. Different subjects are taken up for survey in different rounds of NSS. The field work of the 55th round of NSS will start from July 1, 1999 and is to be completed by June 30, 2000.

Survey particulars

1.1.0 Subject coverage: The 55th round of NSS will be an integrated survey on household consumer expenditure, employment, unemployment, and informal non-agricultural enterprises (other than those engaged in industrial categories of 'mining and quarrying' and 'electricity, gas and water supply'). The survey on household consumer expenditure and employment-unemployment is going to be the sixth quinquennial survey in the series, the last one being conducted in the 50th round (1993-94) of NSS.

1.1.1 Salient feature: One salient feature of the 55th round is that the rotation sampling scheme has been adopted for the first time in the NSS (central sample only) for the purpose of collection of employment and unemployment data. Under this scheme, 50 per cent of the sample first stage units (fsu's) of each sub-round will be revisited in the subsequent sub-round. From each such fsu, sample households visited in the previous sub-round for collecting data on employment and unemployment will be revisited in the subsequent sub-round for collecting employment and unemployment details. In addition, for the purpose of collecting employment and unemployment data, a thin sample of 2 households will be selected during the revisit from the frame of newly formed households in the fsu. It may be noted that the above rotation sampling scheme for collecting employment and unemployment data will be followed only for the fsu's belonging to the central sample. For state samples, the fsu's are to be visited only once as they appear in the sample list for canvassing various schedules in the selected households or enterprises.

1.1.2 Work program: As usual, the survey period of this round is divided into four sub-rounds, each with a duration of three months. The 1st sub-round period is from July to September 1999, 2nd sub-round period is from October to December 1999 and so on. Equal number of sample fsu's is allotted for survey in each of these four sub-rounds. Each fsu will be surveyed during the sub-round period to which it is allotted. Within a particular sub-round, efforts may be made to spread out the field work of various fsu's uniformly over different weeks or months to the extent possible. As discussed in paragraph 1.1.1, fifty per cent of the sample fsu's of each sub-round will be revisited again (only for the central sample) in the subsequent sub-round for collecting employment-unemployment details from the sample households who were visited during the previous sub-round. In such cases efforts must be made to revisit the fsu just after 3 months.

1.1.3 Schedules of enquiry: The following table gives the list of schedules of enquiry for the 55th round.
[p. 2]

Schedules to be canvassed in the NSS 55th round

1.1.4 Linking of sub-rounds X sub-samples X schedules of enquiry: Sample fsu's from each first stage stratum will be drawn in the form of a number of independent sub-samples (see Annexure I for details regarding selection of fsu's). There will be a one-to-one correspondence between sub-round number X sub-sample number of the fsu X schedules to be canvassed in the fsu. The same is clarified below in a tabular form.

1.1.5 Geographical coverage: The survey will cover the whole of the Indian Union excepting (i) Ladakh and Kargil districts of Jammu and Kashmir, (ii) interior villages of Nagaland situated beyond 5 km of a bus route and (iii) villages of Andaman and Nicobar Islands remaining inaccessible throughout the year. All the villages of the country, uninhabited according to 1991 census, are also left out of the survey coverage of the NSS 55th round.

1.1.6 Sample size (fsu's): A sample of 10,400 fsu's (rural and urban combined) will be surveyed at all-India level during the round under the central sample for canvassing each of schedules 1.0, 10 and 2.0 (for state samples, there will be additional sample fsu's as per the usual matching pattern). Out of 10,400 fsu's of the central sample, a total of 3,900 fsu's (1,300 each from sub-rounds 1, 2 and 3) will be revisited in the subsequent quarters for collection of employment-unemployment data.

1.1.7 Participation of the States/Union Territories: All the States/U.T.s excepting Andaman and Nicobar Islands, Dadra and Nagar. Haveli and Lakshadweep are participating in the NSS 55th round at [p. 4]least on equal matching sample basis compared to the size of the central sample. Sample sizes for the state samples are given in Appendix I.

Contents of this volume

1.2.0 Contents: The present volume contains six chapters and three appendices. Chapter one, besides giving an overview of the whole survey operation, discusses the concepts and definitions of certain important technical terms used in the survey. It also describes in detail the procedure of selection of households/enterprises. Instructions for filling the schedules 0.1, 0.2, 1.0, 10 and 2.0 are given in chapters two, three, four, five and six respectively. Appendix-I describes the procedure for selection of sample fsu's. Appendix II and Appendix III give the list of the FOD Sub-Regions and the list of NSS regions respectively.

Concepts and definitions

1.3.0 Some important concepts and definitions to be followed in the round are described below in the subsequent paragraphs:

1.3.0.1 House: Every structure, tent, shelter, etc., is a house irrespective of its use. It may be used for residential or non-residential purpose or both or even may be vacant.

1.3.0.2 Household: A group of persons normally living together and taking food from a common kitchen will constitute a household. The members of a household may or may not be related by blood to one another. The following cases are to be noted:

(i) Each resident (including residential staff) of a hostel, mess, hotel, boarding and lodging house, etc., will constitute a single member household. If, however, a group of persons among them normally pool their income for spending, they together will be treated as forming a single household. For example, a family living in a hotel will be treated as a separate single household by itself.

(ii) Pretrial prisoners in jails and indoor patients of hospitals, nursing homes, etc., are to be excluded but residential staff therein will be listed while listing is done in such institutions. The former persons will be considered as normal members of their parent households and will be counted there. Convicted prisoners undergoing sentence will be outside the coverage of the survey.

(iii) Floating population, i.e. persons without any normal residence, will not be listed. But households residing in open space, roadside shelter, under a bridge etc., more or less regularly in the same place will be listed.

(iv) Foreign nationals will not be listed, nor their domestic servants, if by definition they belong to the foreign national's household. In some cases, however, a foreign national might have become an Indian citizen for all practical purposes. Such persons will be covered.

(v) Barracks of military and para-military forces (like police, BSF etc.) are outside the survey coverage. However, civilian population residing in their neighbourhood, including the family quarters of service personnel are to be covered, for which, of course, permission may have to be obtained from appropriate authorities.
[p. 5]

(vi) Orphanages, rescue homes, ashrams and vagrant houses are outside the survey coverage. However, the students staying in hostels (if any) and the residential staff (other than monks/nuns) of ashrams may be listed. For orphanages, although orphans are not to be listed, the persons looking after them and staying there may be considered for listing. It may be noted that enterprises run by all the above types of institutions are to be listed.

1.3.0.3 Household size: The number of normally resident members of a household is its size. It will include temporary stay-aways but exclude temporary visitors and guests. Even though the determination of the actual composition of a household will be left to the judgment of the head of the household, the following procedures will be adopted as guidelines:

(i) In deciding the composition of a household, more emphasis is to be placed on 'normally living together' than on 'ordinarily taking food from a common kitchen'. In case the place of residence of a person is different from the place of boarding, he or she will be treated as a member of the household with whom he or she resides.

(ii) A resident employee, or domestic servant, or a paying guest (but not just a tenant in the household) will be considered as a member of the household with whom he or she resides even though he or she is not a member of the same family.

(iii) When a person sleeps in one place (say, in a shop or in a room in another house because of space shortage) but usually takes food with his or her family, he or she should be treated not as a single member household but as a member of the household in which other members of his or her family stay.

(iv) If a member of a household (say, a son or a daughter of the head of the household) stays elsewhere (say, in hostel for studies or for any other reason), he/she will not be considered as a member of his/her parent's household. However, he/she will be listed as a single member household if the hostel is listed.

1.3.0.4 Self-employed: Persons who are engaged in their own farm or non-farm enterprises are defined as self-employed. There are different types of self-employed persons. Some may operate their enterprises without hiring any labour. Others normally work on their own but occasionally hire a few labourers. There is also a third category who by and large regularly run their enterprises by hiring labour. The first two groups of self-employed are known as 'own account workers' and the third as 'employers'. For more details regarding identification of self-employed persons (including 'home workers'), reference may be made to paragraph 5.0.8 of chapter five.

1.3.0.5 Manual work is work which essentially involves physical operations. However, jobs essentially involving physical labour but also requiring a certain level of general, professional, scientific or technical education are not to be termed as manual work. On the other hand, jobs not involving much of manual labour but at the same time nor requiring much educational background either, are to be treated as manual work. Thus, engineers, doctors, dentists, midwives etc. are not considered as manual workers even though their jobs involve some amount of physical labour. But peons, chowkidars, watchmen etc. are considered as manual workers even though their work may not involve much physical labour. Manual work will cover one or more of the following occupational groups of the National Classification of Occupations (Revised 1968):

Division 5 Service workers:
[p. 6]
Group 52: cooks, waiters, bartenders and related workers.
Group 53: maids and other housekeeping service workers.
Group 54: building caretakers, sweepers, cleaners and related workers.
Group 55: launders, dry cleaners and pressers.
Group 56: hair dressers, barbers, beauticians and related workers.
Family 570: fire fighters.
Family 574: watchmen, gate-keepers.
Family 579: protective service workers not elsewhere classified.

Division 6: Farmers, Fishermen, Hunters, Loggers and related workers:

Group 63: agricultural labourers.
Group 64: plantation labourers and related workers.
Group 65: other farm workers.
Group 66: forestry workers.
Group 67: hunters and related workers.
Group 68: fishermen and related workers.

Divisions 7-8-9: Production and related workers, transport equipment operators and labourers:

All groups excluding Group 85 (electrical fitters and related workers) and Group 86 (broadcasting station and sound equipment operators and cinema projectionists).

1.3.0.6 Rural labour: Manual labour (by a person living in rural area) in agricultural and/or non-agricultural occupations in return for wages/salary either in cash or kind (excluding exchange labour) is defined as 'rural labour'.

1.3.0.7 Means of livelihood: For the purpose of the survey, every household is to be placed into one and only one of the following categories of mean of livelihood (m.l.):

For a majority of the households, there may be only one source of income and, thus, their placement will be relatively straightforward. In a few cases, where there are two or more sources of income, the following procedure is to be adopted for determining m.l. code/category:

1.3.0.8 Please note that for deciding the means of livelihood of a household, the income of servants and paying guests will not be taken into account. Also, only the economic activities are to be taken into account (economic activity is defined in paragraph 1.3.0.9 below).

1.3.0.9 Economic activity: Any activity resulting in production of goods and services that adds value to national product is considered as economic activity. Such activities include production of all goods and services for market (i.e. production for pay or profit and the production of primary commodities for own consumption and own account production of fixed assets, among the non-market activities). The entire spectrum of human activity falls into two categories viz. economic and non-economic activities. The economic activities have two parts: market activities and non-market activities. Market activities are those that involve remuneration to those who perform it i.e., activity performed for pay or profit. These are essentially production of goods and services for the market including those of government services etc. Non-market activities are the production for own consumption of primary products including own account processing of primary products and own account production of fixed assets. The whole spectrum of economic activities as defined in the UN system of National Accounts will not be covered under 'economic activity'. In this round, the term "economic activity" will include:

It is to be noted that like earlier rounds, the activities like prostitution, begging, smuggling etc. which may result in earnings will not, by convention, be considered as economic activities.

1.3.0.10 Land possessed: Land possessed is given by (land owned including land under "owner like possession") + (land leased-in) - (land leased out) + (any land possessed by the household which is neither owned nor leased-in). A plot of land is considered to be 'owned by the household' if permanent [p. 8]heritable possession, with or without the right to transfer the title, is vested in a member or members of the household. Land held in owner like possession under long term lease or assignment is also considered as land owned. As regards lease, land given to others on rent or free by owner of the land without surrendering the right of permanent heritable title is defined as leased out. Land leased-in is defined as land taken by a household on rent or free without any right of permanent or heritable possession. The lease contract may be written or oral. If the household has possession of land for which it lacks title of ownership and also does not have any lease agreement for the case of the land transacted either verbally or in writing, such land will be considered as "neither owned nor leased-in".

1.3.0.11 Enterprise: 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. An enterprise may be owned and operated by a single household, or by several households jointly, or by an institutional body.

1.3.0.12 Non-agricultural enterprise: All enterprises covered under Tabulation Categories 'A' and 'B' of the National Industrial Classification (NIC) 1998 are "agricultural enterprises" while the others covered under Tabulation Categories 'C' to 'O' are "non-agricultural enterprises". The NIC 1998 booklet may be used for recording NIC codes in various schedules. Reference may also be made to paragraph 1.3.0.17 of this chapter and paragraph 5.0.8 of chapter five for further details regarding listing of various activities.

1.3.0.13 Informal non-agricultural enterprises: All non-agricultural enterprises (excluding those covered under the Annual Survey of Industries) with type of ownership as either 'proprietary' and 'partnership' may be treated as informal non-agricultural enterprises in the present survey.

1.3.0.14 Own account enterprise (OAE): An own account enterprise is an undertaking run by household labour, usually without any hired worker employed on a 'fairly regular basis'. By 'fairly regular basis' it is meant the major part of the period of operation(s) of the enterprise during the last 365 days.

1.3.0.15 Establishment: Those enterprises which have got at least one hired worker on a 'fairly regular basis' are called establishments.

1.3.0.16 Seasonal enterprise: Seasonal enterprises are those which are usually run in a particular season or fixed months of a year.

1.3.0.17 Activity coverage: The survey will cover all informal non-agricultural enterprises other than those covered under 'mining and quarrying' (i.e. Tabulation Category 'C' of NIC 1998) and 'electricity, gas and water supply' (Tabulation Category 'E'). It may be noted that the activities classified under Tabulation Categories L, P and Q are not to be covered. Further details giving the coverage of various activities are summarized below.

Manufacturing
NIC(15-37)

Construction
NIC(45)

Trade and repair services
NIC(50-52)

Hotels and restaurants
NIC(55 )

Transport, storage and communications
NIC( 60-64)

Financial intermediation
NIC(65-67)

Real estate, renting and business activities NIC(70-74)

Education NIC(80)

Health and social work NIC(85)

[p. 13]
Other community, social and personal service activities (excluding domestic services) NIC(90-93)

Listing of enterprises: Procedure

1.4.0 Enterprises without fixed premises may be listed against the households of the owners whereas those with fixed premises are to be listed at their sites. By 'fixed premises', we mean that the entrepreneurial activity is carried out within some sort of permanent structure (refer to chapter two for further details). Partnership enterprises run without fixed premises may be listed against the household of the partner who takes major decisions for running the enterprise. An enterprise pursuing multiple/mixed activities may be listed separately under respective NIC codes if separate accounts of employment, receipts, expenses, etc. for each such activity are available. Otherwise it will be listed as one enterprise with NIC code corresponding to the major activity. By major activity, we mean the activity fetching maximum income to the enterprise during the last year. If it is difficult to decide major activity based on income, the same may be done by looking at the turnover/employment in the order specified. In case accounts for various activities of the enterprise are mixed up, data in schedule 2.0 must be collected for all the activities taken together when such an enterprise is selected for survey.

1.4.1 It is to be noted that all enterprises found to be in operation for at least some time during the last 365 days are to be listed irrespective of whether they are operating on the date of survey or not. However, if any enterprise with fixed premises is come across which has changed its place of operation (i.e. stopped operating in the current structure under listing), the same may not be listed in the present place but be listed against the place/site where it is currently operating. For more details regarding listing of enterprises, reference may be made to chapter two.

Selection of households/enterprises: important steps

(a) Proper identification of the fsu boundaries

1.5.0 The first important task of the field investigators is to ascertain the exact boundaries of the sample fsu [i.e. villages (panchayat wards for rural areas of Kerala)/Urban Frame Survey blocks] as per its [p. 14]identification particulars given in the sample list. For urban samples, the boundaries of each Urban Frame Survey (UFS) block may be identified by referring to the map corresponding to the frame code specified in the sample list (even though map of the block for a latter period of the UFS might be available).

(b) Decision on hamlet-group/sub-block formation

1.6.0 Having determined the boundaries of the sample fsu (both rural and urban), a decision has to be taken whether listing has to be done in the whole 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', decision may be taken to divide the fsu into a fixed number of hamlet-groups (hg's - the term applicable for rural samples) / sub-blocks (sb's - the term applicable for urban samples) as per the rules given below:

Number of hgs/sbs to be formed in the fsu as per population criterion.

{For rural areas of Himachal Pradesh, Sikkim and Poonch, Rajouri, Udhampur and Doda districts of Jammu and Kashmir, number of hg's to be formed in the village as per population criterion will be: 1 for P values less than 600, 5 for P = 600 to 999, 6 for P = 1000 to 1199, 7 for P = 1200 to 1399, 8 for P = 1400 to 1599, and so on (procedure remains unchanged as per enterprise criterion)}

1.6.1 The number (D) of hamlet-groups (hg)/ sub-blocks (sb) to be actually formed in the fsu will be the higher of the two values as per population and enterprise criteria. If value of P is less than 1200 (600 for certain hilly areas specified above) as well as value of E is less than 100 for an fsu, hg/sb formation should not be resorted to and the whole fsu has to be considered for listing.

(c) How to form hamlet-groups/sub-blocks?

1.7.0 In case hg's/sb's are to be formed in the sample fsu, the same may be always done by more or less equalizing population (refer to chapter two for details). Please note that while doing so, it is to be ensured that the hg's/sb's formed are clearly identifiable in terms of physical landmarks.

(d) Which of them to be considered for listing ?

1.8.0 The hg/sb having maximum concentration of non-agricultural enterprises will be selected with certainty for listing of households/enterprises. This hg/sb will be referred to as segment 1. From the remaining (D-1) hg's/sb's of the fsu, 2 more hg's/sb's will be selected circular systematically and these 2 selected hg's/sb's will together be referred to as segment 2 for doing a combined listing of households/enterprises. Thus listing of households/enterprises will be done only in segments 1 and 2 of the fsu. The fsu's not requiring hg/sb formation will always be referred to as segment 1 for the purpose of data collection.

(e) Listing of households/enterprises vis-à-vis their frame
[p. 15]
1.9.0 Having determined the area(s) to be considered for listing, the next step is to list all the households (including those found to be temporarily locked) and non-agricultural enterprises. Although all non-agricultural enterprises are to be listed, only the 'informal non-agricultural enterprises' (other than mining and quarrying and electricity, gas and water supply) which operated at least 30 days (15 days for seasonal enterprises) during the last year will qualify for survey. Such enterprises will hereafter be referred to as 'eligible enterprises'. Listing of households as well as eligible enterprises for the purpose of sample selection will be independent for segments 1 and 2.

(f) Stratification of households/enterprises

1.10.0 All the households listed in a segment (both rural and urban) will be stratified into 2 second stage strata viz. 'affluent households' (forming second stage stratum 1) and the rest (forming second stage stratum 2). The criterion for classifying a household as 'affluent' is different for rural and urban samples. In rural sector, a household is classified as 'affluent' if the household owns certain items like motor car/ jeep, tractor, truck/van/bus, large business, colour T.V., telephone, etc. or owns land / livestock in excess of certain limits (refer to the working sheet of schedule 0.1 as well as instructions given in chapter two for details). If no household qualifies to form affluent household, second stage stratum 1 will remain void. On the other hand, if more than 10 rural households qualify to form affluent households in a segment, only top 10 of them will be included in the frame of second stage stratum 1 and the rest (including other households) in the frame of second stage stratum 2. The field investigator may exercise his or her own judgment to decide such top 10 households to be included in the frame of second stage stratum 1. Thus total number of households in the frame of second stage stratum 1 for segment 1 or 2 may vary from 0 to 10 for rural samples. For urban samples, the households having MPCE (Monthly Per Capita consumer Expenditure) greater than Rs. 1200/- (for towns with population less than 10 lakhs as per 1991 census) or greater than Rs. 1500/- (for towns having population of 10 lakhs or more as per1991 census) will be treated as 'affluent' households for the present survey and all such urban households (there being no restriction on the number) may be included in the frame of second stage stratum 1. Rest of the urban households will be included in the frame of second stage stratum 2.

1.10.1 All the eligible enterprises in a segment (both rural and urban) will be stratified into 12 strata by jointly considering their broad industry group and enterprise class. Eligible enterprises could belong to any of the 6 broad industry groups viz. manufacturing - 1, construction - 2, trade and repair services - 3, hotels and restaurants - 4, transport, storage and communication - 5 and other service sector - 6. The enterprises will be classified into 2 enterprise classes. Enterprise class of an enterprise will be '1' if the entrepreneurial activity was pursued with no hired worker during the major part of the period of operation in the last year (in other words, enterprise class will be '1' for Own Account Enterprises). Otherwise enterprise class will be '2' (i.e. for Establishments). Thus there could be 12 possible strata of various combinations of broad industry groups and enterprise classes.

(g) Number of households/enterprises to be selected for survey

1.11.0 The number of households/enterprises to be selected for survey from each fsu is given below:

[Table indicating Household and Enterprise allotments from original is not presented here.]
[p. 16]
1.11.1 If the fsu is to be revisited in the next quarter/sub-round for collecting employment-unemployment data (applicable only for central sample), all the households surveyed under schedule 10 in visit 1 will be revisited for collection of employment-unemployment data afresh during visit 2. In addition, a thin sample of 2 households (1 each from segments 1 and 2 for the fsu's requiring hg/sb formation) will be selected for survey in visit 2 from the newly formed households for collection of employment-unemployment data. It is important to note that when the same sample household is revisited, schedule 10.1 will be canvassed during the revisit. But if it is a either a newly formed household or a casualty household in visit 1 but available for canvassing in visit 2 or a substitute of the earlier household surveyed in the previous sub-round (substitute necessitated due to difficulties in collecting information at the time of revisit), schedule 10 will be canvassed. For substituted households, 1st page of schedule 10.1 should be filled in and attached with the canvassed schedule 10 (1st page of schedule 10.1 may appear at the beginning of the lot). It is also important to note that when field work for an fsu to be revisited in the next sub-round has been over, no copy of schedule 10 should be retained in the field office (for reference during visit 2) when the schedules are despatched to the Data Processing Centre. However, copy of listing schedule may be retained for identifying the households to be revisited in the next sub-round to collect employment-unemployment details.

1.11.2 Compensation for shortfall: Various possible situations that may arise due to non-availability of requisite number of households/ enterprises in the respective frames and action to be taken thereby before sample selection are discussed at length in the subsequent paragraphs.

1.11.2.1 Selection of households:

1.11.2.2 Selection of enterprises: Let the symbol E* denote total number of enterprises listed in the fsu considering both the segments (segment 1 only for fsu's with no hg/sb formation). Then, the rules for selection of enterprises will be as follows:

• Step 1: 1 enterprise may first be allotted to various combinations of segment 1 in the following order: broad industry group 1 and enterprise class 1; broad industry group 1 and enterprise class 2; broad industry group 2 and enterprise class 1; broad industry group 2 and enterprise class 2; .........; broad industry group 6 and enterprise class 1; broad industry group 6 and enterprise class 2. Repeat the same for segment 2 in the same order.

• Step 2: If not, additional enterprises are to be selected for the 12 combinations (6 broad industry groups X 2 enterprise classes) as if there were no hg/sb formation. That is, allot 1 additional enterprise (subject to availability) to only those combinations where the quota of 2 enterprises was not fulfilled after Step 1.

[p. 18]

• Step 3: Go on allocating 1 additional enterprise to each of the 24 combinations starting from the first combination (segment 1, broad industry group 1, enterprise class 1) to the last.

[Examples from the end of this Chapter are not presented here.]

(h) General procedure of selection of households/ enterprises

1.12.0 Sample households/enterprises are to be selected from the respective frames by circular systematic sampling with equal probability. For the purpose of systematic sampling, households in the frame of second stage stratum 2 are to be arranged by means of livelihood X land possessed classes for rural samples and by means of livelihood X MPCE classes for urban samples. Enterprises under each stratum (i.e. segment X broad industry group X enterprise class) will however be arranged in the ascending order of NIC 2-digit codes (3-digit codes for hotels and restaurants) before sampling.

1.12.1 For selection of sample households, double the allocation for each schedule type (viz. 1.0 and 10), as discussed in paragraphs 1.11.0 and 1.11.2.1, may be selected during first visit to the fsu itself from respective frames. Sample households with odd orders of selection will be visited for canvassing schedule 1.0 and those with even orders of selection will be visited for canvassing schedule 10 (or schedule 10.1 during the revisit). When number of households in the frame (say 'H') of any segment X second stage stratum is less than '2h' ('h' being the allocation for each of schedules 1.0 and 10), following procedure is to be adopted:

1.13.0 Substitution of households/enterprises: If any sample household/ enterprise cannot be surveyed due to some reason, it will be substituted by the one with next higher sampling serial number. If this, in turn, becomes a casualty, another substitute may be taken in the same manner. If this also becomes a casualty, no further substitute may be taken. It may however be ensured that at least one household (for each of schedules 1.0 and 10) or at least one enterprise is always surveyed from various frames of households/enterprises. More number of substitutes may be taken to adhere to this restriction. For instructions regarding drawl of random numbers and substitution/ repetition of FSU's, reference may be made to chapter three.

[p. 19]
Examples for allocation of sample households/enterprises

Allocation of households

[Examples in original are not presented here.]

Allocation of enterprises

[Enterprise allocation examples in original on pp 20-21 are not presented here.]

[p. 22]
Chapter Two

Schedule 0.1: List of households and non-agricultural enterprises (Rural)

2.0.0 Introduction: Schedule 0.1 is meant for listing all the households residing in the sample FSU (or segment 1 and 2 in case of large FSU) along with all the non-agricultural enterprises including those without fixed premises found to exist during the last 365 days preceding the date of survey. Some household particulars like household size, means of livelihood, area of land possessed and some enterprise particulars like description of activity, number of hired and total workers, ownership particulars, duration of operation etc., are also collected. These auxiliary information will be used for grouping the households into different second-stage strata and enterprises into different broad industry groups further classified by enterprise classes. Thus the sampling frames for selection of households / enterprises from each of the second-stage strata / broad industry group x enterprise class are prepared and details of the selection of sample households / enterprises are recorded. Whenever hamlet-groups are required to be formed, particulars relating to the formation and selection of hamlet-groups are also to be recorded in this schedule. Concepts and definitions of various items are given in chapter one.

2.0.1 Unit of survey: The first stage sampling unit (FSU) is the census village in the rural sector (Panchayat wards for Kerala). It is indicated in the sample list under the head "frame code" as to which particular list has been used as the sampling frame for selection of FSUs. The investigator, on arrival at a sample FSU, will ascertain the exact boundaries of the sampled unit as mentioned in the sample list. This may be done with the help of the village/Panchyat officials like patwari, panchayat authorities etc.

2.0.2 Formation of hamlet-groups and their selection: With a view to controlling the work load mainly at the stage of listing of households, hamlet-group selection will be resorted to in the 'large' FSUs. A large FSU will be divided into a certain number (D) of sub-divisions called hamlet-groups. The number of hamlet-groups to be formed (i.e. the value of D) will depend on the approximate present population of the sample FSU and/or the approximate number of non-agricultural enterprises found to exist in the sample FSU. The criteria for deciding the number of hamlet-groups to be formed in a large FSU have been discussed in detail in Chapter one. The hamlet-group having the maximum concentration of non-agricultural enterprises will be selected for survey with certainty and will be marked as segment '1'. Two more hamlet-groups will be selected [p. 23]for survey from the remaining ones following the method of circular systematic sampling and they together will be marked as segment '2'. The procedure for forming the hamlet-groups is outlined below:

2.0.3 Procedure: In a large FSU, there exist usually a few localities or pockets where the houses of the FSU tend to cluster together. These are called 'hamlets'. In case there are no such recognised hamlets in the FSU, the census sub-divisions of the FSU (e.g. enumeration blocks or groups of census house numbers or geographically distinct blocks of houses) may be treated as 'hamlets'. Large hamlets may be divided artificially to achieve equality of population content for the purpose of hamlet-group formation. The procedure for formation of hamlet-groups is best described, perhaps, by listing sequentially the steps involved:

(i) Identify the hamlets as described above.

(ii) Ascertain approximate present population of each hamlet.

(iii) Draw a notional map in block 2 showing the approximate location of the hamlets and number them in a serpentine order starting from the northwest corner and proceeding southwards. While drawing this map, uninhabited area (non-abadi area) of the FSU will be included as part of nearby hamlet, so that no area of the FSU is left out. The boundaries of the hamlets may be defined with the help of some land marks like canals, footpaths, railway lines, roads, cadastral survey plot numbers etc., so that it would be possible to identify and locate the geographical boundaries of the hamlet-groups to be formed in the FSU.

(iv) List the hamlets in block 3.1 of sch. 0.1 in the order of their numbering and indicate the present population content in terms of percentages.

(v) Grouping the hamlets into 'D' hamlet-groups is then to be done. The criteria to be adopted for hamlet-group formation are equality of population content and geographical contiguity (numbering of hamlets is not to be adopted as a guideline for grouping). In case there is a conflict between the two aspects, 'geographical contiguity' is to be given priority. Indicate the grouping in the map.

(vi) Numbering of hamlet-groups will be done next in block 3.2 of sch. 0.1. Hamlet-groups will be numbered serially in col.(1) of block 3.2 in the order of the first hamlet included in each. Indicate the numbers also in the notional map. It is quite possible that a hamlet-group may not be constituted of hamlets with consecutive serial numbers.

2.0.4 Sampling in Arunachal Pradesh: Like NSS 54th round, cluster sampling will not be adopted for the rural sector of Arunachal Pradesh. Thus the sample list supplied by SDRD specifies the sample FSUs that are only to be taken up for survey. No additional FSUs need be surveyed.
[p. 24]
2.0.5 Starting point for listing: After having determined the areal unit to be surveyed, the investigator will proceed to list the houses, households and the non-agricultural enterprises in the unit. The listing may be done in the same order as that of the 1998 Economic Census order of house listing. If the census order of house listing is not available, the listing may be started from the northwest corner of the FSU. While listing the households and the non-agricultural enterprises, some essential minimum particulars about them will be collected for the purpose of classification.

2.0.6 The structure of the schedule: Schedule 0.1, to be filled in for the sample FSUs (panchayat wards for Kerala ), contains the following blocks:

Block 0: descriptive identification of sample village
Block 1: identification of sample village
Block 2: sketch map of hamlet-group formation
Block 3.1: list of hamlets
Block 3.2: list and selection of hamlet-groups
Block 4: list of households/non-agricultural enterprises and record of selection for households (segment 1/2)
Block 4.1: working sheet for identifying relatively affluent households (segment 1/2)
Block 5: frame for eligible non-agricultural enterprises and record of selection of sample enterprises (segment 1/2)
Block 4A: list of additional households during visit 2 and record of selection of sample
Households (for schedule 10 only)
Block 6: particulars of sampling of households
Block 6A: particulars of sampling of additional households (for only schedule 10 in visit 2 only)
Block 7: particulars of sampling of non-agricultural enterprises
Block 8: remarks by investigator
Block 9: comments by supervisory officer
Block 10: particulars of field operations

2.0.7 Use of additional sheets of blocks 4, 4A and 5: Whenever one schedule booklet is not adequate to list all the households and non-agricultural enterprises in block 4 and all the eligible non-agricultural enterprises in block 5 of the sample FSU/ segments, additional sheets containing block 4 and 5 shall be used and tagged firmly to the main schedule. Similarly, additional sheets containing block 4A should be used and tagged firmly to the main schedule when listing of additional households found during visit 2 could not be accommodated in one sheet.
[p. 25]
The procedures to be followed for filling up the various blocks of the schedule are described in the following paragraphs.

2.0.8 Block 0: Descriptive identification of sample FSU: This block is meant for recording descriptive identification particulars of the sample FSU along with their relevant codes. State/u.t., district and tehsil name along with codes may be copied from the sample list. FSU name may also be copied properly from the sample list. For large FSUs, the serial numbers of hamlets constituting the selected hamlet-groups may be copied (separated by commas) from col. (1) , block 3.1.

Block 1: Identification of sample FSU.

2.1.0 General: This block is meant for recording the identification particulars of the sample FSU in terms of codes or numbers. The particulars relating to all the items will be recorded in box spaces provided in the block against each item (except for items 1, 2 and 4, the codes for which are already printed). Each cell (box space) is meant for recording only one digit of the entry. For multiple cells, the rightmost cell shall be used for recording the digit of the unit place, the next left cell for the tenth place digit and so on. If the number of digits of the entry to be recorded against an item is less than the number of box spaces provided, '0' shall be entered in the left most box space(s). For example, if the total number of hamlet-groups formed in the sample FSU is 5, the entry against item 17 should be recorded as 005. Items 3, 5 to 14 shall be copied from the sample list.

