Household Income, Consumption and Expenditure Survey 2004-2005 - Ethiopia

Abstract
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The HICE survey basically reflect the income dimension of poverty while WM survey aims at providing socioeconomic data that reflect the non-income dimension of poverty. The HICE survey provides statistics on income, consumption and expenditure of households and WM survey provides basic indicators on the various socioeconomic areas including health, education, nutrition, access to and utilization and satisfaction of basic facilities/services and related non-income aspects of poverty. The HICE survey has been conducted together with the WM survey every four-five years since 1995/96. The latest of these HICE surveys is for 2004/5 and covered a representative sample of 21,600 households. Previous HICE were similarly representative, covered 11,928 and 17,332 households for 1995/96 and 1999/00, respectively.

Unlike the previous two HICE surveys that had been conducted in 1995/96 and 1999/00, in the 2004/05 HICE survey data on Household Consumption Expenditure and Household Income were collected independently using separate modules. However, this statistical report concentrates only on the household consumption expenditure part.

The core objective of the HICE survey is to provide data that enable to understand the income aspects of poverty and the major objectives are to:
- assess the level, extent and distribution of income dimension of poverty;
- provide data on the levels, distribution and pattern of household expenditure that will be used for analysis of changes in the households' living standard level over time in various socio-economic groups and geographical areas;
- provide basic data that enables to design, monitor and evaluate the impact of socio- economic policies and programs on households/individuals living standard;
- furnish series of data for assessing poverty situations, in general, and food security, in particular;
- provide data for compiling household accounts in the system of national accounts, especially in the estimation of private consumption expenditure; and
- obtain weights and other useful information for the construction of consumer price indices at various levels and geographical areas.

Geographic coverage
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The 2004/05 HICE Sample Survey covered all rural and urban parts of the country except all zones of Gambella Region, and the non-sedentary population of three zones of Afar and six zones of Somali regions.

Analysis unit
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- Households
- Individuals
- Consumption expenditure commodities/ services

Universe
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The survey covered all households in the selected sample areas excluding residents of collective quarters, homeless persons and foreigners.

Kind of data
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Sample survey data [ssd]

Sampling procedure
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The list of households obtained from the 2001/2 Ethiopian Agricultural Sample Enumeration (EASE) was used as a frame to select EAs from the rural part of the country. On the other hand, the list consisting of households by EA, which was obtained from the 2004 Ethiopian Urban Economic Establishment Census, (EUEEC), was used as a frame in order to select sample enumeration areas for the urban HICE survey. A fresh list of households from each urban and rural EA was prepared at the beginning of the survey period. This list was, thus, used as a frame in order to select households from sample EAs.

Sample Design
For the purpose of the survey the country was divided into three broad categories. That is; rural, major urban center and other urban center gories.

Category I:
Rural: - This category consists of the rural areas of eight regional states and two administrative councils (Addis Ababa and Dire Dawa) of the country, except Gambella region. Each region was considered to be a domain (Reporting Level) for which major findings of the survey are reported. This category comprises 10 reporting levels. A stratified two-stage cluster sample design was used to select samples in which the primary sampling units (PSUs) were EAs. Twelve households per sample EA were selected as a Second Stage Sampling Unit (SSU) to which the survey questionnaire were administered.

Category II:- Major urban centers:- In this category all regional capitals (except Gambella region) and four additional urban centers having higher population sizes as compared to other urban centers were included. Each urban center in this category was considered as a reporting level. However, each sub-city of Addis Ababa was considered to be a domain (reporting levels). Since there is a high variation in the standards of living of the residents of these urban centers (that may have a significant impact on the final results of the survey), each urban center was further stratified into the following three sub-strata.

Sub-stratum 1:- Households having a relatively high standards of living
Sub-stratum 2:- Households having a relatively medium standards of living and
Sub-stratum 3:- Households having a relatively low standards of living.

The category has a total of 14 reporting levels. A stratified two-stage cluster sample design was also adopted in this instance. The primary sampling units were EAs of each urban center. Allocation of sample EAs of a reporting level among the above mentioned strata were accomplished in proportion to the number of EAs each stratum consists of. Sixteen households from each sample EA were finally selected as a Secondary Sampling Unit (SSU).

Category III: - Other urban centers: - Urban centers in the country other than those under category II were grouped into this category. Excluding Gambella region a domain of “other urban centers” is formed for each region. Consequently, 7 reporting levels were formed in this category. Harari, Addis Ababa and Dire Dawa do not have urban centers other than that grouped in category II. Hence, no domain was formed for these regions under this category.

