The National Sample Survey (NSS), set up by the Government of India in 1950 to collect socio-economic data employing scientific sampling methods started its fifty-seventh round from 1st July 2001.
The fifty- seventh round of NSS is earmarked for collection of data on economic and operational characteristics of unorganized enterprises in service sector (excluding trade and finance), besides consumer expenditure and employment-unemployment.
During 1977, the first All-India Economic Census was conducted by the Central Statistical Organization (CSO) in collaboration with the State Statistical Bureaus with the objective of collecting some basic information on non-agricultural enterprises employing at least one hired worker on a fairly regular basis (hereinafter referred to as 'establishments'). Following this census, small establishments and enterprises not employing any hired worker on a fairly regular basis [and henceforth called 'own account enterprises' (OAEs)] engaged in the activities of trade, transport, hotels & restaurants and services was conducted by NSSO as part of its 34th round (1979-80) while larger establishments of these activities were surveyed by CSO during 1979-80.
The second All-India Economic Census was conducted in 1980 along with the house listing operations of the 1981 Population census. This census had a wider coverage than the earlier one since it covered the own-account enterprises also. In presenting the results, the establishments were further split into two categories as (i) Directory Establishments (DEs) and (ii) Non-directory Establishments (NDEs), the difference being that the former employed a total of six or more workers while the latter employed one to five workers. Thus, in all, three categories of enterprises were formed viz., (i) OAEs (ii) NDEs and (iii) DEs in the second Economic Census. As a follow-up to the second Economic Census, OAEs and establishments (NDEs and DEs together) engaged in the activities of transport, hotels & restaurants, storage & warehousing and services were surveyed during October 1983 to September 1984 by special staff of the Field Operations Division (FOD) of NSSO under the technical direction of CSO. This was followed by another survey on hotel, restaurant and transport in 1988 - 89 also by CSO.
The third All-India Economic Census was conducted in 1990 along with the house listing operations of the 1991 Population Census following the same concepts and definitions as in the second all-India Economic Census conducted in 1980 referred to above. However based on EC '90, a follow up survey on OAEs and establishments engaged in the activities of storage & warehousing was undertaken as a part of Enterprise survey 1992-93 by CSO and similar follow up survey on OAEs and establishments was conducted in 1993-94 also by CSO.
Following this, two other surveys were undertaken with Population Census 1991 as sampling frame - (i) Special Enterprise Survey on enterprises in the unorganized sector during the period August '98 to June '99 and (ii) Informal sector enterprises as part of NSS 55th round during July 1999 to June 2000.
The fourth All India Economic Census was conducted in 1998 following the same concepts and definitions as in the third All India Economic Census conducted in 1990. EC '98 provides enterprise wise information at FSU level and as such it will be taken as the sampling frame for this round of survey as was done in the 56th round.
The fifty-seventh round of NSS will cover all OAEs and establishments of unorganized service sector (excluding trade and finance). The details of the activities and enterprises to be covered in this round are outlined under Para 1.3.20.
In addition, the annual consumer expenditure enquiry covering some key characteristics of employment-unemployment will also be carried out on a sample of four households in each sample FSU.
Earlier surveys on consumer expenditure: Since its inception, the National Sample Survey (NSS) had been collecting data on consumer expenditure in every round up to the 29th round (1972-73). After the 26th round of the survey, the Governing Council of National Sample Survey Organisation (NSSO) decided to undertake the surveys on consumer expenditure and employment and unemployment together once in every five years. Accordingly, programme of quinquennial surveys was conducted in the 27th, 32nd, 38th, 43rd, 50th and 55th rounds since 1972-73. Planners and research workers also felt the need for an annual series on consumer expenditure. The Governing Council, therefore, decided that an annual survey on consumer expenditure would be undertaken on a thin sample basis in the intervening rounds between successive quinquennial rounds. The annual series started from the 42nd round (July 1986-June 1987).
The present survey is the thirteenth of the annual series on household consumer expenditure. It was conducted during July 2001 - June 2002.
Kind of Data
Sample survey data [ssd]
- v01: Edited, anonymous dataset for public distribution.
Schedule 1.0 has been split into several blocks to obtain detailed information on the expenditure incurred on domestic consumption and other particulars of the sample household. Besides, information will be collected on sufficiency of food. No account will, however, be taken of any expenditure incurred towards the productive enterprises of the households.
