Portugal

Title: Inquérito aos Orçamentos Familiares 2000(HBS 2000)

GENERAL INFORMATION AND BASIC DEFINITIONS

1. Background

Further information is available from Instituto Nacional de Estatística of Av.Antonio Jose De Almeida-1000-043 Lisboa, phone: 351 21 8426177, fax: 351 22 8426379, e-mail: victor.garcia@ine.pt.
Data have been collected by household survey since 1967.

2. Purpose and coverage

The following purposes are considered to be very important or of some importance:

• to obtain weights for consumer price index
• to estimate household expenditure for national accounts
• to study the general structure of household incomes/expenditures
• to study income/expenditure patterns of disadvantaged groups, including pensioner households, single parent households, etc
• to study income/expenditure disparities among socio-economic groups
• to study consumer behaviour among socio-economic groups
• for general poverty and/or income distribution studies
• to study effects on income and expenditure of policy changes, especially tax changes
• for market research purposes
• nourishment studies

Geographic coverage: National without any specific geographic areas excluded.

Population coverage:
The following types of household are included in the data collection:

• one person private households
• private households with more than one person
• households of other foreigners in the country
• armed forces residing in private housing outside military base

The following types of household are excluded in the data collection:

• those in collective housing (such as long term hospitals, prisons, monasteries, military quarters)
• non-resident households of nationals (households of nationals located abroad)
• diplomatic households in the country
• armed forces residing in private housing within military base

Units:
Dwelling units are used in the sample selection and are characterised by:

• single structure - detached housing unit
• single unit in a structure containing more than one housing unit

Data are recorded for the household unit which is characterised by:

• one person units
• two or more people living together:
  • sharing a common budget for (at least) food and housing expenditures

Unit members: ¹ Visitors (not usual residents) temporarily living in the dwelling are not included as unit members. Domestic staff living in same dwelling/compound are included in the unit. Renters living in same dwelling/compound are not included in the unit. Boarders living in same dwelling/compound are not included in the unit.

Head of unit:
The concept of reference person is used in this survey and is characterised by:

• acknowledged as such by other household/unit members

3. Reference periods

SURVEY METHODOLOGY

4. Sample design

The Primary, Secondary and Ultimate Sampling Units are enumeration area/district, census enumeration areas and dwelling respectively.

Stratification:
Areas/districts were stratified using the following criteria:

• geographical regions

The sampling frames for the Primary Sampling Unit (PSU) and Ultimate Sampling Unit (USU) were the master sample of households and the master sample of households respectively. Primary Sampling Units (PSU) were selected using probability proportional to size and Ultimate Sampling Units (USU) were selected using asimple random selection of clusters with six/seven dwellings. The sample size was 10020 households or other units. The overall response rate for the survey was 83 percent. Errors/biases were minimized by using an updated sampling frame.³

Enumeration procedure: Enumeration uses a single round survey design in which each reporting unit is enumerated only once. The sample is not divided into representative sub-samples. No action is taken to select a smaller set of reporting units for more detailed questioning.

DATA COLLECTION, CONCEPTS, DEFINITIONS AND CLASSIFICATIONS

5. Income data

Income data are collected. Receipts do not have to be regular and recurring to be considered as income. Income excludes receipts resulting from the sale or reduction of assets and/or from incurring liabilities. Income excludes receipts that are not currently available to the unit.

The following receipts are collected separately:

• employee social security contributions
• employee income in-kind provided free or subsidized: housing
• employee income in-kind provided free or subsidized: meals
• employee income in-kind provided free or subsidized: car/transportation
• employee income in-kind provided free or subsidized: goods or services produced by employer
• drawing for own use from unincorporated enterprises
• goods produced for own consumption
• interest received
• rentals (payment received for produced assets e.g. house)
• rents (payment received for un-produced assets e.g. land)
• old age benefits
• unemployment benefits
• family-related allowances
• education-related allowances
• survivors benefits

The following receipts are collected but not separately:

• wages and salaries
• cash bonuses and gratuities
• commissions and tips
• remuneration for time not worked, e.g. leave pay
• termination and redundancy payments
• profit/loss from unincorporated enterprises (mixed income)
• dividends
• royalties
• regular pensions/annuities from schemes to which employee does not contribute
• retirement pensions from compulsory social security schemes
• other pensions
• sickness benefits
• invalidity benefits
• housing allowances
• free government dwelling
• subsidized government dwelling
• food subsidies
• medical reimbursements
• other social insurance benefits
• other social assistance benefits
• regular support received from non-profit institutions serving households: cash, e.g. scholarships
• regular support received from non-profit institutions serving households: goods and services
• regular support received from non-profit institutions serving households: free dwelling
• regular support received from non-profit institutions serving households: subsidized dwelling
• regular inter-household transfers received from: family, e.g. alimony, child/parental support
• regular inter-household transfers received from: regular inheritances or trusts
• regular inter-household transfers received from: regular cash gifts
• regular inter-household transfers received from: regular in-kind gifts
• regular inter-household transfers received from: free dwelling
• regular inter-household transfers received from: subsidized dwelling

The following receipts are not collected:

• employer social security contributions
• services produced for own consumption
• goods produced for barter
• services produced for barter
• regular inter-household transfers received from: regular free services
• social transfers in kind: medical services
• social transfers in kind: public education
• social transfers in kind: transport subsidies
• social transfers in kind: cultural and recreational services
• social transfers in kind: others

The following receipts are collected using the last month as the reference period:

• employee income in-kind provided free or subsidized: housing

The following receipts are collected using the last 12 months as the reference period:

• wages and salaries
• cash bonuses and gratuities
• commissions and tips
• remuneration for time not worked, e.g. leave pay
• termination and redundancy payments
• employee social security contributions
• profit/loss from unincorporated enterprises (mixed income)
• interest received
• dividends
• rents (payment received for un-produced assets e.g. land)
• royalties
• regular pensions/annuities from schemes to which employee does not contribute
• retirement pensions from compulsory social security schemes
• old age benefits
• other pensions
• unemployment benefits
• family-related allowances
• sickness benefits
• invalidity benefits
• education-related allowances
• housing allowances
• survivors benefits
• food subsidies
• medical reimbursements
• other social insurance benefits
• other social assistance benefits
• regular support received from non-profit institutions serving households: cash, e.g. scholarships
• regular support received from non-profit institutions serving households: goods and services
• regular support received from non-profit institutions serving households: free dwelling
• regular support received from non-profit institutions serving households: subsidized dwelling
• regular inter-household transfers received from: family, e.g. alimony, child/parental support
• regular inter-household transfers received from: regular inheritances or trusts
• regular inter-household transfers received from: regular cash gifts

The following receipts are collected using the 'last payment' and 'period covered':

• rentals (payment received for produced assets e.g. house)

The reference period for:

• employee income in-kind provided free or subsidized: meals was two weeks
• employee income in-kind provided free or subsidized: car/transportation was the last month, and the last 12 months.

Negative values (business losses) were excluded when computing self-employment income.

6. Expenditure data

Data collection method:
Diaries are used to collect expenditure data and are maintained for two weeks.

Diaries are used to collect expenditure on the following items:⁵

• food
• alcohol, tobacco
• other household non-durables (such as newspapers, batteries)
• other personal non-durables (such as perfumes)
• personal services (such as driving lessons, haircuts)

Interviews are used to collect expenditure data with the respondent completing the interview by a mix of recall and using documentation.

