Sampling Frames for Sampling Frames for Establishment SurveysEstablishment Surveys

International Workshop on International Workshop on Industrial StatisticsIndustrial Statistics

Beijing, China, 8-10 July 2013Beijing, China, 8-10 July 2013

Sampling frame for Sampling frame for establishment surveysestablishment surveys

List frame of establishments or List frame of establishments or business register generally used for business register generally used for Economic SurveysEconomic Surveys• List frame can be used for identifying List frame can be used for identifying

larger establishments to be included in larger establishments to be included in the sample with certaintythe sample with certainty

• Business register has information on Business register has information on economic activity and size (such as economic activity and size (such as number of employees) that can be used number of employees) that can be used for stratificationfor stratification

Sampling frame (continued)Sampling frame (continued) In some countries sampling frame of In some countries sampling frame of

establishments based on Economic establishments based on Economic CensusCensus

Business register developed from Business register developed from different sourcesdifferent sources

Important to update sampling frame Important to update sampling frame over time to reflect births and deaths over time to reflect births and deaths of establishmentsof establishments

Data sources for business Data sources for business registerregister

Economic CensusEconomic Census Registration of establishments from Registration of establishments from

Ministry of Industry and Trade or Ministry of Industry and Trade or other government agencyother government agency

Database from tax systemDatabase from tax system Chambers of Industry and CommerceChambers of Industry and Commerce Professional associationsProfessional associations Commercial directoriesCommercial directories

Single and multiple framesSingle and multiple frames

Business register (list frame of Business register (list frame of establishments) important for identifying establishments) important for identifying large companies to be included in the large companies to be included in the survey with certainty, and medium-size survey with certainty, and medium-size companies to be included with higher companies to be included with higher probabilityprobability

Sometimes area frame is also used to Sometimes area frame is also used to cover smaller establishments, informal cover smaller establishments, informal sector and other establishments missing sector and other establishments missing from business register from business register

Enterprises and establishmentsEnterprises and establishments

Ideal for business register to link Ideal for business register to link enterprises and establishments enterprises and establishments within enterprisewithin enterprise

Some economic data can be Some economic data can be collected at enterprise levelcollected at enterprise level

Depends on how accounting records Depends on how accounting records are maintained by companyare maintained by company

Area sampling frameArea sampling frame

In some countries area sampling In some countries area sampling frame is used to complement the frame is used to complement the business registerbusiness register

Used for representing new birth Used for representing new birth establishments and other establishments and other establishments missing from establishments missing from business registerbusiness register

Cluster sample less costly for Cluster sample less costly for covering small establishments when covering small establishments when personal interviews are usedpersonal interviews are used

Area frame (continued)Area frame (continued)

Sample areas selected with Sample areas selected with probability proportional to size (PPS), probability proportional to size (PPS), where the measure of size is based where the measure of size is based on number of establishments, on number of establishments, employees or another measure such employees or another measure such as revenueas revenue

Listing of establishments in sample Listing of establishments in sample areas, match to list frame to areas, match to list frame to eliminate duplicationeliminate duplication

Multi-stage sampling for Multi-stage sampling for establishment surveysestablishment surveys

Even with a list frame, some countries use Even with a list frame, some countries use multi-stage sampling to reduce cost of multi-stage sampling to reduce cost of data collectiondata collection

When data collection is based on personal When data collection is based on personal interviews, it is costly to visit interviews, it is costly to visit establishments dispersed throughout the establishments dispersed throughout the countrycountry

In some cases the large cities are self-In some cases the large cities are self-representing (included in the sample with representing (included in the sample with certainty), but a sample of smaller towns certainty), but a sample of smaller towns is selected at the first stageis selected at the first stage

Multi-stage sampling Multi-stage sampling (continued)(continued)

Establishments are selected at the Establishments are selected at the second stage, stratified by ISIC second stage, stratified by ISIC groups and number of employeesgroups and number of employees

It is still important to identify the It is still important to identify the largest establishments in the list largest establishments in the list frame, which may be interviewed frame, which may be interviewed regardless of their locationregardless of their location• Such large establishments removed Such large establishments removed

from area frame to avoid duplication in from area frame to avoid duplication in the frames the frames

Setting up business registerSetting up business register

Business register is first based on Business register is first based on most comprehensive list of current most comprehensive list of current establishments from business establishments from business registration, license database, tax registration, license database, tax database, or Economic Censusdatabase, or Economic Census

Lists of establishments from different Lists of establishments from different sources should be matched to add sources should be matched to add missing establishments and remove missing establishments and remove duplicationduplication

Information in business registerInformation in business register

Name, address, contact information Name, address, contact information (telephone, fax, e-mail)(telephone, fax, e-mail)

Unique identification codeUnique identification code Economic activity, with ISIC codeEconomic activity, with ISIC code Number of employeesNumber of employees Other measures of size (capital, Other measures of size (capital,

annual value of production/sales, annual value of production/sales, value added)value added)

Unique identification codesUnique identification codes

Ideal to coordinate with agencies Ideal to coordinate with agencies involved with business registration or involved with business registration or licensing to use consistent licensing to use consistent identificationidentification

Tax identification number may be Tax identification number may be consideredconsidered

Code of enterprise and establishment Code of enterprise and establishment can be linkedcan be linked

Updating business registerUpdating business register

In order to represent current In order to represent current establishments, important to develop establishments, important to develop procedures for continuous updating procedures for continuous updating of the business register from of the business register from different sourcesdifferent sources

Adding new (birth) establishmentsAdding new (birth) establishments Removing closed (death) Removing closed (death)

establishmentsestablishments

Updating business register Updating business register (continued)(continued)

Develop relationship with Develop relationship with government agencies responsible for government agencies responsible for business registration, licenses or business registration, licenses or taxes to share information on new taxes to share information on new and closed establishments on a and closed establishments on a regular basisregular basis

Ideal for agencies to use common Ideal for agencies to use common unique identification for unique identification for establishmentsestablishments