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Chapter One

Introduction: Concepts, Definitions and Procedures

1.0 Introduction

1.0.1 The National Sample Survey (NSS), set up by the Government of India in 1950 to collect socio-economic data employing scientific sampling methods, will start its sixty-first round from 1st July 2004. The survey will continue up to 30th June 2005.

1.1 Outline of Survey Programme

1.1.1 Subject Coverage: The 61st round (July 2004-June 2005) of NSS is earmarked for survey on 'Household Consumer Expenditure' and 'Employment and Unemployment'. The survey on 'household consumer expenditure' and 'employment and unemployment' is going to be the seventh quinquennial survey in the series, the last one being conducted in the 55th round (1999-2000) of NSS.

1.1.2 Geographical coverage: The survey will cover the whole of the Indian Union except (i) Leh (Ladakh) and Kargil districts of Jammu and Kashmir, (ii) interior villages of Nagaland situated beyond five kilometres of the bus route and (iii) villages in Andaman and Nicobar Islands which remain inaccessible throughout the year.

1.1.3 Period of survey and work programme: The period of survey will be of one year duration starting on 1st July 2004 and ending on 30th June 2005. The survey period of this round will be divided into four sub-rounds of three months duration each as follows:

In each of these four sub-rounds equal number of sample villages/blocks (FSUs) will be allotted for survey with a view to ensuring uniform spread of sample FSUs over the entire survey period. Attempt should be made to survey each of the FSUs during the sub-round to which it has been allotted. Because of the arduous field conditions, this restriction need not be strictly enforced in Andaman and Nicobar Islands, Lakshadweep, rural areas of Arunachal Pradesh and Nagaland.

1.1.4 Schedules of enquiry: During this round, the following schedules of enquiry will be canvassed:

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1.1.5Participation of States: In this round all the States and Union Territories except Andaman and Nicobar Islands, Dadra and Nagar Haveli and Lakshadweep are participating at least on an equal matching basis. The following is the matching pattern of the participating States/UTs.

1.2 Contents of Volume

1.2.0 The present volume contains four chapters. Chapter one, besides giving an overview of the whole survey operation, discusses the concepts and definitions of certain important technical terms to be used in the survey. It also describes in detail the sampling design and the procedure of selection of households adopted for this round. Instructions for filling in Schedule 0.0, Schedule 1.0 and Schedule 10 are given in Chapters Two to Four respectively.

1.3 Sample Design

1.3.1 Outline of Sample Design: A stratified multi-stage design has been adopted for the 61st round survey. The first stage units (FSU) will be the 2001 census villages in the rural sector and Urban Frame Survey (UFS) blocks in the urban sector. The ultimate stage units (USU) will be households in both the sectors. In case of large villages/blocks requiring hamlet-group (hg)/sub-block (sb) formation, one intermediate stage will be the selection of two hgs/sbs from each FSU.

1.3.2 Sampling Frame for First Stage Units: For the rural sector, the list of 2001 census villages (panchayat wards for Kerala) will constitute the sampling frame. For the urban sector, the list of latest available Urban Frame Survey (UFS) blocks will be considered as the sampling frame.

1.3.3 Stratification: Within each district of a State/UT, two basic strata will be formed: i) rural stratum comprising of all rural areas of the district and (ii) urban stratum comprising of all the urban areas of the district. However, if there are one or more towns with population 10 lakhs or more as per population census 2001 in a district, each of them will also form a separate basic stratum and the remaining urban areas of the district will be considered as another basic stratum. There are 27 towns with population 10 lakhs or more at all-India level as per census 2001.

1.3.4 Sub-stratification:

1.3.4.1 Rural sector: If 'r' be the sample size allocated for a rural stratum, the number of sub-strata formed will be 'r/2'. The villages within a district as per frame will be first arranged in ascending order of population. Then sub-strata 1 to 'r/2' will be demarcated in such a way that each sub-stratum will comprise a group of villages of the arranged frame and have more or less equal population.

1.3.4.2 Urban sector: If 'u' be the sample size for a urban stratum, 'u/2' number of sub-strata will be formed. The towns within a district, except those with population 10 lakhs or more, will be first arranged in ascending order of population. Next, UFS blocks of each town will be arranged by IV unit no. × block no. in ascending order. From this arranged frame of UFS blocks of all the towns, 'u/2' number of sub-strata will be formed in such a way that each sub-stratum will have more or less equal number of UFS blocks.

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For towns with population 10 lakhs or more, the urban blocks will be first arranged by IV unit no. × block no. in ascending order. Then 'u/2' number of sub-strata will be formed in such a way that each sub-stratum will have more or less equal number of blocks.

1.3.5 Total sample size (FSUs): 12984 FSUs have been allocated at all-India level on the basis of investigator strength in different States/UTs for central sample and 14104 for state sample.

1.3.6 Allocation of total sample to States and UTs: The total number of sample FSUs is allocated to the States and UTs in proportion to population as per census 2001 subject to the availability of investigators ensuring more or less uniform work-load.

1.3.7 Allocation of State/UT level sample to rural and urban sectors: State/UT level sample is allocated between two sectors in proportion to population as per census 2001 with 1.5 weightage to urban sector subject to the restriction that urban sample size for bigger states like Maharashtra, Tamil Nadu etc. should not exceed the rural sample size. A minimum of 8 FSUs will be allocated to each state/UT separately for rural and urban areas.

1.3.8 Allocation to strata: Within each sector of a State/UT, the respective sample size will be allocated to the different strata in proportion to the stratum population as per census 2001. Allocations at stratum level will be adjusted to a multiple of 4 with a minimum sample size of 4.

1.3.9 Selection of FSUs: Two FSUs will be selected with Probability Proportional to Size With Replacement (PPSWR), size being the population as per Population Census 2001 from each sub-stratum of a district of rural sector. For urban sector, from each sub-stratum two FSUs will be selected by using Simple Random Sampling Without Replacement (SRSWOR). Within each sub-stratum, samples will be drawn in the form of two independent sub-samples in both the rural and urban sectors.

1.3.10 Selection of hamlet-groups/sub-blocks/households - important steps

1.3.10.1 Proper identification of the FSU boundaries: The first task of the field investigators is to ascertain the exact boundaries of the sample FSU as per its 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).

1.3.10.2 Criterion for hamlet-group/sub-block formation: After identification of the FSU, it is to be determined whether listing will be done in the whole sample FSU or not. In case the population of the selected village or block is found to be 1200 or more, it will be divided into a suitable number (say, D) of 'hamlet-groups' in the rural sector and 'sub-blocks' in the urban sector as stated below.

Approximate present population of the sample village/block - No. of hgs/sbs to be formed

For rural areas of Himachal Pradesh, Sikkim and Poonch, Rajouri, Udhampur, Doda districts of Jammu and Kashmir and Idukki district of Kerala, the number of hamlet-groups will be formed as follows.

Approximate present population of the sample village - No. of hgs to be formed

Two hamlet-groups/sub-blocks will be selected from a large village/UFS block wherever hamlet-groups/sub-blocks have been formed, by SRSWOR. Listing and selection of the households will be done independently in the two selected hamlet-groups/sub-blocks.

1.3.10.3 Formation of hamlet-groups/sub-blocks: In case hamlet-groups/sub-blocks are to be formed in the sample FSU, the same should be done by more or less equalizing population (details are in Chapter Two). Note that while doing so, it is to be ensured that the hamlet-groups/sub-blocks formed are clearly identifiable in terms of physical landmarks.

1.3.10.4 Listing of households: Having determined the hamlet-groups/sub-blocks, i.e. area(s) to be considered for listing, the next step is to list all the households (including those found to be temporarily locked after ascertaining the temporariness of locking of households through local enquiry). The hamlet-group/sub-block with sample hg/sb number 1 will be listed first and that with sample hg/sb number 2 will be listed next.

1.4 Formation of Second Stage Strata and allocation of households
For both Schedule 1.0 and Schedule 10, households listed in the selected village/block/ hamlet-groups/sub-blocks will be stratified into three second stage strata (SSS) as given below.