2.1.1 Item 10: FOD sub-region: The four digit code corresponding to the FOD sub-region to which the sample village belongs will be recorded against item 10. A cross (x) will be put against this item for the state samples and also for the central samples for the states of Arunachal Pradesh, Manipur, Mizoram and Tripura for which field work is carried out by the respective states.

2.1.2 Item 12: Visit number (1/2): If a sample FSU is surveyed for the first time, visit number will be '1'. And if the same FSU is surveyed for the second time in the next sub-round, the visit number will be '2'. For further clarification, reference may be made to paragraph 1.1.4 of Chapter One.

2.1.3 Item 15: Approx. present population:The investigator will first ascertain the approximate present population of the entire sample FSU taking into consideration of the normal growth of population along with any abnormal influx of population into or exodus of population from the sample FSU. This may be ascertained mainly from the knowledgeable persons by putting certain probing questions. The starting point can be 1991 census population (1981 census population in case of J and K). In the case of large difference with census population, it may be asked whether there has been any abnormal influx into or exodus from the FSU after the census. If so, the approximate increase or [p. 26] decrease of population due to such events or any new settlements that have come up in the FSU after the census, is to be ascertained.

2.1.4 Item 16: Approx. no. of non-agricultural enterprises: Approximate number of non-agricultural enterprises (OAEs, NDEs and DEs combined) in the whole sample FSU, as ascertained by local enquiry from knowledgeable persons, may be recorded here. The starting point may be the total number of non-agricultural enterprises as per (EC)-1998 ( if not available, EC-1990). Then the procedure followed for estimating the approximate present population may be attempted to get an estimate of the total number of non-agricultural enterprises in the FSU.

2.1.5 Item 17: Total number of hamlet-groups formed: The total number of hamlet-groups formed in the sample FSU will be the value of 'D' as recorded in block 3.2, sch.0.1. Value of D to be recorded against this item will be as per the guidelines given in paragraphs 1.6.0 and 1.6.1 of Chapter One. If the sample FSU does not require any hamlet-group formation, the entry against this item will be "001".

2.1.6 Item 18: Survey code: When the original sample FSU (particulars of which are provided in the sample list) is surveyed, survey code will be one of the codes 1 to 3. Code will be 1 when the FSU is inhabited and 2 when it is found to be uninhabited. Code will be 3, when the sample FSU is treated as a 'zero case'. Examples of zero cases are: FSUs comprised wholly of barracks of military and para-military forces (like CRPF, BSF etc.), rural areas declared as urban areas and now forming part of UFS frame used for urban sampling, FSUs wholly submerged under water in a dam or FSUs with the whole population evicted because of acquisition of land to construct a new factory or other project work etc., with no chance of habitation in future. As against this, the FSU whose entire population has shifted elsewhere due to some natural calamities like fire, cyclone etc., but is likely to return in the future, will be considered as uninhabited FSU and will be given code 2. When the original sample FSU is a casualty and it has been substituted by another FSU, the survey code will be 4 if the substituted FSU is inhabited; 5 if the substituted FSU is uninhabited and 6 if it is treated as a zero case. If the substitute FSU cannot be surveyed, survey code will be 7. Code 7 will also be [p. 27]applicable in cases where the originally selected sample FSU is a casualty and no substitute was asked for.

2.1.7 Item 19: Reason for substitution of original sample: In all the cases where the originally selected sample FSU is a casualty irrespective of whether it has been substituted or not (i.e. when one of the codes 4 to 7 is given against item 18), the reason for its becoming a casualty will be recorded in terms of code against item 19. The codes are:

Original sample FSU:

A cross mark (X) may be put against this item if the entry against item 18 is 1 or 2 or 3. Cases of FSUs comprising wholly of barracks of military and para-military forces will not be considered as restricted area for providing code 3 against item 19. As stated earlier, such cases will be considered as surveyed and will be treated as zero cases.

Block 2: Sketch map of hamlet-group formation

2.2.0 For large FSUs requiring hamlet-group formation, the space provided for in the block shall be used to draw a free hand sketch-map of the FSU showing the boundaries of the hamlets. The sketch-map is to be drawn in such a way that the hamlet-groups could be identifiable in the field afterwards with the help of this map. However, the map need not be drawn to scale. The serial numbers of the hamlets as given in col.(1) of block 3.1 will be written down on the map against each hamlet. The hamlet-group number given in col.(1) of block 3.2 to which the hamlet belongs will also be shown against each hamlet within brackets on the right side of the hamlet number. The areas for the selected hamlet-groups shall be shaded in the map.

Block 3.1: List of hamlets

2.3.0 This block is to be filled-in for the rural samples requiring formation of hamlet-groups (i.e. for D>1). All the hamlets located in the FSU will be listed in the specified order. A running serial number will be given in col.(1) to the hamlets. Present population of each hamlet expressed as percentage of the total FSU population will be given in col.(3) in whole numbers. Entries in col. (3) should add up to 100.

Block 3.2: List and selection of hamlet-groups
[p. 28]
2.3.1 General: This block is meant for recording the details of the hamlet-group formation and their selection for FSUs requiring hamlet-group formation (i.e. with D>1). Reference may be made to paragraphs 2.0.2 and 2.0.3 for the procedures of formation and numbering of hamlet-groups.

2.3.2 Column (1): Hamlet-group (h.g.) no.: The hamlet-groups formed will be given a running serial number (starting from 1) in column (1) as per the guidelines given in paragraph 2.0.3.

2.3.3 Column (2): Srl. nos. of hamlets in the h.g.: The serial numbers of the hamlets recorded in column (1) of block 3.1 constituting each hamlet-group are to be recorded in col.(2) separated by commas.

2.3.4 Column (3): Percentage of population in the h.g.: Approximate present population of the h.g. in terms of percentage to total FSU population will be recorded in column (3) in whole number. Entries in this column should always add up to 100.

2.3.5 Column (4): Sampling sl. no. of the h.g.s: Sampling serial number will be given as '0' in this column for the h.g with maximum concentration of non-agricultural enterprises and the remaining h.g.s (in the order of their listing in col.(1)) will be given sampling serial numbers starting from 1 to (D-1).

2.3.6 Column (5): Segment number: The h.g with sampling serial number '0' in col.(4) will be selected with certainty and segment number will be given as '1' in col.(5). Two more h.g.s will be selected circular systematically with equal probability from the remaining (D-1) h.g.s. Against each of these two selected h.g.s, segment number will be assigned as '2' in col.(5). The selected h.g.s with segment number '2' will be considered together for the purpose of listing and selection of households and enterprises. For the purpose of selection , a random number 'R' is to be drawn first between 1 and D-1 (where D is the total no. of h.g.s formed from which the h.g. with sampling sl. no. '0' has already been selected for survey ) from the table of random numbers. The h.g.s whose sampling serial numbers in column (4) agrees with the value of R and R+ I [where 'I' is the sampling interval taken as the integral part of (D-1)/2 ] will be selected for survey. If R+I exceeds (D-1), the difference [(R+I) -- (D-1)] will be considered. The serial numbers of the selected hamlet-groups will be encircled in column (1), block 3.2. Values of D, I and R may be recorded in the space provided just below the block heading. The hamlet-group selected for survey will be ringed in col.(1) and 'S1' will be written by the [p. 29]side of the ring in the same column against the hamlet-group marked as segment 1 and 'S2' against those hamlet-groups marked as segment 2. The total number of non-agricultural enterprises as estimated by local enquiry in the selected h.gs may be recorded in the margin spaces available in block 3.2 to have an idea of the workload involved in listing of all the enterprises.

Block 4: List of households/non-agricultural enterprises and record of selection for households (segment 1/2)

2.4.0 While listing a house, the investigator shall first find out how many households (including those temporarily absent i.e. locked households) reside there. From each household he will collect the details of all enterprises run by its members during 365 days preceding the date of survey (the enterprise may not be in operation on the date of listing). The enterprises run by the household and located in the same house where the household lives and those run without any fixed premises shall be listed one after another against that household. But enterprises run by the same household and located at other fixed premises will be listed at their places of location. After exhausting the resident households and all the different types of enterprises as described above, the investigator will list other enterprises, if any, which may be located in that house and existing on the date of survey and operated either by households staying in some other houses (either within or outside the selected h.g..) or by an institutional body. After this, the investigator will proceed to list the next house. Care should be taken to list all the seasonal enterprises that may be existing, though not operating, on the date of survey.

2.4.1 This is the main block of the schedule. Apart from listing all the houses, households and non-agricultural enterprises of the sample FSU/selected segment, some auxiliary information like household size, means of livelihood, area of land possessed, possession of household durables/land/domestic animals like motor car/jeep, tractor, refrigerator, spacious pucca houses, telephone, colour t.v., cultivable and irrigated land, cattle, buffaloes, sheep and goats etc. about the households and some auxiliary information about the enterprises like description of activity, total number of workers including hired ones, type of ownership, nature of operation etc. will be collected and recorded in this block for the purpose of classifying and arranging the households into different second stage strata and the enterprises into broad industry group x enterprise class. Preparation of sampling frame of households by second stage stratum and also sampling frame of enterprises by broad industry group x enterprise class along with the selection of sample households / enterprises will also be recorded in this block. Listing of households / enterprises are to done separately for segment '1' and '2'.

2.4.2 It is essential to ensure that there is no omission or duplication of any house, household or non-agricultural enterprise. Households which are found to be temporarily absent at the time of listing are also to be listed along with the non-agricultural [p. 30] enterprises run by them. After ascertaining from the neighbours, as much details as possible about the absentee households and the enterprises run by them, attempt should be made to contact the households at the appropriate hours (even outside the normal working hours of the investigators) and if need be by revisiting the households during the survey period in the sample village. All locked households/non-agricultural enterprises due to temporary absence should be listed and included in the overall frame for sample selection. In order to ensure complete listing of houses/households/non-agricultural enterprises, it is, therefore, better to follow some definite order for listing. The order followed in 1998 Economic Census may be adopted, if possible, taking care that any house that has come up later is not omitted; otherwise, listing may be done starting from the northwest corner. While listing, the name of any natural grouping of the houses like hamlet, street, mohalla, etc. and date of listing may be written at the top before the start of the work. This will help in checking completeness.

2.4.3 The following two situations may be kept in mind during listing. First, an enterprise may not be clearly visible or prominent from outside of a house/room. For example, one member of a household may manufacture small toys, dolls, transistor/radios etc. inside a house not visible from outside. Secondly, the enterprise may not have physical existence at any fixed location; e.g. a hawker or a vendor selling his goods like vegetables, fruits, cloth, etc. without having any fixed premises are cases in point. These types of enterprises can be detected only by enquiring about the activities of the members of the household. Necessary care may be taken to list such enterprises. While listing is done in segment 2, the houses and households of the two selected hamlet-groups will be listed one after another maintaining a continuous serial numbers for households as well as for the non-agricultural enterprises, as if they together constitute one unit. For doing so, the serial number and the names of the hamlets belonging to the hamlet-group which is selected first (i.e. the hamlet-group whose serial number agrees with the value of R as recorded in block 3.2) will be recorded in block capitals on the first line of the listing block (i.e. block 4). After completing the listing of houses/households/non-agricultural enterprises of this hamlet-group, one line will be left blank and on the next line, the serial number and the names of the hamlets belonging to the next hamlet-group (i.e. the hamlet-group whose serial number agrees with the value of R+I or [(R+I) -- (D-1)]) will be clearly written in block capital and listing of houses/households/non-agricultural enterprises belonging to this hamlet-group will start from the next line. However, where there is no hamlet-group formation, listing will be carried out under segment 1 only. Instructions for filling in various columns of the block are given in the following paragraphs.

2.4.4 Col. (1): House number: All houses including vacant ones will be listed by giving a house number. The 1998 Economic Census house number or the number given by the local panchayat or any other local body may be used, if available. The houses without any such numbers or where house numbers are not available at all, will be given a separate running serial number within brackets, starting from 1. But whenever house numbers are available even for some houses, the actual house numbers will be recorded [p. 31] without any bracket for the houses for which such numbers are available. After listing all the households and non-agricultural enterprises associated with a house, the next house shall be listed. If the house is used solely for non-residential purposes or is vacant, the purpose to which it is put will be written across the line, e.g. temple, dispensary, vacant, etc. However, details of the enterprise will be recorded for the non-residential houses having any non-agricultural enterprise. For family living under a tree or bridge etc. (i.e. without any house), a cross mark (X) may be put in this column.

2.4.5 Col. (2): Household serial number: The household(s) normally residing in the house listed in col.(1) will be listed in col.(2). All households (including those found temporarily absent) will be given a running serial number in this column starting from 1. Household serial number will be given against the lines listed for households only. In case of persons staying, say, in hostels and forming single member households, each of them will be listed in separate lines giving a household serial number. A continuous serial numbering will be given in col. (2) considering the selected hamlet-groups of segment 2 as one unit.

2.4.6 Col.(3): Household size: The size of each household as defined in Chapter One will be recorded in this column. When there are more than one line for the same household, household size will be recorded in the first line only. For locked household for which no information could be available even from the neighbours, the description "locked household" may be recorded against household serial number across the row.

2.4.7 Cols.(4) and (5): No. of self-employed members (home based and those working without fixed premises): In each of the listed household, the investigator will ascertain the number of members separately by male and female who are self-employed in the home based non-agricultural activities and /or in non-agricultural activities without having fixed premises. The term 'fixed premises' with reference to an enterprise is used to mean some sort of fixed structures (excluding purely temporary structures/make-shift types). The term 'self-employed' has been explained in chapter five. However, some examples of self-employed home based worker are given below:

When a weaver works at home according to some specifications of a master weaver or not and has some autonomy in carrying out the activities, he may be treated as a self-employed home worker in the manufacturing sector. Similar is the case of a bidi maker, furniture maker, etc. who works at home or at the place of his choice and receives remuneration/wages in agreed rates or not. The above persons may be working for the master craftsman but are found to have tangible or intangible means of production and some degree of autonomy in carrying out the activities.

Some examples of self-employed persons engaged in non-agricultural activities without having fixed premises are given below:

[p.32]
(i) In a 'hat'(i.e. periodical market) there are some permanent structures built by panchayat or local bodies. The entrepreneurs occupy them on 'hat' days and carry out their activities. These will be considered as activities without fixed premises and listed through the residences of the owners even though they carry out the activities at more or less fixed locations. It may be mentioned that the activities carried on by the roadside or in the open public places like that under a bridge or a tree, etc. with temporary make-shift shelter or no structure at all, will be considered to be carried out without fixed premises.

(ii) In daily markets or 'hats', some vegetable/fish sellers carry out their activities in open space or under tents/shelters (having canvas/cloth on the top and tied/fixed with sticks on the corners). These enterprises will be listed not in the markets/'hats' but against the households of the owners where they reside.

2.4.8 In connection with listing, some special situations are described below:

(i) Enterprises run without fixed premises on partnership basis shall be listed against the household of that partner who takes the major decisions.

(ii) The brick kilns having fixed site (with or without structure) will always be listed at their sites. In case of pottery also, the same procedure may be followed.

(iii) For mixed activities or the same activity being conducted in two different places, if the accounts, employment, etc. for various activities can be separated out, then each activity shall be separately listed. Otherwise, they should be listed under one major activity i.e. the one having major income/turnover/employment.

(iv) In cases of mixed activity of manufacturing and trade, such as handloom weavers, sweetmeat shops, by convention, manufacturing will be taken as the major activity. If the manufacturing activity of the enterprise is carried out in the household and products are sold in a fixed stall or shop or a fixed structure then the enterprise will be listed as manufacturing at the location of the household and not at the stall/shop.

(v) Recording of blank audio and videotapes for sale or providing the service of recording on blank tapes of customers will be listed under 'service'. Providing the service of Xerox copying will also be listed under 'service'.

(vi) If a household prepares rice mainly for home consumption by husking paddy produced either from its own cultivation or obtained in exchange of services rendered to other households but sometimes sells out a part then such activity will not be treated as manufacturing. However, households undertaking milling of paddy into rice, mainly for the purpose of sale or the households which provide the service of husking to customers by using household devices like 'dhenki' etc. will be taken as engaged in manufacturing enterprise.
[p. 33]
(vii) Though the inmates of a hostel, etc. will be listed as single-member households, the institution itself will qualify as an enterprise (provided it satisfies the criteria of becoming an enterprise). The name of the institution and its nature of activity will be recorded in the first line and inmates will be listed in subsequent lines.

(viii) Sale of own agricultural produce directly by the producer will not be treated as non-agricultural (i.e. trading) activity. Similar is the case of a person engaged in production of milk and selling the same. However, door-to-door collection of milk and selling will be listed as a trading activity.

2.4.9 Col.(6): No. of distinct enterprises owned by members noted in cols.(4) and (5): The investigator will ascertain the number of distinct non-agricultural enterprises run by the members of the household either in the capacity of self-employed home worker or as self-employed persons running non-agricultural activities without fixed premises and record in this column. For example, if two members of the same household are self-employed masons and are carrying out their activities independently, it will be counted as two distinct enterprises run by the household and the entry in col.(6) will be 2. On the other hand, if two male members of the same household are carrying out a non-agricultural enterprise without having a fixed premise on partnership basis, it will be counted as one distinct enterprise run by the household and the entry in col.(6) will be 1, provided no other enterprise (located within the household or run without fixed premises) is run by the household members.

2.4.10 Col.(7): Enterprise serial number: All non-agricultural enterprises shall be given a running serial number starting from 1 in this column. While giving enterprise serial number, number of enterprises noted in col.(6) will be listed first one after another followed by other enterprises located in the house, if any, with fixed premises. The enterprise serial number for the enterprises owned by home workers (i.e. those enterprises for which goods manufactured by the household members are disposed of to one or two specific outlets like specific master craftsmen in case of bidi making) will be marked by the symbol '*' in col.(7). Note that if the entire product is disposed of to three or more outlets, '*' will not be given in col.(7) for such enterprises.

2.4.11 Col.(8): Name of head of household/name and address of enterprise/ establishment / owner / operator: For a household having serial number in column(2), the name of the head shall be recorded here. For an enterprise, the owner of which stays at different place, the name and address of the owner/operator shall be recorded. For an institutional enterprise, name of the enterprise shall be recorded. If an enterprise bears a distinct name, only then it will be recorded; otherwise the name of the owner shall be recorded. In all cases, distinct name of the enterprise, if any, shall be given preference.

[p. 34]
2.4.12 Col.(9): Description of activity: The activity of the enterprise shall be briefly described in words in this column, such as bread making, coffee curing, grocery, museum, zoo, mason, domestic servant, housemaid, private telephone booth, house building promoter etc. For enterprises, which are seasonal in nature, the code 'S' may be recorded within brackets below the description of activity. This will help in recording the eligibility code in column (15).

2.4.13 Col.(10): Broad industry group code: Each of the listed enterprise will be classified first as per the tabulation category of NIC 1998. Then broad industry group code will be recorded in this column corresponding to the tabulation category in which the enterprise belongs to. If the enterprise belongs to tabulation category 'D' (i.e. manufacturing sector), broad industry group code will be recorded as 1. Similarly, if an enterprise falls in any of the tabulation category 'J' to 'O' (i.e. classified as other service sector), the code in col.(10) will be 6. The broad industry group code is any of 1 to 8 whose details are given below:

1 manufacturing (tabulation category of NIC 1998 as 'D')
2 construction (tabulation category 'F' )
3 trade and repair services (tabulation category 'G')
4 hotels and restaurants (tabulation category 'H')
5 transport, storage and communication (tabulation category 'I')
6 other service sector (tabulation category 'J' to 'O')
7 mining and quarrying (tabulation category 'C'), and
8 electricity, gas and water supply (tabulation category 'E')

2.4.14 Cols.(11) to (15): These columns will be crossed out for the enterprises having broad industry group code 7 or 8 in col.(10). In other words, all the non-agricultural enterprises except those belonging to the sectors 'mining and quarrying' and 'electricity, gas and water supply' will be considered for making entries in these columns. Thus columns (11) to (15) will be filled in for all the enterprises having any of the codes 1 to 6 in col.(10).

2.4.15 Cols.(11): Total no. of workers: The total number of persons usually working on a working day during the reference year for perennial and casual enterprises and during the last working season for seasonal enterprises, shall be recorded in this column. This total should include both household workers and hired workers. All categories of workers including supervisory and primary shall be considered. Total should also include other workers, working proprietors and apprentices (paid or unpaid), unpaid helpers and part-time workers so long as they are engaged on a fairly regular basis. A worker need not mean that the same person is functioning continuously; it only refers to a position. Two part-time workers will be counted as 2 and not 1. Part-time workers are those who work for less than or equal to half of the period of normal working [p. 35] hours of the enterprise on a fairly regular basis. For enterprises running in shifts, workers of all the shifts may be considered together (i.e. the numbers of workers will be added) for the purpose of making entries in columns (11) and (12). The average number of workers on a working day during the reference year shall be recorded for both total and hired workers in column (11) and (12) respectively.

Information on total number of workers may be recorded properly so as to avoid misclassification of enterprises by enterprise class.

2.4.16 Col. (12): Number of hired workers: The number of hired workers in the enterprise, usually employed on fairly regular basis shall be recorded in this column. If there is no hired worker, '0' shall be entered here. Apprentices, paid or unpaid, shall be treated as hired workers. Unpaid helpers and labour exchanged between households shall be treated as household workers. A paid household member/ servant/ resident worker working in the enterprise shall be considered as hired worker.

2.4.17 Col.(13): 2-digit code (3-digit code for hotels and restaurants) as per NIC 1998: Corresponding to each of the enterprises belonging to broad industry group codes 1 to 6, an appropriate 2/3 digit code as per NIC 1998 may be recorded in this column.

2.4.18 Col.(14): Ownership code for those not covered by ASI (put 'x' for those covered by ASI): For all the non-agricultural enterprises except those belonging to the sectors 'mining and quarrying' and 'electricity, gas and water supply' and also those covered by ASI, ownership codes are to be recorded in this column. As the present survey will cover only the informal sector non-agricultural enterprises, the manufacturing enterprises covered under ASI (Annual Survey of Industries) will be excluded from the coverage of the survey and 'x' mark will be recorded in col.(14) for these manufacturing enterprises. This means that the investigator should know whether the enterprise with broad industry group code as 1 in col.(10) is covered under ASI or not. As ASI, in general, covers the enterprises which are registered under section 2m(i) or 2m(ii) of the Factories Act, 1948 or registered under bidi and cigar workers (condition of employment) Act 1966, the owner of the enterprise will at least tell whether it is registered under the above Acts. If it is so, the investigator has to ascertain whether ASI covers it. If the same is not covered by ASI, the appropriate ownership code will be entered in col.(14).

Ownership codes are as follows:

[p. 36] If an individual is the sole owner of the enterprise, the enterprise will be termed proprietary and for such an enterprise ownership code will be 1/2 if the proprietor is male/female. If there are two or more owners of the enterprise on a partnership basis with or without formal registration, code shall be 3/4 if all the owners belong/do not belong to the same household. All other enterprises shall get ownership code 9. If an enterprise is owned by a Hindu Undivided Family(HDF), code 1 or 2 will be put in col.(14) depending on whether the ('Karta') is a male or a female.

2.4.19 Col.(15): Eligibility code for code 1 or 2 or 3 or 4 in col.(14): As the present survey will cover the informal sector non-agricultural enterprises only under the ownership of proprietary and partnership, eligibility code will be recorded only for the enterprises with ownership codes 1 to 4. Code 1 shall be recorded if the enterprise operated for at least 30 days (15 days for seasonal enterprises) during the reference year. For enterprises which operated for less than 30 days (15 days for seasonal enterprises), code 2 shall be recorded in this column.

2.4.20 Col.(16): m.l. code (for households): The appropriate means of livelihood (m.l.) code of the households will be recorded in this column as per the procedure described in Chapter One. The codes are:

For locked household for which the information on m.l. code could not be collected even from the neighbours, m.l. code may be recorded as '9'.

2.4.21 Col. (17): Land possessed (in 0.00 ha) as on date of survey: The total area of land possessed by the household as on the date of survey will be ascertained and entered in hectare in two places of decimals. However, as in the case of determination of means of livelihood, the land possessed by normally resident servants, paying guests etc. will not be included in household's land possessed. For locked household for which information on land possessed could not be collected even with best efforts, '*' mark may be put in this column. For the purpose of second-stage stratification or giving sampling serial numbers in subsequent columns, such households may be considered as possessing land less than 0.40 hectare. It may be noted that 'homestead land' is to be included for finding out 'land possessed' by the household. For definition of 'homestead land', reference may be made to paragraph 4.3.18 of chapter four.

[p. 37] 2.4.22 Col. (18): Sampling serial number for households of second-stage stratum 1 (i.e. for households which are relatively affluent): This column prepares the sampling frame for second-stage stratum 1 which consists of the households that are identified as affluent as per particulars in block 4.1. A household will be classified as affluent in block 4.1 if it owns any of the items listed in columns 4 to 11 of block 4.1 or it owns (i) cultivable/irrigated land of area exceeding 7.00/3.50 hectares or (ii) at least 10 heads of cattle and buffaloes or (iii) at least 30 sheep or goats. If the number of households found place in block 4.1 is less than or equal to 10, all of them will constitute the frame for second-stage stratum 1. If no affluent households could be identified as per particulars in block 4.1, the second-stage stratum 1 will be void. But in case the number of such affluent households exceeds 10, the top ten among them in the order of their relative affluence (as per the judgment of investigator) will form the frame. Put tick-mark in col. (18) against each of the affluent households in the frame constituted as above. Then a running serial number from 1 will be given to all the tick-marks in the order as they are appearing in this column. These numbers will be the sampling serial numbers for second-stage stratum 1.

2.4.23 Cols. (19) to (25): Sampling serial number for second-stage stratum 2 (i.e. for the households not included in the frame of affluent households): These columns prepare the sampling frame for second-stage stratum 2 which consists of the remaining households i.e. those which are not considered for giving tick-marks/sampling serial numbers in col. (18). All these households will be arranged by their means of livelihood (m.l.) codes 1, 2 and 9. The households with m.l. code 9 will further be arranged by area of land possessed classes (the classes are: less than 0.40 ha, 0.40 to 1.00 ha, 1.00 to 2.00 ha, 2.00 to 4.00 ha and 4.00 ha or more). The households with m.l. code 1 will be given tick-marks in col. (19) and those with m.l. code 2 will be given tick-marks in col.(20). The households with m.l. code 9 will be given tick-marks in either of the cols. (21) to (25) according to the amount of land figures recorded in col. (17). Then all the tick-marks of cols. (19) to (25) will be given a fresh running serial number from 1 starting with the first tick-mark and ending with the last tick-mark in these columns. It should be ensured that all the tick-marks in a particular column, spread over all the pages of block 4, have been exhausted for the purpose of giving sampling serial numbers before proceeding to the first tick mark of the next column.

2.4.24 Cols. (26) and (27): Order of selection of the households selected from the second stage strata 1 and 2: The cols. (26) and (27) will be used to give the order of selection numbers to the households selected respectively from the frame of second-stage strata 1 and 2. Before putting the order of selection in these columns, the values of Hi, hi, Ii and Ri (i=1,2) are to be recorded in the respective places of the column headings. The value of Hi is equal to the total number of households in the frame of i-th second-stage stratum. That is,
[p. 38]
H1 = highest sampling serial number given to the tick-marks in col.(18).
H2 = highest sampling serial number given to the tick-marks of cols. (19) to (25).
hi = number of households to be selected from i-th second-stage stratum (i=1,2) for
schedule1.0 and schedule10 together for FSUs that are surveyed for the first time[If a household is selected for both schedules 1.0 and 10, it will be counted twice in arriving at the value of hi; in other words, it is possible that hi>Hi ].

Before giving order of selection numbers in columns (26) and (27), it must be checked that value of (H1 + H2) agrees with the last household serial number recorded in col.(2).

The values h by segment x second stage stratum x schedule number and the procedures of selection along with the exceptional cases have been specified in Chapter One. However in general, for villages without h.g formation having sufficient number of households in the frames of second stage strata, h1=4 and h2=20 and for villages with h.gs formation, h1=2 and h2=6 in segment 1 and h1=2 and h2=14 in segment 2. The cases where H1 or H2 is less than the required number of households to be selected, are discussed in detail with examples in chapter one. In such cases the compensation for shortfall will be made by considering both the segments and the two second stage strata. For example in the case of a village without h.g formation, (a) if H1= 1 and H2=30, h1=2(sch.1.0 and 10 will be canvassed in the same household) and h2=22; (b) if H1=2 and H2=30, h1=4 ( sch.1.0 and 10 will be canvassed in both the households ) and h2=20; (c) if H1=3 and H2=30, h1=4 (sch.1.0 will be canvassed in the households with order of selection 1,2 and sch.10 in the households with order of selection 3,1) and h2=20; (d) if H1=10 and H2=6, h1=12 (sch.1.0 will be canvassed in the households with order of selection 1,2,3,4,5,6 and sch.10 in the households with order of selection 7,8.9,10,1,2) [p. 39] and h2=12 (sch.1.0 and 10 will be canvassed in all the 6 households). Some examples for deciding the values of hi for a village with h.gs formation are: (a) if H1=0 and H2=10 in segment 1 and H1=4 and H2=20 in segment 2, then h1=0, h2=6 for segment 1 and h1=4, h2=14 in segment 2; (b) if H1=10 and H2=4 in segment 1 and H1=1 and H2=20 in segment 2, then h1=2, h2=6 (sch.1.0 for hhs with OS 1,2,3 and sch10 for hhs with OS 4,1,2) for segment 1 and h1=2 (both the sch.1.0 and 10 will be canvassed in the same hh), h2=14 in segment 2; (c) if H1=10 and H2=2 in segment 1 and H1=0 and H2=20 in segment 2, then h1=4, h2=4 (sch.1.0 and 10 will be canvassed in both the hhs) for segment 1 and h1=0, h2=16 in segment 2 (OS means order of selection).

After determining the values of hi's, the households will be selected circular systematically with a random start from the frame of each second-stage stratum. The value of Ri (random start; i=1,2) will be selected independently. For each i, Ri should lie between 1 and Hi. Also calculate the values of Ii (called sampling interval) as integral part of Hi/hi. where Ii = Hi/hi. The values of hi, Ii and Ri will be recorded in the space provided in the appropriate column headings. To select the sample households from i-th second-stage stratum, consider the hi numbers: Ri, Ri+Ii, Ri+2Ii,...., Ri+(hi-1)Ii. The sample households are those households whose sampling serial numbers agree with the numbers Ri, [Ri+Ii], ...., [Ri+(hi-1)Ii]. When any of the numbers (Ri+k(Ii ) exceeds Hi, subtract Hi from (Ri+k(Ii) for the purpose. The order of selection will be given exactly in the order Ri, [Ri+Ii], [Ri+2Ii].....That is to say, it will be 1 for sampling serial number Ri, 2 for sampling serial number [Ri+Ii] and so on. If (a) Hi >=hi*, sch.1.0 will canvassed for households with odd OS and sch.10 to households with even OS; (b) Hi between hi*/2 and hi*, sch.1.0 will be canvassed for households with OS (1,2,3, . . . . hi*/2) and sch.10 to households with OS (hi*/2+1, hi*/2+2, . . . . hi*,1,2, . . . . ); (c) Hi is less than or equal to hi*/2, sch.1.0 and sch.10 will be canvassed in the same set of households.

Block 4.1: Working sheet for identifying relatively affluent households

2.4.25 This block will be used for identifying the 'affluent households' in the sample village/segments, which enjoy a better standard of living. This will be done by taking into account the factors generally associated with affluent households such as: ownership of motor vehicles/tractor/truck/bus/van etc.; consumer durables like telephone, colour T.V., VCR, VCP, fridge, washing machine etc.; ownership of large business establishments; ownership of large pucca house in good condition; ownership of cultivable/irrigated land in excess of certain norms (i.e. 7 hactares of cultivable land or 3.5 hactares of irrigated land); ownership of a good number of cattle and buffaloes (i.e. 10 or more in number); ownership of sheep and goats (i.e. 30 or more in number). A household will qualify for classification as affluent if it owns any one of the above items listed in cols.

