Enterprise Survey 2011 - Iraq

Abstract
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The survey was conducted in Iraq between March and October 2011 as part of the Iraq Enterprise Survey, an initiative of the World Bank. Data from 756 establishments was analyzed.

The objective of the survey is to obtain feedback from enterprises on the state of the private sector as well as to help in building a panel of enterprise data that will make it possible to track changes in the business environment over time, thus allowing, for example, impact assessments of reforms. Through interviews with firms in the manufacturing and services sectors, the survey assesses the constraints to private sector growth and creates statistically significant business environment indicators that are comparable across countries.

The standard Enterprise Survey topics include firm characteristics, gender participation, access to finance, annual sales, costs of inputs/labor, workforce composition, bribery, licensing, infrastructure, trade, crime, competition, capacity utilization, land and permits, taxation, informality, business-government relations, innovation and technology, and performance measures. Over 90% of the questions objectively ascertain characteristics of a country’s business environment. The remaining questions assess the survey respondents’ opinions on what are the obstacles to firm growth and performance. The mode of data collection is face-to-face interviews.

Geographic coverage
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National

Analysis unit
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The primary sampling unit of the study is the establishment. An establishment is a physical location where business is carried out and where industrial operations take place or services are provided. A firm may be composed of one or more establishments. For example, a brewery may have several bottling plants and several establishments for distribution. For the purposes of this survey an establishment must make its own financial decisions and have its own financial statements separate from those of the firm. An establishment must also have its own management and control over its payroll.

Universe
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The whole population, or universe of the study, is the non-agricultural economy. It comprises: all manufacturing sectors (group D), construction sector (group F), services sector (groups G and H), transportation, storage, and communications sector (group I), and the IT sector (ISIC 72 in group K). Note that this definition excludes the following sectors: financial intermediation (group J), real estate and renting activities (group K, except sub-sector 72, IT), and all public or utilities-sectors. Unregistered (informal) firms, firms with less than 5 employees, or 100% state-owned enterprises are not eligible for the survey.

Kind of data
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Sample survey data [ssd]

Sampling procedure
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The sample for Iraq was selected using stratified random sampling. Three levels of stratification were used in this country: business sector, establishment size, and governorate.

Business sector stratification was defined by creating six levels: the universe was stratified into four manufacturing sub-sectors (food, non-metallic mineral products, and chemicals/rubber products) and an "other manufacturing" category, retail/wholesale, and an "other services" category.

Size stratification was defined by three levels following the standardized definition for the Enterprise Surveys: small (5 to 19 employees), medium (20 to 99 employees), and large (more than 99 employees). For stratification purposes, the number of employees was defined on the basis of reported permanent full-time workers.

Regional stratification was defined by 10 sub-national locations (governorates) in Iraq: Ninevah, Kirkuk, Baghdad, Babil, Kerbala, Al-Najaf, Thi-Qar, Basra, Suleimaniyah, and Arbil.

Iraq's Central Organization for Statistics (COSIT) with the cooperation of Kurdistan Regional Statistical Office (KRSO) provided the World Bank with a sampling frame, generated in 2009 during the initial discussions regarding Enterprise Surveys. However despite the target sample design of 1,000 firms (which was known to be extremely ambitious at the outset of the survey project), the list from COSIT contained 959 firms. Transportation, storage, and communications sectors (group I) along with the IT sector were missing in this sampling frame.

Given the missing sectors and below-target total of firms in the sample frame, the implementing contractor solicited and obtained lists of registered companies from local (governorate-level) chambers of commerce. The implementing contractor provided the World Bank with Excel sheets from seven governorates. 106 firms in sectors group I and ISIC 72 were randomly selected and appended to the list of 959 firms from COSIT. Thus a total of 1,065 firms constituted the sample frame provided to the implementing contractor.

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

Research instrument
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The current survey instruments are available:
- Manufacturing Questionnaire,
- Services Questionnaire,
- Screener Questionnaire.

The standard Enterprise Survey topics include firm characteristics, gender participation, access to finance, annual sales, costs of inputs/labor, workforce composition, bribery, licensing, infrastructure, trade, crime, competition, capacity utilization, land and permits, taxation, informality, business-government relations, innovation and technology, and performance measures. Over 90% of the questions objectively ascertain characteristics of a country’s business environment. The remaining questions assess the survey respondents’ opinions on what are the obstacles to firm growth and performance.

English questionnaires (Manufacturing and Services Questionnaires) were provided to the implementing contractor for translation to Arabic and Kurdish. The translated questionnaires were back-translated into English by a third party so that instances of sub-optimal translation could be identified and corrected.

Cleaning operations
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Data entry and quality controls are implemented by the contractor and data is delivered to the World Bank in batches (typically 10%, 50% and 100%). These data deliveries are checked for logical consistency, out of range values, skip patterns, and duplicate entries. Problems are flagged by the World Bank and corrected by the implementing contractor through data checks, callbacks, and revisiting establishments.

Response rate
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The overall survey response rate was 92%.

The number of firm contacts per realized interview was 1.37. This number is the result of two factors: explicit refusals to participate in the survey, as reflected by the rate of rejection (which includes rejections of the screener and the main survey) and the quality of the sample frame, as represented by the presence of ineligible units. The number of rejections per contact was .06.

Item non-response was addressed by two strategies:
a- For sensitive questions that may generate negative reactions from the respondent, such as corruption or tax evasion, enumerators were instructed to collect the refusal to respond as a different option from don’t know (-7).
b- Establishments with incomplete information were re-contacted in order to complete this information, whenever necessary.

Survey non-response was addressed by maximizing efforts to contact establishments that were initially selected for interview. Attempts were made to contact the establishment for interview at different times/days of the week before a replacement establishment (with similar strata characteristics) was suggested for interview. Survey non-response did occur but substitutions were made in order to potentially achieve strata-specific goals.