Block 0: Descriptive identification of sample household: This block is meant for recording descriptive identification particulars of a sample household. All the items are self-explanatory. A dash (-) may be recorded against not applicable items. (e.g., village name is not applicable for urban sample.)
Block 1: Identification of sample household: items 1 to 12: The identification particulars for items 3-12 will be copied from the corresponding items of block 1 of listing schedule (Sch.0.0). The particulars to be recorded in items 1 and 2 have already been printed in the schedule.
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 srl. no. 2(i).
Block 3: Household characteristics: Characteristics which are mainly intended to be used to classify the households for tabulation will be recorded in this block.
Block 4: Demographic and other particulars of household members: All members of the sample household will be listed in this block. Demographic particulars (viz., relation to head, sex, age, marital status and general education), working status, type of income received and number of meals taken will be recorded for each member using one line for one member.
Blocks 5 to 9: Blocks on Consumer Expenditure: In these blocks information on consumer expenditure on various items/groups of items will be collected. The titles of the blocks are:
Block 5: Consumption of food, pan, tobacco and intoxicants.
Block 5.1: Consumption of fuel and light.
Block 6: Consumption of clothing, bedding, etc.
Block 7: Consumption of footwear.
Block 8.1: Expenditure on education & medical (institutional) goods and services.
Block 8.2: Expenditure on miscellaneous goods and services including medical (non-institutional), rents and taxes.
Block 9: Expenditure for purchase and construction (including repair and maintenance) of durable goods for domestic use.
In blocks 5 and 5.1, information on an item will be recorded only if it is consumed. In blocks 6 and 7 value of an item will be recorded only if it is brought into first-use during the reference period. In blocks 8.1, 8.2 and 9 expenditure will be recorded if it is incurred on any item during the reference period.
Block 5: Consumption of food, pan, tobacco and intoxicants: In this block information on consumption of each item of food, pan, tobacco and intoxicants for the household for a reference period of 30 days preceding the date of survey will be collected.
Block 5.1: Consumption of fuel and light: In this block information on consumption of each item of fuel and light for the household during last 30 days, prior to the date of survey, will be collected. Columns are similar to block 5.
Block 6: Consumption expenditure on clothing, bedding, etc. : In this block, information on quantity and value of consumption of all items of clothing will be collected. The information in this block is required to be collected for a reference period of last 365 days. Consumption of clothing is defined as an item of clothing being brought into first-use. Clothing purchased first-hand will be considered for reporting against items 360 to 373 and items 380 to 387 (bedding, etc.). However, in case of second-hand purchase, total value of clothing purchased second-hand will be recorded against item 374: clothing (second-hand).
Block 7: Consumption of footwear: While filling in this block on purchase and consumption of footwear, the general instructions given for filling in the block on clothing will be followed. The quantity (number of pairs) and value (Rs) to be recorded are to be entered in whole number only.
Block 8.1: Expenditure on education and medical (institutional) goods and services: Under this block, information will be collected on educational and institutional medical expenses incurred during the last 365 days preceding the date of survey. Non-institutional medical expenses will be recorded separately in block 8.2. The institutional category will include payments made for goods & services availed of as an inpatient in both private as well as Government medical institutions like nursing homes, hospitals, etc. All other medical expenses will be treated under non-institutional category. The actual expenditure incurred during the reference period on the items listed in the block will be recorded.
Block 8.2: Expenditure on miscellaneous goods and services including medical (non-institutional), rents and taxes: In this block, relating to miscellaneous goods and services, information will be collected on the expenditure for purchase of these items during the reference period. The actual expenditure incurred towards purchase of these items, used for non-productive purposes, will be considered as the consumer expenditure of the household. Expenditure both in cash and kind will be taken into account. The reference period will be the last 30 days prior to the date of survey.
Block 9: Expenditure for purchase and construction (including repair and maintenance) of durable goods for domestic use: Information on expenditure incurred for purchase and cost of raw materials and services for construction and repairs of durable goods for domestic use during the last 365 days will be collected in this block. Expenditure will include both cash and kind. Purchase will include both first-hand and second-hand purchase and will be recorded in separate columns of this block. Only if some expenditure is incurred towards purchase of an item, may be in cash or kind or both, the item will be considered as purchased for this block. Expenditure incurred on purchase of durable goods for giving gifts will also be included. In case of credit/hire-purchase of any item of this block, the actual expenditure made during the reference period will be recorded. Expenditure on any item in this block will be recorded in whole number of rupees.