(4) to (11) of this block or owns cultivable land / irrigated land / cattle and buffaloes / sheep and goats in excess of the limits specified above. It may be noted that the [p. 40] households having at least one member with good salaried job or in a profession with considerable income (doctor, advocate etc.) will be included in col. (7) of this block. The households to be listed in block 4.1 will be identified during the listing of households in block 4. Whenever a household is listed in block 4, it may be examined whether the household possesses any of the items listed in block 4.1 and satisfy the criteria of recording it as an affluent household in block 4.1. In other words, the investigator will record the particulars in block 4.1 only for those households that fulfill the criteria for affluent households as described above. If the number of such affluent households exceeds 10, the investigator will have to rank them in descending order of their affluence. This ranking may be done by the investigator on the basis of his judgment of relative affluence. The top ranking 10 households will constitute the frame for second-stage stratum 1. The rest of the households of the FSU will be in second-stage stratum 2. If the number of such households is less than or equal to 10, all of them will be included in frame for second-stage stratum 1. If there is no affluent household, second-stage stratum 1 will remain void.

Block 4A: List of additional households found during visit 2 and record of selection of sample households ( only for sch.10 )

2.4A.0 This block will be filled in only for those villages for which visit number '2' will be specified in the sample list. During visit 2 for such villages, sch.10.1 will be canvassed in those households which were also surveyed in visit 1 and sch.10 to the households selected from the frame new households identified only during visit 2. If the same village is visited for the second time in the next sub-round belonging to the same sub-sample, fresh listing of houses, households and non-agricultural enterprises are not required. Instead, the new households that have come up in the segment after visit 1 will only be listed in this block. It may be noted that for identifying the new households, it is not necessary to list structure by structure; instead the information about the new households may be gathered from the knowledgeable persons. For selection of households for visit 2 from the village/segment, the block 4 that was filled in during visit 1 along with block 4A will be considered together. The listing in block 4 carried out in visit 1 will remain unchanged. The same set of households selected for survey in visit 1 for sch.10 will be the sample households in visit 2 also. Only two households will be selected circular systematically with equal probability from the frame of additional households listed during visit 2 in block 4A for villages without h.g formation and one household will be selected from each of the segments for villages with h.gs formation. The frame of additional households may be said to constitute second stage stratum 9 ( i. e. SSS 9 ). While selecting the households from SSS 9, col.(2) (i.e. the household serial numbers) may be considered as the sampling frame and the households need not be arranged either by their m.l. Codes or by their areas of land possessed.
[p. 41]
2.4A.1 The instructions for filling in this block are same as that for block 4. This block will be filled in independently for segment 1 and 2. Segment wise values of H, h, R and I may be recorded in column heading of col.(10). The household srl. no. will be given afresh in col.(2), bl.4A starting from 1 separately for each of the segment 1 and 2. The cols.(5) to (7) of block 4A need not be filled in.

Block 5: Frame of eligible non-agricultural enterprises and record of selection (segment 1/2)

2.5.0 This block is meant to prepare the sampling frame of eligible non-agricultural enterprises by broad industry group x enterprise class from the list of all the non-agricultural enterprises with code 1 in col.(15) of block 4 separately for segment 1 and 2. The entire exercise of block 5 may be carried out in desk after completing the fieldwork required for recording the necessary information in various columns of block 4. The procedures of recording information in different columns of block 5 are described below.

2.5.1 Col.(1): Enterprise srl. no. for code 1 in col.(15), block 4: Enterprise serial number as recorded in col.(7), block 4 with code 1 in col.(15), bl. 4 will be copied in col.(1), bl. 5. These are the eligible non-agricultural enterprises that will be classified into 12 groups formed by different combination of six broad industry groups and two enterprise classes.

2.5.2 Col.(2): Broad industry group code (col.(10), bl.4): Broad industry group code will be copied from col.(10), bl. 4.

2.5.3 Col.(3): Enterprise class code: The entry in this column will be either 1 or 2. The entry will be 1 if the entry corresponding to the enterprise in col.(12), block 4 is '0' (i.e. there is no hired worker). The entry will be 2 if the entry corresponding to the enterprise in col.(12), block 4 is positive (i.e. there is at least one hired worker reported to have worked on regular basis ). The enterprises with enterprise class code 1 may be termed as 'own-account enterprises (OAEs)' and the other class of enterprises may be said to belong to establishments.

2.5.4 Col.(4): 2/3 digit NIC code ( col.(13), bl. 4): The NIC code as recorded in col.(13), block 4 will be copied in this column.

2.5.5 Cols.(5) to (16): Sampling serial number for the enterprises after grouping them into broad industry groups by enterprise classes: Corresponding to each of the enterprise serial number in col.(1) of this block, a tick-mark [p. 42] will be given in one of the cols.(5) to (16) depending on its broad industry group code (i.e. entry in col.(2), bl. 5) and enterprise class code (i.e. entry in col.(3), bl. 5). The enterprises with tick-marks in each of the cols.(5) to (16) constitute 12 independent sampling frames. If more than one enterprise is required to be selected from a frame(i.e. e>1 and E>e) , the enterprises are to be arranged in ascending order of their NIC codes before assigning the sampling serial numbers. In other words, if only one enterprise is required to be selected(i.e. e=1), the enterprises need not be arranged by their NIC codes. With this in mind, sampling serial number starting from 1 may be assigned to the tick-marks independently in each of the cols.(5) to (16) but where enterprises are not required to be arranged as per the NIC codes, sampling serial numbers may be given in the order of the tick-marks. In this way, the sampling frames of the 12 groups are prepared.

2.5.6 Cols.(17) to (28): Order of selection of the enterprises selected from the frames of 12 groups/strata: The number of enterprises (e) to be selected from each of the 12 groups/strata may be determined as per the guidelines given in Chapter One. It may be noted that the values of 'e' will be determined by joint consideration of both the segments for FSUs with h.g formation. The enterprises will be selected circular systematically with equal probability. The random start 'R' (to be taken from the table of random numbers ) will lie between 1 and E (where 'E' is the number of enterprises in the frame and E = the highest sampling serial number assigned to the tick-marks (( ) of the frame) and 'R' will be taken independently for each of the 12 groups and in each case 'I' ( i.e. the sampling interval) will be taken the integral part of (E/e). The values of E, e, R, and I may be recorded in the column headings of cols.(17) to (28). The cases where requisite number of enterprises to be sampled is not there in the frame of some strata have been discussed regarding allotment of enterprises to various strata in Chapter One.

Block 6: Particulars of sampling of households

2.6.0 General: This block is meant for recording the summary information relating to sampling of households of the selected FSU/segments.

2.6.1 Col. (2): Population: Population as obtained from summing up the household sizes in col.(2) of block 4 over all the listed households may be recorded in this column separately for segment 1 and 2.

2.6.2 Col. (4): Second-stage stratum: Second stage stratum numbers '1', '2' and 'all' are already printed in this column against sch. 1.0 and sch. 10. Second stage stratum 'all' means that entry against this item in col.(9) will be the sum of entries made against the second stage stratum numbers '1' and '2'. The entry in col. (9) for sch.1.0 against segment no. 'all' will be the sum of entries in col.(9) made against 'all' for sch.1.0 in [p. 43] segments 1 and 2. Similarly, the entry in col. (9) for sch.10 against segment no. 'all' will be the sum of entries in col.(9) made against 'all' for sch.10 in segments 1 and 2.

2.6.3 Col. (5): Number of households in the frame:. The value of H1 and H2 as recorded in column headings of cols. (26) and (27) of block 4 are to be copied in col. (5) respectively against the second-stage strata 1 and 2 for the schedule 1.0. It may be noted that Hi ( i = 1,2 ) will be same for both the schedules 1.0 and 10.

2.6.4 Col. (6): Number of households selected for survey: The total number of households selected for sch.1.0/ sch.10 from second-stage stratum 1 and 2 will respectively be half the values of h1 and h2 as recorded in the headings of cols.(26) and (27).

2.6.5 Cols. (7) to (10): Number of households surveyed and number of casualty households: These columns will be filled in after canvassing the detailed schedules in the selected households. Number of households with survey code 1 in block 1 of sch.1.0 and 10 will be recorded in col.(7) respectively against the relevant schedule types for the corresponding second-stage stratum 1/2. Similarly number of households with survey code 2 in block 1 of sch. 1.0 and 10 will be recorded in col.(8) respectively against the relevant schedule types for the corresponding second-stage stratum 1/2. The number of casualty households (i.e. selected households which could not be surveyed ) will be recorded in col.(10) which may be derived as follows:

2.6.6 For the FSUs in visit 2, sch. 10.1 will be canvassed in the households surveyed during visit 1 also. However, sch.10 will be canvassed if the household if the household is being surveyed for the first time during visit 2 (e.g. a selected household found to be casualty in visit 1 but available in visit 2). The entries made during visit 1 against col. (5) of sch.1.0 (both segments 1 and 2) may be copied during visit 2 also. Entries in cols.(6) to (10) will be made only against sch.10 (the description 'sch.10' in visit 2 means sch.10 as well as sch.10.1) during visit 2. Entries in col.(6), sch.10 (during visit 2) will be the corresponding transfer entries made during visit 1. for sch.10/sch.10.1, the entries in cols.(7) to (10) may change because some of the households originally selected and surveyed in visit 1 may be substituted or casually in visit 2 and some of the casualty households in visit 1 may be surveyed in visit 2. Some of the households surveyed in visit 1 may not exit during visit2 and these may be treated as zero case but their status will remain unchanged with reference to visit 1 while making entries cols.(7) and (8) of block 6.

Block 6A: Particulars of sampling of additional households (for canvassing sch.10.1 in visit 2 only)

2.6A.0 This block is same as that of block 6 having the same column headings. This [p. 44] block will record the summary particulars relating to the sampling of households from the frame of additional households listed in visit 2 in block 4A for those FSUs taken up for repeat survey in the next sub-round. This block is applicable only for sch.10. Number of households in the frame of segment 1 and 2 for sch.10 will be the values of H as recorded in column headings of col.(10), bl.4A of segments 1 and 2 respectively. It may be noted that the cell in col.(4) (i.e. the number of households in the frame, H) against sch.10/sch.10.1 has been shaded in the printed schedule but this cell should be treated as a valid cell for making the entry of H.

Block 7: Particulars of sampling of non-agricultural enterprises

2.7.0 General: This block is meant for recording the summary information relating to sampling of non-agricultural enterprises of the selected village/segments. The cols.(3), (4), (9) and (10) of this block will be filled in from block 5. The other columns will be filled in by counting the filled-in schedules 2.0 by looking into the survey codes.

2.7.1 Cols.(3) and (9): Number of non-agricultural enterprises in the frames of the groups classified by enterprise class x broad industry group: The entries in col.(3) ( i.e. for enterprise class 1) by broad industry group codes 1 to 6 will be the values of E as recorded respectively in the column headings of cols.(17), (19), (21), (23), (25) and (27) of block 5. Similarly, the entries in col.(9) (i.e. for enterprise class 2 ) by broad industry group codes 1 to 6 will be the values of E as recorded respectively in the column headings of cols.(18), (20), (22), (24), (26) and (28) of block 5.

2.7.2 Cols. (4) and (10): Number of non-agricultural enterprises selected for survey from the frames of the groups classified by enterprise class x broad industry group: The entries in col.(4) ( i.e. for enterprise class 1) by broad industry group codes 1 to 6 will be equal to the values of 'e' as recorded in column headings of the cols.(17), (19), (21), (23), (25) and (27) respectively of block 5. Similarly, the entries in col.(10) (i.e. for enterprise class 2 ) by broad industry group codes 1 to 6 will be will be equal to the values of 'e' as recorded in column headings of the cols.(17), (19), (21), (23), (25) and (27) respectively of block 5.

2.7.3 Cols. (5) to (8) and Cols. (11) to (14): Number of non-agricultural enterprises surveyed and number of casualty enterprises: These columns will be filled in after canvassing the detailed schedules in the selected enterprises. Number of enterprises with survey code 1( i.e. originally selected and surveyed), enterprise class code 1, broad industry group code 1 and segment no. 1 in block 1 of sch.2.0 will be recorded in col.(5) [p. 45] against broad industry group code 1 and segment no. 1. Similarly, number of enterprises with survey code 1, enterprise class code 1, broad industry group code 2 and segment no. 1 in block 1 of sch.2.0 will be recorded in col.(5) against broad industry group code 2 and segment no. 1. In this way, cols.(5) and (11) will be filled in by looking into survey code, enterprise class code, broad industry group code and segment no. in block 1 of sch.2.0 for the surveyed enterprises. Similarly number of enterprises with survey code 2(i.e. substituted enterprise surveyed) in block 1 of sch. 2.0 will be recorded in col.(6) and (12) as per the enterprise class code, broad industry group code and segment no. in block 1 of sch.2.0 for the surveyed enterprises. The number of casualty enterprises (i.e. selected enterprises which could not be surveyed) will be recorded in cols.(8) and (14) and may be derived as follows:

col.(8) = col.(4) - col.(7), where col.(7) = col.(5) + col.(6)

and col.(14) = col.(10) - col.(13), where col.(13) = col.(11) + col.(12)

Block 8: Remarks by Investigator

2.8.0 The investigator may give his remarks here on any abnormal situation or entry in the schedule.

Block 9: Comments by Supervisory Officer

2.9.0 The Assistant Superintendent, the Superintendent or any other officer who inspects the work relating to the schedule may give his comments here.

Block 10: Particulars of field operations

2.10.0 The details of field operations will be recorded in this block. While recording the total time taken to canvass the sch. 0.1 (i.e. col.3, sl. no. 4 of this block), it may be noted that the journey time for reaching the sample village and returning back should not be considered for filling in this item. In other words, total time spent in identification of the boundaries of the sample village, hamlet-group formation, listing of households, formation of second-stage strata, selection of households / non-agricultural enterprises and filling in all other blocks of this schedule may be recorded in hours in one place of decimal.

[p. 46] Chapter Three

Schedule 0.2: List of Households and non-agricultural enterprises (Urban)

3.0.0 Introduction: Schedule 0.2 will be filled-in for the sample blocks of the urban sector. Formation of sub-blocks, selection of sub-blocks in the form of segments, listing of houses, households, non-agricultural enterprises, preparation of sampling frames of households by second-stage strata, preparation of sampling frames of eligible non-agricultural enterprises by broad industry groups x enterprise classes and selection of sample households/non-agricultural enterprises; all these tasks will be carried out in this schedule. It may be said at the outset that procedures to be followed in the case of schedule 0.2 are same as or very similar to those prescribed for schedule 0.1. Therefore, in this chapter, only those procedures which are specially meant for schedule 0.2 will be discussed in detail. Definition of the two terms, viz., 'household consumer expenditure' and 'household means of livelihood' are given below. All other terms have been defined either in Chapter One or Chapter Two.

3.0.1 Household consumer expenditure: This is the total expenditure of a household on domestic consumption only (concept similar to that followed in the usual consumer expenditure enquiry). This will not include any expenditure on enterprise account.

3.0.2 Household means of livelihood: The means of livelihood of a household will be determined on the basis of the total income of all the household members (excluding servants, paying guests etc.) derived from 'economic activities' during the 365 days preceding the date of survey. The household will be classified into one of the following classes on the basis of the source(s) of the household's income: (1) self-employed, (2) regular wage/salaried employment, (3) casual labour and (4) others. A household's means of livelihood class will be considered as that one which contributed the maximum amount of household's income from economic activities during the last 365 days. The m.l. class of households with no income from economic activities will be 'others'.

3.0.3 Structure of the schedule 0.2: The schedule 0.2 consists of 13 blocks. Block 0 gives the descriptive identification along with codes of the sample block. The name and code for the items state/UT, district and town are to be recorded, whereas for the items ward, investigator unit and block number, the entries are to be made only with numbers. Block 1 is also for recording the identification particulars of the sample block [p. 47] only in terms of codes along with some other particulars like approx. present population, approx. number of non-agricultural enterprises, total no. of sub-blocks formed, survey code and the reason for substitution. Block 2 will be used to draw the free hand sketch map of the sub-blocks formed in the large sample UFS block and to indicate the sub-blocks selected for survey in the map. This block is similar to block 2 of sch.0.1. Block 3 will be used to list the sub-blocks formed in the sample UFS block and to record the selection of sub-blocks in the form of segment numbers 1 and 2. Segment numbers 1 and 2 are same as defined in Chapter Two for rural sector. However, this block will be described in brief about the procedure of sub-block formation and selection of sub-blocks. Block 4 is the main block of the schedule which will be used for listing the households / non-agricultural enterprises and recording the selection of sample households. Block 5 will be used to prepare the sampling frames of eligible non-agricultural enterprises ( i.e. those identified from block 4 ) by broad industry groups x enterprise classes and to record the selection of sample enterprises. Block 4 is similar to block 4 of sch.0.1 except for the cols. (16) to (29). These columns will only be described in detail. The other blocks namely blocks 5, 6, 6A, 7, 8, 9 and 10 are exactly same as the corresponding blocks of sch.0.1. Thus these blocks will not be discussed here. Blocks 4A is similar to block 4A of sch.0.1 except for col.(9) where MPCE (i.e. monthly per capita consumer expenditure) will be recorded in whole no. of rupees. This is exactly same as col.(18) of block 4, sch.0.2. But this column will be discussed while describing block 4 of sch.0.2 in the following paragraphs. Thus block 4A will also not be described here.

Block 1: Identification of sample block

3.1.0 Item 13: Frame code: The fsu's in the urban sector are the Urban Frame Survey (UFS) blocks. The list of latest UFS blocks have been considered as sampling frame for selection of sample blocks in all cities and towns. The different types of frames used for selection of fsu's are indicated by 'frame code' in the sample list. Entry against item will be copied from the sample list. The investigator will identify the boundaries sample UFS block as per the map of the UFS block having the 'frame code' indicated in the sample list.

3.1.1 Item 15: Approx. present population: The investigator will first ascertain the approximate present population of the entire sample UFS block taking into consideration of the normal growth of population along with any abnormal influx of population into or exodus of population from the sample block after the UFS block was updated/formed during the period as per the frame code used for sampling. This may be ascertained mainly from the knowledgeable persons by putting certain probing questions. The starting point can be the UFS population as per the frame. In the case of large difference with the frame population, it may be asked whether there has been any abnormal influx into or exodus from the block after the last phase of update as per the frame code used for sampling and if so what the approximate increase or decrease of [p. 48] population due to such events is, whether any new settlements/multistoried building have come up in the block after that and if so what the approximate population of the same is ; and so on.

3.1.2 Item 16: Approx. no. of non-agricultural enterprises: Approximate number of non-agricultural enterprises (OAEs, NDEs and DEs combined) in the whole sample block, as ascertained by local enquiry from knowledgeable persons , may be recorded here. For doing this, the pockets or areas of concentration of non-agricultural enterprises like bazaar areas, industrial centres etc. may be identified first.

3.1.3 Item 17: Total number of sub-blocks formed: The total number of sub-blocks formed in the sample block will be the value of 'D' as recorded in block 3, sch.0.2. If the sample block does not require any sub-blocks formation, the entry against this item will be "01".

3.1.4 Procedure of formation of sub-blocks and identification of segments 1 and 2 in terms of the selected sub-blocks: Procedure of formation of sub-blocks is same as that for the formation of hamlet-groups in the case of large villages. There is nothing like natural hamlets in the large UFS blocks as in the case of large villages. Here the sub-blocks are to be formed artificially by dividing the block into a certain number (say, D) by equalising the population giving priority to geographical compactness within each sub-block as per the criterion specified in Chapter One. Sub-blocks will be numbered serially in col.(1) of block 3. Ascertain the approximate present population of the sub-blocks in terms percentage of the total population and record these in col.(2) of block 3. Sampling serial will be given as '0' in col.(3), bl. 3 for the sub-block(s.b) with maximum concentration of non-agricultural enterprises and the remaining sub-blocks will be given sampling serial numbers starting from 1. The s.b with sampling serial no. '0' in col.(3) will be selected with certainty and its segment no. will be given as '1' in col.(4). Two more s.b.s will be selected circular systematically with equal probability from the remaining (D-1) s.b.s and will be assigned segment number '2' in col.(4). For further details, reference may be made to chapter Two.

Block 4: List of households/non-agricultural enterprises and record of selection for households (segment 1/2)

3.2.0 General: Listing of houses, households and non-agricultural enterprises are to be carried out in this block as in the rural sector. Besides this, some additional information like household size, means of livelihood, average household monthly consumer expenditure for each household and some enterprise particulars like description of activity, number of total and hired workers, ownership particulars, duration of operation etc will be collected for grouping the households into different second-stage strata and [p. 49] enterprises into different broad industry groups by enterprise class before selection of sample households/enterprises for detailed enquiry.

3.2.1 Col. (16): Means of livelihood (m.l.) code: The household's means of livelihood will be determined as per instructions given in chapter one and the appropriate code will be recorded in col.(16). The codes are:

3.2.2 Col. (17): Average household monthly consumer expenditure: The average monthly consumer expenditure of the household will be ascertained and recorded in rupees (whole number) in col.(17). It may be noted that this will be the average expenditure per month based on the preceding twelve months' expenditure and not simply the expenditure of the preceding month.

3.2.3 Col. (18): Monthly per capita expenditure(MPCE): The average household monthly consumer expenditure (col. 17) will be divided by household size (col.3) to get monthly per-capita-expenditure which will be recorded in rupees after rounding off to nearest integer in col.(18).

3.2.4 Treatment for locked households: For locked households, if information with respect to some or all of the columns (3), (16) and (17) cannot be obtained even from the neighbours, write "locked household" against the space in col.(8) and code '2' as m.l. code in col.(16). Treat such households as having MPCE between A and B for the purpose of giving sampling serial numbers.

3.2.5 Col. (19): Sampling serial number for second-stage stratum 1:

[p. 50] 3.2.6 Cols. (20) to (27): Sampling serial number for second-stage stratum 2: These columns will be used to prepare the frame for second-stage stratum number 2. Households which are not part of the frame of second-stage stratum 1 are only to be included in this frame. The households of the frame with m.l. code 1 in col. (16) will get tick-marks in one of the columns (20), (21) or (22) depending on whether its MPCE ( col. 18) is less than A , A to B (both inclusive) or greater than B respectively. The values of A and B are given for each state/u.t. at the end of this chapter. The values of A and B have been determined at state/u.t. level such that the monthly per capita expenditure (MPCE) classes viz. below A, A to B and above B, will roughly include lowest 30 %, middle 60% and the top 10% of the population respectively. Similarly, the households of the frame with m.l. code 2 in col. (16) will get tick-marks in one of the columns (23), (24) or (25) depending on whether its MPCE (col. 18) is above B , A to B (both inclusive) or less than A respectively. The households of the frame with m.l. code 3 in col. (16) will get a tick-mark in col. (26). Lastly , the households with m.l. code 9 will be tick-marked in col. (27). The tick-marks from cols. (20) through (27) will be given a running serial number from 1 starting with the first tick-mark and ending with the last one in columns (20) to (27). It should be ensured that all the tick-marks in a particular column, spread over all the pages of block 4, have been exhausted for the purpose of giving serial numbers before proceeding to the first tick mark of the next column. All these serial numbers are the sampling serial numbers for the second-stage stratum 2.

3.2.7 Cols. (28) and (29): Order of selection: Instructions for allocation of households among the second stage strata and their selection for sch.10 and sch.1.0 are exactly same as those for villages in the rural sector. Reference may also be made to Chapter One for exceptional cases.

3.3.0 Random numbers: A table of random numbers is supplied to each investigator. The n-th column of the table will be consulted in the case of the central sample and (n+1)-th column in the case of the state sample, where n is the last two digits of the serial number of the sample village/block. When n=00, it will be taken as 100. The number of digits to be used will be the same as that of the highest number of the range within which the random number is to be selected. However, if random number is required to be drawn between 1 and 10 or between 1 and 100, only one- or two-digit random numbers may be used where random number '0' will stand for '10' and random number '00' for '100'. The first random number will be used for hamlet group selection, whenever required. The subsequent random numbers may be used for selection of households from second-stage strata 1 and 2 and of non-agricultural enterprises from the 12 groups formed by broad industry groups x enterprise classes respectively in the order specified for segment 1 and the subsequent random numbers in the same order for segment 2.

[p. 51]
3.4.0 Substitution of villages/blocks: If a sample village/block cannot be surveyed due to say, it being not identifiable or traceable, not accessible or for any other reason, it will be substituted. All such cases will be referred to:

In case no village/block (originally selected / substituted ) could be surveyed even with best effort (i.e. code 7 in item 18, block 1 of sch.0.1/sch. 0.2 ), a blank sch.0.1 or 0.2, will be submitted with only blocks 0,1, 8, 9 and 10 of sch.0.1/sch.0.2 filled-in. The word 'CASUALTY' is to be written at the top of the front page of the schedule in such cases.

3.4.1 If a sample village/block is found to be uninhabited at the time of survey or its population has been shifted elsewhere due to some natural calamity or it is a zero case, it will not be substituted. It will be treated as valid sample and blank schedule 0.1/0.2 with only blocks 0, 1, 8, 9 and 10 filled-in will be submitted in such cases. The word/words UNINHABITED or ZERO CASE, as appropriate, is/are to be written on the top of the front page of the schedule (for any one of the survey codes 2,3,5 and 6 in item 18 of block 1 of sch. 0.1/0.2). However, in Arunachal Pradesh and possibly elsewhere also in the hill tracts of North-Eastern states where, for example, jhum cultivation is prevalent, whole village may shift from place to place. In such cases, the sample village will be surveyed in the place where it is currently located and not treated as a zero case even if found absent in its original location.

3.4.2 If a sample village is found to have been declared as urban (as a town by itself or as merged in another town) either by State Govt. Notification or by census authorities and if it is covered in the urban frame used for selection of FSUs, it will be treated as a zero case and the procedure given in the previous paragraph will be followed in this case. However, if it is not covered in the urban frame of FSUs used for sample selection, it is to be surveyed as per the rural programme. In such cases, however, if the boundaries of the original village are not identifiable, it may be substituted. If only a part of the village has been merged with town, the remaining part will be surveyed as per rural programme in this situation.

3.4.3 It is important to note that the schedule 0.1/0.2 will be submitted for every sample village / block irrespective of whether it is surveyed/substituted (including zero case) or a casualty. Schedule 0.1/0.2 is also to be submitted in respect of the FSUs surveyed in visit 2.

3.5.0 Repetition of FSUs: If a sample FSU is repeated in the sample list, it will be surveyed as many times as it has been selected. The following procedures will be followed in the respective cases cited below.
[p. 52]
3.5.1 Case (a): Samples without hamlet-group/sub-block formation:
(I) If a FSU for which all the schedules are to be canvassed, is found repeated within the same sub-round, listing is to be done only once. The listing schedule will be copied with the identification particulars changed to those of the serial number against which it is found repeated (the items that may change are only these: serial number and sub-sample). The sample households / non-agricultural enterprises will be selected afresh. In case any household already selected is selected again, it is to be substituted. In case due to the new random start, the whole set of sample households is re-selected, another random start will be taken. If the required number of fresh households (viz. not selected in the first occasion) is not available in the frame as a result of which some (or all) households are re-selected in the second occasion, for such households, the entries in various blocks of the relevant schedules may be copied.

(II) If a FSU for which all the schedules are to be canvassed, is found repeated in different sub-rounds, listing is to be done afresh and selection of households/non-agricultural enterprises will be made as per the procedure followed for fresh FSU.

(II) If a FSU, for which only sch10.1/sch.10 is to be canvassed in the second occasion, is found repeated in the next sub-round, the sample households surveyed in visit 1 for sch.10 will remain the same in visit 2 for sch.10.1. The new households that have come up after visit 1 will be listed in visit 2. Sch.10 will be canvassed in the households selected from the frame of new households. No other schedules need be canvassed. However, if the same FSU repeats more than once in next sub-round with visit number '2' only as per sample list, sample households selected for sch.10 as per the listing schedule made in visit 1 for the particular FSU serial number should remain the same for sch.10.1 in visit 2. However, listing of new households will be done only once and the same will be used for all FSUs that are repeated. The households selected from the frame of new households for canvassing of sch.10 will be same for all the repeated FSUs.

3.5.2 Case (b): Samples with hamlet-group/sub-block formation: If a FSU for which all the schedules are to be canvassed, is found repeated, the hamlet-groups/sub-blocks formed during the first occasion will be used for all subsequent repetitions. However, on the second and subsequent occasions, the survey will be conducted in the hamlet-groups/sub-blocks selected afresh excepting the hamlet-group/sub-block marked as segment '1'. If all the earlier hamlet-groups/sub-blocks in segment '2' are re-selected, then a new random number may be drawn so that different hamlet-groups/sub-blocks are selected for survey. But if only one hamlet-group/sub-block of segment '2' is re-selected, it may be substituted by the next one not selected earlier. For the selection of households / enterprises, the usual procedure will be followed. However, further clarification of particular cases may be sought from SDRD.
[p. 53]
3.6.0 Substitution of sample households/non-agricultural enterprises: If any sample household could not be surveyed due to some reason or other, it will be substituted by another suitable household. The household to be considered as substitute should also belong to the same second-stage stratum. The household with the next sampling serial number of the same column but not selected for either of the two schedule types will be the substitute for the originally selected household. The substitute for the last household (i.e. having highest serial number) of a column will be the first household (i.e. having lowest serial number) of the same column not selected for any schedule type. The same procedure may be followed for substitution of sample enterprise i.e. it should also belong to the same frame from which the original enterprise was selected. If there is no more enterprise available in the frame for substitution, it will be treated as casualty.

[p. 54] Table showing values of cut-off points (A and B) of monthly per capita expenditure ( in Rs. ) for Urban sector for different states

State / U.T. . . . . . A. . . . . . B

Andhra Pradesh. . . . . . 420. . . . . . 1209
Ar. Pradesh. . . . . . . . . .580. . . . . . 1436
Assam. . . . . . . . . . . . . .493. . . . . . 1343
Bihar. . . . . . . . . . . . . . .378. . . . . . 1035
Goa. . . . . . . . . . . . . . . .597. . . . . . 1431

Gujarat. . . . . . . . . . . . . 514. . . . . . 1220
Haryana. . . . . . . . . . . . .543. . . . . . 1372
Himachal Pr. . . . . . . . . .605. . . . . 1846
J and K. . . . . . . . . . . . . .612. . . . . .1570
Karnataka. . . . . . . . . . . .434. . . . . .1237

Kerala. . . . . . . . . . . . . . .509. . . . . .1392
M.P. . . . . . . . . . . . . . . . .422. . . . . .1126
Maharashtra. . . . . . . . . . 509. . . . . .1639
Manipur. . . . . . . . . . . . . 432. . . . . .740
Meghalaya. . . . . . . . . . . 627. . . . . .1441
Mizoram. . . . . . . . . . . . .733. . . . . .1301

Nagaland. . . . . . . . . . . . .681. . . . . .1281
Orissa. . . . . . . . . . . . . . . 419. . . . . .1202
Punjab. . . . . . . . . . . . . . .575. . . . . .1409
Rajasthan. . . . . . . . . . . . .466. . . . . .1170
Sikkim. . . . . . . . . . . . . . .615. . . . . .1481

Tamil Nadu. . . . . . . . . . .440. . . . . .1273
Tripura. . . . . . . . . . . . . . 556. . . . . .1362
U.P. . . . . . . . . . . . . . . . . 405. . . . . .1133
West Bengal. . . . . . . . . . 467. . . . . .1429
A and N Is. . . . . . . . . . . .802. . . . . .2458

Chandigarh. . . . . . . . . . . 760. . . . . .3518
Dadra and NH. . . . . . . . . 451. . . . . .1225
Daman and Diu. . . . . . . . 620. . . . . .1194
Delhi. . . . . . . . . . . . . . . . 674. . . . . .2251
Lakshadweep. . . . . . . . . .565. . . . . .1419
Pondicherry. . . . . . . . . . . 462. . . . . .1146

[Example showing sampling of households for a Rural FSU is not presented here.]