1.4.1 Rural: The three second-stage-strata (SSS) in the rural sector will be formed in the following order:

1.4.2 Urban: In the urban sector, the three second-stage strata (SSS) will be formed as under:

Two cut-off points, say 'A' and 'B', based on MPCE of NSS 55th round, will be determined at NSS Region level in such a way that top 10% of households have MPCE more than 'A' and bottom 30% have MPCE less than 'B'. Then three second-stage-strata (SSS) will be formed in the urban sector in the following order:

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The number of households to be surveyed in each FSU is 10 for each of the schedules 1.0 and 10. Composition of SSS with number of households to be surveyed for both schedule 1.0 and schedule 10 will be as follows:

SSS: Composition of SSS
No. of hhs to be surveyed

Rural
SSS 1: Relatively affluent households

SSS 2: Of the rest, households having principal earning from non- agricultural activity

SSS 3: Other households

Urban
SSS 1: Households with MPCE larger than A

SSS 2: Other households with MPCE equal to or less than A but equal to or more than B ( i.e. B is equal or smaller than MPCE is equal or smaller than A)

SSS 3: Households with MPCE less than B

1.5 Selection of households for Schedules 1.0 and 10: From each SSS the sample households for both the schedules will be selected by SRSWOR. If a household is selected both for schedule 1.0 and schedule 10 only schedule 1.0 will be canvassed in that household and the household will be replaced by next household in the frame for schedule 10.

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1.6 Shortfall of households to be compensated: Both for schedule 1.0 and 10, shortfall of households in the frame of any particular SSS will be compensated from the same SSS of the other hg/sb or from the other SSS of the same or other hg/sb where additional household(s) are available. The procedure is as follows:

Step 1: Allocate the required number of households to each SSS wherever possible and identify the SSS having shortfall.

Step 2: In case of hg/sb formation, compensate from the same SSS of the other hg/sb if available. Otherwise, go to Step 3.

Step 3: Find the SSS where additional households are available following the priority order of SSS 1, SSS 2, and SSS 3 and compensate.

The table given below will be useful for deciding the SSS from which the compensation is to be made.

SSS having shortfall

1

2

3

If there is hg/sb formation, for each SSS as per priority order, compensation may be made from the hg/sb where shortfall occurs, failing which from other hg/sb and so on.

For example, if shortfall is in SSS 3 of hg/sb 1, first try to compensate from SSS3 of hg/sb 2, failing which try from SSS 1 of hg/sb 1, failing which try from SSS 1 of hg/sb 2. If the shortfall still remains then try from SSS 2 of hg/sb 1, failing which try from SSS 2 of hg/sb 2.

Similarly, if shortfall is in SSS 2 of hg/sb 2, first try to compensate from SSS 2 of hg/sb 1, failing which try from SSS 1 of hg/sb 2. If the shortfall still remains then try from SSS 1 of hg/sb 1 and so on.

The resulting number of households (h) for each SSS will be entered at the top of relevant column(s) of block 5 and also in col.(6) against the relevant SSS × (hg/sb) of block 6.

Some illustrations on compensation of shortfall are given below:

[2 tables follow; they are not included here.]

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1.7 Concepts and Definitions:

1.7.0 Important concepts and definitions used in different schedules of this survey are explained below.

1.7.1 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.

1.7.2 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 or marriage to one another. The following cases are to be noted while determining the group of persons to be considered as households for the current survey:

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1.7.3 Household size: The number of normally resident members of a household is its size. It will include temporary stay-aways (those whose total period of absence from the household is expected to be less than 6 months) but exclude temporary visitors and guests (expected total period of stay less than 6 months). 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:

1.7.4 Pucca structure: A pucca structure is one whose walls and roofs are made of pucca materials such as cement, concrete, oven burnt bricks, hollow cement / ash bricks, stone, stone blocks, jack boards (cement plastered reeds), iron, zinc or other metal sheets, timber, tiles, slate, corrugated iron, asbestos cement sheet, veneer, plywood, artificial wood of synthetic material and poly vinyl chloride (PVC) material.

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1.7.5 Katcha structure: A structure which has walls and roof made of non-pucca materials is regarded as a katcha structure. Non-pucca materials include unburnt bricks, bamboo, mud, grass, leaves, reeds, thatch, etc. Katcha structures can be of the following two types:

1.7.6 Semi-pucca structure: A structure which cannot be classified as a pucca or a katcha structure as per definition is a semi-pucca structure. Such a structure will have either the walls or the roof but not both, made of pucca materials.

1.7.7 Dwelling unit: It is the accommodation availed of by a household for its residential purpose. It may be an entire structure or a part thereof or consisting of more than one structure. There may be cases of more than one household occupying a single structure such as those living in independent flats or sharing a single housing unit, in which case, there will be as many dwelling units as the number of households sharing the structure. There may also be cases of one household occupying more than one structure (i.e. detached structures for sitting, sleeping, cooking, bathing etc) for its housing accommodation. In this case, all the structures together constitute a single dwelling unit. In general, a dwelling unit consists of living room, kitchen, store, bath, latrine, garage, open and closed veranda etc. A structure or a portion thereof used exclusively for non-residential purposes or let out to other households does not form part of the dwelling unit of the household under consideration. However, a portion of a structure used for both residential and non-residential purposes is treated as part of the dwelling unit except when the use of such portion for residential purpose is very nominal. The dwelling unit covers all pucca, semi-pucca and katcha structures used by a household. Households living more or less regularly under bridges, in pipes, under staircase, in purely temporary flimsy improvisations built by the road side (which are liable to be removed at any moment) etc., are considered to have no dwelling.

1.7.8 Independent house: An independent house is one which has a separate structure and entrance with self-contained arrangements. In other words, if the dwelling unit and the entire structure of the house are physically the same, it should be considered as an independent house. In some parts, particularly in rural areas, two or more structures together may constitute a single housing unit. While the main residence may be in one of the structures, the other structures may be used for sleeping, sitting and for store, bath etc. In all such cases, all the structures together will form a single housing unit and will be treated as an independent house.

1.7.9 Flat: A flat, generally, is a part of the building and has one or more rooms with self-contained arrangements and normal housing facilities like water supply, latrine, toilet, etc., which are used exclusively by the household residing therein or jointly with other households. It also includes detached room or rooms with or without other housing facilities.

1.7.10 Land possessed: The area of land possessed will include land 'owned', 'leased in' and 'land neither owned nor leased in' (i.e. encroached) by the household but exclude land 'leased out'. The total land area possessed by the household as on the date of survey is taken into account. A piece of land is considered to be owned by the household if permanent heritable possession with or without the right to transfer the title vests in a member or members of the household. Land held in owner-like possession say, under perpetual lease, hereditary tenure, long-term lease for 30 years or more, etc., will also be considered as land owned. For a piece of land under the possession of the household, if the household lacks title of ownership and also does not have lease agreement for the use of land transacted, either verbally or in writing, such land will be considered as 'neither owned nor leased in'. In collecting information regarding land possessed, the actual position as obtained on the date of survey will be considered. It may be noted that the 'area of land possessed' to be recorded 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.

1.7.11 Household monthly per capita expenditure: Household consumer expenditure is measured as the expenditure incurred by a household on domestic account during a specified period, called reference period. It also includes the imputed values of goods and services, which are not purchased but procured otherwise for consumption. In other words, it is the sum total of monetary values of all the items (i.e. goods and services) consumed by the household on domestic account during the reference period. The imputed rent of owner-occupied houses is excluded from consumption expenditure. Any expenditure incurred towards the productive enterprises of the households is also excluded from the household consumer expenditure. Monthly per capita expenditure (MPCE) is the household consumer expenditure over a period of 30 days divided by household size. A person's MPCE is understood as that of the household to which he/she belongs.

1.7.12 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 labelled as a 'meal' or a 'nashta'.

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 'meal taken away from home'.

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 judgement 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.

1.7.13 P.D.S.: This stands for Public Distribution System, which means the distribution of some essential commodities by the government at subsidised rates through ration shops, fair price shops and control shops. These shops may be owned by the government, local government, a government undertaking, the proprietor of a firm, co-operatives or private persons (individually or jointly) or other bodies like club, trust, etc. The following points may be noted while classifying a purchase as "PDS" or otherwise.

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1.7.14 Antodaya: Under this scheme, the 1 crore poorest families among the BPL families covered under the Targeted Public Distribution System are identified and 25 kg of foodgrain are made available to each eligible family at a highly subsidized rate of Rs. 2 per kg for wheat and Rs. 3 per kg for rice.