Block 10: Perception of household regarding sufficiency of food: This block will be filled after completion of the enquiry on all the preceding blocks. The expression in item 1 - 'getting enough food everyday' - as used in common parlance, conveys that the concerned person gets, by and large, sufficient food to eat. This question is asked in order to know the perception of the household regarding sufficiency of food.
The survey will cover the whole of the Indian Union except (i) Leh and Kargil districts of Jammu & Kashmir, (ii) interior villages of Nagaland situated beyond five kilometers of the bus route and (iii) villages in Andaman and Nicobar Islands which remain inaccessible throughout the year.
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National Sample Survey Organisation
Ministry of Statistics and Programme Implementation (MOSPI)
Selection of hamlet-groups/sub-blocks / households
Proper identification of the FSU boundaries: The first important 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). However for 66 towns for Karnataka where EC '98 work was done without using UFS blocks, the boundaries of each selected ward are to be ascertained by referring to the appropriate map.
Formation of segment 9: Having determined the boundaries of the sample FSU, all big non-agricultural enterprises having 200 or more workers in the entire FSU and having operated at least one day during last 365 days preceding the day of survey (hereinafter to be called as big enterprises for brevity) will be listed and eligible units under coverage will be surveyed separately in addition to the eligible smaller enterprises (i.e. enterprises having less than 200 workers and having operated at least one day during last 365 days preceding the day of survey) under coverage to be surveyed as per normal procedure. All the listed big units (whether under coverage or not) will constitute segment 9.
Decision on hamlet-group/sub-block formation: Having constituted segment 9 as stated above, a decision has to be taken whether listing has to be done in the whole sample FSU or not for formation of sampling frame of the smaller enterprises. For this, approximate present population (P) and approximate total number of non-agricultural enterprises (E) for the whole of sample FSU may be ascertained first from knowledgeable persons While ascertaining the approximate number of non-agricultural enterprises for formation of hg's/sb's, big enterprises will be excluded. Depending upon the values of 'P' and 'E', decision may be taken to divide the sample FSU into a fixed number of hamlet-groups (hg's - the term applicable for rural samples) / sub-blocks (sb's - the term applicable for urban samples) as per the rules given below:
0 - 1200 1 0 - 120 1
1201 - 1600 4 121 - 160 4
1601 - 2000 5 161 - 200 5
2001-2400 6 201 - 240 6
2401 -2800 7 241 - 280 7
For selected wards of the aforesaid 66 towns of Karnataka constituent UFS blocks will be treated as sub-blocks and as such no sub-block formation will be resorted to in the selected UFS blocks. However only two UFS blocks will be selected from these selected wards: one satisfying some criterion with probability 1 and the remaining by simple random sampling. In case there are only two or less UFS blocks, all will be selected.
The number (D) of hamlet-groups (hg's)/ sub-blocks (sb's) to be actually formed in the sample FSU will be the higher of the two values as per population and enterprise criteria. If value of P is less than or equal to 1200 (600 for certain hilly areas specified above) and/or value of E is less than or equal to 120 for an FSU, hg/sb formation should not be resorted to and the whole of sample FSU has to be considered for listing. It is to be noted that D will be the number of UFS blocks constituting the selected wards of the aforesaid 66 towns of Karnataka.
How to form hamlet-groups/sub-blocks ? : In case hg's/sb's are to be formed in the sample FSU, the same may be always done by more or less equalizing population (refer to chapter two for details). Please note that while doing so, it is to be ensured that the hg's/sb's formed are clearly identifiable in terms of physical landmarks. There will be no sub-block formation in the selected UFS blocks of the sample wards of the aforesaid 66 towns of Karnataka and these sample wards will be treated like FSU with sub-block formation, where sub-blocks are the UFS blocks in reality.