Chapter Four

Schedule 1.0: Household Consumer Expenditure

Introduction

4.0.1 The programme of quinquennial surveys on consumer expenditure and employment and unemployment, adopted by the National Sample Survey Organisation (NSSO) since 1972-73, provides a time series of household consumer expenditure data. Consumer expenditure surveys conducted in NSS rounds besides the 'quinquennial rounds,' starting from the 42nd round (July 1986-June 1987), also provide data on the subject for the period intervening between successive quinquennial rounds using a much smaller sample.

4.0.2 The last quinquennial survey, the fifth, of the quinquennial series was held during the 50th round (July 1993-June 1994). The sixth will be conducted in the 55th round during July 1999 through June 2000.

4.0.3 Schedule 1.0 has been split into several blocks to obtain detailed information on the expenditure incurred on domestic consumption and other particulars of the sample household. Besides, information will be collected on production and consumption from kitchen garden, purchase of selected commodities through public distribution system (PDS), sufficiency of food, goods and services received as part of wages and salaries or perquisites and gifts given and gifts received by the household. No account will, however, be taken of any expenditure incurred towards the productive enterprises of the households.

4.0.4 The schedule canvassed in the earlier quinquennial survey has undergone some major modifications during the present survey. Some of them are:

4.0.5 In this round two reference periods will be used to collect data for consumption items of food, pan, tobacco and intoxicants. For rest of the items only one reference period will be adopted. Different reference periods to be used for different groups of consumption items are given below:

This approach has been devised in view of the variation in the periodicity with which different items of consumption are purchased by individual households.

Details of Schedule

4.1.0 Block 0: Descriptive identification of sample household: This block is meant for recording descriptive identification particulars of a sample household. All the items are self-explanatory. A dash (-) may be recorded against not applicable items. (e.g., village name is not applicable for urban sample.)

4.1.1 Block 1: Identification of sample household: items 1 to 11: The identification particulars for items 3-11 will be copied from the corresponding items of block 1 of listing schedule 0.1/0.2. The particulars to be recorded in items 1 and 2 have already been printed in the schedule.

4.1.2 Item 12: Hh visit number (1/2): For all sample households, '1' has to be recorded against this item.

4.1.3 Item 13: segment (1/2): This item has to be filled in terms of code. The term 'segment' has been explained in Chapter 1. There are two segments, segment 1 and segment 2. For segment 1 code '1' is to be entered and for segment 2 code '2'.

4.1.4 Item 14: second stage stratum: The second stage stratum to which the sample household belongs, will be copied from columns (18) to (25) of block 4 of schedule 0.1 for rural sample [p. 59] and columns (19) to (27) of block 4 for urban sample of schedule 0.2 against item 14 of this block. It has been indicated in the heading of the corresponding column of schedule 0.1/0.2.

4.1.5 Item 15: sample household number: The sample household number (i.e., order of selection) of the selected household is to be copied from the appropriate column of the listing block 4 of schedule 0.1 or 0.2 against this item.

4.1.6 Item 16: srl. no. of informant (as in col. 1, block 4): The srl. no. (as in col. 1 of block 4) of the person from whom the bulk of the information is collected will be entered here.
The codes are:

Here, 'head of the household' refers to the household member who plays major role in decision-making.

4.1.7 Item 17: response code: This item is to be filled-in after canvassing the schedule. The type of informant, considering his co-operation and capability in providing the required information, will be recorded against this item in terms of specified response codes. The codes are:

4.1.8 Item 18: survey code: Whether the originally selected sample household has been surveyed or a substituted household has been surveyed will be indicated against this item by recording '1' if it is the originally selected sample household, and '2' if it is the substituted one. If neither the originally selected household nor the substituted household can be surveyed i.e., if the sample household is a casualty, code '3' will be recorded. In such cases only blocks 0, 1, 2, 15 and 16 will be filled in and on the top of the front page of the schedule the word 'CASUALTY' will be written and underlined.

4.1.9 Item 19: Reason for first substitution of original household (code): For an originally selected sample household which could not be surveyed, irrespective of whether a substituted household could be surveyed or not, the reason for not surveying the original household will be recorded against item 19 in terms of the specified codes. The codes are:

This item is applicable only if the entry against item 18 is either 2 or 3. Otherwise, this item is to be left blank.

4.2.0 Block 2: Particulars of field operation: The identity of the Investigator, Assistant Superintendent and Superintendent associated, date of survey/inspection/scrutiny of schedules, despatch, etc., will be recorded in this block against the appropriate items in the relevant columns. Besides, from the 46th round onwards, person codes of field officials have been [p. 60] introduced which are to be recorded against item 1(ii) (for central sample only). If the schedule is required to be canvassed for more than one day, the first day of survey is to be recorded against the item srl. no. 2(i).

4.3.0 Block 3: Household characteristics: Characteristics which are mainly intended to be used to classify the households for tabulation will be recorded in this block.

4.3.1 Item 1: Household size: The size of the sample household i.e., the total number of persons normally residing together (i.e., under the same roof) and taking food from the same kitchen (including temporary stayaways and excluding temporary visitors) will be recorded against this item. This number will be same as the last serial number recorded in column 1 of block 4.

4.3.2 Item 2: Principal industry (NIC-1998): The description of the principal household industry will be recorded in the space provided. The entry cell for item 2 has been split for recording each digit separately. The appropriate five-digit industry code of the NIC 1998 will be recorded here.

4.3.3 Item 3: Principal occupation (NCO-1968): The description of the principal household occupation will be recorded in the space provided. The appropriate three-digit occupation code of the NCO 1968 is to be recorded in the entry cell which has been trisected for recording each digit separately.

4.3.4 To determine the principal household industry and occupation, the general procedure to be followed is to list all the occupations pertaining to economic activities pursued by the members of the household excluding those employed by the household and paying guests (who in view of their staying and taking food in the household are considered as its normal members) during the one year period preceding the date of survey, no matter whether such occupations are pursued by the members in their principal or subsidiary (on the basis of earnings) capacity. Out of the occupations listed, that one which fetched the maximum earnings to the household during the last 365 days preceding the date of survey would be considered as the principal household occupation. It is quite possible that one or more members of the household may pursue the household occupation, thus determined as the principal one, in different industries. In such cases, the particular industry out of all the different industries corresponding to the principal occupation, which fetched the maximum earnings, should be considered as the principal industry of the household. In extreme cases, the earnings may be equal in two different occupations or industry-occupation combinations. By convention, in such cases, priority will be given to the occupation or industry-occupation combination of the senior-most member. For households deriving income from non-economic activities only, a dash (-) may be put against this item.

4.3.5 Item 4: Household type (code): The household type code based on the means of livelihood of a household will be decided on the basis of the source of the household's income during the 365 days preceding the date of survey.

[Chart showing classification of rural households into 'household types' is not presented here.]

For this purpose, only the household's income [p. 62] (net income and not gross income) from economic activities will be considered; but the incomes of servants and paying guests will not be taken into account. For the rural areas, the selected household will be assigned appropriate type code out of the following five different household type codes:

The procedure for assigning type codes is laid down in paragraphs 4.3.8 to 4.3.11.

4.3.6 Rural labour: This is defined as manual labour (by a person living in rural area) in agricultural and/or non-agricultural occupations in return for wages/salary either in cash or kind (excluding exchange labour). A person who is self-employed in manual work will not be treated as a wage-paid manual labourer. The term 'manual work' means a job essentially involving physical operations. However, a job though essentially involving physical labour but also requiring a certain level of general, professional, scientific or technical education will not be classified as manual work. On the other hand, jobs not involving much of physical labour and at the same time not requiring much educational (general, scientific, technical or otherwise) background will be treated as manual work. Thus the definition will exclude engineers, doctors, dentists, midwives, etc. from manual workers even though their jobs involve some element of physical labour but will include peons, chowkidars, watchmen etc. even if their work does not involve much of physical labour.

4.3.7 A person will be treated as wage-paid manual labourer in agriculture, or in other words, agricultural labourer if he/she follows one or more of the following agricultural occupations in the capacity of a labourer on hire or on exchange, whether paid wholly in cash or in kind or partly in cash and partly in kind:



It may be noted that wage paid manual labours in 'fisheries' are excluded from the purview of the category 'agricultural labour' but included in 'other labour'. Further, carriage for transportation will refer only to the first stage of the transportation from farm to the first place of disposal.

4.3.8 Procedure for assigning household type codes in rural sector: For the rural sector, the single 'major source of income' criterion is modified slightly as follows. For a rural household, if a single source (among the five sources of income listed in paragraph 4.3.5) contributes 50% or more of the household's income from economic activities during the last 365 days, it will be assigned the type code (1, 2, 3, 4 or 9) corresponding to that source.

[Chart showing classification of urban households into 'household types' is not presented here.]
[p. 64]
4.3.9 For a household to be classified as 'agricultural labour' or 'self-employed in agriculture' (code 2 or 4) its income from that source must be 50% or more of its total income. If there is no such source yielding 50% or more of the household's total income, it will be given code 1, 3 or 9 according to the following procedure.

4.3.10 To be classified as self-employed in non-agriculture (code 1), the household's income from that source must be greater than its income from rural labour (all wage-paid manual labour) as well as that from all other economic activities put together (a three-way division is to be considered here).

4.3.11 A household not getting code 1, 2 or 4 will be classified as other labour (code 3) if its income from rural labour (all wage-paid manual labour) is greater than that from self-employment as well as that from other economic activities (again a three-way division). All other households will get type code 9.

4.3.12 For urban areas, the household type codes are as follows:



The different urban type codes correspond to four sources of household income, unlike the rural sector where five sources are considered. An urban household will be assigned the type code 1, 2, 3 or 9 corresponding to the major source of its income from economic activities during the last 365 days. A household which does not have any income from economic activities will get type code 9 (others).

4.3.13 Item 5: Religion (code): The religion of the household will be recorded against this item in codes. If different members of the household claim to belong to different religions, the religion of the head of the household will be considered as the religion of the household. The codes are:

4.3.14 Item 6: Social group (code): Whether or not the household belongs to scheduled tribe, scheduled caste or other backward class will be indicated against this item in terms of the specified codes which are:

Those who do not come under any one of the first three social groups will be assigned code 9 meant to cover all other categories. In case different members belong to different social groups, [p. 65] the group to which the head of the household belongs will be considered as the 'social group' of the household.

4.3.15 Item 7: Whether owns any land (1 yes, 2 no): Code 1 or 2 will be recorded against this item depending on whether the household owns any land or not as on the date of survey.

4.3.16 A piece of land is considered 'owned by the household' if permanent heritable possession with or without the right to transfer the title is vested in a member or members of the household. Land held in owner-like possession under long-term lease or assignment is also considered as land owned. Thus, in determining the ownership of a plot of land, two basic concepts are involved, namely,

4.3.17 Sometimes a plot may be possessed by a tribal in accordance with traditional tribal rights from local chieftains or village/district council. Again a plot may be occupied by a tenant for which the right of ownership vests in the community. In both the cases the tribal or other individual (tenant) will be taken as owner; for in all such cases, the holder has owner-like possession of the land in question.

4.3.18 Item 8: If yes in item 7, type of land owned (1 homestead only, 2 homestead and other land, 3 other land only): Homestead of household is defined as the dwelling house of the household together with any courtyard, compound, garden, out-house, place of working, family courtyard, guest-house, shop, workshop/offices for running household enterprises, tanks, wells, latrine, drains and boundary walls which are annexed to the dwelling house. All land coming under homestead is defined as homestead land.

4.3.19 Codes will be recorded against the item depending on the type of land owned. If the household owns only homestead and no other land, the appropriate code will be 1. But, if the household owns some other piece of land along with homestead land, code 2 will be entered against this item. Code 3 will be applicable when a household owns a piece of land but not the homestead land.

Note: Gardens, orchards or plantation annexed to the dwelling house should also be covered under homestead land. (This is a deviation from the 50th round.)

[p. 66]

4.3.20 Items 9-13: Land possessed (in 0.00 hectares): The area of land (in 0.00 hectares) 'owned', 'leased-in', 'neither owned nor leased-in' and 'leased-out' by the household as on the date of survey will be ascertained and recorded against items 9, 10, 11 and 12 respectively. The total area of land possessed by the household will be worked out as item 9 + item 10 + item 11 - item 12 and recorded against item 13 in 2 places of decimals. The entry cells have been bifurcated in two parts - one integral part and the other fractional i.e., decimal part. The definition of land owned is as given for item 7. As regards lease, land given to others on rent or free by owner of the land without surrendering the right of permanent heritable title is defined as land leased-out. Land leased-in is defined as land taken by a household on rent or free without any right of permanent or heritable possession. The lease contract may be written or oral. If the household has possession of land for which it lacks title of ownership and also does not have any lease agreement for the use of the land transacted either verbally or in writing, such land will be considered as 'neither owned nor leased-in'. It may be noted that entries to be recorded against these items should not include the area of land owned, leased-in etc., by the servants/paying guests who are considered as normal members of the household. For 'nil' entry, a dash (-) may be recorded against the concerned item.

Note: If land is owned/cultivated jointly by two or more households, then land may be apportioned in consultation with the informant.

4.3.21 Items 14 and 15: Land cultivated and irrigated (in 0.00 hectares): Land cultivated is defined as the net sown area during the agricultural year 1998-99 i.e., July 1998 to June 1999. Land cultivated may be from the land 'owned', 'land leased-in' or from 'land neither owned nor leased-in'. It will be recorded against item 14 in hectares in two places of decimal. Against item 15, the net area irrigated out of the land cultivated during the agricultural year 1998-99 will be recorded in hectares in two places of decimal. As in items 9-13 separate provision has been kept for recording integral and decimal parts.

Note: Net sown area: This consists of area sown with field crops and area under orchards and plantations counting only once in the same year/season.

4.3.22 Item 16: Does the household possess a kitchen garden (1 yes, 2 no): If the sample household possessed any homestead land and also grew any vegetable, crop, fruit etc. in that land during the agriculture year 1998-99, then the household will be considered to possess a kitchen garden. The entry will be recorded in codes - for affirmative answer code 1 and for negative answer code 2 will be recorded.

4.3.23 Items 17 and 18: Primary source of energy used for cooking and lighting: Against these two items, the code corresponding to the primary source of energy that is used by the household for cooking and lighting during last 30 days preceding the date of survey, will be recorded. If more than one type of energy is utilised, the primary or principal one on the basis of its use will have to be identified and the corresponding code will be noted in the appropriate box. The codes are:

cooking:

[p. 67]
lighting:

4.3.24 Item 19: Did the household receive any assistance during the last 5 years from IRDP (code): Integrated Rural Development Programme (IRDP) is one of the Indian Government's main poverty alleviation programmes in the field of rural development. Its object is the uplift of rural families identified as poor. The objective is sought to be achieved by providing productive assets and inputs to target groups. The assets are provided through financial assistance in the form of subsidy from the Government and term credit advance by financial institutions. The programme is implemented in all the community development blocks in the country.

4.3.25 The answer to this question will be recorded in code. If the household has not received any assistance from IRDP during the last 5 years, code 1 will be recorded. For yes, the codes are:

Note 1: If household 'A' received IRDP assistance but household 'B' has utilized it then household 'A' will be treated as having received the assistance.
Note 2: If a household gets IRDP assistance for more than once during the reference period, the code for which received last will be given.

4.3.26 Item 20: Did any member of the household work for at least 60 days on public works during the last 365 days (1 yes, 2 no): The entry will be made against this item in terms of code, '1' for 'yes' and '2' for 'no'. Public works cover construction of roads, dams, bunds, digging of ponds etc. as test relief measures, national wage-employment schemes such as National Rural Employment Programme (NREP), Rural Landless Employment Guarantee Programme (RLEGP), Jawahar Rozgar Yojana (JRY), Minimum Needs Programme (MNP) etc.

4.3.27 Items 21-29: During the last 365 days, did the household receive any income (1 yes, 2 no): The various sources from which the household received any income during the last 365 days prior to the date of survey will be recorded in items 21 to 29. The sources are (i) cultivation, (ii) fishing or other agricultural enterprise, (iii) wage or salaried employment, (iv) non-agricultural enterprise (v) pension, (vi) rent, (vii) remittances, (viii) interest and dividends and (ix) others. The entry will be '1' for 'yes' and '2' for 'no'. It may be noted that income received from begging, prostitution etc. will not be included against any of this items. Rent will include rent received from leased-out land, house, garage etc.

4.3.28 Here cultivation means activities relating to production of crops by tillage and all related ancillary activities. However, growing of tree/plants/crops (such as rubber, cashew, coconut, pepper, coffee, tea, etc.) as plantation or orchards will not be considered under 'cultivation'. It will be considered under 'fishing/other agricultural enterprise'

4.3.29 Item 30: Per capita expenditure last month (Rs): This item will be filled in only after completing blocks 5 to 9 and 14. It will be copied from column 7 of item srl. no. 37 of block 14 [p. 68] and entered in whole number of rupees. (The sum total of the relevant sub-total items (as indicated in block 14) adjusted for 30 days will be divided by the household size to obtain the monthly per capita expenditure.)

4.4.0 Block 4: Demographic and other particulars of household members: All members of the sample household will be listed in this block. Demographic particulars (viz., relation to head, sex, age, marital status and general education), working status, type of income received and number of meals taken will be recorded for each member using one line for one member.

4.4.1 Column (1): Serial number: All the members of the sample household will be listed in block 4 using a continuous serial number in column (1). In the list, the head of the household will appear first followed by head's spouse, the first son, first son's wife and their children, second son, second son's wife and their children and so on. After the sons are enumerated, the daughters will be listed followed by other relations, dependants, servants, etc.

4.4.2 Column (2): Name of member: The names of the members corresponding to the serial numbers entered in column (1) will be recorded in column (2).

4.4.3 Column (3): Relation to head (code): The family relationship of each member of the household with the head of the household (for the head, the relationship is 'self') expressed in terms of specified codes will be recorded in this column. The codes are:

4.4.4 Column (4): Sex (male-1, female-2): For each and every member of the household, sex in terms of the code (male-1, female-2) will be recorded in this column.

4.4.5 Column (5): Age (years): The age in completed years of all the members listed will be ascertained and recorded in column (5). For infants below one year of age at the time of listing, '0' will be entered in column (5). Similarly, for persons of age 99 years or more, 99 will be entered in this column.

4.4.6 Column (6): Marital status (code): The marital status of each member will be recorded in terms of the specified code in this column. The codes are:

4.4.7 Column (7): General education level (code): Information regarding the level of general education attained by the members of the household listed will be recorded in column (7) in terms of the specified code. [p. 69] For the purpose of making entries in this column, only the course successfully completed will be considered. For instance, for a person who has studied up to say, first year B.A., his/her educational attainment will be considered as higher secondary (code 09). For a person who has studied up to 12th standard but has not appeared for the final examination or has failed, his/her educational attainment will be considered under 'secondary' (code 08). The relevant codes to be used for recording entries in column (7) are:

4.4.8 A person who can both read and write a simple message with understanding in at least one language is to be considered literate. Those who are not able to do so, are to be considered not literate and will be assigned code 01. Those who achieve literacy through attending Non-Formal Education Course (NFEC) or Adult Education Centres (AEC) will be assigned code 02. Total Literacy Campaign (TLC) was being organised in many parts of the country under the National Literacy Mission. Those who become literate through TLC will get code 03. Those who are literate through means other than formal schooling or the two just mentioned ways will be given code 04. Those who are by definition literate but are yet to pass a primary standard but have attended or are attending formal school classes will be assigned code 05. Codes 06, 07, 08 and 09 will be assigned to those who have passed the appropriate levels. Criteria for deciding primary, middle, secondary etc. will depend on the recognition of concerned state or union territory. A person with graduate degree or above will get one of the codes 10 to 13 depending on the subject studied. For code 12, medical graduates belonging to systems of medicine other than allopathic, e.g., homeopathic, ayurvedic, etc. are also to be taken into consideration. Code 10 will also include graduates in 'forestry', 'fishery science', etc. If more than one of the codes 10 to 13 are relevant for a person, the following procedure will be adopted:

4.4.9 Persons who have attained proficiency in Oriental languages (e.g. Sanskrit, Persian etc.) through formal but not the general type of education will be classified appropriately at the equivalent level of general education standard.

4.4.10 Column (8): Whether a worker (1 yes, 2 no): Here, a person will be classified as a worker on the basis of usual activity status approach taking into consideration both the principal and subsidiary statuses. If a member is classified as a worker then code 1 will be assigned, otherwise code 2. [For definition of worker please see Chapter Five.]
[p. 70]
4.4.11 Column (9): Type of income received: Source of income of each of the household members will be ascertained and recorded in codes. The codes are:

Note: Income received from begging, prostitution, smuggling will be considered under code 2.

4.4.12 Column (10): Number of days stayed away from home during the last 30 days: The number of days for which the member 'stayed away from home' during the 30 days preceding the date of enquiry should be recorded here. A continuous absence from home for 24 hours will be reckoned as a 'day stayed away'. That is, the entry will be made in completed number of days and any fraction of a day will be ignored. The location of the place where the person stayed, having been away from his/her own household, may also be within the same village/town and staying away will not only mean physical absence but also non-participation in food consumption from his/her own household. For members who did not stay away for at least 1 day during the last 30 days, zero (0) will be recorded.

4.4.13 Column (11): Number of meals usually taken in a day: The number of meals consumed by a person is usually reported as 2 or 3. In rare cases, one may come across a person who may be taking food only once in a day or more than three times a day. While in the former case the number of meals for the person will be 1 per day, in the latter case, however, only 3 should be entered. That is, in this column, the recorded number of meals taken in a day, even if it is reported to be higher, should not exceed 3. A breast-fed baby does not directly share the food consumed by members of the household. Hence for such babies the entry in this column will be '0'. To have a clear idea of what constitutes a meal, the following three paragraphs may be referred to.

4.4.14 Meal: A 'meal' is composed of one or more readily eatable (generally cooked) items of food, the usually major constituent of which is cereals. The meals consumed by a person twice or thrice a day provide him/her the required energy (calorie) and other nutrients for living and for pursuing his/her normal avocations. A 'meal', as opposed to 'snacks, 'nashta' or 'high tea', contains larger quantum and variety of food. In rare cases, a full meal may contain larger quantity of non-cereal food. Even then, if the quantum of food in a plate is heavy as a meal, the contents of the food plate will also be considered as a 'meal'. Sometimes the contents of a 'nashta' may not be very different from the contents of a 'meal'. The difference in quantity will therefore be the guiding factor for deciding whether the plate is to be labeled as a 'meal' or a 'nashta'.

4.4.15 A person rendering domestic service (like cleaning utensils, dusting and cleaning of rooms, washing linen, carrying water from outside etc.) to a number of households during the daytime gets some food from each of the households he/she serves. Although the quantum of food received from a single household may, by quantity, be far less than a full meal, the total quantity of food received from all the households taken together would often, if not more, be at least equivalent to a full meal. In this particular situation, the person will be considered to be consuming one meal every day under 'meals taken away from home'.
[p. 71]
4.4.16 Subject to the guidelines given in the two preceding paragraphs, for the purpose of data collection on 'number of meals consumed' one has to depend on the judgment of the informant because, the informant would reckon the number on the basis of his/her own understanding of the concept of a meal/khana.

4.4.17 Columns (12)-(16): Number of meals taken during last 30 days: It is important to note that the entries are to be made in these columns depending on the place from where food is served irrespective of where it is consumed.

Note:
1. If food is prepared by a household member, while staying away from home, meals taken will be away from home on payment i.e., entry will be made in column (15).
2. A household running a mess takes food regularly from the mess. Number of such meals taken will be recorded in column (16) i.e. meals taken at home.

4.4.18 Columns (12), (13) and (14) pertain to meals taken away from home without payment. Number of meals taken outside home on payment and at home during last 30 days preceding the date of survey, for each member of the household will be recorded against columns (15) and (16). There are schools/balwadis etc., which provide standard food to all or some students as midday meal, tiffin etc., free or at subsidised rate. Such meals are to be considered as meals taken away from home. If such food is received free it will be recorded in column (12). Meals received at subsidised rate will be recorded in column (15). There are institutions which provide canteen facilities to their students. Students can purchase food of their choice and to their requirements from those canteens on payment. In such cases also entry will be made in column (15).

4.4.19 Sometimes meals are provided by the employer. These may be as perquisites or as part of wages in kind. These meals are generally consumed at the place of work and are to be considered as meals taken away from home. It may not be rare that meals provided by the employer are brought home by the employees and consumed there. Such meals are also to be considered as meals taken away from home. In column (13), the number of such meals received and consumed during the reference period by an individual member will be recorded. Similarly meals consumed as guests in other households, will also be taken into account while making entries in column (14). For the purpose of making entry in column (15), 'meals received on payment' will mean that the informant has to incur some expense or part with a certain portion of his salary/wage for getting the meals. Meals purchased from hotel, restaurant or an eating house will be considered as 'meals taken away from home on payment' and will have to be counted also for making entry in column (15). Meals taken away from home during the days of absence from the household should also be accounted for in making entries in these columns. Such meals are to be counted under either of the columns (12) to (14) or (15).

4.4.20 In column (16), the number of meals taken at home by each member of the household during the period of 30 days preceding the date of survey will be recorded. A meal will be considered to be taken at home if the meal is prepared at home irrespective of the place where it is consumed. In short, all the meals consumed by a member which are either prepared by the household or purchased from outside the expenditure (which is to be accounted in block 5 of the schedule) should be considered either as 'meals taken away from home on payment' or as 'meals taken at home'.
[p. 72]
4.5.0 Blocks 5 to 9: Blocks on Consumer Expenditure: In these blocks information on consumer expenditure on various items/groups of items will be collected. The titles of the blocks are: Block 5: Consumption of food, pan, tobacco and intoxicants.

4.5.1 Block 5: Consumption of food, pan, tobacco and intoxicants: In this block information on consumption of each item of food, pan, tobacco and intoxicants for the household for two reference periods will be collected separately. As usual information on consumption will be collected for a reference period of 30 days preceding the date of survey. In addition, information has to be collected for another reference period of 7 days preceding the date of survey. The two sets of data for two different reference periods should be collected independently.

4.5.2 Public Distribution System (PDS) means the distribution of some essential commodities by the government at subsidised rate through ration shops, fair price shops and control shops. These shops may be owned by the government, local self-government, a government undertaking, the proprietor of a firm, co-operatives or private persons (individually or jointly) or other bodies like club, trust etc. For kerosene, "public distribution system" will also include kerosene depots selling kerosene at controlled prices. "Super bazaars" and co-operative stores will not generally be included under public distribution system. However, when they sell rationed commodities also at controlled prices against ration cards, they will be taken as ration shops for particular commodities. (Presentation of ration card may not, however, be obligatory for some controlled price commodities like kerosene, coal, etc.). Purchase/consumption from PDS should be recorded irrespective of whether the household uses its own ration card or that of some other household. But any purchase made by paying some extra amount in addition to the normal PDS rates is to be considered as 'purchase from other sources' and not as purchase from PDS. Purchases made from PDS by the household for sale in the open market will not be accounted in this block.

4.5.3 Columns (1) and (2): Code and item: It may be noted that for accounting of items a 3-digit coding system is used in all these blocks. Code and description of the items are printed in columns (1) and (2) respectively. Items are arranged in groups such as 'cereal', 'cereal substitutes' etc. Similarly, item codes and item descriptions for blocks 6, 7, 8.1, 8.2, and 9 appear in the body of the relevant block.

4.5.4 Unit: Each filled-in line of this block will relate to a particular item of consumption. Generally, the unit of quantity for the majority of the listed items is kilogram (kg). However, if 'kg' is not the appropriate unit for any item then the appropriate unit has been shown within [p. 73] brackets after the description of the item. The unit should be 'kg' for all items for which the unit has not been mentioned in the list.

4.5.5 Against each item of blocks 5 to 7 and 9, there is a provision to record the quantity figure in terms of the respective standard unit. Value figure will be recorded in rupees. Each of these columns has been bifurcated in two parts. A quantity or value figure, in terms of the specified standard unit for an item, will usually have two parts - one integral part and the other fractional i.e., decimal part. The integral part will be recorded in the left hand part and the decimal portion will be entered in the right hand part. It may be noted that against the items printed on the schedule for which the specified unit is 'gram'/'number'/'box'/'pair'/ 'standard unit', two zeros (00) have already been printed in the decimal part. This means only the integral part of these units is to be recorded for such items. Similarly, '00' has been printed in the decimal part of value figure of those items for which the value is preferred to be in whole rupees.

4.5.6 Columns (3) to (6): Quantity and value: These columns relate to the consumption of the household during the reference periods of last 7 days and last 30 days. Consumption for last 7 days will be recorded against columns (3) and (4) while that of 30 days will be against columns (5) and (6). Columns (3) and (5) relate to the quantity of consumption and columns (4) and (6) to the corresponding value. Here, consumption includes all consumption of monetary and non-monetary purchases and goods received as gift, loan etc. However, the consumption data should be strictly confined to the domestic consumption of the household. The expenditure incurred on account of pet animals will be excluded. That expenditure should be recorded under item 493 of block 8.2. It may be noted that consumption by livestock belonging to the household will not be included in household consumption. Accounting should, however, be made of the livestock products like milk, meat, egg, etc., obtained from such livestock and consumed by the household. While making entries on household consumption care should be taken not to include any transfer payment in kind, like loans, advances, charities, gifts and other payments in kind, if any. But consumption from transfer receipts will be included. Consumption of the household will consist of consumption made out of:

4.5.7 Column (7): Source: Consumption of an item during the last 30 days may be made out of one or more sources mentioned in the preceding paragraph. The source from which the item has been procured and consumed by the household will be recorded in terms of codes. The codes to be used are:

[p. 74]
Code 3 will be applicable if consumption is made out of both purchase and home-grown stock but not from any other sources. Any other combination of sources will get code 9. Consumption out of transfer receipts or commodities received in exchange of goods and services will also get code 9.

Note:
1. For a sub-total item a cross (X) has already been printed in column (7).
2. For PDS items (101, 107, 260, 344) '1' has already been printed in column (7).
3. Source code will be decided on the basis of reference period of last 30 days.

4.5.8 While recording consumption, care should be taken to include consumption on ceremonials, parties etc. Note that if the household made any transfer payment in terms of commodities like rice, wheat, pulses etc., the quantity of commodity so paid should not be shown under domestic consumption of the payer household. The portion out of that receipt consumed by the recipient household during the reference period will be shown against the consumption of the recipient household. However, if the transfer payment is made in terms of cooked meals then that will be shown as consumption of the payer household. If the meals were prepared by the household then the consumption will be shown under the respective items used for preparing the meals and if ready meals were purchased by the household and transferred, then the number of meals served and the value of those will be recorded under cooked meals (item 303) against the payer household. For such meals nothing is to be recorded against the recipient household.

4.5.9 Imputation of value: The value of commodities which are consumed but not purchased will be imputed in the following manner:

4.5.10 It may be mentioned that for all the items in block 5, the quantity reported to have been actually consumed is to be recorded. For example, if the weight of barley originally weighing 10 kg becomes only 9 kg after its cleaning etc., the quantity of barley consumed is to be recorded as 9 kg only. On the other hand, if a person buys 2 kg of rice at Rs 10/- and consumes only 1 kg, the rest being thrown away due to damage by insects, infection etc. then the quantity consumed is only 1 kg and value Rs 5/-.

4.5.11 Items 101 and 102: Rice: Rice will mean the grain obtained after husking and cleaning paddy.

4.5.12 Items 103 to 106: Rice products like chira, khoi, lawa, muri, rice powder, etc. which are obtained by splitting, frying, powdering, parching of the grain are covered by these items. Food [p. 75] preparations out of rice viz., pastries, cakes, sweets, etc., should not be considered as rice products. These items will be put under the appropriate item of food group: beverages etc. Rice purchased in the form of 'cooked rice' (not cooked meal) will also be treated as processed food and will be recorded against item 308 (other processed food).

4.5.13 Items 107 and 108: Wheat: This will mean wheat in its whole grain form, broken wheat (not powdered) and also atta [powdered by grinding machine (atta-chaki)] used for food preparation.