1.7.15 Food for Work: The Food for Work Programme was started in January 2000-01 as part of the Employment Assurance Scheme (EAS) in eight drought-affected States, viz., Chattisgarh, Gujarat, Himachal Pradesh, Madhya Pradesh, Maharashtra, Orissa, Rajasthan, and Uttaranchal. The Food for Work Programme (FWP) was later expanded to form a part of any wage employment scheme of the Central or State Governments being implemented in the notified districts during periods of natural calamities, such as drought, flood, cyclone or earthquake. The Government of India makes available an appropriate quantity of foodgrains to each of the affected States. Foodgrains are supplied to the States as an additional aid free of cost. The cost is borne by the Government of India with a view to enabling the State Governments to provide adequate wage employment opportunities to the needy rural poor. The eligibility criteria for employment are relaxed so as to include both BPL and APL (Above Poverty Line) families. The States may make payment of wages partly in kind (up to 5 kg of foodgrains per man-day) and partly in cash. The State Governments are free to calculate the cost of foodgrains paid in wages, at either BPL rates, or APL rates, or any rate
between these two rates. The workers are paid the balance wages in cash, so that they are assured of the notified minimum wages. Supply of foodgrains is made to the workmen preferably at the worksite. It is stipulated that the payment of wages, cash as well as foodgrains, must be made weekly. Since the Food for Work Programme is meant for providing wage employment in the natural-calamity-affected States, preference is given to labour-intensive works, particularly those which would help in drought-proofing such as moisture conservation works, watershed development works, water harvesting, digging up and de-silting of village ponds/tanks and water courses, construction of rural link roads (katcha roads), etc. As far as possible, the works to be taken up are intended to result in durable assets.

1.7.16 Annapoorna: The Annapoorna Scheme was launched with effect from 1st April 2000. It aims at providing food security to meet the requirement of those senior citizens who, though eligible, have remained uncovered under the National Old Age Pension Scheme (NOAPS). The scheme is targeted to cover 20% (13.762 lakh) of persons eligible to receive pension under NOAPS. The Central assistance under the Annapoorna Scheme is, thus, provided to the beneficiaries on fulfilling the following criteria:

[p.12]The beneficiaries are given 10 kg of food grains per month free of cost.

1.7.17 Integrated Child Development Services (ICDS) Scheme: The Integrated Child Development Services (ICDS) Scheme, launched in 1975, is a nationwide programme for the overall development of children below 6 years and of the expectant and nursing mothers. Thus, the scheme aims at improving the nutritional and health status of vulnerable groups including pre-school children, pregnant women and nursing mothers through providing a package of services including supplementary nutrition, pre-school education, immunization, health check-up, referral services and nutrition and health education. In addition, the Scheme envisages effective convergence of inter-sectoral services in the anganwadi centres. The Scheme targets the most vulnerable groups of population including children up to 6 years of age, pregnant women and nursing mothers belonging to the poorest of the poor families and living in disadvantaged areas, including backward rural areas, tribal areas and urban slums. The identification of beneficiaries is done through surveying the community and identifying the families living below the poverty line.
The objectives of the scheme are:

1.7.18 Midday Meal: A large number children between the ages of 5 and 14 are victims of malnutrition, associated with food shortages, population expansion, lack of suitable food substitutes, poverty, ignorance, traditional beliefs and customs. The midday meal scheme was launched to lower the widespread incidence of malnutrition, primarily among children of poor families, and to increase their access to education. The scheme was aimed at boosting primary school attendance, by allowing children of parents living below subsistence levels to attain basic literacy levels instead of being pushed into the workforce at an early age.

1.7.19 Economic activity: The entire spectrum of human activity falls into two categories: economic activity and non-economic activity. Any activity that results in production of goods and services that adds value to national product is considered as an economic activity. 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. Such activities include production of all goods and services for market including those of government services, etc. Non-market activities are those involving the production of primary commodities for own consumption and own account production of fixed assets.

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The full spectrum of economic activities as defined in the UN System of National Accounts is not covered in the definition adopted for the Employment and Unemployment surveys of NSSO. Production of any good for own consumption is considered as economic activity by UN System of National Accounts but production of only primary goods for own consumption is considered as economic activity by NSSO. While the former includes activities like own account processing of primary products among other things, in the NSS surveys, processing of primary products for own consumption is not considered as economic activity.

The term 'economic activity' in the Employment and Unemployment survey of NSSO in the 61st round will include:

It is to be noted that as in earlier rounds, the activities like prostitution, begging, etc., which may result in earnings, by convention, will not be considered as economic activities. In earlier rounds, activities under 'smuggling' were kept outside the economic activity. In assigning the activity status of an individual in the field, probing is perhaps not extended to ascertain whether the production of goods and services is carried out in the form of smuggling. Thus in practice, production of goods and services in the form of smuggling have actually been considered as economic activity in NSS surveys. In view of this, activity status of a person may be judged irrespective of the situation whether such activity is carried out illegally in the form of smuggling or not.

1.7.20 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 status during a reference period:

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Activity statuses, as 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'. The three broad activity statuses have been further sub-divided into several detailed activity categories. These are stated below:

1.7.21 The various constituents of 'workers', 'unemployed', 'labour force', 'out of labour force' are as explained below:

(a) Workers (or employed): Persons who are engaged in any economic activity or who, despite their attachment to economic activity, have abstained from work for reasons 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 status under the broad activity category 'working or being engaged in economic activity'.

(b) 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).

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(c) 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.

(d) Out of 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, etc. and casual labourers not working due to sickness.

1.7.22 It may be noted that workers have been further categorized as self-employed, regular salaried/wage employee and casual wage labour. These categories are defined in the following paragraphs.

1.7.23 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., regarding how, where and when to produce) and economic independence (i.e., regarding 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:

1.7.24 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'. The 'home workers' have some degree of autonomy and economic independence in carrying out the work, and their work is not directly supervised as is the case 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., thereby indicating that they have some tangible or intangible means of production. It may be noted that employees are not required to provide such inputs for production.

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1.7.25 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 some particular unit/contractor/trader at her home will be treated as 'home worker'. On the other hand, if she does the work in the employer's 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.

1.7.26 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.

1.7.27 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.).

1.7.28 Different approaches for determining activity status: The persons surveyed are to be classified into various activity categories on the basis of activities pursued by them during certain specified reference periods. There are three reference periods for this survey viz. (i) one year, (ii) one week and (iii) each day of the reference week. Based on these three periods, three different measures of activity status are arrived at. These are termed respectively as usual status, current weekly status and current daily status. The activity status determined on the basis of the reference period of 1 year is known as the usual activity status of a person, that determined on the basis of a reference period of 1 week is known as the current weekly status (cws) of the person and the activity status determined on the basis of a reference period of 1 day is known as the current daily status (cds) of the person.

1.7.29 Identification of each individual into a unique situation poses a problem when more than one of three types of broad activity status viz. 'employed', 'unemployed' and 'not in labour force' is concurrently obtained for a person. In such an eventuality, unique identification under any one of the three broad activity status is done by adopting either the major time criterion 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'. If, by adopting one of the two criteria mentioned above, a person categorised as engaged in economic activity is found to be pursuing more than one economic activity during the reference period, the appropriate detailed activity status category will relate to the activity in which relatively more time has been spent. Similar approach is adopted for non-economic activities also.

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1.7.30 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 usual principal activity status of the person. To decide the usual principal 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.

1.7.31 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 30 days or more during the reference period of 365 days preceding the date of survey. The status in which such economic activity is pursued during the reference period of 365 days preceding the date of survey is the subsidiary economic activity status of the person. In case of multiple subsidiary economic activities, the major activity and status 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:

1.7.32 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 weekly activity status is again decided on the basis of 'major time' criterion if a person is pursuing multiple economic activities.

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1.7.33 Current daily activity status: The activity pattern of the population, particularly in the unorganised sector, is such that during a week, and sometimes, even during a day, a person can pursue more than one activity. Moreover, many people can even 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:

It may be noted that while assigning intensity in Block 5.3, an intensity of 1.0 will be given against an activity which is done for 'full day' and 0.5, if it is done for 'half day'.

1.7.34 There are certain terms used in connection with collection of items of information relating to current activity status of persons. These are explained in the following paragraphs.

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1.7.35 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 involve 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-68):

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:

1.7.36 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.

1.7.37 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:

[P. 20]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.

1.7.38 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.

1.7.39 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-98 sub-classes 01111, 01112, 01113, 01115, 01119, 01121, 01122 and 01135 (excepting plantation of pepper and cardamom) are to be considered as cultivation.

