Socioeconomic Survey 2015-2016, Wave 3 - Ethiopia

Abstract
---------------------------

The Ethiopia Socioeconomic Survey (ESS) is a collaborative project between the Central Statistics Agency of Ethiopia (CSA) and the World Bank Living Standards Measurement Study-Integrated Surveys on Agriculture (LSMS-ISA) team. The objective of the LSMS-ISA is to collect multi-topic, household-level panel data with a special focus on improving agriculture statistics and generating a clearer understanding of the link between agriculture and other sectors of the economy. The project also aims to build capacity, share knowledge across countries, and improve survey methodologies and technology.

ESS is a long-term project to collect panel data. The project responds to the data needs of the country, given the dependence of a high percentage of households in agriculture activities in the country. The ESS collects information on household agricultural activities along with other information on the households like human capital, other economic activities, access to services and resources. The ability to follow the same households over time makes the ESS a new and powerful tool for studying and understanding the role of agriculture in household welfare over time as it allows analyses of how households add to their human and physical capital, how education affects earnings, and the role of government policies and programs on poverty, inter alia. The ESS is the first panel survey to be carried out by the CSA that links a multi-topic household questionnaire with detailed data on agriculture.

Geographic coverage
---------------------------

National Coverage. ESS2 and ESS3 covered all regional states including the capital, Addis Ababa. The majority of the sample comprises rural areas as it was carried over from ESS1. The ESS2 and ESS3 were implemented in 433 enumeration areas (EAs) out of which 290 were rural, 43 were small town EAs from ESS1, and 100 were EAs from major urban areas.

Analysis unit
---------------------------

Households
Communities

Universe
---------------------------

ESS uses a nationally representative sample of over 5,000 households living in rural and urban areas. The urban areas include both small and large towns.

Kind of data
---------------------------

Sample survey data [ssd]

Sampling procedure
---------------------------

The sample is a two-stage probability sample. The first stage of sampling entailed selecting primary sampling units, or CSA enumeration areas (EAs). A total of 433 EAs were selected based on probability proportional to size of the total EAs in each region. For the rural sample, 290 EAs were selected from the AgSS EAs. A total of 43 and 100 EAs were selected for small town and urban areas, respectively. In order to ensure sufficient sample size in the most populous regions (Amhara, Oromiya, SNNP, and Tigray) and Addis Ababa, quotas were set for the number of EAs in each region. The sample is not representative for each of the small regions including Afar, Benshangul Gumuz, Dire Dawa, Gambella, Harari, and Somalie regions. However, estimates can be produced for a combination of all smaller regions as one “other region” category. A more detailed description of the sample design is provided in Section 3 of the Basic Information Document provided under the Related Materials tab.

Mode of data collection
---------------------------

Face-to-face [f2f]

Research instrument
---------------------------

The survey consisted of five questionnaires. These questionnaires are similar with the questionnaires used during in the ESS1 and ESS2 with revisions based both on the results of the ESS2 and also on identified areas of need for new data (see Section 7 of the Basic Information Document provided under the Related Materials tab). The household questionnaire was administered to all households in the sample. The community questionnaire was administered to a group of community members to collect information on the socio-economic indicators of the enumeration areas where the sample households reside.3 The three agriculture questionnaires consisting of a post-planting agriculture questionnaire, post-harvest agriculture questionnaire and livestock questionnaire were administered to all household members (agriculture holders) who are engaged in agriculture activities. A holder is a person who exercises management control over the operations of the agricultural holdings and makes the major decisions regarding the utilization of the available resources. S/he has technical and economic responsibility for the holding. S/he may operate the holding directly as an owner or as a manager. Hence it is possible to have more than one holder in single sampled households. As a result we have administered more than one agriculture questionnaire in a single sampled household if the household has more than one holder.