4.5.14 Items 110 to 114: Wheat flour, that is, wheat in its powdered form (made by flour mills), will be included under item 110 (maida). Other wheat products will either be accounted against the specific listed items or against item 114 (other wheat products). It may be noted that while consumption of bakery bread will be recorded against item 113, those for other wheat preparation like biscuits, cakes etc., will be accounted for in food group: beverages etc. (items 290 to 308).

4.5.15 Items 115 to 122: This series of items has been provided for recording details of consumption of jowar, bajra, maize, barley, small millets, ragi. Each of these items will include their products also. Item 117 will include cornflakes, pop-corn etc. (made of maize). As instructed earlier, food preparations of these cereals will be recorded against food group: beverages etc.

Note: Sattu prepared by frying and powdering of barley, say, will be included against item 118 (barley and products).

4.5.16 Item 129: Cereal: s.t.: This is a sub-total item. ('s.t.' stands for sub-total) The sum of all the cereal items will be obtained for columns (3) to (6) and the totals will be recorded in the respective columns of this line. In other words, the entry will be the sum of the entries recorded in that column against each of the constituent items (cereals and cereal products). Similarly, all other sub-total items will be derived.

4.5.17 Item 139: Cereal substitutes (tapioca, jackfruit seed etc.): Cereals are usually a person's staple food. But sometimes by choice or due to scarcity, a person may not consume much of cereals or consume no cereal at all. The food requirement is partially or wholly met in such cases by consumption of food which could be treated as substitutes for cereals. Tapioca, for example, is consumed in some parts of the country as a substitute for cereals. Similarly, jackfruit seed, mahua etc. are also consumed as substitute for cereals. Potato or sweet potato consumed as substitutes for cereals will not however be shown here. These will be recorded under the vegetables group.

Note: Sometimes mixed cereal flour, like idli flour which is a mixture of cereals, pulses and also of spices, is purchased and consumed. In such a case if the proportion of different constituents of the mixture is not known and/or might be difficult to obtain, the quantity and value of it will be recorded against the major constituent item of the mixed cereal flour.
[p. 76]
4.5.18 Item 151: Gram products: This relates to items like sattu obtained by frying and powdering of gram (whole grain). However, besan made out of gram will not be considered here. Instead, it will be recorded against item 152 (besan).

4.5.19 Items 160 to 167: Milk and milk products: These items relate to milk: liquid, baby food, and products of milk obtained on transforming milk by heating, churning milk or adding chemicals like acid drops or fermenting agent in the form of ghee, butter, curd (dahi), casein (chhana), buttermilk etc. Sweetmeats like 'sandesh', 'rasagolla', 'pera' etc. prepared at home out of milk purchased or home-produced will not be treated as milk products and hence will not be accounted against these items. In case a household prepares these sweetmeats from milk: liquid, then its consumption will be recorded against milk: liquid (item 160) and other constituent items of the preparations. Similarly, when milk products like ghee, butter, curd etc. are obtained from milk: liquid by the household and consumed, consumption will be recorded against milk: liquid and not against the particular milk product. For example, suppose a household has consumed 30 litres of milk, out of which 15 litres was converted into curd and consumed. In this case 30 litres of milk will be shown against milk: liquid only. But if the milk product is purchased from the market and consumed by the household, the quantity and its corresponding value will be recorded against the particular milk product.

4.5.20 Item 160: Milk: liquid: This will mean milk as directly obtained from cow, buffalo, goat or any other livestock. Milk sold in bottle or polypack will also be treated as 'milk: liquid'. The unit of quantity for milk: liquid is 'litre'. Readily drinkable flavoured and bottled milk should be considered as milk: liquid and should also be recorded against this item. Milk transformed into curd, casein, ghee etc. only for the purpose of consumption and actually consumed during the reference period should also be included in this item. If ghee is prepared at home from 'milk: liquid' and a part of it has been consumed during the reference period then the quantity and value of 'milk: liquid' required for preparing the ghee actually consumed will be recorded against item 160 (milk: liquid).

4.5.21 Item 161: Baby food: This relates to such baby food the principal constituent of which is milk e.g. Lactogen, Milk Care, Amulspray etc. Other foods meant for babies like Farex, Cerelac etc. whose principal constituent is not milk will not be accounted here. Such items should be recorded against 'other processed food' (item 308).

4.5.22 Item 166: Ice-cream: Ice-cream for which major component is milk will be included against this item. Ice with syrup but without milk sold in the villages as ice-cream will not be included against this item. Instead, it will be accounted against item 298 (other beverages).

4.5.23 Items 170 to 174: Edible oil: Oil used in food preparation will be considered as 'edible oil' such as mustard oil, groundnut oil, etc. Such oil used for toilet purpose will not be accounted against any of these items in this block, but will be recorded against item 453 (hair oil, lotion, shampoo, hair cream) or item 458 (other toilet articles) of block 8.2.

4.5.24 Some edible oils, such as groundnut oil, etc., are sold in the market after refining the raw oil, obtained by crushing the seeds by some chemical process of neutralisation, bleaching and decolourisation. No distinction will be made between raw and refined oils.
[p. 77]
4.5.25 If oilseeds purchased or grown for extracting edible oil by crushing and the oil is consumed then the entry will be shown against the appropriate item of edible oil.

4.5.26 Item 222: Other vegetables: It includes green fruits like mango, watermelon etc. consumed after preparing processed food besides the vegetables listed in the schedule.

4.5.27 Item 247: Other fresh fruits: It will include all fresh fruits which are not listed in the schedule. It will also include sugarcane consumed like fruits.

4.5.28 Item 279: Salt: It will include all edible salt irrespective of whether it is iodised or not.

4.5.29 Items 280-288: Spices: There are a large variety of spices which are generally used in food preparations. Of these items, turmeric and chilies are most commonly used. Items not listed here are mostly purchased in the villages as mixed spice and it may be difficult to collect information on expenditure and consumption of each individual item of spices. For such spices item 288 (other spices) has been provided.

4.5.30 Item 294: Ice: It includes ice purchased for household consumption but excludes ice made by refrigerator at home.

4.5.31 Item 295: Cold beverages: It will include cold drinks like thumsup, pepsi, cocoa cola and frooti etc.

4.5.32 Item 298: Other beverages (cocoa, chocolate etc.): Mineral water will also be included against this item.

4.5.33 Item 300: Biscuits: This will include all types of biscuits and will also relate to confectionery items like chocolate, toffee, lozenge etc. Cake and pastry have been separated from confectionery items and these will be recorded against item 304.

4.5.34 Item 303: Cooked meals: 'Cooked meals' may be (i) purchased from market, i.e., from hotel, restaurant, canteen etc. (ii) obtained by paying a lump sum to an agency providing catering services for serving meals to guests attending a ceremony performed by the household, (iii) received as perquisites from employer's household, or (iv) received as gift or charity.

4.5.35 As a general principle, for cooked meals, consumption will be taken account of in the purchaser household. Thus, in case of (i) entry will be made against the columns on consumption for the household reporting purchase of cooked meals which might have been consumed by household members, employees, guests and other persons. There are factories and offices which have their own canteen providing meals to the employees. Consumption of meals by the employees of such institutions, if these are received free of cost, will not be considered in the employee households for making entries against this item. However, such meals will be recorded in column (13) of block 4. The case (ii) will also be similarly treated as case (i), i.e., accounting will be made in the purchaser household as far as block 5 is concerned. No entry will be made in the schedule of the recipient households against this item, for the cooked meals of the type [p. 78] described under case (iii) and (iv). Consumption of such meals will, however, be noted in columns (13) and (14) respectively of block 4 of the schedule (see paragraphs 4.4.14 to 4.4.20). Sometimes a catering agency is engaged to provide meals only, for which the agency is paid on per plate basis. Some items like sweets, ice-cream, beverages etc., are purchased separately and served to the guests. The purchase and consumption of such other items will be shown against the respective items and should be excluded from the item 'cooked meals'.

4.5.36 Items 304 to 307: Cake, pastry etc.: Cake, pastry (304), pickles (305), sauce (306) and jam/jelly (307) may be purchased or prepared at home. If ingredients like fruits, spices, sugar, egg, atta, maida, salt, fuel and light etc. required for preparing the product at home, are already accounted for in their respective item groups, care should be taken to avoid repetition of the same in item group beverages etc.

4.5.37 Item 308: Other processed food: Items like snacks, tiffin, food packets etc. which have not been covered under items 300-307 of the list of food items, will be recorded against this item.

Note: Egg-noodles will be included against other processed food (item 308).

4.5.38 Item 312: supari: Supari (betelnuts) in various forms are available in the market. These are fresh supari, sundried supari, fermented supari, boiled and coloured supari and scented supari. Supari consumed in any of the forms will be accounted for against this item.

4.5.39 Item 315: Other ingredients for pan: All other ingredients excepting items 312-314, used for preparing pan, should be included in this item. But tobacco, zarda, surti, kimam, etc. which are also consumed with pan should not be included. Provision for them has been made in tobacco group. However, pan-parag will be included in this item.

4.5.40 Item 321: Cigarettes: Cigarette paper and tobacco are sometimes purchased separately for making cigarettes. In such cases value to be recorded would be the value of tobacco plus the value of paper taken together. The corresponding entry in quantity column will be in terms of number of cigarettes actually made.

4.5.41 Item 322: Leaf tobacco: It will include all leaf tobacco consumed during the reference period in any form. If tobacco leaf is burnt and powdered for brushing teeth then consumption will be shown against this item.

4.5.42 Item 330: Ganja: It will also include ganja consumed in the form of cigarettes.

4.5.43 Item 332: Country liquor: It will exclude country liquor prepared at home from its ingredients and consumed. Consumption entries will be made against the ingredients.

4.5.44 Item 335: Other intoxicants: It will include drugs used for intoxication but exclude drugs used for medicinal purposes.
[p. 79]
4.5.1.0 Block 5.1: Consumption of fuel and light: In this block information on consumption of each item of fuel and light for the household during last 30 days, prior to the date of survey, will be collected. Columns are similar to block 5. Columns (3) and (4) correspond to columns (5) and (6) of block 5 and column (5) to column (7).

4.5.1.1 Item 342: Electricity: It will also include meter rent and surcharge for electricity.

4.5.1.2 Item 348: LPG: A fixed quantity of liquefied petroleum gas (LPG) is filled in a gas cylinder and supplied for domestic consumption. The quantity in kg is shown on the body of the cylinder. If, for example, a cylinder contains 14.2 kg of gas and usually the household consumes one full cylinder in 'D' days then the quantity of gas consumed during the last 30 days will be (14.2 x 30)/D. This will be calculated up to two places of decimal. The value will also be derived in a similar manner. Caution money deposited for getting a gas cylinder should not be considered as consumer expenditure and should not be recorded in this schedule.

4.5.1.3 Item 352: gobar gas: The value of gobar gas is to be imputed on the basis of value of inputs used for manufacturing gobar gas.

4.5.1.4 Item 353: Other fuel: It will include all items of fuel and light not listed in the schedule. It will also include petrol, diesel etc. used for generating electricity.

4.6.0 26: Consumption expenditure on clothing, bedding etc.: In this block, information on quantity and value of consumption of all items of clothing will be collected. The information in this block is required to be collected for a reference period of last 365 days. Consumption of clothing is defined as an item of clothing being brought into first use. Clothing purchased first-hand will be considered for reporting against items 360 to 373 and items 380 to 387 (bedding etc.) as per the usual NSS concepts followed so far for these items. However, in case of second-hand purchase, total value of clothing purchased second-hand will be recorded against item 374: clothing (second-hand). This is in important departure from the earlier NSS concept. Since the item '374: clothing (second-hand)' has not been printed in the schedule, this item (item 374) along with the description as given above has to be added at the end of block 6 after item '389' in the schedule. It may be noted while arriving at item 379 (clothing: s.t.) item 374 should be included besides items 360 to 373.

Note:

4.6.1 Columns (1) and (2): In these two columns, the item code and the description of the clothing items are already printed in the block.

4.6.2 The unit of quantity for an item, as shown within brackets after the name of the item in the list, is printed in the schedule itself. For detailed instructions, refer to paragraphs 4.5.4 and 4.5.5.
[p. 80]
4.6.3 Columns (3) and (4): Quantity and value: These columns relate to the consumption of the household during the reference period. Column (3) relates to the quantity of total consumption and column (4) to the corresponding value. Entries regarding consumption of clothing items will be the total of consumption out of purchase, out of home produce, out of transfer receipts such as gift, charity, and out of receipts in exchange of goods or services etc. Care should, however, be taken to exclude purchases made on account of household productive enterprises.

4.6.4 Consumption of clothing out of home production during the reference period will be evaluated at the producer's price. But consumption of clothing items made out of transfer receipts and receipts in exchange of goods and services will be evaluated at the retail price prevailing in the local market.

4.6.5 For 'ready-made' garments, the unit of quantity will be number. But if a household prepared a garment out of cloth purchased, then the item of consumption will be recorded as 'cloth' and the quantity will be recorded in 'metres'. When any garment is sewn at home by a household member, its value will be equal to the value of cloth only. No labour charges for sewing of the garment need be included unless the sample household itself is running a tailoring shop. In case the household does have such a shop and a garment is sewn there, the value of cloth will be recorded against item 362 or 363 and the tailoring charge will be shown against item 484 of block 8.2. Similarly, for a quilt made at home of which the materials (viz., cloth, stuffing, cotton, thread etc.) were purchased, the quantity and value of the materials used will be shown against the respective items. The service charge paid to a hired person for making the quilt will be entered against item 484 as tailoring charge in block 8.2.

4.6.6 Item 361: saree: In some regions of the country a variant of the saree is commonly used. For example, Assamese ladies wear 'mekhla'. Similarly, in Garo hills ladies use 'dakbanda'. The length of the cloth used in 'mekhla' and 'dakbanda' is generally 1.50 metres. These dresses may be treated as sarees of shorter length. Sarees used in some areas on the other hand are much longer than the standard ones. Hence, the unit for saree has been prescribed as metre and not number. The length of mekhla, dakbanda, etc. and saree in 'metre' with two places of decimal should be recorded against this item.

4.6.7 Item 374: Clothing (second-hand): All second-hand clothing items, like dhoti, saree, ready-made garments etc., purchased and brought into first use will be recorded against this item. This item has not been printed in the schedule. Therefore, field-staff has to add this item at the end of block 6 after item 389 as mentioned earlier.

4.6.8 Item 384: Mosquito net: Cloths purchased for making mosquito net will also be included here.

4.7.0 Block 7: Consumption of footwear: While filling in this block on purchase and consumption of footwear, the general instructions given for filling in the block on clothing will be followed. The quantities to be recorded are to be entered in whole number (of pairs) only.
Note:

[p. 81]4.8.1. Block 0 8.1: Expenditure on education and medical (institutional) goods and services: Under this block, information will be collected on educational and institutional medical expenses incurred during the last 365 days preceding the date of survey. Non-institutional medical expenses will be recorded separately in block 8.2. The institutional category will include payments made for goods and services availed of as an inpatient in both private as well as Government medical institutions like nursing homes, hospitals etc. All other medical expenses will be treated under non-institutional category. The actual expenditure incurred during the reference period on the items listed in the block will be recorded.

4.8.1.1 Columns (1) and (2): In these columns the three digit code of the items and the name of the items are already printed in the block.

4.8.1.2 Column (3): Value (Rs 0.00): The amount of expenditure incurred on an item during the reference period of 365 days preceding the date of enquiry will be recorded in this column. Expenditure will include both cash and kind.

4.8.1.3 Items 400 - 406: Education: This is meant for recording expenses incurred in connection with education. It will include expenditure on goods purchased for the purpose of education, viz., books and journals, paper, pencil etc. It also includes fees paid to educational institutions (e.g., schools, colleges, universities, etc.) on account of tuition (inclusive of minor items like game fees, fan fees etc.) and payment to private tutor. Occasional payments to the school fund made on account of charities provided for indigent students and 'donations' generally will not be included here as these are regarded as transfer payments. It may be noted that all kinds of books, magazines, journals etc. including novels and other fiction will be covered under item 400.

4.8.1.4 Items 410 - 424: Medical (institutional and non-institutional): This includes expenditure on medicines of different types and on medical goods; also, payments made to doctor, nurse etc., on account of professional fees and those made to hospital, nursing home etc. for medical treatment. Item 423 (family planning appliances) will include IUD (intra-uterine device), oral pills, condoms, diaphragm, spermicide (jelly, cream, foam tablet) etc. Expenditure incurred for clinical tests, X-ray etc. will be recorded against items 411 or 421 (X-ray, ECG, pathological test etc.). For Central government employees receiving medicines and medical services from CGHS dispensaries, only the monthly contribution made will be recorded. If, however, some medicine or service is purchased from outside during the reference period, the expenditure, even if reimbursed, is to be included. The distinction between institutional and non-institutional medical expenses, as mentioned in paragraph 4. 8.1.0 above, lies in whether the expenses were incurred on medical treatment as in-patient of a medical institution or otherwise. Expenditure incurred on MTP (medical termination of pregnancy) may be recorded against item 414 or 424 depending on the category of treatment availed of, i.e. if hospitalisation is necessary for MTP then it has to be [p. 82] recorded against 414, otherwise against 424. Hire charges for ambulance may likewise be recorded against item 414 or 424.

4.8.2.0 Block 8.2: Expenditure on miscellaneous goods and services including medical (non-institutional), rents and taxes: In this block, relating to miscellaneous goods and services, information will be collected on the expenditure for purchase of these items during the reference period. The actual expenditure incurred towards purchase of these items, used for non-productive purposes, will be considered as the consumer expenditure of the household. Expenditure both in cash and kind will be taken into account. The reference period will be the last 30 days prior to the date of survey.

4.8.2.1 Credit purchase: In case of credit purchase of any item of the block, the actual expenditure made during the reference period will be recorded. If any payment is made during the reference period for any credit purchase made earlier, then that amount will also be included. If the household makes a lumpsum payment against the credit purchase of several items, apportionment will be made for each of the items in proportion to their value.

4.8.2.2 Payment in kind: If payment in kind is made against consumer services like payment to priests, domestic servants, barbers, washermen etc. in terms of items of food, pan, tobacco, intoxicants, fuel, clothing and footwear, the value of the item will be recorded against the particular service consumed and not against the respective items of block 5, 6 or 7. But if such payment in kind is made in terms of miscellaneous goods or durable goods, it will not be recorded against consumer service, but instead, will have to be recorded against the respective items of blocks 8.1, 8.2 and 9. However, if an old (used) durable good (say, an almirah), is given to a person (say, a priest) for the services rendered by him, the present (imputed) value of the good may be recorded against the appropriate service item of block 8.2 (e.g. priest).

4.8.2.3 If a household member receives any item of this block as a part of wages and salaries or perquisites from the employer (enterprise) then that is to be accounted for as expenditure incurred against the corresponding item even if a part of the said receipt is given away to others. However, an item of miscellaneous goods received by a domestic servant (household member) from his or her employer household will not be included in the recipient household. Such expenditure will be considered in the employer household.

4.8.2.4 Column (3): Value (Rs. 0.00): The amount of expenditure incurred on an item during the reference period of 30 days preceding the date of enquiry will be recorded in this column. As in block 8.1, expenditure will include both cash and kind.

4.8.2.5 Items 420-424: medical (non-institutional): See paragraph 4.8.1.4.

Note: In the rural areas, doctors charge a consolidated amount for consultation as well as giving medicines to the patient. In such case, the total amount will be recorded against item 420 (medicine).

4.8.2.6 Item 423: Family planning appliances: It will also include various contraceptives such as tablets like Mala-D, Mala-N etc.

4.8.2.7 Items 430-437: entertainment: This stands for entertainment and sports. Here consumption is represented by purchase of entertainment services or articles catering to entertainment. It is possible that on the occasion of attending sports or cinema/video show some expenditure is incurred on travelling and conveyance and/or on refreshment. Such expenditure will be excluded from this item group and will come under appropriate items reserved elsewhere in the schedule. Expenditure incurred on processing, developing etc., of photographic film will be shown against item 435. Expenses incurred for hiring of video cassette/VCR/VCP will be recorded against item 436. But the expenditure incurred for viewing a video show will be recorded against item 430 (cinema, theatre). For item 433 (club fees) the last payment made divided by the number of months for which the amount was paid will be noted. Expenses incurred on subscription to dish antenna, cable TV facilities etc. may be included in item 437: other entertainment.

4.8.2.8 Item 458: other toilet articles: It will include cooler perfume, body perfume, room perfume, etc.

4.8.2.9 Item 467: washing soap/soda: This will include washing soap in cake form, powdered form and also in liquid form (detergent powder is also to be reported) and washing soda.

4.8.2.10 Item 468: other washing requisites: It includes brushes, utensil cleaners, steelwool etc.

4.8.2.11 Item 473: other petty articles: It will also include purchase of flower plant with pot.

4.8.2.12 Item 480: domestic servant, cook: Wages paid to domestic servant/cook may be recorded against this item even if they are treated as members of the household for the purpose of consumer expenditure survey. This is an important departure from the earlier rounds of NSS. For domestic servant or cook who is also a member of the household by definition, only wages paid in cash during the reference period will be taken into account. Any expenditure incurred by a domestic servant who is also a member of the household should be treated as consumption expenditure of the household and recorded as such against the appropriate items of different blocks. Wages in kind not consumed by domestic servant/cook will be excluded.

4.8.2.13 Item 482: barber, beautician etc.: The actual expenditure incurred for availing of the services of barber, beautician etc. will be considered as the consumer expenditure of the household. Expenditure both in cash and in kind will be taken into account. In the villages the barber charges might be paid in kind annually. In such cases, if the payment in kind for the year is made during the reference month, the entire payment is to be evaluated at the local retail price and accounted for. On the other hand, if no payment was made during the reference month then no expenditure should be recorded. In this context, it may be noted that if the kind payment is in terms of an item of blocks 5 to 7, then the entry is to be made against item 482. But if it is in terms of an item of block 8.1, 8.2 or 9, then the entry will be made against that particular item.

Note: If a sample household is running a barber's shop and a member of that household has availed of the service then the barber charges will be imputed at the prevailing rate and recorded against item 482.

4.8.2.14 Item 486: legal expenses: This will include charges like lawyer's fees, legal and court fees, etc.

4.8.2.15 Item 488: telephone charges: For domestically installed telephones, the telephone bill last cleared divided by the period in months for which it was charged (i.e., monthly average payable) will be considered as the expenditure to be recorded even if the expenditure was not incurred during the reference period of 30 days. Cases like new telephone connections for which no bill has been paid till the date of survey may be ignored. Security deposit made for the installation of telephone connection is excluded. However, installation charges paid to the telephone department like labour charges, cost of wire etc. will be included under this item. In addition, expenditure incurred during the reference period of last 30 days for making telephone calls from STD/PCO booth or other's telephone will be accounted against this item. Expenditure incurred on the purchase of mobile phone (instrument) will not be included in this item. Instead, it will be included against item 600 of block 9.

4.8.2.16 Item 490: repair charges for non-durables: This will include service charges paid to artisans for repairing any item of miscellaneous goods not used for productive purposes but used as items of domestic consumption.

4.8.2.17 Item 492: miscellaneous expenses: This item will include expenses such as application fees for employment etc., subscriptions to societies and similar organisations, and generally, expenditure on any other 'miscellaneous' items relevant to the block and not provided in the list of items. If water is purchased through tanker, porter etc., the expenditure incurred will also be recorded here.

4.8.2.18 Item 493: pet animals (incl. birds, fish): This item will include expenditure incurred for purchase and maintenance of pet animals. Pet animals may be cat, dog, rabbit, monkey, mongoose, bird, fish etc. Maintenance expenses will include cost of feed, treatment expenses etc.

4.8.2.19 Item 494: other consumer services excluding conveyance: This item will stand for services of driver, coachman, cleaner, cobbler, blacksmith, unskilled labourers etc.

Note: 1. Commission paid to the broker for purchase or sale of second-hand car/scooter will be accounted here.
2. It will include reconnection charge for electric line.

4.8.2.20 Items 500 - 513: conveyance: Expenditure incurred on account of journeys undertaken and/or transportation of goods made by airways, railways, bus, tram, steamer, motor car (or taxi), motor-cycle, autorickshaw, bicycle, rickshaw (hand-drawn and cycle) horsecab, bullock cart, hand-cart, porter or any other means of conveyance will be recorded against the respective items of conveyance. The expenditure will be the actual fare paid. The expenditure incurred on journeys undertaken under LTC etc., even if reimbursed, is to be included. In case of owned conveyance, the cost of fuel (petrol, mobile oil, diesel etc.) for power driven transport and animal feed for animal-drawn carriage will be recorded. For item 501 (railway fare), season tickets valid for more than a month will be treated differently from other railway fare expenditure. Value of season tickets valid for more than a month held during the reference period by a household member will be divided by the number of months covered by the ticket to get the amount to be recorded. For all other railway fare expenditure, the amount actually paid during the reference period will be recorded.

4.8.2.21 Item 502: bus/tram fare: It includes expenditure incurred by the members of the household during the reference period in a public/private/government bus/tram in the capacity of individual passenger. If a bus hired for bringing guests by the sample household, the hiring charges will not be included against this item; instead it will be accounted against item 513 (other hired conveyance).

4.8.2.22 The expenditure incurred on any conveyance used during the reference period partly for household enterprise and partly for domestic purposes will be apportioned on the basis of the number of kilometres it travelled for each type of use. In case the information on distance travelled is not available, the apportionment will be done on the basis of duration of use, say, number of hours or days used for enterprise and domestic purpose. In case information on actual number of days engaged in enterprise or in domestic use is also not available, it will be done on the basis of 'normal use'. The word 'normal' refers to a period beyond the reference period.

4.8.2.23 Item 520: house rent, garage rent (actual): This item consists of rent for residential building and garage rent for private vehicle of the household. Amount last paid divided by the number of months for which the payment was made will be recorded here. The procedure laid down for recording payment of telephone charges is also applicable to other starred items of this block. The rent for government quarters will be the amount of house rent allowance (HRA) per month not paid to the employee plus the licence fee deducted per month from the salary for the quarters. If some amount of money was paid in advance at the time of hiring the house, only that part of the advanced amount which is being deducted every month from that advance payment added up with the actual amount paid every month towards rent, will be the amount to be recorded as house rent. Salami/pugree will not be considered anywhere in the schedule.

4.8.2.24 Item 522: consumer rent (other goods): Hiring charges for consumer goods like furniture, electric fans, crockery, utensils and charges for decoration on ceremonial occasions are to be recorded here. If any item is hired on monthly/quarterly/annual basis then the amount of last payment on such goods divided by the number of months for which the payment was made will be taken into account. However, hiring out of a vendor cart to run business by the sample household will be excluded. But, monthly maintenance charges payable to co-operative society etc. will be included in this item.

4.8.2.25 item 539: house rent, garage rent (imputed - urban only): This item will be filled in for urban households residing in the house which it either owns or otherwise occupies without paying any rent. Otherwise a dash (-) may be recorded. Rent of the house/garage will be imputed on the basis of prevailing rate of rent for similar houses in the locality or surrounding areas. A household may occupy a dwelling unit which is neither owned, nor hired in. In such cases also the imputed rent will be recorded.

4.8.2.26 Items 540 to 541: consumer taxes and cesses: This is for recording the expenditure on taxes and cesses paid by the household as a domestic consumer. Only taxes and cesses are included which are considered to be levied on the household as a consumer unit. Road cess, chowkidari tax, municipal rates are some examples. Sometimes while purchasing a new vehicle life tax is paid. In such case, monthly average of tax and cess will be recorded against this item. Consumer licence fees will also be included. Examples are fees paid for possession of firearms, vehicles etc. For taxes and cesses to be paid monthly/quarterly/annual basis entries will be the amount last paid divided by the number of months for which paid.

Note: Professional tax and Income tax will not be taken into account in the survey.

4.8.2.27 Item 540: water charges: Water charges last paid to the municipality or other local bodies divided by the number of months for which the amount was charged may be recorded against this item. If water is purchased through tanker etc., the expenditure incurred will not be recorded here - even if the water is solely used for household consumption - but against item 492.

4.9.0 Block 9: Expenditure for purchase and construction (including repair and maintenance) of durable goods for domestic use: Information on expenditure incurred for purchase and cost of raw materials and services for construction and repairs of durable goods for domestic use during the last 365 days will be collected in this block. Expenditure will include both cash and kind (see paragraph 4.8.2.2). Purchase will include both first-hand and second-hand purchase and will be recorded in separate columns of this block. Only if some expenditure is incurred towards purchase of an item, may be in cash or kind or both, the item will be considered as purchased for this block. Expenditure incurred on purchase of durable goods for giving gifts will also be included. In case of credit/hire-purchase of any item of this block, the actual expenditure made during the reference period will be recorded. [See paragraph 4.8.2.1]

Note:

4.9.1 Columns (1) and (2): In these columns the three digit code of the items and the name of the items are already printed in the block.

4.9.2 Column (3): number in use on the date of survey: The number in use on the date of survey of each item of durable goods will be entered in this column. It will also include those items which may not be in use temporarily but are likely to be put into use after repair/necessary servicing. For certain items a cross mark (x) has been put in this column; it means column (3) need not be filed in.

4.9.3 Column (4): number purchased (first-hand): The number of each item of durable goods purchased (first-hand) for which some expenditure has been incurred during the reference period will be recorded in this column.

4.9.4 Column (5): whether hire purchased (first-hand): If an item of durable goods is purchased on installment payment and the expenditure made on it during the reference period consists of one or more such installment payments, code 1 will be recorded in this column. Otherwise i.e., when durable goods are purchased and entire amount is paid during the reference period, code 2 will be recorded in this column.

Note: If more than one of a particular item are purchased during the reference period and some of them are purchased on hire-purchase basis and the remaining are purchased outright, then code 1 will be recorded in this column.

4.9.5 Column (6): value (first-hand purchase): Value of first hand purchase during the reference period will be entered in this column. The total amount paid during the reference period will be recorded here.

4.9.6 Column (7): cost of raw materials and services for construction and repair: This column is for recording expenditure on materials and services for construction, assemblage, repair and maintenance of all durable goods - first-hand as well as second-hand. Value of durable goods constructed will comprise value of raw materials, services and/or labour charges and any other charges. The total value of raw materials, services and labour charges will be recorded in this block. Here, expenditure incurred towards repair and maintenance of items purchased on second-hand will also be accounted.

Note:

4.9.7 Columns (8): total expenditure: It is the sum of purchase value of first-hand purchase and cost of raw materials and services for construction and repair. In other words, it means Column (8) = column (6) + column (7).

4.9.8 Column (9): number (second-hand purchase): The number of each item of second-hand durable goods purchased during the reference period will be recorded in this column.

4.9.9 Column (10): value (second-hand purchase): Value of second hand purchase during the reference period will be entered in this column.

Note: An imported item of durables, even if second-hand, will be treated as first-hand purchase and information will be recorded against the relevant columns.

4.9.10 Item 550: bedstead: It is a framework of wood or metal supporting the springs and mattress of a bed. Its surface may be made of coir rope or nylon. Folding cots of all kinds will be included against this item.

4.9.11 Item 551: almirah, dressing table: Full-size wardrobes will be included against this item.

4.9.12 Item 554: foam-rubber cushion (dunlopillo type): Only foam cushions are to be included and not cushions made of cotton, coir, etc. The latter will come under 'pillow, quilt, mattress' in block 6 (item 382).

4.9.13 Item 555: carpet, daree and other floor matting: This will include carpet, daree and other floor matting which are more or less fixed in position. Doormats, mats used as single-person seats, and other small mats will not be included here. They will come under 'mats and matting' (block 6).

4.9.14 Item 556: paintings, drawings, engravings etc.: Only those acquired through purchase need be considered for the count in column (3) (number in use on the date of survey).

4.9.15 Item 557: other furniture and fixtures: Waist-high (usually wooden) almirahs should be considered under this item. Kitchen cup-boards (free-standing), complete sofa-set also will be included.

4.9.16 Item 561: radio: This includes transistor radios.

4.9.17 Item 568: other goods for recreation: Sports goods and toys are not to be included here but under item 432 in block 8.2. It will also include dish antenna, video games etc.

4.9.18 Item 570: gold ornaments: If gold ornaments purchased in exchange of gold and some amount of cash, only the cash payment made will be taken into account. But, if it is purchased in lieu of cash or cash and kind (other than gold) total value of cash/cash and kind will be accounted.