1.7.40 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.

1.7.41 Nominal work: Work done by a person for 1 - 2 hours in a day during the 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).

1.7.42 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 already received or receivable may be in cash or kind or partly in cash and partly in kind. For recording the wages and salaries:

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1.7.43 Household principal industry and occupation: To determine the household principal 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 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.

1.7.44 Education Guarantee Scheme (EGS) and Alternative and Innovative Education (AIE): EGS and AIE support the following three broad kinds of strategies:

Strategy under (a) above refers to as the EGS component of EGS and AIE scheme and strategies under (b) and (c) above together refer to as AIE component of the EGS and AIE scheme.

EGS aims at setting up schools in the school-less habitations where no school exists within a radius of 1 k.m and at least 15 children in the age group 6-14 years who are not going to schools, are available. In exceptional cases, e.g., for remote habitations in hilly areas for Jammu and Kashmir and part of North-Eastern region, EGS schools could be supported even for 10 children. It may be noted that EGS and AIE is applicable throughout the country and not limited to the educationally backward states covered under the scheme of Non-formal Education (NFE). Such schools are in operation under various names in different states, as for example, 'Sishu Siksha Karmasuchi' in West Bengal, 'Bastishala' in Maharashtra, 'Rajiv Gandhi Swaran Jayanti Pathshala' in Rajasthan., 'Maabadi' in Andhra Pradesh. For the purpose of our survey, an individual who is attending or has become literate through schools under EGS and AIE scheme will be considered under the coverage of EGS.

1.7.45 Vocational Training: A vocational training may broadly be defined as a training, which prepares an individual for a specific vocation or occupation. The main objective of vocational education and training is to prepare persons, especially the youth, for the world of work and make them employable for a broad range of occupations in various industries and other economic sectors. It aims at imparting training to persons in very specific fields through providing significant 'hands on' experience in acquiring necessary skill, which will make them employable or create for them opportunities of self-employment. Thus, the essential feature of the vocational training is that it lays more emphasis on development of skill in a specific vocation or trade rather than building knowledge.

1.7.46 Formal Vocational Training: The vocational training that takes place in education and training institutions which follow a structured training programme and lead to recognised certificates, diplomas or degrees, will be treated as formal one. But when the vocational training neither follows a structured programme nor the training lead to recognised certificates, diplomas or degrees, those training programmes will be treated as non-formal vocational training. For the purpose of survey, formal vocational training will have the following characteristics:

[P. 22]

By structured training programme, it is meant that:

1.7.47 Non-formal Vocational Training: The expertise in a vocation or trade is sometimes acquired by the succeeding generations from the other members of the households, generally the ancestors, through gradual exposures to such works as are involved in carrying out the profession by their ancestors. The expertise gained through significant 'hands-on' experience enables the individual to take up activities in self-employment capacity or makes him employable. Acquiring such marketable expertise by one, which enables him/her to carry out the trade or occupation of their ancestors over generations, may also be considered, for the purpose of survey, to have received 'non-formal' vocational training and that through 'hereditary' sources. Any other 'non-formal' vocational training received through some sources other than the household members to pursue a vocation that may either be hereditary or other profession, may be considered to have received the training through 'other' sources. The 'other' sources may also include the cases where the expertise for a vocation or trade has been developed even from the household members or ancestors, provided the said vocation or trade is different from the one relating to their ancestors. Thus a person may learn tailoring work from a master tailor or a person may learn book-binding work from a printing press. All such expertise will be considered to have received non-formal vocational training through 'other' sources. Mere possession of a skill, which neither creates opportunities for self-employment nor makes a person employable, will not be considered as having vocational training.

1.7.48 Non-Profit Institutions (NPI): NPIs are legal or social entities created for the purpose of producing goods and services whose status does not permit them to be a source of income, profit or other financial gain for the units that establish, control or finance them. In practice, their productive activities are bound to generate either surpluses or deficits but any surpluses they happen to make cannot be appropriated by other institutional units. The articles of association by which they are established are drawn up in such a way that the institutional units which control or manage them are not entitled to a share in any profits or other income which they receive.

1.7.49 Philanthropic Institution: These are the non-profit institutions consisting of charities, relief or aid agencies that are created for philanthropic purposes and not to serve the interests of the members of the association controlling them. Such institutions generally provide goods or services to households/institutions in need, including households affected by natural disasters or war. The resources of such institutions are provided mainly by donations in cash or in kind from the general public, corporations or governments. They may also be provided by transfers from non residents, including similar kinds of institutions resident in other countries.

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1.7.50 Definitions of various types of enterprises:

(i) Proprietary: When an individual is the sole owner of an enterprise it is a proprietary enterprise. Own account production of fixed assets for own use, when produced by a single member, will be classified as proprietary enterprise.

(ii) 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). Own account production of fixed assets, when produced by two or more members belonging to the same or different households will be classified as partnership enterprises. Thus, own account production of fixed assets by a group of households for community use will be classified as partnership enterprise.

(iii) Government/public sector enterprise: An enterprise, which is 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.

(iv) Private limited company: Private company means a company which by its articles:

(v) Public limited company: A public limited company is defined as a company that is not a private company. As such public companies can have an unlimited number of members and can invite the public to subscribe to its shares and debentures. The minimum number of members required to form a public company is seven.

(vi) Co-operative societies: Co-operative society is one that is formed through the co-operation of a number of persons, recognised as members of the society, to benefit themselves. In the process, the funds are raised by member's contributions/investments and the profits generated out of the society's activities are shared by the members. The government itself in a government agency can also be a member or shareholder of a registered co-operative society but this fact cannot render the society into a public sector enterprise for the purpose of this survey.

(vii) Trust: An arrangement through which one set of people, the trustees, are the legal owners of property which is administered in the interest of another set, the beneficiaries. Trusts may be set up to provide support for individuals or families, to provide pensions, to run charities, to liquidate the property of the bankrupts for the benefit of their creditors, or for the safe keeping of securities bought by trusts with their investor's money. The assets, which trusts hold are regulated by law, these must be administered in the interests of the beneficiaries, and not for the profit of the trustees.

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(viii) Employer Households (i.e. private households employing maid servant, watchman, cook etc.): The households which are employing maid servant watchmen, cook, private tutor, etc. will be considered notionally as enterprise for the purpose of this survey and will be classified as 'Employer households'.

["Table 1: (Revised) Allocation of sample villages and blocks for NSS 61st round" is not presented here.]

[Chapters 2-3 are not presented here.]

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Chapter Four

Schedule 10: Employment and Unemployment

Introduction

4.0.0 The first quinquennial survey on employment -- unemployment, carried out by the NSSO in the 27th round (September 1972 - October 1973), 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 five successive quinquennial surveys conducted in the 32nd, 38th, 43rd, 50th and 55th rounds have, more or less, followed an identical approach in the measurement of employment and unemployment. The basic approach in all these five 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 seven days preceding the date of survey. 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 seventh quinquennial survey on employment-unemployment is to be carried out along with the surveys on household consumer expenditure during the 61st round survey operations (July 2004 - June 2005) of the NSSO.

4.0.1 A Working Group was set up for the purpose of finalising the survey methodology and schedules of enquiry of the 61st 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:

Summary Description of The Schedule

4.0.2 In the present round, Schedule 10 on employment-unemployment consists of 16 blocks. The first three blocks, viz. Blocks 0, 1 and 2, are used to record identification of sample households and particulars of field operations, as is the common practice in usual NSS rounds. Similarly, 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(s), 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 particulars and attendance in educational institutions of all the household members. Particulars of vocational training receiving/received by the household members will also be collected in block 4. In Block 5.1, particulars of usual principal activity of all the household members will be recorded along with some particulars of the enterprises in which the usual status workers (excluding those in crop and plantation activities) are engaged. Information on informal employment will also be collected in block 5.1. Similarly, the particulars of one subsidiary economic activity of the household members along with some particulars of the enterprises and informal employment in their subsidiary activity will be recorded in Block 5.2. The daily time disposition for the seven days preceding the date of survey along with the corresponding activity particulars will be recorded for each household member 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 regular salaried/wage employee and for the casual labours 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. 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 members of the household 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 to throw light on their participation in some specified activities for family gain. A worksheet to obtain the total monthly household consumer expenditure has been provided in Block 9.

4.0.3 Concepts and definitions: Concepts and definitions for various terms, viz., economic activity, activity status, procedure for determining the activity status by different approaches, vocational training and other related terms used in this schedule have been discussed in Chapter One.