Household questionnaire: The household questionnaire provides information on basic demographics; education; health (including anthropometric measurement for children); labor and time use; saving; food and non-food expenditure; household nonfarm income-generating activities; food security and shocks; safety nets; housing conditions; assets; credit; and other sources of household income (Table 2.1). Household location is geo-referenced in order to be able to later link the ESS data to other available geographic data sets (See Appendix 1 for discussion of the geo-data provided with the ESS).

Community questionnaire: The community questionnaire solicits information on infrastructure; community organizations; resource management; changes in the community; key events; community needs, actions and achievements; and local retail price information (Table 2.2).

Agriculture questionnaire: The post-planting and post-harvest agriculture questionnaires focus on crop farming activities and solicit information on land ownership and use; farm labor; inputs use; GPS land area measurement and coordinates of household fields; agriculture capital; irrigation; and crop harvest and utilization. The livestock questionnaire collects information on animal holdings and costs; and production, cost and sales of livestock by products (Table 2.3). The livestock module implemented in ESS3 is significantly difference from the module implemented in ESS1 and ESS2.

Cleaning operations
---------------------------

The interviews were carried out using pen-and-paper (PAPI) as well as computer-assisted personal interviewing (CAPI) method. A concurrent data entry arrangement was implemented for PAPI. In this arrangement, the enumerators did not wait until all the interviews were completed. Rather, once the enumerators completed approximately 3-4 questionnaires, supervisors collected these interviews from enumerators and brought them to the branch offices for data entry. This process took place as enumerators continued administering interviews with other households. Then questionnaires were keyed at the branch offices as soon as they were completed using the CSPro data entry application software. The data from the completed questionnaires were then checked for any interview or data entry errors using a STATA program. Data entry errors were flagged for the data entry clerks and the interview errors were then sent to back to the field for correction and feedback to the ongoing interviews. Several rounds of this process were undertaken until the final data files were produced. Additional cleaning was carried out, as needed, by checking the hard copies. In ESS3, CAPI (with a Survey Solutions platform) was used to collect the community data in large town areas.

Response rate
---------------------------

During wave 3, 1255 households were re-interviewed yielding a response rate of 85 percent.
Attrition in urban areas is 15% due to consent refusal and inability to trace the whereabouts of sample households.

摘要
---------------------------
埃塞俄比亚社会经济调查（ESS）是由埃塞俄比亚中央统计局（CSA）与世界银行生活标准测量研究-综合农业调查（LSMS-ISA）团队合作开展的一项联合项目。LSMS-ISA的目标是收集多主题、家庭层面的面板数据，特别关注改善农业统计并更清晰地理解农业与其他经济部门之间的联系。该项目还旨在提升能力、促进各国间的知识共享，以及改进调查方法和技术。
ESS是一项长期项目，旨在收集面板数据。鉴于该国大量家庭依赖农业活动，该项目响应了国家数据需求。ESS收集了有关家庭农业活动以及其他家庭信息，如人力资本、其他经济活动、服务与资源获取。能够追踪同一家庭随时间的变化使得ESS成为研究并理解农业在家庭福利中作用的全新且强大的工具，因为它允许分析家庭如何增加其人力和物质资本，教育如何影响收入，以及政府政策与项目在贫困等方面所起的作用。ESS是CSA首次开展的多主题家庭问卷与详细农业数据相结合的首次面板调查。
地理覆盖范围
---------------------------
全国覆盖。ESS2和ESS3涵盖了包括首都亚的斯亚贝巴在内的所有地区州。样本中大多数为农村地区，因为它是从ESS1延续而来的。ESS2和ESS3在433个统计区域（EA）中实施，其中290个为农村地区，43个为来自ESS1的小城镇EA，100个为来自主要城市地区的EA。
分析单元
---------------------------
家庭
社区