4.9.19 Item 592: lantern, lamp, electric lampshade: It will exclude electric lamp.

4.9.20 Item 598: electric iron, heater, toaster, oven and other electric heating appliances: Geyser will be considered against this item.

4.9.21 Item 600: other cooking/household appliances: It will include ice-cream maker, mixer-grinder, juicer, micro-oven, vacuum cleaner, mobile phone (instrument), electric appliance for filtering water etc.

4.9.22 Item 613: tires and tubes: It will include all those tires and tubes which are purchased for replacement in vehicles. If repair is made only for tires and tubes then the expenditure incurred on repair will be taken into account against this item in column 7. But, if repair of tires and tubes is made along with other repairs of the vehicle then the expenditure will be accounted in column 7 against the corresponding listed item.

4.9.23 Item 614: other transport equipment: Livestock animals like horses, bullocks etc., and conveyance such as horse cab, bullock cart etc., when used exclusively for non-productive domestic purposes, will be included against this item. Maintenance for these livestock animals will be accounted in column 7. If these animals and conveyances are used both for household enterprise and for domestic use, only the part ascribable to the latter purpose will be considered for recording the value of purchase, or the cost of raw materials required for repair, etc. It will also include perambulator.

4.9.24 Item 632: any other personal goods: Personal computer (PC) will be considered against this item.

4.9.25 Item 642: residential building and land (cost of repair only): It should be noted that the purchase of residential building and land, whether first hand or second hand, should not be entered in this block, as such purchases are considered capital expenditure on real estate. Any new construction of building is also an expense on capital account and should not be entered in this block. The total expenditure incurred by the household towards repairs and maintenance of dwelling unit (only) during the reference period would be entered against this item.

4.9.26 Item 659: durable goods: total: Total expenditure for purchase, construction and repairs of household durable goods will be recorded against this item. The totals in each of columns (6), (7), (8), and (10) against this item will be derived by adding all the entries against the sub-total items of the block in the column.

4.9.27 Sub-total items 559, 569, 579, 589, 609, 619, 629, 639, 649: Expenditure made on purchase and construction and repair of durable goods for domestic use during the reference period will be entered against these items. The entry against each sub-total item in each of columns (6), (7), (8), and (10) will be derived by adding the entries in the column against the corresponding constituent items.

4.10.1.0 Block 10.1: Particulars of production and consumption from kitchen garden, backyard etc.: This block is intended to collect information on quantity and value of each item produced in the kitchen garden during the agriculture year July 1998 - June 1999. This apart, information on itemwise consumption made out of the produce from kitchen garden during last 30 days preceding the date of survey will be collected irrespective of whether the item has been produced during the agriculture year July 1998 - June 1999. Provision has been made for recording quantity figures in two places of decimal. Value figures may be recorded in rupees whole number against production (column 5) and in rupees in two places of decimal against consumption (column 7). (See paragraph 4.3.19 for definition of kitchen garden.)

4.10.1.1 Columns (1) and (2): item code and description: Code and description of the items produced in the kitchen garden during the agriculture year 1998-99 will be recorded in these columns. They should exactly match with the corresponding items of detailed block 5 or 6. However, if the list of items of blocks 5 and 6 does not contain the produce then the same may be recorded against the printed item code 998 (others). A crop may have several by-products. The principal crop as well as all its by-products are to be taken into account. For example, if mustard plant is grown then muster seeds will be reported against item 287 (oilseeds), mustard oil against item 171 (mustard oil), mustard leaves consumed as leafy vegetables against item 212 (palak/other leafy vegetables). For production columns (i.e., columns 4 and 5) mustard seeds will only be reported, not mustard oil. Similarly, if paddy is grown then '102' and 'rice - other sources' will be recorded as code and description in these columns. Straw of the paddy plants, being by-product and not listed in block 5, will be recorded against item 998 (printed in the schedule).

4.10.1.2 Column (3): unit: The units of quantity in column (3) of this block are the same units as prescribed in the detailed blocks 5 and 6.

4.10.1.3 Columns (4) and (5): production during agricultural year 1998-99: For each item listed in column (2), the quantity produced in kitchen garden during agriculture year 1998-99 and its value evaluated at the ex farm prices will be recorded in columns (4) and (5) respectively. Quantity will be recorded in two places of decimal but value in whole rupees. Accordingly, '00' has been printed in the decimal part of column (5).

4.10.1.4 Columns (6) and (7): consumption during last 30 days: Quantity and value of consumption during last 30 days preceding the date of survey by the household from the produce grown in the kitchen garden will be recorded in columns (6) and (7) respectively. It is not necessary that an item consumed during last 30 days is either grown during 1998-99 or during last 30 days preceding the date of survey. That is, the item consumed during last 30 days may be grown at any time in the past but in the kitchen garden. A dash (-) may be put against an item in column which is not applicable, e.g., if brinjal is not produced during 1998-99 but consumed during last 30 days, then a dash (-) may be recorded against brinjal in each of columns (4) and (5).

4.10.2.0 Block 10.2: Consumption of selected non-food items from home-produced stock: This block has been designed to collect information on consumption of some selected non-food items out of home-produced stock during last 30 days preceding the date of survey.

4.10.2.1 Columns (1) to (3): The serial number, item description and unit of the items for which information is required, are printed in the schedule.

4.10.2.2 Columns (4) and (5): quantity and value: If an item among the list of specified items is consumed out of home-produced stock during last 30 days preceding the date of survey then the quantity and value of consumption out of home-produced stock will be recorded in columns 4 and 5 respectively.

4.11.0 Block 11: Purchase of selected commodities supplied through public distribution system: This block is designed to collect information on purchase of four commodities, namely, rice, wheat, sugar and kerosene through public distribution system and from other sources. For details on PDS, paragraph 4.5.2 may be seen. Both quantity and value will be filled in up to two places of decimal in this block. Provision has been kept for recording integer part and decimal part separately.

4.11.1 Column (1): item description: It is printed in the schedule.

4.11.2 Column (2): purchase type (code): The source from which the household purchased a specified item during last 30 days preceding the date of survey will be recorded in codes. The purchase type codes are:

4.11.3 Column (3): unit: It is printed in the schedule.

4.11.4 Columns (4) and (5): Purchase from PDS: Quantity of the specified item purchased from PDS during last 30 days preceding the date of enquiry will be recorded in column (4) and the corresponding value in column (5). Note that purchases made from PDS by the household even for sale will be accounted for in this block.

4.11.5 Columns (6) and (7): Purchase from other sources: Quantity of the specified item purchased from sources other than PDS during last 30 days preceding the date of enquiry will be recorded in column (6) and the corresponding value in column (7).

4.11.6 Column (8): reason for no purchase from PDS: This column is to be filled in only if the sample household did not purchase the specified item during the reference period, that is, if entry in column (2) is either 2 or 4. Reason code for not purchasing from PDS are:

'Not entitled' means the household is not entitled to purchase the concerned item from PDS because the household belongs to a high income group, household is a producer of the commodity or the shop is meant for a particular category of people like railway employee household. Other codes are self-explanatory. In case more than one code is applicable, the lowest code among them will be assigned in this column.

4.12.0 Block 12: Perception of household regarding sufficiency of food: This block will be filled after completion of the enquiry on all the preceding blocks. The expression in item 1 - 'getting enough food everyday' - as used in common parlance, conveys that the concerned person gets, by and large, sufficient food to eat. This question is asked in order to know the perception of the household regarding sufficiency of food. While putting this question to the informant, it is thus presumed that the informant has a clear understanding of its meaning. There are equivalent phrases conveying the same meaning in regional languages. It is, therefore, important to put the proper question in the local language and record the answer given by the informant in the appropriate code.

4.12.1 Care should be taken to see that the informant is not offended by this question. The question should, in fact, not be asked to those whose reported consumption would obviously indicate that they get sufficient food to eat. In item 1, if the members of the household are reported as getting enough food everyday throughout the year, the code to be entered in the box space of this block is 1. If adequate food is available in only a few months of the year code 2 will be noted. Code 3 will indicate that the household does not usually get enough food everyday for all its members. Here the reference period is last 12 calendar months preceding the date of enquiry.

4.12.2 If adequate food was available in only some months of the year i.e. if code 2 is recorded in item 1, those calendar months in which all members of the household did not have enough food everyday will be recorded in the cells provided against item 2 in codes. For example, suppose all members of a sample household did not have enough food everyday in the months of January and March during the reference period. The entries to be made are 01 and 03 in the first two cells of the first row out of the 11 cells provided in the block against item 2.

4.12.3 If for the purpose of making an entry in item 1, the investigator has actually put the relevant question to the informant and got his answer, then code 1 will be entered in item 3. Otherwise, i.e., if he has inferred the answer to item 1 from the schedule entries or otherwise without actually asking the informant, code 2 will be recorded against item 3.

4.13.0 Block 13: Particulars of goods and services received as part of wages and salaries or perquisites and gifts given and gifts received by the household (only for non-food items): This block is restricted to non-food items only, that is, items 310 to 643 of detailed blocks. It has been designed to record the particulars of goods and services received as part of wages and salaries or perquisites and gifts given and gifts received by the household during the last 30 days prior to the date of survey. At the bottom a line has been provided for all non-food items with code 999 for entering total values of goods and services received, gifts given and gifts received. Cash gift will be excluded. Free services provided by friends or relatives will not be taken into account in this block. It may be noted that charity is not treated as gift. Further, goods and services received at subsidised rate will not be considered as gift.

Note: A sample household received a gift during the reference period and gave the same gift to some other household during the reference period. Such gifts will be shown against both gifts given and gifts received.

4.13.1 Columns (1) and (2): block and item code: The block reference and item code in columns (1) and (2) for applicable items may be copied from the detailed blocks 5 to 9.

4.13.2 Column (3):item description: It should exactly tally with that provided in the detailed block.

4.13.3 Column (4): unit: The units of quantity in column (4) of this block are the same standard units as prescribed in the detailed blocks 5 to 9. The quantity figures of column (5), (7) and (9) are to be collected only for those items for which there is provision to collect the same in the detailed blocks. It may be noted that only the detailed items of non-food are to be recorded and not the group sub-totals. Any gift received or given by the sample household during the reference period of 30 days will be recorded in this block irrespective of the date of purchase of such gifts. In this block, values are to be recorded in whole rupees. In case quantity is not applicable (e.g. items of blocks 8.1 and 8.2), a cross mark (X) may be recorded.

4.13.4 Columns (5) and (6): goods and services received: Consumption made out of goods and services received as part of wages and salaries or perquisites will be part of the total consumption of the household and should be recorded at the appropriate place provided in the detailed blocks. However, all such receipts will be reported in this block under columns (5) and (6) irrespective of the amount consumed. It may be noted that gifts given to domestic servant will not be taken into account if he/she is a member of the sample household.

Note:

4.13.5 Columns (7) and (8): gifts given: Any gift given by the household during last 30 days prior to the date of survey will be entered in this block against columns (7) and (8). Quantity of gift given will be entered in column (7) and value in column (8).

Note:

4.13.6 Columns (9) and (10): gifts received: Any gift received by the household during the last 30 days prior to the date of survey should be entered in this block against columns (9) and (10). Quantity of gift received will be entered in column (9) and value in column (10). It may be noted that if any item listed in blocks 5 to 7 is received as gift, then the consumption out of such gift received has to be included under total consumption against an appropriate item of the blocks 5, 6 or 7.

Note:

4.14.0 Block 14: Summary of consumer expenditure: This block is meant to derive the value of household per capita consumption expenditure for a period of 30 days. Most entries in this block are transfer entries from blocks 5 to 9. References for transfer are provided in columns (3) to (5). For some items, namely, clothing, bedding etc., footwear, education, medical (institutional) and durable goods information has been collected for a reference period of 365 days. This information will be recorded in column (8). These figures will be added and entered in column (8) against item srl. no. 33. This figure will be converted to monthly figure by multiplying 30/365 and the product will be recorded in column (7) against item srl. no. 34. For other items having reference period of 30 days information will be recorded in column (7). In addition, summary of information for items of food, pan, tobacco and intoxicants for reference period of 7 days will also be recorded in column (6) of this block but per capita expenditure based on them will not be calculated in this block.

4.14.1 Serial number 35: total monthly expenditure: It is the sum of the entries made against serial numbers 1 to 34, column(7) of this block.

4.14.2 Serial number 36: household size: This is to be copied from the entry made in block 3, item 1.

4.14.3 Serial number 37: per capita expenditure last month (Rs 0.00): It is to be obtained by dividing the entry made against serial number 35, column(7) (total monthly expenditure) by that against serial number 36, column(7) (household size) of this block. The quotient of the division will be recorded in rupees with two places of decimal. This quotient rounded to whole number will be entered against item 30 of block 3.

15.0 Block 15: Remarks by investigator: Any remark which is considered necessary for explaining any peculiarity in the consumption pattern of the household or any other characteristic of the household will be noted here. Such remarks will help understanding the entries made in different blocks of the schedule, especially when any entry is very high or very low. For example, if a sample household performed a ceremony during the reference period of 7 days or 30 days or 365 days then the same should be recorded in this block.

16.0 Block 16: Remarks by supervisory officer: The supervisory officers should note their views on any aspect relating to the household and on any observed peculiarity in the consumption pattern of the household.

Chapter .hy off
Chapter Five
Schedule 10: Employment and Unemployment

INTRODUCTION

5.0.0 The sixth quinquennial survey on employment-unemployment is to be carried out along with the surveys on household consumer expenditure and informal non-agricultural enterprises during the 55th round survey operations (July 1999-June 2000) of the NSSO. The NSSO carried out the first quinquennial survey on employment - unemployment in the 27th round (September 1972-October 1973). This first quinquennial survey made a marked departure from the earlier employment surveys of NSSO in procedure and content. The concepts and procedures followed in this survey were primarily based on the recommendations of the 'Expert Committee on Unemployment Estimates' (1970). Since then, the four successive quinquennial surveys conducted in 32nd, 38th, 43rd and 50th rounds have, more or less, followed an identical approach in the measurement of employment and unemployment. The basic approach in all these four quinquennial surveys have been the collection of data to generate the estimates of employment and unemployment according to the 'usual status' based on a reference period of one year, the 'current weekly status' based on a reference period of one week, and the 'current daily status' based on each day of the previous week. In order to reveal the multi-dimensional aspects of the employment-unemployment situation in India, information on several correlates were also gathered in these surveys. Sets of probing questions on some of these aspects have also been one of the basic features of these surveys. The changes and improvements in the concepts and contents that are made in the successive quinquennial surveys, are given in the Appendix A to this chapter (see pages 63 and 64).

5.0.1 A Working Group was set up for the purpose of finalising the survey methodology and schedules of enquiry of the 55th round. Considering all the aspects of current data demand and usefulness of the survey results, the Group has suggested a few improvisations, additions and deletions in the content of the schedule of enquiry for the present survey. The major changes made in the schedule for employment and unemployment survey vis-à-vis the previous quinquennial survey are given below:

5.0.2 Summary description of the schedule: Schedule 10 on employment-unemployment for this round consists of 16 blocks. Blocks 0, 1 and 2 are similar to the ones used in usual NSS rounds. These are used to record identification of sample households and particulars of field operations. The last two blocks, viz., Blocks 10 and 11, are again the usual blocks to record the remarks of investigator and comments by supervisory officer, respectively. Block 3 will be for recording the household characteristics like household size, religion, social group, land possessed and cultivated, monthly per capita consumer expenditure, etc., and Block 3.1 for recording particulars of indebtedness of rural labour households. Block 4 is used for recording the demographic and migration particulars of all the household members. In Block 5.1, particulars of principal usual activity of all the household members and the details of the enterprises for the usual status workers in the non-agriculture sector will be recorded. Similarly, the particulars of two major subsidiary economic activities of the household members and the details of the enterprises in which they are working will be recorded in Block 5.2. The daily time disposition for the previous seven days along with the corresponding activity particulars will be recorded for each of the household members in Block 5.3. Besides this, the CWS will be derived from the daily time disposition data and will be recorded in this block. As in the past, wage and salary earnings and mode of payment will also be collected for the workers in this block. Block 6 will be used to record the responses to the probing questions to the persons who were unemployed on all the seven days of the reference week. They will be identified on the basis of duration of unemployment during the reference week recorded in Block 5.3. Blocks 7.1 and 7.2 contains the probing questions which are related to the under-utilisation of labour time and labour mobility, respectively. For the females classified as engaged in 'domestic duties' as per their usual principal status, some follow-up questions have been framed and listed in Block 8 with a view to collecting some additional information which might explain as to whether their usual attachment to domestic duties was voluntary or involuntary and also throw light on their participation in some specified activities for family gain. A worksheet to obtain the household monthly total expenditure has been provided in Block 9. The structure of the schedule and the linkage between different blocks are shown in the block diagram given below:

[Structure diagram not presented here.]

CONCEPTS AND DEFINITIONS

5.0.3 Economic activity: Any activity that results in production of goods and services that adds value to national product is considered as economic activity. Such activities include production of all goods and services for market i.e. production for pay or profit and the production of primary commodities for own consumption and own account production of fixed assets, among the non-market activities.

The entire spectrum of human activity falls into two categories economic and non-economic activities. The economic activities have two parts-market activities and non-market activities. Market activities are those that involve remuneration to those who perform it i.e., activity performed for pay or profit. These are essentially production of goods and services for the market including those of government services etc. Non-market activities are the production for own consumption of primary products including own account processing of primary products and own account production of fixed assets.

The full spectrum of economic activities as defined in the UN system of National Accounts is not covered in the definition adopted for the NSS 55th round survey of Employment and Unemployment. However, the coverage of economic activities has been kept same as in the 50th round. The term 'economic activity' will include:

It is to be noted that like in earlier rounds, the activities like prostitution, begging, smuggling etc. which may result in earnings, by convention, will not be considered as economic activities.

5.0.4 Activity status: It is the activity situation in which a person is found during a reference period which concerns with the person's participation in economic and non-economic activities. According to this, a person will be in one or a combination of the following three statuses during a reference period:

Activity statuses mentioned in (i) and (ii) above are associated with 'being in labour force' and the last with 'not being in the labour force'. Within the labour force activity status (i) is associated with 'employment' and that of (ii) with 'unemployment'.

Identification of each individual into a unique situation poses a problem when more than one of the three activity statuses listed above concurrently obtain for a person. In such an eventuality, the identification uniquely under any one of the three activity statuses is done by adopting either the major time or priority criterion. The former is used for classification of persons under 'usual activity status' and the latter for classification of persons under 'current activity status'. The three major activity statuses have been further sub-divided into several detailed activity categories. If a person is categorised as engaged in economic/non-economic activity, by adopting one of the two criteria mentioned above, is found to be pursuing more than one economic/non-economic activity during the reference period, the appropriate detailed status code will relate to the activity in which relatively more time has been spent. The categories under each of the three major activity statuses used in the survey are:

5.0.5 Workers (or employed): Persons who are engaged in any economic activity or who, despite their attachment to economic activity, have abstained from work for reason of illness, injury or other physical disability, bad weather, festivals, social or religious functions or other contingencies necessitating temporary absence from work constitute workers. Unpaid helpers who assist in the operation of an economic activity in the household farm or non-farm activities are also considered as workers. All the workers are assigned one of the detailed activity statuses under the broad activity category 'working or being engaged in economic activity'.

5.0.6 Seeking or available for work (or unemployed): Persons, who owing to lack of work, had not worked but either sought work through employment exchanges, intermediaries, friends or relatives or by making applications to prospective employers or expressed their willingness or availability for work under the prevailing condition of work and remuneration are considered as those who are 'seeking or available for work' (or unemployed).

5.0.7 Labour force: Persons who are either 'working' (or employed) or 'seeking or available for work' (or unemployed) during the reference period together constitute the labour force. Persons who are neither 'working' and at the same time nor 'seeking or available for work' for various reasons during the reference period are considered to be 'out of labour force'. The persons under this category are students, those engaged in domestic duties, rentiers, pensioners, recipients of remittances, those living on alms, infirm or disabled persons, too young or too old persons, prostitutes, smugglers, etc. and casual labourers not working due to sickness.

5.0.8 Self-employed: Persons who operate their own farm or non-farm enterprises or are engaged independently in a profession or trade on own-account or with one or a few partners are self-employed in household enterprises. The essential feature of the self-employed is that they have autonomy (i.e., how, where and when to produce) and economic independence (i.e., market, scale of operation and money) for carrying out operation. The fee or remuneration received by them consists of two parts - the share of their labour and profit of the enterprise. In other words, their remuneration is determined wholly or mainly by sales or profits of the goods or services which are produced.

The self-employed persons may again be categorised into the following three groups:

There is a category of workers who work at a place of their choice which is outside the establishment that employs them or buys their product. Different expressions like 'home workers', 'home based workers' and 'out workers' are synonymously used for such workers. For the purpose of this survey, all such workers will be commonly termed as 'home workers' and will be categorised as 'self-employed'.

Home worker: A 'home worker', for the purpose of this survey, is one who:

The 'home workers' have some degree of autonomy and economic independence in carrying out the work, and their work is not directly supervised as for the employees. Like the other self-employed, these workers have to meet certain costs, like actual or imputed rent on the buildings in which they work, costs incurred for heating, lighting and power, storage or transportation, etc. That means, they have some tangible or intangible means of production. Note that employees are not required to provide such inputs for production.

Note that the 'home workers' are to be classified as self-employed.

It may further be elaborated that the 'putting out' system prevalent in the production process in which a part of production which is 'put out' is performed in different household enterprises (and not at the employers establishment). For example, bidi rollers obtaining orders from a bidi manufacturer will be considered as home workers irrespective of whether or not they were supplied raw material (leaves, masala, etc.), equipment (scissors) and other means of production. The fee or remuneration received consists of two parts - the share of their labour and profit of the enterprise. In some cases, the payment may be based on piece rate. Similarly, a woman engaged in tailoring or embroidery work on order from a wholesaler, or making pappad on order from particular unit/contractor/trader at her home will be treated as 'home worker'. On the other hand, if she does the work in the employers premises, she will be treated as employee. Again, if she is not undertaking these activities on orders from outside, but markets the products by herself/other household members for profit, she will be considered as an own account worker, if of course, she does not employ any hired help more or less on a regular basis.

5.0.9 Regular salaried/wage employee: Persons working in others farm or non-farm enterprises (both household and non-household) and getting in return salary or wages on a regular basis (and not on the basis of daily or periodic renewal of work contract) are the regular salaried/wage employees. The category not only includes persons getting time wage but also persons receiving piece wage or salary and paid apprentices, both full time and part-time.

5.0.10 Casual wage labour: A person casually engaged in others farm or non-farm enterprises (both household and non-household) and getting in return wage according to the terms of the daily or periodic work contract is a casual wage labour. Usually, in the rural areas, a type of casual labourers can be seen who normally engage themselves in 'public works' activities. 'Public works' are those activities which are sponsored by Government or local bodies for construction of roads, bunds, digging of ponds etc. as 'test relief' measures (like flood relief, drought relief, famine relief, etc.) and also employment generation scheme under poverty alleviation programmes (NREP, RLEGP, etc.).

5.0.11 Manual work: A job essentially involving physical labour is considered as manual work. However, jobs essentially involving physical labour but also requiring a certain level of general, professional, scientific or technical education are not to be termed as 'manual work'. On the other hand, jobs not involving much of physical labour and at the same time not requiring much educational (general, scientific, technical or otherwise) background are to be treated as 'manual work'. Thus, engineers, doctors, dentists, midwives, etc., are not considered manual workers even though their jobs involves some amount of physical labour. But, peons, chowkidars, watchman, etc. are considered manual workers even though their work might not involve much physical labour. Manual work has been defined as work pursued in one or more of the following occupational groups of the National Classification of Occupations (NCO 1968):

Division 5: Service workers:

Division 6: Farmers, Fishermen, Hunters, Loggers and related workers:

Division 7-8-9: Production and related workers, transport equipment operators and labourers:

5.0.12 Rural Labour: Manual labour working in agricultural and /or non-agricultural occupations in return for wages paid either in cash or in kind (excluding exchange labour) and living in rural areas, will be taken as rural labour.

5.0.13 Agricultural labour: A person will be considered to be engaged as agricultural labour, if he/she follows one or more of the following agricultural occupations in the capacity of a wage paid manual labour, whether paid in cash or kind or both:

Working in fisheries is excluded from agricultural labour. Further, 'carriage for transportation' refers only to the first stage of the transport from farm to the first place of disposal.

5.0.14 Wage paid-manual labour: A person who does manual work in return for wages in cash or kind or partly in cash and partly in kind (excluding exchange labour) is a wage paid manual labour. Salaries are also to be counted as wages. A person who is self-employed in manual work is not treated as a wage paid manual labour.

5.0.15 Usual activity status: The usual activity status relates to the activity status of a person during the reference period of 365 days preceding the date of survey. The activity status on which a person spent relatively longer time (major time criterion) during the 365 days preceding the date of survey is considered the principal usual activity status of the person. To decide the principal usual activity of a person, he/she is first categorised as belonging to the labour force or not, during the reference period on the basis of major time criterion. Persons, thus, adjudged as not belonging to the labour force are assigned the broad activity status 'neither working nor available for work'. For the persons belonging to the labour force, the broad activity status of either 'working' or 'not working but seeking and/or available for work' is then ascertained again on the basis of the relatively longer time spent in the labour force during the 365 days preceding the date of survey. Within the broad activity status so determined, the detailed activity status category of a person pursuing more than one such activity will be determined again on the basis of the relatively longer time spent.

5.0.16 Subsidiary economic activity status: A person whose principal usual status is determined on the basis of the major time criterion may have pursued some economic activity for a relatively shorter time (minor time) during the reference period of 365 days preceding the date of survey. The status in which such economic activity is pursued is the subsidiary economic activity status of the person. In case of multiple subsidiary economic activities, the major two activities and their statuses based on the relatively longer time spent criterion will be considered. It may be noted that engagement in work in subsidiary capacity may arise out of the two following situations:

5.0.17 Current weekly activity status: The current weekly activity status of a person is the activity status obtaining for a person during a reference period of 7 days preceding the date of survey. It is decided on the basis of a certain priority cum major time criterion. According to the priority criterion, the status of 'working' gets priority over the status of 'not working but seeking or available for work' which in turn gets priority over the status of 'neither working nor available for work'. A person is considered working (or employed)) if he/she, while pursuing any economic activity, had worked for at least one hour on at least one day during the 7 days preceding the date of survey. A person is considered 'seeking or available for work (or unemployed)' if during the reference week no economic activity was pursued by the person but he/she made efforts to get work or had been available for work any time during the reference week though not actively seeking work in the belief that no work was available. A person who had neither worked nor was available for work any time during the reference week, is considered to be engaged in non-economic activities (or not in labour force). Having decided the broad current weekly activity status of a person on the basis of 'priority' criterion, the detailed current activity status is again decided on the basis of 'major time' criterion if a person is pursuing multiple economic activities.

5.0.18 Current daily activity: The activity pattern of the population, particularly in the unorganised sector, is such that a person might be pursuing more than one activity during a week and sometimes during a day. Many people might undertake both economic and non-economic activities on the same day of a reference week. The current daily activity status for a person is determined on the basis of his/her activity status on each day of the reference week using a priority-cum-major time criterion (day to day labour time disposition). The following points may be noted for determining the current daily status of a person:

5.0.19 Operation: It is the type of work performed by a person during a reference period such as manual, non-manual, agricultural, non-agricultural etc. Operation has been combined with activity status and industry corresponding to the work performed. Information regarding the type of operation is collected only for rural areas and relating to current status only. The different types of operations are - ploughing, sowing, transporting, weeding, harvesting, others (manual) and others (non-manual). In the last two cases the sector in which the work is performed is indicated by the industry. It may be noted, that for 'regular salaried/wage employees' on leave or on holiday the 'operation' relates to their respective function in the work or job from which he/she is temporarily off. Similarly, for persons categorised as 'self-employed' but not working on a particular day inspite of having work on that day, the operation will relate to the work that he/she would have done if he/she had not enjoyed leisure on that day.

5.0.20 Skill: Any marketable expertise, however acquired, irrespective of whether marketed or not, whether the intention is to market it or not is considered as skill. Thus, a person holding a certificate or diploma on an appropriate subject will be considered to possess the specified skill along with the persons who have acquired the said skill without receiving any such certificate or even without attending any institution. When a person has acquired skill in more than one trade, the skill in which he/she is more (most) proficient is considered as his/her skill.

5.0.21 Nominal work: Work done by a person for 1-2 hours in a day of the 7 days reference week is said to be a day with nominal work for the person. In the day to day labour time disposition of the reference week, such a day's work is considered to be 'half-days' work (and it gets half intensity while accounting).

5.0.22 Earnings: Earnings refer to the wage/salary income (and not total earnings) receivable for the wage/salaried work done during the reference week by the wage/salaried employees and casual labourers. The wage/salary receivable may be in cash or kind or partly in cash and partly in kind.

5.0.23 Cultivation: All activities relating to production of crops and related ancillary activities are considered as cultivation. Growing of trees, plants or crops as plantation or orchards (such as rubber, cashew, coconut, pepper, coffee, tea etc.) are not considered as cultivation activities for the purpose of this survey. In general, the activities covered under NIC 1998 sub-classes 01111, 01112, 01113, 01115, 01119, 01121, 01122 and 01135 (excepting plantation of pepper and cardamom) are to be considered as cultivation (equivalent to the activities under industry Groups 000 to 008 of NIC 1987).

DETAILS OF SCHEDULE

5.0.24 In this round, a bulk of information is to be collected about the enterprises in which the workers in the household are employed. It is, therefore, preferable to contact the workers in the household to get information about their enterprises.

5.0.25 Block 0: Descriptive identification of sample household: This block is meant for recording descriptive identification particulars of the sample household and the sample village/block to which the sample household belongs. All the items are self-explanatory. A dash mark (-) may be recorded against items which are not applicable in a particular situation (e.g. village name is not applicable for urban sample).

5.1.0 Block 1: Identification of sample household: The identification particulars of the sample household will be recorded in this block. The instructions to be followed will be the same as those for Block 1 of Schedule 1.0 given in Chapter Four (see paragraphs 4.1.1 to 4.1.9). It may further be noted that for item 12, entry will always be 1 in the case of first visit to the household (i.e., in Sch. 10) and 2 in the case of a re-visit (i.e., in Sch. 10.1).

5.2.0 Block 2: Particulars of field operations: The instructions to be followed for filling in this block will be same as discussed in paragraph 4.2.0.

5.3.0.0 Block 3: Household Characteristics: Characteristics which are mainly intended to be used to classifying the households will be recorded in this block. Items are similar to that of schedule 1.0. Therefore, for field instructions please refer to the relevant portions of Chapter 4 as given below:

5.3.0.1 Item 5: Total expenditure last month (Rs): The total monthly consumer expenditure given in item 19 of block 9 will be copied against this item. The entry for expenditure will be made in whole rupees (and not in two places of decimals).

5.3.0.2 Items 9 and 10: No. of members who got work for at least 60 days in 'public works' during last 365 days: It will be first ascertained if any member of the household got any work for at least 60 days during last 365 days preceding the date of survey in 'public works'. The scope of 'public works' is as explained in paragraph 4.3.26. The number of male and female members who got work in 'public works' will be recorded against items 9 and 10, respectively. If no member got any such work '0' will be recorded against these items.

[Section 5.3 regarding household indebtedness is not presented here.]

5.4.0 Block 4: Demographic and migration particulars of household members
This block is meant to record the demographic particulars like sex, age, marital status etc. and particulars of migration for each member of the household. The description of the items and the procedure for recording them are explained below:

5.4.1 Column (1): Serial number: All the normally resident members of the sample household will be listed in this block with continuous serial numbers starting from 1 in this column. While listing, the head of the household will be listed first, followed by his/her spouse, the first son, his wife and children, second son, his wife and children, etc. After the sons are listed, the daughters will be listed followed by other relations, dependent, servants, etc. For definitions of 'household' and 'normally resident members' of the household see Chapter 1 of the instructions.

5.4.2 Column (2): Name of member: The name of the normally resident members corresponding to the serial numbers in column (1) in the order specified above will be entered in column (2).