DETAILS OF SCHEDULE

4.0.4 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 in this block are self-explanatory. Items 4 and 5 are applicable to rural areas only and a dash '-' will be put against this item in urban schedule. The name of the hamlet to which the sample household belongs will be recorded against the fifth item 'hamlet name'. On the other hand, for a sample village with no hamlet group selection, a dash (-) is to be recorded against this item. Item 6 is applicable to urban areas only and a dash (-) will be put against this item in rural schedules. The entry against the last item, viz., 'name of informant', will be the name of the principal informant, i.e., the person from whom the bulk of the information is collected.

4.1.0 Block 1: Identification of sample household: The identification particulars of the sample household are to be recorded against items 1, 4 to 15. The entries against items 2 and 3 are already printed in the schedule. Items 1 and 4-12 will be copied from the relevant items of block 1 of schedule 0.0.


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4.1.1 Item 13: Sample hamlet group/ sub-block number: This item will be obtained from the heading of block 5 of schedule 0.0.

4.1.2 Item 14: Second stage stratum number: This will be taken from headings of columns (16) to (18) of block 5 of schedule 0.0. Entries will be any of 1, 2 or 3.

4.1.3 Item 15: Sample household number: This is same as the order of selection of the sample household and will be copied from columns (16) to (18) of block 5 of schedule 0.0.

4.1.4 Item 16: Serial number of informant: The serial number of the person recorded in column 1 of block 4 from whom the bulk of the information is collected will be entered here. Information is to be collected from members of the household. However, under the compelling circumstances if bulk of the information is collected from a person who is not a member of the household, '99' will be recorded against this item.

4.1.5 Item 17: Response code: This item will be filled in after collecting information for all items in the schedule. The entry is to be made in terms of codes on the basis of the impression formed by the investigator regarding the overall response of the informant. The codes are:

4.1.6 Item 18: Survey code: Whether the originally selected sample household or a substitute household has been surveyed will be indicated against this item by recording code '1' if the originally selected household has been surveyed and code '2' if the substitute household has been surveyed. If neither the originally selected household nor a substitute household could be surveyed, i.e., if the sample household is a casualty, code '3' will be recorded. In case of a casualty only the blocks 0, 1, 2, 10 and 11 are to be filled up and on the top of the front page of the schedule the word 'CASUALTY' will be written in block capitals.

4.1.7 Item 19: Reason for 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 codes. The codes are:

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This item is applicable 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 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 serial number 2(i). Total time taken to canvass schedule 10, which will include time taken to canvass block 9 also, will be recorded in item 4. Time taken to canvass block 9 only will be recorded against item 5. Entries in item 4 and 5 will be made in whole number in minutes The time required to canvass the schedule should be the actual time to canvass the schedule and will not include the time needed by the investigator to finalise the schedule.

4.3.0 Block 3: Household characteristics: Certain household characteristics, such as, household size, household type, religion, social-group, household industry, household occupation, monthly household consumer expenditure, number of members who got work for at least 60 days in public works during the last 365 days, land owned/ land possessed as on the date of survey, land cultivated (including orchard and plantation) during July 2003 - June 2004, etc., which are intended to be used mainly as classificatory characteristics in studying the indicators of employment and unemployment 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 stay aways 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 appropriate five-digit industry code of the NIC-1998 is to be recorded against 5 cells provided for recording NIC codes putting one digit in each cell. For households deriving income from non-economic activities only, (e.g. for a pensioner/ beggar/ prostitute household) a dash (-) may be put against this item.

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 against 3 cells provided for recording the NIC codes putting one digit in each cell. For households deriving income from non-economic activities only, a dash (-) may be put against this item.

4.3.4 The procedure for determining principal industry and principal occupation of the household has been discussed in Chapter One.

4.3.5 Item 4: Household type (code): For the rural areas, the selected household will be assigned appropriate type code out of the following five different household type codes:

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


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4.3.6 The procedure for assigning household type codes for both rural and urban areas has been discussed in Chapter Three. A household, which does not have any income from economic activities, will get type code 9 (others).

4.3.7 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:

4.3.8 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, the group to which the head of the household belongs will be considered as the 'social group' of the household.

4.3.9 Item 7: Land owned as on date of survey: The land area owned by the household as on the date of survey will be recorded in hectares in three places of decimal. Separate provision has been kept for recording integral and decimal parts. For 'nil' entry a dash (-) may be recorded here. 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. Detailed discussion regarding ownership of land has been made in Chapter Three.

4.3.10 Item 8: Land possessed as on date of survey: Land possessed is given by land owned (including land under 'owner like possession') + land leased in -- land leased out + land held by the household but neither owned nor leased in (e.g., encroached land). The land area possessed by the household as on the date of survey will be recorded in hectares in three places of decimal. Separate provision has been kept for recording integral and decimal parts. For 'nil' entry a dash (-) may be recorded here. Detailed discussion regarding possession of land has been made in Chapter Three.

[P.54]
4.3.11 Item 9: Land cultivated (including orchard and plantation) during July 2003-June 2004: Land cultivated (including orchard and plantation) during the agricultural year 2003-2004, i.e., July 2003 to June 2004 will be recorded against this item. 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 9 in hectares in three places of decimal. Separate provision has been kept for recording integral and decimal parts. For 'nil' entry a dash (-) may be recorded here. It may be noted that area with field crops and area under orchards and plantations will be counted only once in the same year/ season.

4.3.12 Items 10 and 11: Number 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'. Public works covers local area development works like construction of roads, dams, bunds, digging of ponds etc. as relief measures, or as an outcome of the employment generation schemes under the poverty alleviation programmes such as National Rural Employment Programme (NREP), Rural Landless Employment Guarantee Programme (RLEGP), Jawahar Rozgar Yojana (JRY), Minimum Needs Programme (MNP), etc. The number of male and female members who got work in 'public works' will be recorded against items 10 and 11, respectively. If no member got any such work '0' will be recorded against these items.

4.3.13 Item 12: Monthly household consumer expenditure (Rs): This item will be copied from item 40 of block 9.

[4.3.1.0 to 4.3.1.6 are not presented here.]

[P. 56]

4.4.0 Block 4: Demographic particulars of household members: This block is meant to record the demographic particulars like sex, age, marital status, educational level, current attendance in educational institution, current registration with employment exchange and receipt of vocational training, etc., of all the household members. The description of the items and the procedure for recording them are explained below:

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

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 105 years, entry under this column will be 105.

4.4.6 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:

[P. 57]

4.4.7 Educational level: Information on the highest level of education successfully completed by each member of the household considering his/ her all general/ technical/ vocational educational level will be recorded in terms of codes in column (7), whereas in column (8), the highest level of technical education successfully completed will be recorded. 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).

4.4.8 Column (7): General: In column (7), the highest level of education successfully completed by the members of the household considering general/ technical/ vocational education will be recorded in codes which are given below:

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. Some persons achieve literacy by attending Non-formal Education Courses (NFEC) or Adult Education Centres (AEC) or by attending primary schools created under Education Guarantee Scheme (EGS). Such persons will be given code 02. Persons who have become literate through attending Total Literacy Campaign (TLC) will be given code 03. Persons who are literate through means other than formal schooling or the two enumerated above will be given code 04. Those, who are by definition literate through formal schooling but are yet to pass primary standard examination, will be assigned code 05. Similarly codes 06, 07, 08, and 10 to 13 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/union territories. Persons who have attained proficiency in Oriental languages (e.g., Sanskrit, Persian, etc.) through formal but not through the general type of education will be classified appropriately at the equivalent level of general education standard. For them who have completed some diploma or certificate course in general or technical education, which is equivalent to below graduation level, code 11 will be assigned. Whereas, code 12 will be recorded for them who have obtained degree or diploma or certificate in general or technical education, which is equivalent to graduation level. Similarly, code 13 will be assigned for them who have obtained degree or diploma or certificate in general or technical education, which is equivalent to post-graduation level and above.

[P.58]

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

[P.58]

Technical diploma or certificate in 'other subjects' will cover diploma or certificate in management, applied arts, etc. If more than one of the codes 03 to 07 are applicable, the code indicating the diploma/ certificate last received will be considered. Similar will be the treatment when more than one of the codes 08 to 12 are applicable for a person. It may be noted that the technical certificate/ diploma obtained by the person need not necessarily be recognised by the Government.

