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Gnterregional Cooperation on the Measurement

of Gnformal Sector & Gnformal Employment:
The 1-2 Survey Approach

Prepared by Sharita Serrao

Presented by Artur Andrysiak
Statistics Development and Analysis Section
E-mail: andrysiak@un.org
Structure of the Presentation
è Project background ² ¶Interregional Cooperation on the
Measurement of the Informal Sector & Informal

è Data Collection Methodology: The 1-j Survey Approach

è The Concept of Household Unincorporated Enterprises

with at least some Market Production (HUEMs) & Informal
Sector (IS)
è Compilation of Output & Value added for HUEMs

Project Background

Project Facts
è Development Account Project: Interregional Cooperation
on the Measurement of Informal Sector and Informal
è Duration: j -j 
è eading agency: ESCAP
è Implementing agencies: ECAC, ESCAP, ESCWA
è Steering Committee: UNSD, Regional Commissions, IO,
ADB, Delhi Group and WIEGO
è Country Partners:
ECAC: Saint ucia
ESCAP: Mongolia, Philippines, Sri anka
ESCWA: Palestine (West Bank and Gaza Strip)


Project Objectives
è Improve availability of sound & internationally comparable
informal sector & informal employment data

è Strengthen analysis for evidence-based socio-economic

policies at national & international levels:
Social policies (poverty reduction, promotion of gender
equality, elimination of child labor, etc.)
Employment generation policies
Industrial policies in favour of SMEs (marketing support,
technology transfer support, reduction of capital and/or
labour costs, etc.)

Project Activities
è Statistical capacity building: training; advisory
missions; production of guidelines; data collection
through the 1-j Survey; data analysis

è Data dissemination & advocacy: tabulation plans;

databases; workshops ² regional & interregional

è Knowledge management: project website;

production of training materials; collection of best

Expected Outputs ² Project Countries
è Internationally comparable data on HUEMs, IS &
informal employment

è Estimations of output & value-added of HUEMs and IS

to GDP

è Country Reports covering:

1-j Survey: methodology; implementation; data
analysis for dissemination
Estimation methodology and estimates of informal
employment and employment in the IS
Estimation of output & value-added of HUEMs & IS

è Dissemination of results & advocacy for further data

collection (in-country workshops)

Expected Outputs³Project Level
è Capacity building of NSOs ² training workshops;
interregional & regional workshops
è The 1-j Survey - data collection strategy paper
è Technical paper on informal employment
è Technical paper on developing a harmonized definition
of HUEMs based on the data collection strategy
è Guidelines for data dissemination with tabulation plan
and a list of key indicators
è Guidelines for estimating HUEM and IS value added using
1-j Survey data
è Project report: cross-country comparative analysis &
substantive evaluation of the methodology

Rata Collection Methodology

The 1-2 Survey Approach

Rata is collected in two phases:

è *irst phase ² rides on the abour *orce Survey

Identify HUEMs through household *S by including
data items on HUEMs, IS & informal employment

è Second phase - HUEM Survey

Option 1: Survey all HUEMs identified through Phase I
Option j: Select sub-sample of HUEMs & collect data

è r     


The1-2 Survey Approach


Objectives of Phase G Questionnaire

1. Measurement 2. Sampling Frame

Objectives Objectives (for
Phase GG

Gdentify Employment in the
informal sector informal sector

Phase G Questionnaire

Standard questions to classify:
persons as employed, unemployed, not in labour force
jobs of employed persons: status in employment; main
activity (ISIC) of enterprise where employed

HUEM Module: Gnformal Sector Module: Gnformal Employment Module:

Place of work : fixed premises; To be preceded by HUEM *or employees :
non-fixed premises module questions.
Whether or not employee enjoys
egal organization of enterprise Refers to enterprise in which specific types of benefits (l items
person has a job: included in generic questionnaire;
Type of accounts (proxy for
employees) Employment size parameters vary in different
Product destination Registration
Data collected for main &
Only HUEMs identified through secondary jobs
own-account workers &
employers will be surveyed in
Phase II

Adaptation of Phase G Questionnaire in
Project Countries

è Mongolia, Palestine, Saint ucia:

HUEM /informal sector and informal employment questions
inserted in the regular *S

è Philippines:
HUEM /informal sector and informal employment questions in a
separate questionnaire module

è Sri anka:
Informal employment questions already included in the regular
HUEM /informal sector questions in a separate questionnaire
Measurement Objectives of the HUEM
HUEM Survey ² Phase GG

º HUEM Characteristics:
National Accounts:
a. Organization/Structure
b. Gnformal Sector GRP

 Policy-related variables (optional

a. Business environment
b. Finance

Phase GG Questionnaire

Core Questions: Additional Components:

Business organization: main Business environment
activity; place of work;
registration; type of
accounts etc Problems and prospects
Employment & Social Protection
Production & sales
Capital formation

Adaptation of Phase GG Survey in Project
è HUEM questionnaire designed as a separate survey
questionnaire in all ù countries

è Mongolia & Palestine conducted the two phases of the

survey without any time lag

è The Philippines was the only project country to create a

sub-sample of HUEMs for Phase II

è Philippines & Palestine included agricultural HUEMs in

Phase II

Scope of the Project·s Rata Collection
è Statistical unit is the HUEM

è Data collected on HUEMs, regardless of location,

industry & employment size

è Collect a broad range of data items from HUEMs:

including IS criteria such as registration, employment
size etc.