How to form segments 1/2 ? : After formation of hg's/sb's in large FSUs of sub-strata 1-9, the hg/sb having maximum number of sub-stratum specific establishments/OAEs (e.g. storage & warehousing establishments/OAEs for sub-stratum1, hotel establishments/OAEs for sub-stratum 2 and so on) will be selected with probability 1 and designated as segment 1. In case there is no establishments/OAEs specific to the respective sub-stratum then segment 1 will be decided on the basis of number of establishments/ OAEs specific to other sub-stratum (details may be seen in chapter 2.) After formation of hg's/sb's in large FSUs of sub-strata 10 and 11, segment 1 will be decided on the basis of total number of enterprises. If there is no enterprise at all in the large FSU of any sub-stratum, the hg/sb with maximum percentage share of population will be taken as segment 1. In case, there is more than one hg/sb satisfying the condition of labeling as segment 1, some objective criterion (details may be seen in chapter 2 ) is to be considered for selection of hg/sb to be labeled as segment 1.Two other hg's/sb's will be selected from the remaining (D-1) hg's/sb's by circular systematic sampling with equal probability. These two together will constitute segment 2 and combined listing and selection of enterprises/ households will be done.
For 66 towns of Karnataka constituent UFS blocks of the selected wards will be listed first and then two UFS blocks will be selected: one having maximum number of enterprises of the category specific to the sub-stratum will be selected with probability 1 and labeled as segment 1 and another will be selected with Simple Random Sampling out of the remaining and labeled as segment 2. In case, number of UFS blocks available in the selected block is two then both will be selected and the one having maximum number of enterprises of the category specific to the sub-stratum will be selected with probability 1 and labeled as segment 1 and the other will be labelled as segment 2. If there is only one UFS block in the selected ward this block will be selected and labeled as segment 1.
Listing and selection of enterprises/households will be done separately for segment 1 and segment 2.
FSUs not undergoing hg/sb formation will be identified as segment 1 for the purpose of processing.
It may be noted that formation of segment 9 is altogether different from that of segment 1 and segment 2.
Listing of households vis-à-vis their frame: Having determined the segments i.e. area(s) to be considered for listing, the next step is to list all the households and NAEs [including those found to be temporarily locked after ascertaining temporariness of locking of households /NAEs from local enquiry]. Although all NAEs are to be listed, only the unorganized service sector establishments/OAEs (excluding trade and finance) under 5-digited code of Tabulation categories viz H,I,K,M,N&O of NIC '98 and operated for at least 30 days (15 days for seasonal enterprises) during the reference year (i.e. last 365 days preceding the date of survey) will qualify for the survey. Such establishments/OAEs will hereafter be referred to as 'eligible establishments/OAEs'. Listing of households as well as eligible establishments/OAEs for the purpose of sample selection will be independent for segments 1 & 2 (Hereinafter enterprises will mean eligible establishments/OAEs only.)
Sampling of households (for schedule 1.0): A sample of 4 households will be selected from the households listed in the sample FSUs for canvassing schedule 1.0: Household consumer expenditure. In sample FSUs with hg/sb formation, two households will be selected from each of the two segments for this purpose. In the case of selected wards of 66 towns of Karnataka, treatment will be the same as that of sample FSU with hg/sb formation. If, however, there is a shortfall in the required number of households in a particular segment, the quota for the other segment shall be increased so that a total of 4 households is selected in all.
If the number of households (H) in the frame is less than 4 then all the households will be selected. If H =4 the households will be first arranged by their means of livelihood and then the required number of sample households will be selected circular systematically with a random start for each segment of the sample FSUs separately.
Dates of Data Collection
Data Collection Mode
Data Collection Notes
Period of survey and work programme: Fifty-seventh round was of one year duration starting on 1st July 2001 and ending on 30th June 2002. The survey period of this round was divided into four sub-rounds of three months duration each as follows:
1 July-September 2001
2 October-December 2001
3 January-March 2002
4 April-June 2002
Equal number of sample FSUs will be allotted for survey in each of these four sub-rounds with a view to ensuring uniform spread of sample FSUs over the entire round. However attempt should be made to survey each such FSU duding 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.
The World Bank Microdata Library
The World Bank
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- the Identification of the Primary Investigator
- the title of the survey (including country, acronym and year of implementation)
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Example: National Sample Survey Organisation. India National Sample Survey 2001-2002 (57th Round) - Schedule 1.0 - Consumer Expenditure. Ref. IND_2001_NSS57-SCH1.0_v01_M. Data downloaded from [web] on [date].
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