4.4.10 Column (9) and (10): Current attendance in educational institution: Columns (9) and (10) will be used to record the particulars of current attendance in educational institution for persons of age below 30 years. Column (9) will be used to record 'status of current attendance'. Column (10) will be used to record 'type of institution' for those who are currently attending educational institution, i.e., with entry 21-40 in column (9). Procedure for recording the particulars in these columns is explained in the subsequent paragraphs.

4.4.11 Column (9): Status of current attendance. 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'. 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 examinations will be recorded. Persons who are not currently attending any educational institutions, reason for not attending will be ascertained and will be given any of the codes 01 to 05 if they have never attended and 11 to 15, if they ever attended but currently not attending. For those who are found 'currently attending', the course of study pursued by them will be further ascertained and codes will be assigned depending on the course of study pursued by them. For persons attending more than one course, the one which is of full time will be considered for recording current attendance, in case only one of the courses is full time. In case more than one of the courses are full time, the one, which is of higher level will be considered for current attendance. If the full time courses are of same level, the one with longer duration will be considered. If the person is pursuing only part time courses, the course to be considered for current attendance will be determined in the similar way as is done for full time course.

[P.59]
Currently not attending any educational institution:

Currently attending in:

[P. 60]

4.4.12 Column (10): Type of institution: Those with code 21-40 in column (9) will be considered for recording entries here. The type of institution refers to the type of management by which the institution is run. It may be government, local body, or private body receiving government aid. Thus the type may be (a) Government, (b) Local body, (c) Private aided or (d) Private unaided. All schools/ institutions run by the State, Central Government, Public Sector Undertakings or Autonomous Organisations, which are completely financed by the Government will be treated as government institutions. Schools/ institutions where some intervention of government is in the management and are mainly financed by the government will also be treated as government institutions. All institutions run by municipal corporations, municipal committees, notified area committees, zilla parishads, panchayat samitis, cantonment boards, etc. will be treated as local body institutions. Private aided institution is one, which is run by an individual or a private organisation and receives maintenance grant partly or fully from the Government or local body. Private unaided institution is one that is managed by an individual or a private organisation and not receiving maintenance grant either from a Government or a local body.

Relevant codes to be given are:

4.4.13 Column (11): Currently registered with employment exchange: For persons of age below 65 years listed in column (1) of this 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 this column.

4.4.14 Column (12) to (15): Particulars of vocational training: Columns (12) to (15) will be used to record particulars of vocational training received/ being received by persons of age 15 to 29 years. Procedure for recording the particulars in these columns is explained in the subsequent paragraphs.

4.4.15 Column (12): Whether receiving/received any vocational training: Information on whether the household member is receiving or has received any vocational training will be collected in this column in codes given below:

[p.61]

Only those who are currently receiving 'formal vocational training' will be given code 1 and if the vocational training, which is formal, is received, i.e., if the training course is successfully completed, then code will be 2. Code 3 will be applicable for those who have received 'hereditary' non-formal vocational trainings and code 4 for those who have received 'other' non-formal vocational trainings. Persons who have failed in formal vocational training after completion of the full duration of the course will be given code 4 provided they have acquired competency through this training to employ themselves as wage salary employee or self-employed. Concepts of formal and non-formal vocational trainings have been discussed in Chapter One. Examples of some formal vocational trainings have been given in Annexure 1.

Columns (13) to (15) will be filled in for those who are receiving/received formal vocational training, i.e., for code 1 or 2 in column (12)

4.4.16 Column (13): Field of training (code): Field of training in this column refers to the broad area/ trade, say, 'Mechanical engineering trades', 'Electrical and electronic trades', 'Leather related work', etc. on which the formal vocational training has been received/being received by the household member. 'Field of training' will be recorded in terms of 2 digit codes.

The codes for the field of training to be used for making entry in this column are given below:

Field of training:

[P.62]
For a formal vocational training, if the 'field of training' is not covered by any of the codes 01 to 21, code 99 will be assigned to that field of training. It may be noted that under a particular broad area of the training stated above, an individual may have received the vocational training for development of skill in specific area(s).

For example, a vocational training may develop skill in specific area(s) like 'blacksmithy', 'fitter', etc. under the broad area 'Mechanical engineering trades' or in the specific area 'Cutting and Tailoring' under the broad area 'Textile related work' or in the specific area 'Cane and Bamboo work' under the broad area 'Artisan/ craftsman/ handicraft and cottage based production work'. Specific areas and broad areas of the vocational training, in most cases, will be understood from the name of trade/training course.

To facilitate the collection of data on 'field of training', an indicative list of specific areas on which one can receive the vocational training and the broad area covering the specific area(s) is given in Annexure 2. There may be cases where broad area of training can be understood from the specific area of training but the specific area is not covered under any of the broad areas in the list given in Annexure 2. For a person when more than one of the codes are applicable, last training received will be considered for giving code for 'field of training'.

Some instances for recording field of training are being illustrated with the help of the following examples:

4.4.17 Column (14): Duration of training: Duration of the formal vocational training, in weeks, will be entered here. The stipulated duration that the training may take for successfully completing the course will be recorded for those who are receiving the training on the date of survey. In case, the duration of formal vocational training received/being received is in months or in years then it will be rounded off to the nearest week. For this purpose, one month will be considered as 4 weeks, three months will be considered as 13 weeks, 6 months will be considered as 26 weeks and one year will be considered as 52 weeks. If the duration of training is in terms of days then it will be converted to weeks and entry will be made in whole number.

[P.63]

4.4.18 Column (15): Source from where degree/diploma/certificate received/to be received: This column will be used to record the source, i.e., agency/authority from where degree/diploma/certificate received/to be received by the members of the household who have received or are receiving formal vocational training, i.e, those with code 1 or 2 in column (12).

The relevant source codes that are to be used for recording the information are given next.

[P.64]

4.4.19 Column (16): Whether beneficiary of the scheme during last 365 days: In this column information on whether the household member is a beneficiary of any of the schemes, viz., Annapurna, ICDS, Midday Meal and Food for Work will be recorded in code. Details about these schemes have been given in Chapter One. The following codes will be used to record entry in this column:

If the member is not beneficiary of any of the above schemes (codes 1 to 4), then code 5 will be assigned. It may be noted that if more than one code is applicable, then the code appearing first in the code list will be recorded.

4.5.1.0 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, some particulars of the enterprises in which they are working and conditions of employment for the persons employed as regular wage/salaried employee and casual labour. 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 status', 'economic activity', 'usual principal activity', 'usual subsidiary economic activity', etc. are explained in Chapter One. The description of the items and the procedure for recording them are explained below:

4.5.1.1 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 columns (1) and (5) of block 4, for each of the members of the household.

4.5.1.2 Usual principal activity particulars of household members: The usual principal activity particulars of each member of the household will be collected in columns (3) to (6) of this block. This will include information on industry-occupation of the working members.

4.5.1.3 Column (3): Status: For each of the members, the usual principal activity status will be recorded in this column. In the first instance, the broad usual principal 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 usual principal 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 period normally available in a day for pursuing various activities need to be considered, and not the 24 hours of a day.

[P.65]

4.5.1.4 Identification of broad usual principal activity status: The broad usual principal 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 status, out of these two, 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 usual principal status as one of the three viz. employed, unemployed and out of labour force. Flow chart 1 explains the procedure for determining the broad usual principal activity status.

Flow Chart 1: Determination of Broad Usual Principal Status
During the major time of the reference year, was the person working or available for work?

4.5.1.5 The following examples will help in clarifying the procedure for identifying broad usual principal activity status of individual.

[P.66]

Person _
Number of months:

Usual principal activity status ____
Remarks ____

A

Employed

B

Unemployed
Employed in subsidiary status (SS)

C

Employed

D

Not in labour force
Employed in SS

E

Employed

F

Not in labour force
Employed in SS

4.5.1.6 Detailed usual principal activity status: With the broad activity status identified for a person, detailed activity categories will be assigned on the basis of relatively longer time spent on a detailed activity. For example, suppose person 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 usual principal activity status would be, worked in household enterprise (own account worker).

[P.67]

The detailed usual principal status activity codes are as given below:

Activity status

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'. For children of age 0 - 4 years, code 97 may be given.

4.5.1.7 Some special cases for determining usual principal activity status are listed below:

[P.68]

4.5.1.8 Columns (4) to (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 column (3) will be given in column (4). The corresponding 5-digit industry code (NIC-98) and the 3-digit occupation code (NCO-68) 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.