摘要
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本调查于2011年3月至10月在伊拉克进行，作为世界银行发起的伊拉克企业调查项目的一部分。分析了756个企业的数据。

调查的目的是从企业获取关于私营部门状况的反馈，并有助于构建企业数据面板，从而能够跟踪随时间推移的商业环境变化，例如，进行改革影响的评估。通过访谈制造业和服务业的企业，调查评估了私营部门增长的限制，并创建了具有统计学意义的、可跨国家比较的商业环境指标。

标准企业调查主题包括企业特征、性别参与、融资获取、年度销售额、投入/劳动力成本、劳动力构成、贿赂、许可、基础设施、贸易、犯罪、竞争、产能利用率、土地和许可、税收、非正式性、商业政府关系、创新和技术以及绩效指标。超过90%的问题客观地确定了国家商业环境的特征。其余问题评估了调查受访者对阻碍企业增长和绩效的障碍的看法。数据收集方式为面对面访谈。

地理覆盖范围
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全国

分析单元
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研究的主要抽样单元是机构。机构是指开展商业活动和工业操作或提供服务的地方。一个企业可能由一个或多个机构组成。例如，啤酒厂可能有几个灌装厂和几个分销机构。在本调查中，机构必须能够做出自己的财务决策，并拥有与其企业财务报表分开的财务报表。机构还必须拥有自己的管理和对其工资单的控制。

总体
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研究的总体，即研究的总体，是非农业经济。它包括：所有制造业部门（D组）、建筑部门（F组）、服务业部门（G组和H组）、运输、仓储和通信部门（I组）以及IT部门（ISIC 72组K）。请注意，本定义不包括以下部门：金融中介（J组）、房地产和租赁活动（K组，除子部门72，IT以外）以及所有公共或公用事业部门。未注册（非正式）企业、员工数量少于5人或100%国有企业不符合调查资格。

数据类型
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样本调查数据 [ssd]

抽样程序
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伊拉克的样本采用分层随机抽样方法选择。在本国使用了三个分层级别：商业部门、机构规模和州。

商业部门分层是通过创建六个级别来定义的：总体被分层为四个制造业子部门（食品、非金属矿物产品、化学品/橡胶产品）和一个“其他制造业”类别，零售/批发和一个“其他服务”类别。

规模分层是根据企业调查的标准定义定义了三个级别：小型（5至19名员工）、中型（20至99名员工）和大型（超过99名员工）。为了分层的目的，员工数量是根据报告的永久全职员工数量定义的。

地区分层是通过伊拉克的10个次国家级地点（州）来定义的：尼尼微、基尔库克、巴格达、巴比伦、卡尔巴拉、纳杰夫、提克里特、巴士拉、苏莱曼尼亚和阿克拉。

伊拉克中央统计局（COSIT）与库尔德斯坦地区统计局（KRSO）合作，向世界银行提供了抽样框架，该框架是在2009年企业调查初步讨论期间生成的。然而，尽管目标样本设计为1,000家企业（在调查项目开始时这被认为是极其雄心勃勃的），但COSIT提供的名单中含有959家企业。运输、仓储和通信部门（I组）以及IT部门（ISIC 72组K）在此抽样框架中缺失。

由于抽样框架中缺少部门和低于目标的企业总数，实施承包商征求并获得了当地（州级）商会注册公司的名单。实施承包商向世界银行提供了来自七个州的Excel表。在I组和ISIC 72组中随机选择了106家企业，并将其附加到COSIT提供的959家企业的名单中。因此，共有1,065家企业构成了提供给实施承包商的样本框架。

数据收集方式
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面对面 [f2f]

研究工具
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当前的调查工具包括以下内容：
- 制造业问卷，
- 服务业问卷，
- 筛选问卷。

标准企业调查主题包括企业特征、性别参与、融资获取、年度销售额、投入/劳动力成本、劳动力构成、贿赂、许可、基础设施、贸易、犯罪、竞争、产能利用率、土地和许可、税收、非正式性、商业政府关系、创新和技术以及绩效指标。超过90%的问题客观地确定了国家商业环境的特征。其余问题评估了调查受访者对阻碍企业增长和绩效的障碍的看法。

英语问卷（制造业和服务业问卷）已提供给实施承包商进行阿拉伯语和库尔德语的翻译。第三方将翻译的问卷回译成英语，以便识别和纠正次优翻译实例。

数据清洗操作
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承包商实施数据录入和质量控制，并将数据分批（通常是10%、50%和100%）交付给世界银行。这些数据交付将进行逻辑一致性、超出范围值、跳过模式和重复条目的检查。问题由世界银行标记并由实施承包商通过数据检查、回访和重新访问机构进行纠正。

响应率
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总体调查响应率为92%。

每完成一次实际访谈的企业联系人数为1.37。这个数字是两个因素的结果：明确拒绝参与调查，如拒绝率（包括筛选和主要调查的拒绝）所反映的，以及样本框架的质量，如不合格单位的存在所代表的质量。每个联系人的拒绝次数为0.06。

针对项目非响应采取了两种策略：
a- 对于可能引起受访者负面反应的敏感问题，如腐败或逃税，调查员被指示将拒绝回答作为不同于不知道（-7）的不同选项收集。
b- 在必要时，信息不完整的企业将被重新联系以完成这些信息。

对于调查非响应，通过最大化与最初选定进行访谈的机构进行联系的努力来解决问题。在建议替换机构（具有类似分层特征的机构）进行访谈之前，试图在周一至周日不同的时间/日期联系机构。尽管调查非响应确实发生了，但进行了替换，以有可能实现分层特定的目标。