Unlike the above two categories a stratified three-stage cluster sample design was adopted to select samples from this category. The primary sampling units were urban centers and the second stage sampling units were EAs. Sixteen households from each EA were lastly selected at the third stage and the survey questionnaires administered for all of them.

Sample Size and Selection Scheme
Category I: - Totally 797 EAs and 9,564 households were selected from this category. Sample EAs of each reporting level were selected using Probability Proportional to Size (PPS) with systematic sampling technique; size being number of households obtained from the 2001/2 Ethiopian Agricultural Sample Enumeration. From the fresh list of households prepared at the beginning of the survey 12 households per EA were systematically selected and surveyed.

Category II: - In this category 485 EAs and 7,760 households were selected. Sample EAs from each reporting level in this category were also selected using probability proportional to size with systematic sampling method; size being number of households obtained from the 2004 EUEEC. From the fresh list of households prepared at the beginning of the survey 16 households per EA were systematically selected and covered by the survey.

Category III:-127 urban centers, 275 EAs and 4,400 households were selected in this category. Urban centers from each domain and EAs from each urban center were selected using probability proportional to size with systematic sampling method; size being number of households obtained from the 2004 EUEEC. From the listing of each EA 16 households were systematically selected and the survey was carried out on the 16 ultimately selected households.

Including region rural, region urban and country domains, totally 61 reporting levels (including the 10 sub-cities of Addis Ababa) were formed. For the overall distribution of planned and covered EAs and households see Annex I of the 2004-2005 Household Income, Consumption and Expenditure Survey (HICE).

Mode of data collection
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Face-to-face [f2f]

Research instrument
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The Household Income, Consumption and Expenditure Survey questionnaire contains the following forms:
- Form 1: Area Identification and Household Characteristics
- Form 2A: Quantity and value of weekly consumption of food and drinks consumed at home and tobacco/including quantity purchased, own produced, obtained, etc for first and second week.
- Form 2B: Quantity and value of weekly consumption of food and drinks consumed at home and tobacco/including quantity purchased, own produced, obtained, etc for third and fourth week .
- Form 3A: All transaction (income, expenditure and consumption) for the first and second weeks except what is collected in Forms 2A and 2B
- Form 3B: All transaction (income, expenditure and consumption) for the third and fourth weeks except what is collected in Forms 2A and 2B
- Form 4: All transaction (expenditure and consumption) for last 6 months for Household expenditure on some selected item groups
- Form 5: Cash income and receipts received by household and type of tenure.

Cleaning operations
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Data Editing, Coding and Capturing:
The first step of data processing activities was the training of 40 data editors/ coders and 20 supervisors by subject matter department staff members for the first round survey data. The data capturing (data entry) operation was carriedout using about 60 computers and as many data encoders. Similarly, the data processing activities of the second round survey were undertaken by about 60 editors/coders and 25 verifiers for about 85 days. Data entry operation took about 60 days using 125 computers and as many data encoders.

Data validation and cleaning activity was carried out by subject matter specialists and data processing programmers. The data cleaning and validity checking activities were carried out at commodity, and visit levels and has been done systematically. For this purpose various type of edit specification documents were prepared by subject matter specialists and used for the data cleaning purpose.

The data cleaning and validation activities have passed through various steps, such as:
- Estimation of missing observations (either value or quantity) using the available results of the price survey that was collected at the time of the survey from a near- by market places;
- Validity and consistency of quantity and value of consumption items were checked at a visit level based on internal 1and/or external 2 price data;
- Estimation (conversion) of consumption of own production using the observed quantities and the external price survey data;
- Comparison of the household expenditure were made on durable goods that were collected at different reference periods (3 and 6 months) in order to decide whether to utilized the 3 or 6 month's data for the analysis, and similar validation techniques have been carried out.

After completing the data cleaning and validation activities two sets of six month's estimates were separately created prior to merging the two rounds data sets. Due to the nature of the survey, the validity checking and data cleaning activity has taken a long period of time.

Data Processing:
The data processing activities were undertaken at the head office. These activities included manual editing, coding, verification, and data capturing (data entry) in its first stage. Consistency checking, and data validation activities has been carried out in the second stage, while estimation with proper sampling weights and tabulation activities were carried out in the final stage of the data processing by concerned professionals

Response rate
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In the rural part of the country it was planned to cover 797 enumeration areas (EAs) and 9,564 households. However, due to various reasons 3 EAs and 64 households were not covered by the survey. The overall response rate is 99.62 percent for EAs and 99.3 percent for households. For urban areas 760 EAs and 12,160 households were planned to be covered ultimately, 100 percent of EAs and 99.50 percent of households were successfully covered by the survey.