4.5.1.9 Care is to be taken regarding an important point in this connection. To identify certain category of workers separately, NIC-98 industry class code 9500 (tabulation category P) 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 digited industry codes in column 5 of block 5.1. 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. If services provided by individuals to the household originate and terminate in the same household, they will be classified under Division 95.

For example, all persons who collect electric bills from the households for payment, who provide potable water in the container made available by the household, who collect grocery items from the shops/market as per the list of items supplied by the household, who give tuition to the members of the household at the residence of the household members, 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, for a person giving tuition in his own coaching center or in 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 division 95 in the above example will be considered as 'wage earners/employees', while those not classified under division 95 will be considered as 'self-employed'.

Renting of machinery and equipment, building is considered as economic activity if those are performed as a business activity, for which substantial amount of time is spent. In the current round, separate industry codes are to be given for renting of building for residential and non-residential purposes. For this purpose, 5-digit NIC-98 code 70101, which was for 'purchase, sale, letting and operating of real estate- residential and non-residential building' has been specially restructured into three 5-digit codes. The specially structured three codes are:

[P. 69]



Note that the activity of letting of residential and non-residential building has now been excluded from the coverage of 5-digit NIC-98 code 70101.

4.5.1.10 Column (7): Whether engaged in any work in a subsidiary capacity (yes-1, no-2): 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. A person will be considered to have worked in the subsidiary capacity if he/she has worked for a minimum period of 30 days, not necessarily for a continuous period, during the last 365 days, and for them code 1 will be recorded in this column. Otherwise, code will be 2.

4.5.1.11 The identification of those working in a subsidiary capacity will be done as follows:

It may be stated again that engagement in work in subsidiary capacity may arise out of two situations:


[P.70]

Differentiation between usual principal economic activity and usual subsidiary economic activity will be made by considering activity status and industry at 2-digit level of NIC-98. Thus, while for a person with two or more economic activities pursued at different activity status, one of the economic activity will be considered as usual principal economic activity on the basis of major time criteria, another activity will be considered as usual subsidiary economic activity. On the other hand, if a person pursues two or more economic activities in the same activity status but if the industry at 2-digit level of NIC-98 are different, then the person will be considered to have different usual principal and usual subsidiary economic activity.

4.5.1.12 Columns (8) to (15): Particulars of enterprise and conditions of employment: For persons with industry groups 012, 014, 015 and divisions 02 to 99 in col. (5), particulars of the enterprises where the household members are usually engaged will be recorded in columns (8) to (11), and conditions of employment will be recorded in columns (12) to (15) for those with status codes 31, 41 or 51 in column (3). Note that in this block the particulars to be collected in columns (8) to (15) will pertain to the principal status (col. 3) and industry (col. 5) obtained for the person.

4.5.1.13 Column (8): Location of workplace (code): The location of the workplace will be recorded in terms of code under this column. The detailed codes are:

[P. 71]

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. A workplace will be considered as 'street without fixed location' if the enterprise changes its location from time to time, e.g., a trading enterprise may shift its location from one market to the other on different days of the week although operates in a fixed place of the market. For such enterprises code will be 16 or 26 depending on whether the workplace is in rural areas or in urban areas. For the working members, if the enterprise in which they are working does not have a fixed premises and is not covered by the codes 16 or 26 or in other words if these enterprises do not have fixed workplace (as in the case of a hawker or an artisan like carpenter, cobbler, knife-grinder, own-account carpenters, etc. who moves from place to place and goes to the customers) 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 that 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 17/ 27 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 17 / 27 and not 10.

4.5.1.14 Column (9): 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:

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 in spite of his/her best efforts, code 9 will be recorded for such working member against type of enterprise. For persons engaged in own account production of fixed assets the enterprise type will be either proprietary or partnership, i.e, any of the codes 1 to 4.

4.5.1.15 Column (10): Whether uses electricity for its production (yes -1, no -2, not known -9) : The information as to whether the enterprise in which the person works, uses electricity for its production purposes is to be recorded here. It may be mentioned here that use of electricity exclusively for purposes other than production like, for comfort, security, illumination, etc., will not be considered as the use of electricity by the enterprise for its production.

[P.72]

Code 1 will be assigned if the enterprise uses electricity for its production. If the enterprise does not use electricity for its production code will be 2. If the informant does not know whether the enterprise uses electricity for its production, code 9 will be recorded.

4.5.1.16 Column (11): Number of workers in the enterprise: Number of workers would mean the number of workers employed in the enterprise on an average on a day of operation, irrespective of whether they are hired worker or household members working in the enterprise. The number of workers that includes working owner(s), 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.

4.5.1.17 Column (12): Type of job contract: It is to be ascertained for each employee (i.e., those with code 31, 41, or 51 in column 3) whether for the job in which he/she is engaged, there is any written contract or agreement in respect of duration of employment with his/her employer. For those who reports to have written job contract with their employer, further probing may be done in respect of the length of duration contracted, and the information so obtained may be recorded in terms of the code 2, 3 or 4 depending upon the length as given below:

If the contract of employment specifies a particular date of termination which is more than 3 years or if the type of job contracted is such that no time is fixed but the contract can only be terminated for certain administrative reasons such as incompetence, misconduct or for economic reasons then code 4 will be recorded. However, if no written contract exists, then irrespective of the duration of employment code 1 will be recorded.

[P. 73]
4.5.1.18 Column (13): Whether eligible for paid leave: If the employee is eligible for paid leave then code 1 will be entered, otherwise code will be 2. Paid leave may include leave during sickness, maternity, or such leaves, as the employee is eligible to take without loss of pay as per the conditions of employment. The situation will be obtained excluding the paid off days/holidays which an enterprise normally allows to its employees.

4.5.1.19 Column (14): Availability of social security benefits: It will be ascertained from the employees whether they are covered under any of the specified social security benefits or a combination of them which are arranged or for which contribution is made by the employer. The following code structure is to be adopted for recording the entry against this column:

The term Provident Fund (PF) will include General Provident Fund, Contributory Provident Fund, Public Provident Fund, Employees Provident Fund, etc. It may be mentioned that coverage under any of these social security schemes will mean that the employer contributes/ arranges/ pays in implementing the social security benefits for the worker. If an employee operates, in his/ her individual capacity, a PPF account and the employer is not contributing in that account then it will not be considered a social security benefit. On the contrary, a scheme, in which both the employee and the employer contribute, will be considered a social security benefit. When benefits are given by the employer for treatment of illness/ injury or an employee is eligible for paid leave for a specified period of pre-natal/ childbirth/ post-natal stages or the expenditure for maternity care or childbirth is borne by the employer as per the conditions of employment, then such benefits will be considered as health care and maternity benefits. There may be cases where the employer is not directly contributing in a social security scheme for the employees, but being the member of the welfare association or organization or scheme in relation to the specific activity carried out by the employer, the employees get the benefit from that welfare association/ organization/ scheme. Such cases will also be considered as social security benefits availed through the employer and appropriate code will be assigned. If availability of social security benefits is not known to the employee, a dash (-) may be put in this column.

4.5.1.20 Column (15): Method of payment: The method of payment received by the person for work done will be recorded in codes. The applicable codes are:

4.5.1.21 Column (16): Period of seeking/ available for work during last 365 days: For persons of age 5 years and above, it is to be ascertained whether they were seeking/ available for work for some period during last 365 days. The period, which need not necessarily be continuous, for which the person was seeking/ available for work during last 365 days will be first rounded off to the nearest number of months and then appropriate code is to be given. For example, a person may be employed in his/ her principal usual activity status based on the major 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 5, applicable for the situation, will be given. If a person was not seeking or available for work any time during the preceding 365 days, the appropriate code will be 6.

The code structure for period of seeking/ availability for work is as given below:

4.5.1.22 Column (17): Seeking or available or suitable for the type of occupation: This column is applicable for persons of age below 75 years and with codes 81-97 in column (3), i.e., for those who did not work but was seeking/ available for work or those who were out of labour force. Probing may be done to ascertain the type of occupation for which one was seeking or available or suitable and information so obtained may be recorded in terms of the appropriate 3-digit NCO-68 code. It is expected that a person who is seeking a particular job, will generally opt for an occupation in which he/ she is proficient. Similarly, there may be a person who is not looking for a job effectively but may be available to do a particular type of job if the job is available to him/ her. The type of job for which he/ she is available will largely determine the type of occupation. In case a person is seeking/ available for more than one job, the type of occupation will be determined in respect of the job in which the person considers himself/herself most suitable based on his/ her proficiency, educational background, interest, etc. There may be a third category of persons who are neither available nor are seeking job, i.e., who are out of labour force. For them, type of occupation will be decided considering their opinion regarding the type of job that they feel suitable for them - had they been given an opportunity, which may depend upon educational qualification, interest, aptitude, skill of the individual.