5.4.3 Column (3): Relation to head: The family relationship of each member of the household to the head of the household will be recorded in codes in this column. The head of the household, who will be listed first, will be given code 1, corresponding to 'self'. The codes to be used to indicate various relationships are as follows:

5.4.4 Column (4): Sex: The sex of each member of the household will be recorded as 1 or 2 depending on whether the member is a male or female.

5.4.5 Column (5): Age (years): Age of each member in completed years as on the date of survey will be entered in this column, in a two digit formation. Thus, a child who is less than a year old will have an entry '00' and a person who is 35 years and 10 months will have entry '35'. If any person is found to be more than 99 years old, his/her age will be recorded as '99'.

5.4.6 Column (6): Marital status: The marital status of each member will be recorded in this column in codes. The codes for different marital statuses are as follows:

5.4.7 Educational standard: Information on highest general and technical education attained by the members of the household will be recorded in terms of codes in column (7) and column (8), respectively. For the purpose of making entries in these two columns, only the course successfully completed will be considered. For instance for a person who has studied up to say, first year B.A. or has failed in the final B.A. examination, his educational attainment will be considered only as 'higher secondary', for the purpose of column (7).

5.4.7.1 Column (7): General: In column (7), the highest level of general education of the members will be recorded in codes which are given below:

A person who can read and write a simple message in any language with understanding is considered literate. Those who cannot do so will be treated as not literate and will be assigned code 01. Some persons achieve literacy by attending Non-formal Education Courses (NFEC) or Adult Education Centres (AEC). Such persons will be given code 02. During the last few years under the National Literacy Mission, in many parts of India, Total Literacy Campaigns (TLC) are being organised. Persons who have become literate through attending TLC will be given code 03. Persons who are literate through means other than formal schooling or the two above enumerated ways will be given code 04. Those who are by definition literate but are yet to pass primary standard examination but have attended or are attending formal school classes will be assigned code 05. Codes 06, 07, 08, and 09 will be assigned to those who have passed the appropriate levels. The criteria for deciding primary, middle, secondary etc. levels will be that followed in the concerned states/u.ts. A graduate will get one of the codes 10 to 13 depending on the subject in which he/she has graduated. For code 12, medical graduates belonging to school of medicine other than allopathic, are also to be considered. In case the person has graduated in more than one discipline and if more than one of the codes 10 to 13 are applicable, then the following procedure may be followed:

(i) when code 13 as well as one of the code 10 to 12 are relevant, code 13 will not be considered.

(ii) where more than one of the codes 10 to 12 are relevant the code indicating the degree last obtained will be considered. Persons who have attained proficiency in languages like Sanskrit, Persian etc. through formal but not the general type of education will be classified appropriately at the equivalent level of general education standard.

5.4.7.2 Column (8): Technical: Technical education standard achieved by the members of the household will be recorded in one of the following codes:

If more than one of the codes 2 to 9 are applicable, the code indicating the diploma/certificate last received will be considered. It may be noted that the technical certificate/diploma obtained by the person need not necessarily be recognised by the Government.

5.4.8 Column (9): Current attendance in educational institutions and course of study: This item will be collected for persons of age below 30 years. It will be first ascertained if the person is currently attending any educational institutions (government or private) or not. Persons who are registered for any regular correspondence courses or distance education courses for a stipulated period at the end of which, are allowed to appear in the examination for the course, will also be considered as "currently attending educational institutions". Persons who are awaiting results will be considered as "currently attending" and the appropriate code for the level for which they have appeared in the exams will be recorded. For those who are found currently attending, the course of study pursued by them will be further ascertained. Persons who are not currently attending any educational institutions will be given any of the codes 11 to 16 depending upon situation. For others, codes will be assigned depending on the course of study pursued by them. The code structure for this item is as follows:

Drop-outs are those who while attending a level/course discontinued study before successfully completing that level, and discontinued cases are those who discontinued study after successfully completing a level.

5.4.9 Column (10): Currently registered with employment exchange: For persons of age below 65 years listed in col. 1 of the block, it is to be ascertained whether or not they are currently on the live register of the employment exchange. For a person to be currently on the live register, he or she should renew his/her registration before it lapses, i.e. when the renewal becomes due. The period specified for renewal varies from state to state and also perhaps, from one employment category to the other. The investigator therefore should ascertain from some knowledgeable sources, the period specified for such renewal in the particular region where he has to carry out the field work. With this background information, the investigator should find out when the person has registered in the employment exchange, whether he has renewed the registration etc. and thus determine whether or not he or she was currently on the live register of the employment exchange. If the name of the person is in the live register of the employment exchange, code 1 and if not, code 2 will be recorded in col. 10.

5.4.10 Column (11): Whether staying in the same village/town for last 6 months or more: Each member of the household will be asked whether or not he/she has been staying in the sample village or town, as the case may be, for last 6 months or more irrespective of his/her period of temporary stay-away from the village/town for any purpose. Those staying for last 6 months or more would be assigned code 1 and others, code 2. It is quite possible that on the date of survey, a member of the household is not in the sample village/town and is temporarily away from the village/town. For him/her also, code 1 or 2 will be assigned depending on whether his/her stay in the village/town is for last 6 months or more, or not. Note that for new born babies of age less than 6 months, code 2 may be recorded.

5.4.11 Column (12): If code 1 in col. 11, whether during last 365 days stayed away from village/town for 60 days or more for employment or in search of employment: For each person who had stayed in the sample village/town for last 6 months or more (i.e. with code 1 in col. 11), it is to be ascertained whether during last 365 days preceding the date of survey, he/she stayed away from the village/town for 60 days or more either for the purpose of employment/better employment or in search of employment. Code 1 or 2 is to be assigned according to the reply being in the affirmative or otherwise. For filling in this column, the following points may be kept in mind:

The following illustration may help in identifying the purposes 'for employment' and 'in search of employment':

5.4.12 Column (13): Whether place of enumeration differs from last usual place of residence (upr): This column is intended to capture the information on migration of the household members. This will be decided based on the concept of change in the usual place of residence (upr). The usual place of residence here is defined as a place (village or town) where the person has stayed continuously for a period of six months or more. The place of enumeration refers to the place (village or town) where the person is being enumerated or surveyed, i.e., the present place of residence of the person. This column will record whether the person now enumerated had a different upr previously (called the last upr). Code 1 will be entered for persons whose place of enumeration is different from the last upr. For those who have been staying in the same village or town since their birth code 2 will be entered. Visits of daughters to their parent's place for child birth or for treatments etc. will not be considered even if it is for more than six months. The following two cases may be specifically noted:

5.4.13 Columns (14)-(20): Columns (14) to (20) will be filled in only for those persons whose place of enumeration is different from the place of last upr (i.e., for those with code 1 recorded in col. 13).

5.4.14 Column (14): Period since leaving the last upr: For each such person, the years since leaving last upr i.e., the years elapsed since leaving the last upr till the date of survey will be recorded in column (14) in whole number as follows:

In other words, only the completed number of years will be recorded. Periods of temporary stay (less than six months) in other places after leaving the last upr will also be included while determining the years since leaving last upr.

5.4.15 Column (15): Particulars of last upr-location: Location refers to the type of last usual place of residence of the person. The relevant code, as per the structure given below, is to be assigned to each of the person with code 1 in col. 13. The codes are:

5.4.16 Column (16) and (17): State/u.t./country-name and code: The state/u.t./country to which the last upr belongs to will be recorded in these columns. While the name will be written in col. 16, the codes for states and union territories in India will be assigned in col. 17 and will be the same as those used in the list of NSS regions, appended to the instructions.

As for the codes for the countries to which the last upr belongs the following coding scheme is to be used:

5.4.17 Column (18): Usual activity status at the time of leaving last upr: For determining the usual activity status of the person at the time of leaving the last upr i.e. at the time of migration, the reference period to be adopted will be 365 days preceding the date of migration. The determination of the usual activity status will be done adopting the 'relatively long time criterion' as described in paragraph 5.0.15. The usual activity status will naturally relate to the principal status. After determining the 'usual status' of the person the code relevant to the status assigned will be recorded here. The code structure is the same as given in paragraph 5.5.1.2.

5.4.18 Column (19): Industry division (2 digit NIC 1998): For the persons assigned any of the activity status codes 11-51 in col. 18 (i.e., those categorised working), the appropriate industry division code (2 digit NIC 1998) will be recorded in this column. The column will be left blank if entry in col. 18 is any one of 81-97.

5.4.19 Column (20): Reason for leaving last upr: For each person who had changed the last upr, the reason for doing so will be ascertained and recorded in terms of codes in this column. Only the reason for leaving the last upr (i.e., the one immediately before coming to the place of enumeration) will be considered. Codes for making entries in this column are:

The reason for migration has to be arrived at after suitable probes for each member of the household whose last upr was different from the place of enumeration. It may be noted that different members will report different reasons. Head of the household might have moved on transfer, but to members of family will be moving due to his movement only and not due to transfer of service. A few illustrative cases will help in clarifying the different reasons further. (These are not exhaustive and are given only as guidelines).

(i) Persons who move to a city or town in search of employment will be given code 1 if they were not already in employment at the time of leaving.

(ii) Persons who were employed at the last upr, but have come to the place of enumeration in search of better employment or regular employment or for other occupations will be given code 2.

(iii) The first two cases are different from the persons who come to the place of enumeration to take up jobs. These persons were not in search of jobs but were offered jobs for the first time or were offered better jobs than the one they were having at the last upr. They will be assigned code 3.

(iv) Transfer of service/contract will include persons who as part of the employment contract or service liability move from one place of posting to another. Regular employees like Govt. servants on transfer will fall in this category.

(v) Persons who had moved in order to be nearer to their places of work will be given code 5. These are people who move either to sub-urban towns or to nearby cities and should be distinguished from the earlier cases by noting that such persons do not move place to take up their jobs but only at a later period, with the explicit purpose of avoiding or reducing commuting to place of work or other similar reasons.

(vi) Students and others who leave their upr for further studies due to lack of requisite facilities at the last upr or other reasons will be classified under code 6. If a person changes upr to pursue his studies and at the same time looks for employment, which is the case in many occasions, the factor which is basic for his change of residence should be considered. No priority rule exists in recording reason codes.

(vii) Persons who move to a place to stay in a house/flat acquired by them will be given code 7. Here again the reason for movement should be directly attributable to the acquisition. Persons who on retirement move to their own house etc. will not be included.

(viii) Certain persons move from metropolitan cities or large towns to nearby smaller towns or other areas due to the problems of getting suitable accommodation or high rent etc. in the city or town of original residence. Such cases may be reported in villages also. They will be categorized under code 8.

(ix) Migration arising out of social or political problems including communal problems will be recorded under code 9.

(x) Persons sometimes move from one place to another due to the availability of better medical facilities for treatment or because of the unsuitable weather in the last upr etc. They will be counted as leaving upr for health reasons.

(xi) A substantial number of women in India change their upr after marriage to join their husbands. Person, whose change in upr occurs exclusively due to marriage will be given code 11.

(xii) In many cases of household migration, the members are passive movers in the sense that their changing upr is purely as a result of the parent or earning member changing upr. That the members might benefit by such moves in other ways should not count. Such passive movers will be recorded with code 12.

(xiii) Reasons for migration which cannot be classified into any of the cases with codes 1 to 12 will be assigned code 19.

5.5.1.0 Block 5.1: Usual principal activity particulars of household members: The usual principal activity particulars of each member of the household will be collected in this block. This will include information on industry-occupation of the working members and the particulars of the enterprises in which they are working. The particulars of usual activity are collected with reference to a period of 365 days preceding the date of survey. The relevant concepts like 'activity statuses', 'economic activity', 'principal usual activity', 'subsidiary economic activity' etc. are explained in the beginning of this chapter under 'concepts and definitions'. The description of the items and the procedure for recording them are explained below:

5.5.1.1 Columns (1) and (2): Srl. no. and age, as in cols. (1) and (5) of block 4: The entries in these two columns are to be copied from cols. 1 and 5 of block 4, for each of the members of the household.

5.5.1.2 Column (3): Status: For each of the members, the principal usual activity status will be recorded in this column. In the first instance the broad principal usual activity of the person will be identified based on the various activities pursued by the person during the reference period of last 365 days adopting a 'relatively long time (or major time)' criterion, not necessarily for a continuous period. The broad principal usual activity status will be one of the three categories viz. 'employed' (working), 'unemployed' (available for work) or 'not in labour force' (neither working nor available for work). It is to be noted that in deciding this, only the normal working hours available for pursuing various activities need be considered, and not the 24 hours of a day. Identification of this broad usual status category is explained below. The broad principal usual activity status will be obtained on the basis of a two stage dichotomous classification depending on the major time spent. Persons will be classified in the first stage into (i) those who are engaged in any economic activity (i.e. employed) and / or available for any economic activity (i.e. unemployed) and (ii) who are not engaged and also not available for any economic activity (i.e. not in labour force). Thus, the persons will be first classified as those in the labour force and those not in the labour force depending on in which of these two statuses the person spent major part of the year. In the second stage, those who are found in the labour force will be further classified into working (i.e., engaged in economic activity or employed) and seeking and/or available for work (i.e. unemployed) based on the major time spent. Thus, we can obtain the broad principal usual status as one of the three viz. employed, unemployed and out of labour force.

During the major time of the reference year, was the person working or available for work?

Thus, the procedure followed in the identification of the broad usual status classification is different from the one followed up to NSS 43rd round. The following example will help in highlighting the differences as also clarify the procedure.

[Employment status example table not presented here.]

With the broad category identified for a person, detailed activity status will be assigned on the basis of relatively longer time spent on a detailed activity. For example, suppose A in the example given above worked in household enterprises without hiring labour for 3 months and worked as casual labour for 2 months, then his principal usual activity status would be, worked in household enterprise (own account worker). The detailed principal status activity codes are as given below:



Codes 11, 12, 21, 31, 41 and 51 refer to the 'employed', 81 to the 'unemployed' and the remaining viz. 91 to 97 refer to the 'not in labour force'. Definitions of categories of workers are provided in this chapter under 'Concepts and Definitions'.

(i) It may be emphasised that the definitions used for describing helper in household enterprises is different from the one used in rounds prior to NSS 50th round. It is to be noted that availability for work being more of a status than an activity, a person being available for work may well be engaged in one or more of the activities denoted by codes 91 to 97. In all such cases except those engaged as students (code 91), persons will be categorised as 'unemployed' if he/she reports to be available for work for a relatively longer period, inspite of his/her being engaged simultaneously in a non-economic activity. But, if a person who is available for work is reported to have attended educational institution more or less regularly for a relatively longer period during the preceding 365 days, further probing as to whether he will give up the study if the job is available is to be made before considering him as 'unemployed'.

(ii) Again, it also needs to be emphasised that the procedure to be followed in ascertaining the activity status of a domestic servant who is a member of the employer's household is different from the procedure adopted for other member of the household. It could be seen from paragraph. 5.0.4 that engagement in domestic duties by the member of a household is not considered economic activity as defined for the survey. On the other hand, although a domestic servant staying in the employer's household and taking food from the common kitchen is, by definition, a member of the employer's household, he/she is engaged in domestic duties in return of wages in cash and/or kind. Thus, as a special case, domestic duties pursued by a domestic servant will be considered as an economic activity and the activity status code as is applicable will be assigned to him/her.

(iii) Carpenters,. masons, plumbers, etc., who move from place to place in search of work and carry out the work on a contract basis (not on wage basis) whenever work is available, will be considered as 'own-account worker'. But if such persons are working on a wage basis or so under a contractor, they will be considered as employee.

5.5.1.3 Columns (4)-(6): Principal industry-occupation: Columns (4) to (6) will be filled-in for those who are 'working' i.e. those with any one of codes 11, 12, 21, 31, 41, or 51 in column (3). The description of the industry-occupation relevant to the type of economic activity pursued by the person in the status recorded in col. (3) will be given in col. (4). The corresponding 5 digit industry sub-class code (NIC 1998) and the 3 digit occupation family code (NCO 1968) will be entered in columns (5) and (6), respectively. In case, two or more industry-occupation combinations corresponding to the status code given in column (3) have been reported by a person, the principal industry-occupation will be the one, in which relatively more time has been spent during the preceding 365 days by the person.

IMPORTANT
Note that to identify certain category of workers separately, NIC 1998 industry class code 9500 has been split into the following sub-classes, for the purpose of the survey, as given below:

Division 95: Private Households With Employed Persons

These additional codes are to be used, wherever necessary, in recording five digit entries in col. 5 of blocks 5.1 and 5.2 and in col. 21 of block 5.3. In assigning the industry code under Division 95, it should be kept in mind that the work is to be performed predominantly in the premises of the household irrespective of whether it is performed in one or more than one household. Services provided by individuals to the household, if originate and terminate in the same household, will be classified under Division 95. For example, persons who collect electric bills from the households for payment, provide potable water in the container made available by the household, collects grocery items from the shops/market as per the list of items supplied by the household, gives tuition to the members of the household, etc., will be classified under this division. On the other hand, if the households avail these services by approaching such persons (providing these services) in their establishment/house, then those services will not be classified under Division 95. They will be classified under appropriate division. For example, a person giving tuition in his own coaching center or his own house, his activity will be classified under NIC 80904. Similarly, a person who is supplying potable water to one or more households (and uses his own container - which is his asset), will be classified under NIC 93090.

Note that the persons classified under NIC 95 in the above example, will be considered as 'wage earners/employees', while those not classified under 95 will be considered as 'self-employed'.

5.5.1.4 Column (7): Whether engaged in any work in a subsidiary capacity (1 yes, 2 no): For each member of the household listed in this block, it has to be ascertained whether he/she worked in a subsidiary capacity during the 365 days preceding the date of survey or in other words if he had any subsidiary economic status. Code 1 or 2 will be recorded accordingly. The identification of those working in a subsidiary capacity will be done as follows. To illustrate:

It may be noted that engagement in work in subsidiary capacity may arise out of two situations: (i) a person may be engaged in a relatively long period during the 365 days in economic (non-economic activity) and for a relatively minor period in another economic activity (any economic activity), (ii) a person may be pursuing an economic activity (non-economic activity) almost throughout the year in the principal status and also simultaneously pursuing another economic activity (any economic activity) for relatively shorter time in a subsidiary capacity.

5.5.1.5 Column (8): If code 1 in col. (7), number of subsidiary activities during last 365 days: For persons having code 1 in column (7), the number of subsidiary activities pursued by him/her during last 365 days will be ascertained and recorded in terms of code as detailed below:

The activities having different work status will be considered as different activities. Activities within the same work status but with different industry and/or occupation will also be considered as different activities.

5.5.1.6 Columns (9) to (18): Particulars of enterprise for persons with industry divisions 10 to 99 in col. 5: In these columns, particulars of the enterprises where household members are usually engaged will be recorded. These items are to be filled in for the members working in the non-agricultural enterprises (i.e., for those with entries 10 to 99, but not with entry 00, in col. 5 of the block). Note that the particulars to be collected in columns 9 to 18 will pertain to the principal status (col. 3) and industry (col. 5) obtained for the person. Itemwise details follow. It is possible that the informant is, inspite of the best efforts of the investigator, unable to provide information sought from this set of items, the investigator should try to contact the concerned household member (worker) to record these information. In order to do that, the investigator may have to revisit the household and even at hours beyond his/her normal working.

5.5.1.7 Column (9): Location of workplace (code): The location of the workplace of each of the working members of the household is to be ascertained and recorded in terms of code under this column. The detailed codes are:

Workplace in rural areas and located in:

Workplace in urban areas and located in:


It may be noted that the location of the sample household (rural or urban) is not to be considered for entry in this column; location of the enterprise will be determined and appropriate code is to be recorded. For the working members, if the enterprise in which they are working does not have a fixed premises or in other words they do not have a fixed place of work (as in the case of an artisan like carpenter, cobbler, knife-grinder, own-account carpenters, etc.) and who perform their activity in different houses or other places where they are engaged and not at any fixed place, will be assigned code 10, irrespective of whether the enterprise is operational in rural or urban areas. For those working in enterprises with fixed location, two sets of codes have been provided, one for the enterprises which are located in the rural areas and the other for those which are in the urban areas. The two sets are identical in their classification. In the case where the sector of location is both rural and urban, appropriate code is to be given on the basis major time criterion. Code 16 / 26 is relevant only for persons engaged in construction industry. The workplace of the workers engaged in construction activity is normally the site of construction and may change frequently. For them appropriate entry will be 16 / 26 and not 10.

5.5.1.8 Column (10): Enterprise type: The type of enterprise in which the household member is working is to be recorded under this column. The entry is to be made in terms of codes as given below:

Note that the proprietary and partnership enterprises covered under ASI will not get codes 1 to 4. These enterprises will get code 7. Definitions of various enterprises types are given below:

Proprietary: An individual is the sole owner of the enterprise. Code 1 or 2 will be recorded for such enterprises according as the individual is a male or a female.

Partnership: Partnership is defined as the "relation between persons who have agreed to share the profits of a business carried on by all or any one of them acting for all". There may be two or more owners, belonging to the same or different households, on a partnership basis, with or without formal registration (where there is a tacit understanding about the distribution of profit among the so-called partners). Code 3 will be assigned if the partnership involves members of the same household and code 4 will be assigned otherwise.

Public sector enterprise: An enterprise wholly owned/run/managed by Central or State governments, quasi-government, institutions, local bodies like universities, education boards, municipalities etc. (An enterprise should not be treated as a public sector enterprise if it is run on a loan granted by government, local body etc.). Code 5 is to be recorded for members working in such enterprises.

Semi-public (enterprises): 'Semi-public' enterprises are those joint enterprises in which besides private shareholders, government (Central/State/local bodies etc.) also holds some shares, no matter who has the majority of shares.

Others: All other enterprises, other than those having specified codes under this item, will be covered under 'others' and code 7 will be assigned to such enterprises. These enterprises will include co-operative society, public limited company, other units covered under ASI and institutional enterprises other than those described above which are managed by public trusts or societies (other than co-operative societies), training school/institutions etc.

If the informant does not know the type of enterprise in which the household member works and the investigator is unable to collect such information inspite of his/her best efforts, code 9 will be recorded for such working member against type of enterprise.

5.5.1.9 Column (11): Whether keeps written accounts (1 Yes, 2 No,9 Not known): Whether the unit keeps accounts or not is to be ascertained and recorded in terms of code. If the accounts are available and also usable then code 1 will be recorded, otherwise code 2 will be recorded. Generally, the owners do keep some records for their own use. But these are very haphazardly maintained and are not usable for accounting purpose. In such cases, the code against this item will be 2. In case the informant is not able to provide information in this respect, code 9 will be recorded.

5.5.1.10 Column (12): Number of workers: This number would mean the average number of workers employed on a day of operation irrespective of whether they are hired, household, paid or unpaid, who are involved in the production process irrespective of age and sex will be considered for this item. The number of workers will be recorded in terms of codes as detailed below:

In case the informant is not able to provide information on the number of workers, code 9 will be recorded.

5.5.1.11 Column (13): Whether uses electricity for manufacturing (yes -1, no -2, not known -9): This item will be collected only for persons working in manufacturing enterprises (i.e., for those with industry divisions 15 to 37 as per NIC 1998).The information as to whether the enterprise in which the person works, uses electricity for manufacturing purposes or not is to be recorded here. It may be mentioned here that use of electricity exclusively for purposes other than manufacturing/production like, for comfort, security, illumination, etc., will be assigned code 2. If the informant is unable to reply, code 9 will be recorded.

5.5.1.12 Columns (14) to (18): If code 11, 12 or 21 in col. 3: These items are meant for identification of home workers and study of their characteristics and to be canvassed for the self-employed persons with industry divisions 10 to 99 (in col. 5). Note that the particulars to be collected in these columns will pertain to the principal status (col. 3) and industry (col. 5) obtained for the person. The itemwise details are given below:

5.5.1.13 Column (14): Whether worked under given specifications: It is to be ascertained whether in relation to the activity recorded in col. 3, the person carried out the production (i.e., goods and services) on the basis of given or laid product-specifications of the 'employer' (see paragraph 5.0.8 (i) for definition of 'employer'). When a person procures the order/contract from the 'employer' for his or her household enterprise to supply goods, normally an implicit or explicit specification of the product, written or oral, is laid by the 'employer'. Some times, the whole activity is carried out under the specifications of the 'employer', or a part under the specifications of the 'employer' and rest of his own specification. The appropriate situation is to be ascertained and be recorded in codes. Note that most of the self-employed carry out activities on their own specification and for all the customers. They will get code 4. The relevant codes are given below:

Worked under given specifications:

5.5.1.14 Columns 15, 16, 17 and 18 are to be filled in for those who are self-employed and working wholly or mainly under the given product-specifications, i.e., for those with code 1 or 2 in col. 14.

5.5.1.15 Column (15): Who provided credit/raw material/equipment: Three questions are integrated under this column: credit, raw material and equipment. A composite code structure has been provided for recording the entries under col.15. It is to be ascertained from the self-employed persons whether the 'employer' (enterprise) who gives product-specifications (in terms of the order/contract) also provides credit/raw material/equipment to them. Here, 'credit' means cash advance for a particular order or a group of orders and for working capital only (i.e. for purchase of raw material and meeting other running expenses). However, credit provided for purchase of equipment will not be considered as 'credit' and instead will be considered as 'provided for equipments'. The entry is to be recorded in terms of codes as given below:

5.5.1.16 Column (16): No. of outlets of disposal: Here, the outlet means the 'employer' for whom the self-employed is working. There may be cases where the self-employed may be working under the specifications of more than one 'employers'. Appropriate code depending upon the cases may be recorded as given below:

5.5.1.17 Column (17): Basis of payment: In most cases, the payment received for the work done on order/contract is on the basis of piece rate. For those cases, code 1 will be recorded, otherwise code 2.

5.5.1.18 Column (18): Type of specifications: The specifications laid by the 'employer' may be written one or oral and accordingly, code 1 or 2 will be recorded..

5.5.1.19 Column (19): For persons of age 15 years and above (15+) having codes 81-97 in col.3, skill possessed: For the persons of age 15 years and above and not 'working' as per the usual principal status i.e. those of age 15 + with codes 81-97 in col. 3, the information as to whether the person has acquired any of the listed skills as on the date of survey is to be recorded in this column. Skill is defined as any marketable expertise. It is neither necessary that such a skill is acquired in any formal manner nor that the person is actually marketing it or intends to market it. When a person has acquired skill in more than one of the listed skills, the skill in which the person is more proficient will be considered. Skill will be recorded irrespective of the level of general and technical education. The list of skills to be considered and the codes to be used are given below.

5.5.1.20 Column (20): For codes other than 81 in column (3), period of seeking/availability for work for some period during last 365 days: The principal usual activity status of each person is recorded in column (3). It is to be ascertained from persons whose principal usual activity status was - either employed (codes 11-51) or out of labour force (codes 91-97) - i.e., other than code 81 in column (3), whether they were seeking/available for work for some period during last 365 days or not. For example, a person may be employed in his/her principal usual activity status based on the majority time criterion. But he/she may have been looking for work for some period. Similarly, a girl may have been looking for job for sometime but subsequently got married and was engaged in the domestic duties. The latter activity might have been pursued for a relatively longer period. In all such cases, one of the codes 1 to 3 will be given in column (20), depending on the period (not necessarily continuous) they were seeking/available for work. If a person was not seeking or available for work any time during the preceding 365 days, the appropriate code will be 4. The code structure applicable to this column is as given below:

5.5.2.0 Block 5.2: Usual subsidiary economic activity particulars of household members: This block will be filled in for those who have reported to have carried out some economic activity in the subsidiary capacity, i.e., for those with code 1 in col. 7 of Block 5.1. The usual subsidiary economic activity particulars of each member of the household will be collected in this block. This will include information on industry-occupation of the working members and the particulars of the enterprises in which they are working in subsidiary status. The particulars of usual activity are collected with reference to a period of 365 days preceding the date of survey. The relevant concepts like 'activity statuses', 'economic activity', 'principal usual activity', 'subsidiary economic activity' etc. are explained in the beginning of this chapter under 'concepts and definitions'. It may be noted that a person might have performed more than one economic activity in the subsidiary capacity during the reference period of 365 days preceding the date of survey. Provision has been kept to record the details of maximum of two subsidiary economic activities only, the two being those in which relatively more time had been spent out of many subsidiary activities. The description of the item and the procedure for recording them are explained below:

5.5.2.1 cols. (1) and (2): Srl. no. and age, as in cols. (1) and (5) of block 4: The entries in these two columns are to be copied from cols. 1 and 5 of block 4, for each of the members of the household. For the persons engaged in one subsidiary economic activity (i.e. those with code 1 in column (8), Block 5.1), the details of the subsidiary economic activity will be collected against the rows under 'subsidiary status number I'. If the person is engaged in two or more subsidiary economic activities, i.e. those with code 2 or 3 in column (8) of Block 5.1, the details of the subsidiary economic activity pursued for the maximum time period among all the subsidiary economic activities or in other words, major subsidiary economic activity, will be collected against the rows under 'subsidiary status number I' and the next major one under 'subsidiary status number II'. It is quite possible that a particular serial number and age appear under both 'subsidiary status number I' as well as 'subsidiary status number II'. Columns 7 to 16 of Block 5.2 are same as columns 9 to 18, respectively, of Block 5.1.

Note that the particulars to be collected in columns 7 to 16 will pertain to the subsidiary status (col. 3) and industry (col. 5) obtained for the person. The detailed instructions for these columns are also the same as those given in Block 5.1. These are not repeated here. However, the following points may be noted:

5.5.3.0 Block 5.3: time disposition during the week: This block is meant for recording the time disposition for all the 7 days preceding the date of survey, the current weekly status based on the 7 days time disposition, wage and salary earnings during the week, etc. Time disposition will be recorded for every member in the household listed in block 4. This involves recording of different activities pursued by the members along with the time intensity in quantitative terms for each day of the reference week. The different activities will be identified and recorded in terms of 'status' and 'industry' codes for persons in urban areas and 'status', 'industry' and 'operation' codes for persons in rural areas. The time intensity will be measured in half-day units. Since a person may be engaged in more than one type of activity on a single day, more than one line have been provided for each person in this block to record information on different activity particulars in separate lines.

5.5.3.1 Columns (1) and (2): Srl. no. and age: In columns (1) and (2) of this block, serial number of each person and his/her age recorded in columns (1) and (5), respectively of block 4, will be copied. The serial numbers in block 5.3 will be entered sequentially as they appear in col. (1) of block 4. Provision have been made to record particulars of five persons in one page. Three such sheets have been provided. In case more pages are required to accommodate all the persons listed in block 4, additional sheets of block 5.3 may be used. These sheets should be firmly stapled with the main schedule at the appropriate place.

Since a person may pursue more than one activity during the seven days of the reference week, four lines have been provided for each serial number recorded in column (1) for making separate entries relevant to the different activities on a day (two such activities) on different days of the reference week. Past experience indicates that provision of four lines will cover almost all the situations. However, if a person reports more than four different activities during the reference week the block of four lines meant for the next serial number of persons may be utilised by putting cross (x) marks in columns (1) and (2) and continuous serial numbers in column (3). Obviously, the particulars of the next person will be entered in the cell meant for serial number of persons subsequent to the cell already utilised for the previous person. In the case of children 0-4 years, their particulars will be entered and status code 97 will be assigned to them with intensity 1.0 without any probing.

5.5.3.2 Column(3): Serial no. of activity: For each persons listed in column (1) of this block (which will be same as listed in column (1) of block 4) the different activities pursued by them during all the seven days of the reference week will be serially numbered and this serial number of activity will be recorded in column (3). Presuming that the likelihood of one person pursuing more than four different activities in a week is rather remote, only four lines are provided for each person. As stated earlier, if a person pursue more than four different activities, the lines meant for the next person may be utilised. The current activity of a person in the rural areas is denoted by his status-cum-industry-cum-operation. Thus for a person with the same status, if the industry (at the tabulation category level) or operation are different on the same or different days, he will be considered to have pursued different activities and these activities will be entered in different lines. Similarly, for the urban areas the current activity of a person is denoted by his status-cum-industry. Thus, if a person in urban areas ploughs his own field in the first half of the day and sows in the second half of the day he will be considered to have only one activity during the day. But for rural areas, he will be considered to have two activities.