Sampling error estimates
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Estimation procedures, standard errors and coefficients of variations for the estimates of selected variables are also presented in Annex II and Annex III of the 2004-2005 Household Income, Consumption and Expenditure Survey (HICE).

摘要
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HICE调查主要反映贫困的收入维度，而WM调查旨在提供反映贫困非收入维度的社会经济数据。HICE调查提供了关于家庭收入、消费和支出的统计数据，而WM调查则提供了关于包括健康、教育、营养、基本设施/服务的获取和利用以及与贫困相关的非收入方面的基本社会经济指标。自1995/96年以来，HICE调查与WM调查每隔四五年进行一次。最新的HICE调查是在2004/5年进行的，覆盖了21,600户家庭的代表性样本。之前HICE调查同样具有代表性，1995/96年和1999/00年分别覆盖了11,928户和17,332户家庭。

与1995/96年和1999/00年进行的先前两次HICE调查不同，2004/05年的HICE调查通过独立的模块分别收集了家庭消费支出和家庭收入数据。然而，本统计报告仅关注家庭消费支出部分。

HICE调查的核心目标是提供数据，以便理解贫困的收入方面，其主要目标是：
- 评估贫困收入维度的高低、范围和分布；
- 提供关于家庭支出水平、分布和模式的数据，这些数据将用于分析各种社会经济群体和地区家庭生活水平随时间的变化；
- 提供基本数据，以便设计、监控和评估社会经济政策和计划对家庭/个人生活水平的影响；
- 提供一系列数据，用于评估贫困状况，尤其是粮食安全；
- 提供编制家庭账户的数据，特别是在估计私人消费支出方面；以及
- 获得构建各级和各地区消费者价格指数所需的权重和其他有用信息。

地理覆盖范围
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2004/05年的HICE样本调查覆盖了该国的所有农村和城市地区，但排除了Gambella地区的所有地区，以及Afar地区三个区和索马里地区六个区的非定居人口。

分析单位
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- 家庭
- 个人
- 消费支出商品/服务

总体
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调查涵盖了所选样本区域的所有家庭，不包括集体宿舍居民、无家可归者和外国人。

数据类型
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样本调查数据 [ssd]

抽样程序
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从2001/2埃塞俄比亚农业样本普查（EASE）中获得的家庭清单被用作框架，以从国家农村部分选择EA。另一方面，从2004年埃塞俄比亚城市经济单位普查（EUEEC）中获得按EA划分的家庭清单被用作框架，以选择城市HICE调查的样本普查区。在调查期开始时，为每个城市和农村EA准备了新的家庭清单。因此，该清单被用作框架，以从样本EA中选择家庭。

样本设计

为了调查的目的，国家被分为三个广泛的类别。即：农村、主要城市中心和其它城市中心类别。

类别I：
农村：- 此类别包括八个州和两个行政委员会（亚的斯亚贝巴和迪雷达瓦）的农村地区，但不包括Gambella地区。每个地区都被视为一个领域（报告级别），调查的主要发现将据此报告。此类别包括10个报告级别。使用分层两阶段聚类样本设计来选择样本，其中一级抽样单位（PSU）是EA。每个样本EA选择了12户作为第二阶段抽样单位（SSU），向其发放调查问卷。

类别II：- 主要城市中心：- 在此类别中，包括所有区域首府（不包括Gambella地区）和四个比其他城市中心人口规模更大的额外城市中心。此类别中的每个城市中心都被视为一个报告级别。然而，亚的斯亚贝巴的每个区都被视为一个领域（报告级别）。由于这些城市中心居民的生活水平存在很大差异（这可能会对调查的最终结果产生重大影响），每个城市中心被进一步分层为以下三个亚层。

亚层1：- 生活水平相对较高的家庭
亚层2：- 生活水平相对中等和
亚层3：- 生活水平相对较低的家庭。

此类别共有14个报告级别。在此情况下，也采用了分层两阶段聚类样本设计。一级抽样单位是每个城市中心的EA。将报告级别的样本EA分配到上述亚层中，按每个亚层所包含的EA数量成比例。

类别III：- 其他城市中心：- 除类别II中的城市中心之外的国家城市中心被归类到此类别。排除Gambella地区，每个地区形成一个“其他城市中心”的领域。因此，此类别形成了7个报告级别。哈拉里、亚的斯亚贝巴和迪雷达瓦没有类别II中分组之外的城市中心。因此，在这些地区下不形成领域。