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4.5.1.23 Column (18) and (19): Voluntary participation without remuneration in production of goods and services: Information in columns (18) and (19) will be collected for persons with code 81 - 97 in column (3) along with code 2 in column (7), i.e., for persons who are not employed in usual principal status and also in usual subsidiary status. These columns will be used to record information on voluntary participation without remuneration in production of goods and services in philanthropic organization/ institutions or in any other organization/ institution or even in the individual capacity. It may be noted that 'production of goods and services' relates to the activities those are economic in nature when they are not done voluntarily. Voluntary participation will mean that the household member has performed these activities without coercion or obligation but has participated in his/ her own volition. Moreover, the voluntary participation in the work should be without remuneration, which means that the person does not become entitled to receive, in respect of the work performed by him/ her, any compensation including honorarium from the institution/ organization. For the purpose of the survey, minor contingencies/ honorarium received from the institution/ organization against the voluntary work done may not be considered as remuneration.

4.5.1.24 Column (18): Whether participated voluntarily without remuneration in production of goods and services: It is to be first ascertained whether the household member has participated voluntarily without remuneration, at least for 30 days during last 365 days, in production of goods and services. The production of goods and services may be done in a philanthropic organization/ institution or in any other organization/ institution or in own account capacity. For example, one might have given tuition to some individuals without remuneration for a period of, say, 30 days in his own residence or in a place arranged by him/ her. In such a case, the person will be considered to have engaged in the voluntary production of goods and services.

The following codes will be used to record entry in this column:

If the household member has participated voluntarily without remuneration in production of goods and services, one of the codes 1 to 4 will be recorded in this column, otherwise code 5 will be recorded. Note that codes 1 and 2 relate to the production of goods and codes 3 and 4 to the production of services. On the other hand, codes 1 and 3 are applicable for voluntary participation in production of goods and services, respectively, in philanthropic organization/ institution, and codes 2 and 4 for voluntary participation in production of goods and services, respectively, in other organization/ institutions or in the individual capacity.

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4.5.1.25 Column (19): Industry group: This column will be used for those members of the household with code 1 to 4 in column (18). 3-digit industry group code as per NIC-98 will be recorded in this column depending on the industry of activity of the individual or institution/ organization in which the household member has performed the voluntary activity. In the case of multiple industry of activity, major time criteria may be adopted in deciding the appropriate industry group for the person.

[4.5.2.0 to 4.5.2.4 Block 5.2 are not presented here.]

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4.5.3.0 Block 5.3: Time disposition of members 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 of 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, (in which case two such activities will be considered for that day) and different activities may be carried out on different days of the week, more than one line have been provided for each person in this block to record information on different activity particulars which have been carried out by the person in the week in separate lines.

4.5.3.1 Columns (1) and (2): Serial number 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 column (1) of block 4. Provision has been made to record particulars of five persons in one page. Three such sheets have been provided. In case more pages are required to record the particulars of 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.

4.5.3.2 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 of age 0 - 4 years, their particulars will be entered and status code 97 will be assigned to them with intensity 1.0 for all the seven days preceding the date of survey without any probing.

4.5.3.3 Column(3): Serial number of activity: For each persons listed in column (1) of this block (which will be same as listed in column (1) of block 4), 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 pursues 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 in the rural areas with the same status, if the industry division (2-digit NIC-98 code) or operation is 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, in urban areas, the current activity of a person is denoted by his status-cum-industry. Thus, if a person in urban area 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, in rural areas, he will be considered to have two activities.

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4.5.3.4 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:

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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 in usual status 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.

4.5.3.5 Column (5): Industry division (2-digit NIC-98 code): For each status code grouped under the activity category 'working' (i.e., for the status codes 11-72 recorded in column 4), the 2-digit NIC-98 code will be entered in column (5) in terms of the specified code numbers.

4.5.3.6 Column (6): Operation (for rural areas): 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 codes 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:

4.5.3.7 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) to (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.

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4.5.3.8 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 this 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 visualized for a person on a single day:

4.5.3.9 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 then 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. The following illustrations may be noted for general guidance.

(a) A person found to be engaged in domestic duties should not be categorised 'engaged in domestic duties' (code 92) if the person reports that he/she has also been available for work concurrently.

(b) A person engaged in regular salaried/wage employment but currently not at work will be assigned code 71 or 72 irrespective of whether he is engaged in any other 'economic or non-economic' activity.

(c) Unpaid apprentices will be treated as 'students' while paid apprentices will be treated as employees.

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(d) 'Free collection for sale' will be treated as self- employment.

4.5.3.10 Columns (7) to (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. Thus, for each day, for a person, there will be either 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. Procedure for recording different activities and the intensities of the activities on different days are explained in the Flow charts 2 and 3.

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

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4.5.3.12 A few special cases are stated below regarding assigning of intensity.

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Flow chart 2: Broad steps for filling cols. 1 to 13 of block 5.3 for each member

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[Flow chart 3: Determination of intensity of activity (for col. 7 - 13) is not presented here. See pdf.]

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4.5.3.13 Column (14): Total number of days in each activity: The number of days for which a particular activity was pursued during the seven days, i.e., the total of columns (7) to (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).

4.5.3.14 Columns (15) to (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 wage and salary earnings are collected for regular salaried/wage employees and casual wage labours, the relevant status codes for which wages and salary 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 of salary or wages in kind (evaluated at the current retail price) 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 number in rupees. For recording the wages or salaries, amount receivable as 'overtime' for the additional work done even from the same economic activity beyond normal working time will be excluded. 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.

4.5.3.15 Column (18): Mode of payment: This column will be filled in for those members with status codes 31, 41, 51, 71, and 72 in column (4). 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:

4.5.3.16 Column (19): Total number of days with nominal work: This column will be filled in for the persons with status code 11 to 72 recorded in column (4) against any 'serial number of activity' in column (3). Some of these persons who have reported intensity of work as 'half', for some of the days 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 with only nominal work out of the 7 days reference period, for which intensity has been collected in columns (7) to (13) would be recorded in this column against the first line for the person. If for a person with status code 11 to 72, none of the days in the week are with nominal work entry in this column will be made as 0.

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4.5.3.17 Column (20): Current weekly status (codes): Based on the activity status 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.

4.5.3.18 As already explained the activity status 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 status 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.

4.5.3.19 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), corresponding to a serial number of activity within the broad activity status, will be recorded in column (20). 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. The procedure for assigning the CWS to a person is explained in the form of Flow chart 4.

Flow Chart 4: Deciding current weekly status (for cols. 20 and 21)

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4.5.3.20 A few examples for determination of current weekly status are given below :

[The table is not presented here. See pdf.]

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4.5.3.21 Columns (21) and (22): Industry and occupation: For persons with any of codes 11-72 in column (20), the 5-digit industry (NIC-98) and 3-digit occupation (NCO-68) will be recorded in these two columns. Note that to identify certain category of workers separately, NIC-98 industry class code 9500 has been split. Also, separate code has been provided for renting of building for residential and non-residential purposes. Those are to be considered here also. The industry and occupation will correspond to the economic activity in which the highest number of days have been spent as explained in the previous paragraph. In the cases where equal number of days is spent on two or more activities (like in case of person with serial number 4 in the above example) the industry and occupation corresponding to the activity appearing first in the code list in terms of status and industry (in urban areas) or in terms of status, industry and operation (in rural areas) will be noted in columns (21) and (22).

4.5.3.22 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 total intensity 1.0 against code 81/82 in column (4) on all the seven days of the week. Code 1 or 2 will be recorded in this column depending on the situation.

[4.6.0 to 4.11.0 are not presented here.]

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4.12.0 Some Important Clarifications for determining activity status:

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[Annexure-1: examples of some formal vocational trainings is not presented here.]

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[Appendix-I: List of FOD sub-regions]

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[Appendix - II: List of NSS Regions and their composition]