è Comparative analysis of the data across countries to

identify commonalities

The Concept of HUEMs & the GS

The Concept of HUEMs & GS
è 1ùth ICS Resolution: IS enterprises are a subset of HUEMs
Xelationship between HUEMs, other Household Unincorporated Enterprises
and the Gnformal Sector
Producing at least some goods & services for Producing goods & services for own
market final use
Non-agricultural Agricultural Goods Services
Agriculture, Paid domestic
forestry, fishing services
*    *   
        Other activities Owner occupied

Household Unincorporated Enterprises Legal Organization
with at least some Market Production Book ² Keeping Practice
Product Restination
The Concept of HUEMs & GS

Additional Criteria for Gdentifying Gnformal Sector Enterprises

Universe of HUEMS

Gnformal own-account Other own-account Own-

enterprises enterprises account

Enterprises of informal Other enterprises of HUEM of

employers employers Employers

How is this boundary defined?

Gnformal Sector Additional criteria: size; non-
registration etc

The Concept of HUEMs & GS

Some Challenges: Harmonizing Refinition of GS


è Diversity of registration procedures, difficulties in gathering
information, and flexibility in applying the criterion
èScope of size criterion & ¶cut-off· size differs in countries

è Optional inclusion of agricultural production units in the scope of
data collection ² exclusion can result in incomplete measure of the
IS across industries & geographical areas
èDiscrepancies in the use of terminology & concepts between 1ùth
ICS, j l SNA etc: conceptual differences in terms like sector,
households & enterprises

Xefined Refinition of HUEMs
Project countries have agreed that (conclusions at ESCAP workshops in May 2009 :

è The concept of HUEMs should be recommended as an international standard

to facilitate the study of the informal sector

è The definition of HUEMs should be narrowed to exclude units that produce

output for the market incidentally, and therefore, refers to units selling or
bartering a ¶significant part· of their produce on a ¶regular· basis, and
excludes subsistence farmers, and non-agricultural households which have
incidental sales

è Gt was agreed that the criteria to select household unincorporated enterprises

for interviewing during Phase GG of the 1-2 Survey should be:
a. Employer or own-account worker
b. Legal status: unincorporated
c. At least selling or bartering some goods and services in the market

è Gt was recognized that these criteria imply that the coverage of Phase GG, in
addition to HUEMs, should be broadened to include quasi-corporations

Xefined Refinition of HUEMs
è Gt was recognized that countries may have their own national
definitions for informal sector (related to registration, size etc. and
for informal employment (related to benefits, type of contract etc.
based on national regulations/practices Gt would be for countries to
decide if they want to bifurcate HUEMs into informal HUEMs (i.e.
informal sector and formal HUEMs

è Agriculture is a part of the HUEM sector, even though it may be

excluded by definition from the informal sector in some countries.
Countries should, therefore, collect information on the output and
value added of agricultural HUEMs for national accounts to be

Xefined Refinition of HUEMs

Xefined Refinition of HUEMs
Therefore, HUEMs which are broader in scope,
are defined at a level higher than the informal
è To create a broader grouping in the
household sector that is internationally
è To allow for more systematic & exhaustive
data collection for national accounting

Compilation of Output &
Value Added for HUEMs

Gross Output


 Products sold after transformation
÷Õ Product name
º «.
Imputed own production goods produced

for own use as intermediate consumption
Imputed own production of goods
 produced for own use as capital
Imputed own production of goods
 produced for own use as final
Total trade margins = Products sold
 without transformation ² cost of
products purchased for resale
 Services offered (taken from 4.4, GQ
÷Õ Product name
º «..
 Imputed owner-occupied housing services
 Imputed domestic services with paid staff
 Imputed services on money lending

Gross Value Added
Total value
Total value of output of goods and
Gross output Total
services produced (G+TM+S
Total intermediate consumption
Less GCT Total
Gross value added (Gross output less
= GVA Total
Other taxes on production (item 1ù from
ess 1ù
ù.å, GQ)
ess 1 Wages and salaries (from å.j, GQ)
ess j Social insurance (from å.å.1, GQ)
ess å Bonuses & allowances (from å.å.j, GQ)
Consumption of fixed capital (for owner-
ess occupied dwellings and premises and
other capital assets)
Equal Net mixed income

Total working hours (taken from 3.2,


Gntermediate Consumption

º ÷ 


˜ ¦


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