总体
---------------------------
ESS使用了一个在全国范围内具有代表性的超过5,000户家庭的样本，这些家庭居住在城乡地区。城市地区包括小城镇和大城镇。
数据类型
---------------------------
样本调查数据 [ssd]
抽样程序
---------------------------
样本是一个两阶段概率样本。第一阶段抽样涉及选择初级抽样单位，即CSA统计区域（EA）。总共选择了433个EA，其中290个来自农业统计区域（AgSS EA）。分别选择了43和100个EA用于小城镇和城市地区。为了确保在人口最多的地区（阿姆哈拉、奥罗莫、南方民族国家、提格雷）和亚的斯亚贝巴拥有足够的样本量，为每个地区设定了EA数量的配额。样本不是每个小地区的代表性，包括阿法尔、本尚古勒-古穆兹、迪雷德瓦、甘贝拉、哈拉里和索马里地区。然而，可以针对所有较小地区的组合产生“其他地区”类别估计。样本设计更详细的描述见《基本信息文档》第3节，该文档位于相关材料标签下的基本信息部分。
数据收集方式
---------------------------
面对面 [f2f]
研究工具
---------------------------
调查包括五份问卷。这些问卷与ESS1和ESS2期间使用的问卷类似，修订基于ESS2的结果以及新数据需求确定的领域（参见《基本信息文档》第7节，该文档位于相关材料标签下的基本信息部分）。家庭问卷针对样本中的所有家庭进行发放。社区问卷针对一组社区成员进行发放，以收集样本家庭居住的统计区域的社会经济指标。三个农业问卷包括种植后农业问卷、收获后农业问卷和畜牧业问卷，针对所有参与农业活动的家庭成员（农业所有者）进行发放。所有者是指对农业经营行使管理控制权并对可用资源的主要决策负责的人。他/她对该持有有技术和经济责任。他/她可以直接作为所有者或经理来经营持有。因此，单个抽样家庭中可能有多于一个所有者。因此，如果家庭有多个所有者，我们会对单个抽样家庭进行多个农业问卷的发放。
家庭问卷：家庭问卷提供了关于基本人口统计学、教育、健康（包括儿童的体质测量）；劳动力与时间使用；储蓄；食品和非食品支出；家庭非农收入生成活动；粮食安全与冲击；安全网；住房条件；资产；信贷；以及其他家庭收入来源的信息（见表2.1）。家庭位置进行地理编码，以便将来将ESS数据与其他可用的地理数据集联系起来（参见附录1中关于ESS提供的地理数据的讨论）。
社区问卷：社区问卷征求有关基础设施、社区组织、资源管理、社区变化、关键事件、社区需求、行动和成就以及当地零售价格信息（见表2.2）。
农业问卷：种植后和收获后农业问卷侧重于作物耕种活动，征求有关土地所有权和使用、农场劳动力、投入使用、GPS土地面积测量和家庭田地的坐标、农业资本、灌溉和作物收获及利用的信息。畜牧业问卷收集有关动物持有和成本以及畜产品生产、成本和销售的信息（见表2.3）。ESS3中实施的畜牧业模块与ESS1和ESS2中实施的模块有显著差异。
数据清理操作
---------------------------
访谈采用笔纸（PAPI）和计算机辅助个人访谈（CAPI）方法进行。对于PAPI，实施了并发数据录入安排。在这种安排下，调查员不会等到所有访谈都完成。相反，一旦调查员完成大约3-4份问卷，监督员就会从调查员那里收集这些访谈，并将它们带到分支机构办公室进行数据录入。这个过程在调查员继续对其他家庭进行访谈的同时进行。然后，在分支机构办公室使用CSPro数据录入应用程序软件，一旦问卷完成就立即进行键盘输入。使用STATA程序检查完成的问卷中的任何访谈或数据录入错误。数据录入错误被标记给数据录入员，访谈错误随后被送回现场进行纠正，并对正在进行的访谈提供反馈。进行了几轮这样的过程，直到产生最终的数据文件。根据需要，通过检查纸质文档进行了额外的清理。在ESS3中，CAPI（使用Survey Solutions平台）用于在大城镇地区收集社区数据。
回应率
---------------------------
在第三波中，1255户家庭接受了重新访谈，回应率为85%。由于同意拒绝和无法追踪样本家庭的行踪，城市地区的流失率为15%。