与上述两个类别不同，采用了分层三阶段聚类样本设计来从该类别中选择样本。一级抽样单位是城市中心，第二阶段抽样单位是EA。在第三阶段从每个EA中最后选择了16户，并对所有这些户进行了调查。

样本大小和选择方案

类别I：- 从此类别中总共选择了797个EA和9,564户。使用与大小成比例的概率（PPS）和系统抽样技术从每个报告级别的样本EA中选择样本；大小是来自2001/2埃塞俄比亚农业样本普查的家庭数量。从调查开始时准备的新的家庭清单中，每个EA系统地选择了12户进行调查。

类别II：- 在此类别中，选择了485个EA和7,760户。使用与大小成比例的概率（PPS）和系统抽样方法从每个报告级别的样本EA中选择样本；大小是来自2004年EUEEC的家庭数量。从调查开始时准备的新的家庭清单中，每个EA系统地选择了16户进行调查。

类别III：- 在此类别中，选择了127个城市中心、275个EA和4,400户。使用与大小成比例的概率（PPS）和系统抽样方法从每个领域和城市中心的EA中选择样本；大小是来自2004年EUEEC的家庭数量。从每个EA的清单中，系统地选择了16户进行调查。

包括农村、城市地区和国家领域，总共形成了61个报告级别（包括亚的斯亚贝巴的10个区）。有关计划和覆盖的EA和家庭的总体分布，请参阅2004-2005年家庭收入、消费和支出调查（HICE）的附件I。

数据收集方式
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面对面 [f2f]

研究工具
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家庭收入、消费和支出调查问卷包含以下表格：
- 表格1：区域识别和家庭特征
- 表格2A：第一周和第二周在家消费的食品和饮料的数量和价值，以及烟草/包括购买、自产、获得等数量
- 表格2B：第三周和第四周在家消费的食品和饮料的数量和价值，以及烟草/包括购买、自产、获得等数量
- 表格3A：第一周和第二周的所有交易（收入、支出和消费），除了表格2A和2B中收集的内容
- 表格3B：第三周和第四周的所有交易（收入、支出和消费），除了表格2A和2B中收集的内容
- 表格4：过去6个月的所有交易（支出和消费）对于家庭在选定商品类别的支出
- 表格5：家庭收到的现金收入和收据以及租赁类型。

数据清洗操作
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数据编辑、编码和捕获：-
数据处理的第一个步骤是培训40名数据编辑/编码员和20名监督员，由主题部门工作人员进行第一轮调查数据。数据捕获（数据录入）操作使用约60台计算机和同等数量的数据编码员进行。同样，第二轮调查的数据处理活动由约60名编辑/编码员和25名验证员在约85天内进行。使用125台计算机和同等数量的数据编码员进行了约60天的数据录入操作。

数据验证和清洗活动由主题专家和数据处理程序员进行。数据清洗和有效性检查活动在商品和访问级别进行，并已系统地完成。为此，主题专家准备了各种类型的编辑规范文件，并用于数据清洗。

数据清洗和验证活动已经通过了以下步骤：
- 使用在调查时从附近市场收集的价格调查的可得结果估计缺失观测值（无论是价值还是数量）；
- 根据内部1和/或外部2价格数据，在访问级别检查消费项目的数量和价值的有效性和一致性；
- 使用观察到的数量和外部价格调查数据估计（转换）自产消费；
- 对不同参考时期（3个月和6个月）收集的耐用消费品的家庭支出进行比较，以决定是否使用3个月或6个月的数据进行分析，并已执行类似的验证技术。

在完成数据清洗和验证活动之后，在合并两个轮次数据集之前，分别创建了两组六个月估计值。由于调查的性质，有效性检查和数据清洗活动花费了很长时间。

数据处理：-
数据处理活动在总部进行。这些活动包括第一阶段的手动编辑、编码、验证和数据捕获（数据录入）。在第二阶段进行了一致性检查和数据验证活动，而在数据处理的最后阶段，由相关专业人士进行了适当的抽样权重估计和制表活动。

响应率
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计划在农村地区覆盖797个普查区（EA）和9,564户。然而，由于各种原因，3个EA和64户未纳入调查。EA的整体响应率为99.62%，家庭的响应率为99.3%。对于城市地区，计划最终覆盖760个EA和12,160户，EA的覆盖率为100%，家庭的覆盖率为99.50%。

抽样误差估计
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在附件II和附件III中，还介绍了估计选定变量估计的估计程序、标准误差和变异系数。