5.5.3.3 Column (4): Status: The current activity 'status' codes corresponding to the serial number of activity entered in column (3) will be recorded in this column. The status codes which will be used in recording daily activity particulars and the weekly activity particulars are as follows:

Situation of working or being engaged in economic activities (employed)

Situation of being not engaged in work but available for work (unemployed)

Situation of being not available for work (not in labour force)


These are same as the usual status codes except that codes 61, 62, 71, 72, 82 and 98 are not applicable for usual status and code 81 is used to indicate both the situations of seeking and being available for work. Further, the current weekly activity status for each individual will be identified based on the daily activity status codes. The procedure for doing this will be explained later in this chapter. The following paragraphs describe in details the procedure to be followed in making entries in each of the columns.

Although it may be theoretically possible that on a particular day of the reference week, a person may have any number of activities, the particulars relating to two activities identified on the basis of priority cum major time criterion need only be considered for making entries in this column. Thus, on a day, a person may either have only one activity with 'full' intensity or two activities with 'half' intensity for each. If the activity is pursued with intensity 'half' on a particular day, the entry will be 0.5 against that activity and if that is pursued with intensity more than half, 1.0 will be recorded against that activity in the relevant columns (7) - (13). Generally, an activity which is pursued for more than 1 hour but less than 4 hours is considered to have been pursued with half intensity. If it is pursued for more than 4 hours, the activity is considered to have been pursued with full intensity. However, for some persons, less than four hours of work daily is their normal working hours for the work or profession. In such cases he will be considered to have worked with full intensity. The decision whether the intensity to be recorded for an activity will be 0.5 or 1.0 has to be taken by the investigating staff making careful probes into the actual situation obtaining for the person on a particular day. Mere declaration made by the informants, that less than four hours of work daily is their normal working hours for the work or profession, should not be the basis for recording the intensity as 1.0. In the case of a cultivator, a village artisan or a small trader, it should not be presumed that a few hours on a day, say during the lean periods of the year is their normal work, and the intensity 1.0 need not necessarily be recorded for them. Since the particular block of the schedule is meant for recording the information on periodical or seasonal under-utilisation of available labour time, careful probes about the nature of work performed by a person during the day has to be made before recording the relevant entries. To illustrate, in so far as the daily activity pattern of a person is concerned, the following seven different situations can be visualised:



Which of the status codes are to be entered in column (4) will depend on whichever of the above situations are obtaining for a person on the different days of the reference week. The investigator is to first ascertain the exact situation from the informant and will record the appropriate status code or codes, as the case may be, in this column using the priority-cum-major time criterion. The relevant codes to be used for recording the status are already given. In case more than one 'non-economic activity status' (codes 91-98) are assignable to a person, in view of the typical activity pattern followed by him/her during the reference period, the activity which appears first in the code list in the ascending order starting from 91 will be assigned. But it may be noted that a person engaged in 'domestic duties' should not be classified as 'student' simply because he/she was attending some training. Similarly, a disabled person who was a recipient of regular pensions, remittances, etc. should be classified as 'rentiers, pensioners, remittance recipients, etc.' (code 94) and not as the category 'not able to work due to disability' (code 95). The following illustrations may be noted for general guidance.

5.5.3.4 Column (5): Industry (division): For each status code grouped under the activity category 'working' (i.e., for the status codes 11-72 recorded in column 4), the sector of activity in two digit code i.e., the industry division (NIC 1998) will be entered in column (5) in terms of the specified code numbers.

5.5.3.5 Column (6): Operation: This column will be filled in for persons belonging to the rural households only. The actual working operation performed by the persons relevant to the status codes grouped under the activity category working (i.e., status codes 11-72) will be entered in terms of code numbers in this column. It may be noted that for regular salaried/wage employees on leave or holiday the 'operation' will relate to their respective function in the work or job from which he is temporarily off in view of his taking leave or holiday. Similarly for persons categorised 'self-employed' (status codes 11, 12 and 21) if they are not at work on a particular day inspite of their having work on that day, operation to be recorded will relate to the work they would have done if they had not enjoyed leisure on that day. The relevant codes to be used for making entries in this column are:

Cultivation: All activities relating to production of crops and related ancillary activities will be considered cultivation. Growing of trees/plants/crops (such as rubber, cashew, coconut, pepper, coffee, tea, etc.) as plantation or orchards will not be considered cultivation activity. In general, the activities covered under the industry sub-classes 01111, 01112, 01113, 01115, 01119, 01121, 01122 and 01135 (excepting plantation of pepper and cardamom) will be considered cultivation.

5.5.3.6 Columns (7) - (13): Intensity of activity: For each activity recorded in column (3), the intensity with which the particular activity is performed on the different days of the reference week will be recorded in quantitative terms 'half' or 'full' in these columns. As described earlier, for each activity listed in column (3) either one 'full' intensity or two 'half' intensity may be assigned to a person on any one of the seven days of the reference week. For a particular activity, the recording of entries in columns (7) - (13) should start from column (7) which is provided for recording the intensity of that activity on the seventh day of the reference week, i.e., the day preceding the date of survey. Similarly, the intensity of that activity on the sixth, fifth and earlier days of the week will be recorded in columns (8), (9), (10), (11), (12) and (13) respectively. If the intensity of an activity is 'full' on a particular day, '1.0' will be recorded in the relevant column. On the other hand, if the intensity is 'half', the entry will be '0.5'. If that particular activity is not pursued on some other days of the reference week, the corresponding columns provided in the block for those days will be left blank against that activity. For each day, thus for a person, either there will be only one entry with intensity 1.0 in any one of the lines or two entries with intensity 0.5 each in any two of the lines.

5.5.3.7 For determining the various activities pursued by a person during the reference week and their intensities, the following thumb rule may be adopted:

(a) If a person had worked or was employed, that is, if he was engaged in any one or more of the activities 11-72 for four hours or more on a day he would be considered 'working' or 'employed' for the whole day and assigned the one or two out of the different work activities on which he devoted relatively long time. In the former case, intensity will be 1.0 and in the latter cases, 0.5 for each of the two activities recorded.

(b) A person, who had worked for 1 hour or more but less than 4 hours on a day, would be considered 'working' for half day and for the other half he would be considered either 'seeking or available for work' i.e., 'unemployed' (code 81 or 82) or as 'neither working nor available for work', i.e., 'not in labour force' (91-98) depending on whether or not the person was seeking/available for work. The person will be assigned the relevant work status code (11-72) with 'half' intensity and non-work status code 81 or 82 if 'unemployed' and any one of the relevant codes 91-98 if 'not in labour force', with 'half' intensity.

(c) If a person had not worked even for an hour on the day but had sought work or was available for work for four hours or more, he/she would be considered unemployed for the whole day and assigned the code 81 or 82 as the case might be with 'full' intensity. But if he/she sought work or was available for work for one hour or more but less than four hours, he/she would be considered 'unemployed' for half day and assigned the activity status code 81 or 82 with 'half' intensity and 'not in labour force' with 'half' intensity for the other half of the day, for which the relevant code (any one of the codes 91-98) would be assigned.

Flow chart 5.1: Broad steps for filling cols. 1 to 13 of block 5.3 for each member.

Note 1. An activity relating to work will be identified on the basis of the status-cum-industry-cum-operation in the rural areas and on the basis of status-cum-industry in the urban areas. An activity relating to other than work will be identified on the basis of status only both in rural and urban areas.

Note 2. On a day, a person will be considered to have been engaged in one activity with full intensity (1.0) or in two activities with half intensity (0.5). Of the many activities, two activities to be chosen based on priority-cum-major time criterion.

(d) A person not so considered 'employed', or 'unemployed' either for 'full' day or 'half' day as shown in (a), (b) or (c), would be considered the relevant activity code 91-98 with intensity 'full' (or two of them with each having intensity 'half', as the case may be). The above procedure, which will be the second stage in block 5.3 is given in Flow Chart 5.2.

In the case of a person engaged in self-employment, such as a doctor, a stationary or peripatetic trader or vendor, a free lance artisan or a mason or a carpenter, etc. the following may be kept in view while recording entries on intensity.

In the case of regular or casual salaried or wage employees, the activity beyond the normal working hours need not be considered for recording entries in these columns. On the other hand, if a person pursues two economic activities of duration, say 4-5 hours each, both are to be recorded with 0.5 intensity for each. In the case of self-employed persons, time spent on any ancillary activity relating to the actual activity of production of goods or services, will also be considered as time spent on 'work'. In this connection, it may be noted 'exchange labour' will be considered as 'work' performed in 'self-employed' capacity.

5.5.3.8 Column (14): Total number of days in each activity: The number of days for which a particular activity was pursued during the seven day, i.e., the total of columns (7) - (13) will be recorded in one place of decimal in column (14) separately for each activity listed in column (3). It may be noted that the total number of days for all the activities taken together should always be 7.0 for each individual entered in column (1).

5.5.3.9 Column (15) - (17): Wage and salary earnings (received or receivable) for the work done during the week (Rs): The wage and salary earnings (not total earnings) receivable for the wage/salaried work done during the reference week, separately for each of the relevant activities pursued by each person, will be recorded in these columns. The relevant status codes for which wages and salary earnings are to be recorded are 31, 41, 51, 71 and 72. The wages and salaries receivable for the work done during the reference week may be already received or may still be due to be received in cash or in kind or partly in case and partly in kind. The total wage or salary receivable for the week in cash will be recorded in column (15) and the value (evaluated at the current retail price) of salary or wages in kind receivable for the week will be recorded in column (16). The total of columns (15) and (16) will be entered in column (17). The entries for all these columns will be made in whole rupees. For recording the wages or salaries, amount receivable as 'over time' for the additional work done beyond normal working time will be included. Bonus (expected or paid) and perquisites evaluated at retail prices duly apportioned for the reference week, will be considered as wages and included for making entries in these columns. For the activity status '71' and '72', the amount receivable for the week will be worked out on the basis of the number of days reported under the activity during the week.

5.5.3.10 Column (18): Mode of payment: The relevant status codes for which this item will be filled in are 31, 41, 51, 71, and 72. The mode of payment made by the employer will be recorded in this column in terms of codes. The codes to be used for recording entries are given below:

5.5.3.11 Column (19): Total number of days with nominal work: Some of the persons reporting days with half intensity of work might have had work only for say, 1-2 hours on certain days out of them. Such days would be considered as days with nominal work. For each person, total number of days out of the 7 days reference period with only nominal work would be recorded in this column against the relevant person.

5.5.3.12 Column (20): Current weekly status (codes): Based on the activity statuses obtaining for a person on the seven days of the reference week, the current weekly status is to be identified and the status code so obtained is to be recorded here. This will be done as follows.

As already explained the activity statuses of a person falls into one of three broad categories, viz. employed (any of codes 11-72), unemployed (any of codes 81 or 82) and out of labour force (any of codes 91-98). The activity statuses for any day of the seven days is recorded in column (4). If any of these is a work related activity code i.e., any of 11 to 72 the person will fall in the employed category on the current weekly status. In other words, if the person is found to have been assigned a work status code on any of the day of the last week he will be considered as working in the current weekly status. For assigning the unemployed status code (i.e., either 81 or 82) to a person as his weekly activity status code, the person should not have had any work activity status codes on any of the days of the last week but should have one of codes 81 or 82 on at least one day of the last week (i.e., the entry in column (4) should not be any of 11-72 but should be 81 or 82 against one of the serial nos. of activity). Persons without any of codes 11-82 in column (4) will be those who will be treated as out of labour force in the current weekly status.

Further within the three broad activity status categorisation, the detailed activity status codes will be assigned taking into account the number of days in each activity recorded in column (14) in terms of the aggregate of intensities obtaining on various days. Within the broad activity status category identified for a person, the activity status code in column (4) which has the highest value in column (14) will be recorded in column (20). A few cases are reported below as illustrations.

The entries for column (20) will be made in the line corresponding to the first line for each person, i.e., the line in which serial no. of activity in col. (3) is 1. This third stage of assigning the CWS to the person is explained in the form of a flow chart (Flow Chart 5.3).

5.5.3.13 Columns (21 and 22): Industry and occupation: For persons with any of codes 11-72 in column (20), the 5-digit industry (NIC 1998) and 3-digit occupation (NCO 1968) will be recorded in these two columns. Note that to identify certain category of workers separately, NIC 1998 industry class code 9500 has been split and given in para 5.5.1.3. Those are to be considered here also. The industry and occupation will correspond to the economic activity in which the highest no. of days have been spent as explained in the previous para. In the cases where equal number of days is spent on two or more activities (like in case of person with serial no. 4 in the above example) the industry and occupation corresponding to the activity appearing first in the code list will be noted in columns (21) and (22).

[Reference table to block 5.3 columns from original is not presented here.]

[Flow chart 5.2: Determining intensity of activity (for columns 7 through 13) from original is not presented here.]

[Flow chart 5.3: Deciding current weekly status (for columns 20 to 21) from original is not presented here.]

5.5.3.14 Column (23): Whether unemployed on all the 7 days of the week: From the daily time disposition recorded in columns (7) to (13), it is to be ascertained whether the person was unemployed on all the seven days i.e., if he/she had code 81 or 82 in column (4) and intensity 1.0 on all the seven days. Code 1 or 2 will be recorded depending on the situation.

5.6.0 Block 6: Follow-up questions for persons unemployed on all the seven days of the week: This block is meant for collecting information on persons who are found to be unemployed on all the seven days of the week preceding the date of survey. Such persons will be identified on the basis of the daily time disposition recorded in block 5.3, and column (23) of block 5.3 will have code 1 for such persons. Information to be recorded in this block broadly includes their past employment and the particulars of such employment. The item-wise description of the block is as under.

5.6.1 Columns (1) and (2): Serial no. and age (years): The serial number and age of persons with code 1 in column (23) of block 5.3 will be copied in these columns in the same order as they appear in block 5.3.

5.6.2 Column (3): Whether ever worked (1 Yes, 2 No): The purpose of this item is to separate first time job seekers from persons who worked sometime in the past but are now unemployed. As the subsequent columns will be used to record the details of last employment, this last employment will mean having more or less regular work at least for some time. Thus among the unemployed, those who had more or less regular work at least for sometime in the past will be given code 1 in column (3).

5.6.3 Columns (4)-(9): If code 1 in col. (3), particulars of last employment: Columns (4) - (9) will be used to record the particulars of the last employment of those who had some employment in the past. Procedure for recording the particulars are explained in the subsequent paragraphs.

5.6.4 Column (4): Duration: The duration of the last employment will be recorded in codes which are:

5.6.5 Column (5): Status: Status refers to the status of job like self-employment, casual labour, etc. and the codes used for usual status relating to employment (i.e. 11-51) only will be applicable.

5.6.6 Columns (6) and (7): Industry and Occupation: 5 digit industry code as per NIC 1998 and 3 digit occupation code as per NCO 1968, respectively, applicable to the last employment will be entered in these two columns.

5.6.7 Column (8): Reason for break in employment: This column is meant for recording the reason for break in or termination of the last job held by the persons. These reasons are coded as follows:

The appropriate reason has to be identified through suitable probes. Loss of earlier job will include cases where person is removed from service or work due to temporary nature of work contract, on disciplinary grounds, retrenchment, retirement and all such involuntary breaks other than those covered under codes 2, 4, 5 or 6. Quit earlier job (code 2) will be applicable for persons who have left the job on their own volition, may be owing to compelling circumstances. (The reason for doing so will be further recorded in column 9). Lay-off is defined as 'failure/refusal/inability of an employer to give employment to a workman whose name is borne on the master rolls and who has not been retrenched'. Those laid-off with some pay are treated as employed. Those laid-off without any pay will be considered as unemployed and for such persons code 3 will be given. If the unit in which the person was working has closed down due to lack of demand, difficulties in running the unit or any other reason and consequently person is thrown out of employment, code 4 will be applicable. For those who were self-employed and are now out of job as there is lack of work in the enterprise due to fall in demand, scarcity of raw materials etc., code 5 will be recorded. Persons who are engaged as self-employed in the seasonal enterprises and are unemployed during the off season owing to lack of work in the enterprise will also be given code 5. However, if such an enterprise is closed down permanently, applicable code will be 4 and not 5. For those employed as casual workers and are out of work as there is no work in his/her area, code 6 will be given. This should be distinguished from those casual labour employed in enterprises with some regularity and coming under reasons 1, 2, 3 or 4. Thus, one of the reasons should be identified in a sequential manner starting with reason code 1. Reasons which cannot be coded in 1-6 will be given code 9.

5.6.8 Column (9): If code 2 in col. 8, reason for quitting job: For those persons who have quit their job (i.e. code 2 in column 8) the reason for quitting the job will be recorded as follows:

Codes are self-explanatory. Unpleasant environment will be excluding the factor mentioned for codes 3 and 4. In case more than one code is applicable, the code which appears first in the code list will be given.

5.7.1.0 Block 7.1: Follow-up questions on availability of work to persons working in the usual principal or subsidiary status (activity - I) (i.e. those with codes 11-51 either in col. 3 of bl. 5.1 or bl. 5.2 under subsidiary activity status - I): In this block an attempt is made to collect information on certain qualitative aspects of employment of those who are categorised as employed either in the principal or subsidiary status (activity - I). The procedure for recording the information under each column described below:

5.7.1.1 Column (1) and (2): Srl no. and age as in block 5.1: As already stated, this block will be filled in only for those who are employed either in the principal status or subsidiary status (i.e. codes 11-51 in col. 3 of block 5.1 or block 5.2). The serial number and age of such persons only will be copied from block 5.1 in the same order in columns (1) and (2), respectively.

5.7.1.2 Columns (3) and (4): Usual activity status: Principal and subsidiary: The principal activity status and subsidiary activity status (activity - I) will be copied from column (3) of block 5.1 and 5.2 to columns (3) and (4), respectively, as described below.

(i) For persons having one of the codes 11-51 in col. (3) of block 5.1, the entry same as that in col. (3) of block 5.1 will be made in col.(3) of block 7.1. A cross (x) mark will be put in col.(4) of block 7.1 for such persons.

(ii) For persons having one of the codes 81-98 in col.(3) of block 5.1 and one of the codes 11-51 in col.(3) of block 5.2 under subsidiary activity status (I), the entry to be made in cols.(3) and (4) of block 7.1 will be copied from cols. (3) of blocks 5.1 and 5.2, respectively.

5.7.1.3 Column (5): Whether engaged mostly in full time or part time work during last 365 days: Columns (5) to (13) will be filled in for all those who are employed either in the principal or subsidiary status. In column (5) it will be ascertained if the person was engaged mostly in full time work or part time work during last 365 days. Those who are mostly engaged in full time work will be given code 1 and those who are mostly engaged in part time work will be given code 2.

5.7.1.4 Column (6): Whether worked more or less regularly during last 365 days (1 Yes, 2 No): According to the principal usual status approach, the broad activities category has been determined on the basis of the major time criterion. Thus, the persons who are 'employed' in their principal status may or may not be employed throughout the last 365 days. By virtue of the procedure adopted for classification of activity statuses it is possible that some of them were not employed for considerable length of time. In the case of those who were employed only in the subsidiary status this will be the situation most often. Thus, this item will be filled in for both principal and subsidiary status employed. Those who have worked more or less regularly during the reference year will be given code 1. Others will be given code 2.

5.7.1.5 Column (7): Approximate no. of months without work (months): Column (7) will be filled in for all the members listed in this block irrespective of whether or not they have worked more or less regularly during the reference year i.e., irrespective of the entry in col. (6). This is contrary to the earlier round where information relating to this column was collected only for persons who did not work more or less regularly during the reference year. In column (7), the number of months a person was without work will be recorded. The months without work need not be continuous. It is quite possible that a person was without any work for a couple of months, then in employment for some months and again out of work for a couple of months. The total of all the months out of work will include months in which person was unemployed and also months in which he/she was out of labour force i.e. neither seeking/available for work. The actual number of months will be recorded. Part of month will be rounded off to the nearest month. Hence, if the period without work is reported to be less than 30 days but 15 days or more, it should be recorded as 1 (month). Note that some of those who have reported to have worked more or less regularly during the reference year, i.e. code 1 in col. (6), after deep probing, may be found to be without work for some months. For such persons also, number of months without work will be recorded in col. (7) and entry in col. (6) should not be changed.

5.7.1.6 Column (8): If entry ( 1 in col. 7, whether sought/available for work during those months: Column (8) will be filled in for entry greater than or equal to 1 in col. (7). The codes given below for col. (8) are self-explanatory:

5.7.1.7 Column (9): If code 1 or 2 in col. 8, whether made any efforts to get work: For those who were not at work for some months and sought or were available for work on most or some days of those months, the efforts made by them to get work, viz. whether they registered in the employment exchange, or made other efforts, will be recorded here. Relevant codes to be entered in this column are:

1 Yes: registered in employment exchange
2 Made other efforts
3 No efforts

5.7.1.8 Column (10): Whether sought/available for additional work during the days he/she had work: As already mentioned in the column heading, the time reference to record whether the person was seeking/available for additional work will be that period of last 365 days during which the person was employed. Thus for a person whose principal usual status is unemployed but had subsidiary work for a relatively short period, the availability for additional work will refer only to the short period he/she was working. This criterion will be applicable to column (12) also. The entries will be made in codes given below:

5.7.1.9 Column (11): If code 1 or 2 in col. (10), reason: The reason for seeking/available for additional work will be entered in this column in terms of codes as follows:

The codes are self-explanatory.

5.7.1.10 Column (12): Whether sought/available for alternative work during the days he/she had worked: As in the case of availability for additional work, information in respect of a person's availability for alternative work will be collected with reference to that period of last 365 days during which he/she was employed. The entry will be made in codes as given below. Alternative work will mean alternative occupation.

5.7.1.11 Column (13): If code 1 or 2 in col.(12), reason: For those who 'sought/available' for alternative work at least for some days, the reason for doing so will be recorded in codes as follows.

When more than one code is applicable, the code appearing first in the list may be given.

5.7.2.0 Block 7.2: Follow-up questions on change of nature of work and/or establishment to persons working in the usual principal or subsidiary status (activity - I) (i.e. with codes 11-51 in col. 3 of bl. 5.1 or 5.2): This block will be filled in only for persons categorised as employed either in principal or subsidiary status (I). Attempt is made to collect information on certain qualitative aspects of mobility - changes in occupation, industry, establishment, etc., for the employed in the principal status and membership in trade unions, nature of employment, etc. for the employed either in the principal or subsidiary status.

5.7.2.1 Column (1) and (2): Serial no. and age as in block 5.1: As already stated, this block will be filled in only for those who are employed either in the principal status or subsidiary status (i.e. codes 11-51 in col. 3 of block 5.1 or 5.2). The serial number and age of such persons only will be recorded here. Since these persons have already been listed in block 7.1, these may be copied also from block 7.1 in the same order in columns (1) and (2), respectively.

5.7.2.2 Columns (3) and (4): Usual activity status: principal and subsidiary: The principal activity status and subsidiary activity status (subs. activity I) will be copied from column (3) and column (4) of block 7.1 to columns (3) and (4), respectively in block 7.2, for each of the persons listed in this block.

5.7.2.3 Column (5): Is there any union/association in your activity?: Union/association will mean any registered/recognised body whose membership is open to a section of those engaged in a specific activity or trade and whose main objective is to look into the interests of its members. 'Trade' here refers to any occupation under the usual statuses 11-51. Thus besides the usual trade unions, association of owners, self-employed persons, etc. will also be covered. The union/association sometimes may be a large body like a factory union looking after the welfare of different types/levels of workers. Depending on the respondents' reply, codes 1, 2 or 3 will be recorded in this column. It is to be noted that even if a self-employed person is aware of an association which looks after the interests of those of his kind, the answer to the question will be 'no' (code-2) if the membership of such an association is not open to him or the association does not cover the locality where he/she runs the enterprise. It is possible that some of the self-employed persons are not aware of the existence of any association of the kind described above relating to his trade. In such cases, code 9 will be entered in column (5).

5.7.2.4 Column (6): If 'yes' (code 1) in col.(5), whether a member of union/association (1 Yes, 2 No): If the respondent reports that a union/association as discussed in para 5.7.2.3 exists in his activity, it is to be ascertained if he/she is a member of that union/association, code 1 or 2 will be recorded accordingly.

Columns (7) and (8) will be filled in only for those who are workers i.e., those with activity status codes any of 11-51 in col.(3) or (4).

5.7.2.5 Column (7): Nature of employment: In column (7), the nature of employment (i.e., whether permanent or temporary) will be recorded in terms of code. Nature of employment will be considered as permanent if the person is in normal course likely to continue in the same employment. Code 1 or 2 will be given if the employment is permanent or temporary respectively.

5.7.2.6 Column (8): Whether covered under Provident Fund: It will be ascertained from the regular wage/salaried employees whether they are covered under any Provident Fund or not. The following code structure is to be adopted:

5.7.2.7 Columns (9) to (15): Whether during last 2 years changed - work activity status, industry, occupation and establishment along with the earlier position: In columns (9) - (15) information on whether during the last 2 years, the person has changed - work activity status, industry, occupation and establishment will be ascertained and filled in. If a change is reported, the earlier position in that regard would also be ascertained. Note that these columns will be filled in only for those who are employed in the principal usual status (i.e. persons with code 11-51 in col. 3).

5.7.2.8 Columns (9) and (10): Whether during last 2 years changed work activity status and if changed, last activity status: It will be ascertained whether or not the person has changed his/her usual principal work activity status (i.e. work statuses 11-51) during the last 2 years. Code 1 will be assigned if he has changed the work status and code 2 if not. For persons with code 1 in col. 9, that is, those reporting a change in work status, the last usual principal work activity status prior to this change will be recorded in col. 10. The codes applicable in col. 10 are any of 11 to 51 only. (The detailed code structure is given for col. 3, block 5.1). Note that during the last 2 years, if a person was initially unemployed or out of labour force and he/she is employed now according to usual principal status, then he/she will not be considered to have changed his/her activity status as the work activity status did not change. It is quite possible that during the period in between the changes in the work activity status, a person was unemployed or out of labour force. Such a person will be considered to have changed his/her work activity status and code 1 will be recorded here. In the case of more than one change in work statuses, the work status prior to the last change will be recorded in col. (10).

5.7.2.9 Columns (11) and (12): Whether during last 2 years changed industry and if changed, last industry (2 digit NIC-1998): Whether or not the person has changed his/her industry (2 digit NIC-1998 code) of work during the last 2 years will be ascertained and code 1 or 2 will be assigned to the person for an affirmative reply or otherwise. For persons with code 1 in col. (11), that is, those reporting a change in industry, the last industry of work will be recorded in col. (12) in terms of 2 digit NIC-1998 codes.

5.7.2.10 Columns (13) and (14): Whether during last 2 years changed occupation and if changed, last occupation (2 digit NCO-1968): Whether or not the person has changed his/her occupation during the last 2 years will be ascertained and code 1 or 2 will be assigned to the person for an affirmative reply or otherwise. For persons with code 1 in col. (13), that is, those reporting a change in occupation, the last occupation will be recorded in col. (14) in terms of 2 digit NCO-1968 codes.

5.7.2.11 Column (15): Whether during last 2 years changed establishment: For the workers in the usual principal status it will be asked whether they have changed their establishment (of work) or not during the last 2 years. The term establishment is used in a broad sense and will include all producing units including household enterprises. In this sense, a person changing from one government department or organisation to another on a routine transfer/promotion posting will not be considered as having changed establishment. However, if his nature of work has changed consequent to this, it will be considered as change of establishment. In case he/she has lost or quit the earlier job and taken up a fresh job in another department or organisation, it will be taken as a change in establishment. Those reporting a change in establishment will be assigned code 1 and others will be assigned code 2.

5.7.2.12 Column (16): If 'yes' in col. 11 or 13, reason for last change: In this column, the reason for the last change will be recorded for those who have either changed their industry or occupation or both during the last 2 years i.e., those with codes 1 in col. (11) or (13) of this block. The reason codes are as follows.

If more than one code is applicable to a person, of the relevant codes the one which appears first in the code list will be recorded.

5.8.0 Block 8: Follow-up questions for females (code 2 in col. 4, bl. 4) with principal usual activity status codes 92 or 93 (in col. 3 of bl. 5.1): In order to study the pattern of activities carried out along with domestic chores of the women classified as engaged in domestic duties, a separate set of special follow-up questions have been designed. These follow-up questions will be asked only to female members of the household classified as engaged in domestic duties according to usual status (i.e. those with usual principal status codes 92 and 93 in col. 3 of block 5.1) and the relevant answers will be recorded in terms of the specified codes.

5.8.1 Items 1 and 2: Serial number and age as in block 4: For all female members categorised 'engaged in domestic duties' according to usual principal status, i.e., those assigned the usual status codes 92 and 93 in column (3) of block 5.1, their serial number and age as in columns (1) and (2) of block 4 will be entered against items 1 and 2. Different columns will be used for different members.

5.8.2 Item 3-5: It will be ascertained whether the relevant women are "required to spend most of their time on domestic duties during 365 days preceding the date of survey". If the answer is in the affirmative, code 1 and if the answer is in the negative, code 2 will be recorded against item 3 for each of the relevant members. If the answer is 'yes', i.e., if the entry against item 3 is code 1 for a woman, the reason for her participation in the household duties will be ascertained and recorded in terms of the specified code numbers against item 4.
The relevant codes to be used for item 4 are:

For women with code 1 in item 3, item 5 will be left blank. On the other hand, if the entry against item 3 is code 2 for a woman, (i.e., such participation was not required but still the woman participated in the household chores) the reason for her voluntary participation in household chores will be ascertained and the code relevant to the answer obtained will be recorded against item 5. In such a case, item 4 will be left blank.
The codes to be used for making entries against item 5 are:

5.8.3 Items 6-19: These 14 questions relate to relevant women's participation in 14 specified activities which are self-explanatory. It will be ascertained whether the woman along with her normal domestic duties also participated during the 365 days preceding the date of survey more or less regularly in the specified activities listed. For the questions 6-9 and 15-19, if the answer is 'yes', code '1' and if the answer is 'no', code '2' will be recorded against the relevant items for the particular woman. It may be noted that item 19 will be filled in for rural areas only. On the other hand, for the questions 10-14, if the answer is in the affirmative, it will be further ascertained whether the woman participated in the processing of mainly home produced/free collected commodities or processing of commodities otherwise procured and the code relevant to the situation will be recorded. The codes to be used are:

5.8.4 Item 20: If for a particular woman the answer to the question listed against item 19, i.e. whether the woman brings water from outside the village, is 'yes' (code 1), the distance (rounded off to the nearest kilometer) she had to travel from the household premises to the point of the source of water will be recorded against this item.

5.8.5 Item 21: For all those categorised 'usually engaged in domestic duties' and listed against item '1' it will be ascertained whether they will be prepared to accept work if work is made available at their household premises. If the answer is in the affirmative, code 1 and if the answer is in the negative, code 2 will be recorded against this item.

Information on items 22 to 25 are to be collected for those with code 1 in item 21.

5.8.6 Item 22-25 (for persons with code 1 in item 21): The questions listed against these items will be put only to those who have answered in the affirmative for the question listed against item 21 (i.e. persons with entry 1 against item 21). The codes appropriate for the answers obtained will be recorded against the relevant items. For items 22, 23 and 25, if more than one code is found to be applicable, the code which appears first in the code list only will be recorded. The relevant codes to be used for filling in the items 22, 23 and 25 are as under:

(iv) Item 24: This item is self-explanatory and the answer to the question listed for this item will be recorded in terms of code '1' or '2'.

[Block 9 for recording household consumer expenditure is not presented here.]

[Block 10 recording remarks by investigator is not presented here.]

[Block 11 recording comments by supervisory officers is not presented here.]

[Additional technical comments regarding Schedule 10.1 are not presented here.]

[Appendix A is not presented here. Appendix A describes improvements and changes made in the concepts and contents of the quinquennial surveys on employment and unemployment.]

[Chapter Six: Schedule 2.0 for informal non-agricultural enterprises is not presented here.]

[Appendix I is not presented here. Appendix I details the procedure of selection of first stage units for the 55th round of the NSS.]

[Appendix II listing the FOD sub regions is not presented here.]

[Appendix III listing NSS regions and their compositions is not presented here.]