Data for the following expenditure items are collected by referring:⁶

• to expenditures in last one month:
  • housing
  • households services

• to expenditures in last 12 months:
  • other durable goods

Data for the following expenditure items are not collected by interview because they are collected by diary:

• food
• other household non-durable goods
• other personal non-durable goods
• personal services

The following types of expenditure items are classified as 'Household consumption expenditure':

• non-durable goods purchased
• own produced non-durable goods
• financial services (including fees for financial advice, brokerage fees)
• non-life insurance premiums (e.g. vehicle, housing, other property, medical)
• licences and fees (e.g. driver's licence, hunting licence, vehicle registration)
• gambling expenditure
• housing maintenance, minor repairs
• purchase of gifts of goods and services given to others outside the household
• second hand goods purchased
• expenditure abroad

The following types of expenditure items are classified as 'Actual Household consumption':

• income in-kind receipts of goods
• in-kind goods received from other households
• in-kind services received from other households

The following types of expenditure items are classified as 'Non-consumption household expenditure':

• life insurance premiums
• regular cash payments to others outside the household
• non-regular cash payments to others outside the household
• compulsory transfers to governments (e.g. contributions to government old age and disability insurance program, taxes)

The following types of expenditure items are classified as 'Non-household expenditure':

• other business-related expenditures

The following types of expenditure items are classified as 'Investment/liability expenditure':

• mortgage repayments, including interest
• major repairs, conversions and extensions to owner-occupied housing
• investment-related expenditures (e.g. purchase of shares/stocks)

The following types of expenditure items are excluded due to measurement problems:

• own-produced durable goods
• own-produced services
• social transfers in-kind of goods and services from government and non-profit institutions serving households
• out of pocket health expenditure
• out of pocket education expenditures
• out of pocket transport expenditures

The following types of expenditure items are excluded for other reasons:

• occupational expenditures

The following types of expenditure items are collected on an 'acquisitions' basis:

• non-durable goods purchased
• in-kind goods received from other households
• in-kind services received from other households
• non-life insurance premiums (e.g. vehicle, housing, other property, medical)
• licences and fees (e.g. driver's licence, hunting licence, vehicle registration)
• gambling expenditure
• housing maintenance, minor repairs
• purchase of gifts of goods and services given to others outside the household
• second hand goods purchased
• expenditure abroad

Classification: COICOP is used for classifying expenditure and has an unspecified number of separate categories at the finest level.

7. Other Data Collection Issues

The following other topics are covered:

• demographic characteristics
• education attainment of members
• employment status of members
• occupation of members
• ownership of selected durable goods
• housing characteristics

Households are not requested to indicate whether durable goods are new or second-hand when their acquisition is recorded.

Non-response: Non-response households (refusals and non-contacts) are substituted.

Non-response is reduced using the following measures:

• more than one repeat visits
• other incentives : gifts

Reporting errors are reduced using the following measures:

• careful instrument design
• adequate cues or props for prompting
• quality control

DATA PROCESSING, ANALYSIS AND DISSEMINATION

Answers are pre-coded on data collection forms to the extent possible.

The responses are edited by the following:

• interviewers, data collectors
• office staff

Extreme values are retained without change. ⁸ In-kind receipts and consumption of own production are included in the estimates. In-kind receipts are valued using: the respondent's estimate. Consumption of own production is valued using: the respondent's estimate.

Treatment of owner-occupied housing: Values of owner-occupied housing are included in the total income/expenditure estimates and are valued using the current market value. ( )

Treatment of selected groups/values in analysis: Some households/units are excluded from analysis because of incomplete response. Missing values are imputed only on some occasions imputation of values when expenditure on good or service is well described. Supplementary sources are used to adjust estimates for under- or over-reporting. No groups are excluded from data analysis.

Weighting:
Weighting factors are used to adjust for:

• sampling
• non-response
• bench-marking , weighting considering census, for dwellings households and individuals (see question 28)

Sampling errors: Sampling errors are computed for all aggregates in publication and error estimates for other dissemination on request .

Tabulation and Analysis: Statistics are presented showing averages per year and statistics are analysed and tabulated for households only.

The following classifications are used for tabulation and analysis of income statistics:

• age of reference person or head of household
• sex of reference person or head of household
• occupation of reference person or head of household
• other characteristic of reference person or head of household, level of instruction, family status
• income percentiles, deciles
• principal source of household income
• expenditure percentiles
• expenditure classes in monetary terms
• structure of household
• other characteristic of household, n. of persons with income

The following classifications are used for tabulation and analysis of expenditure statistics:

• age of reference person or head of household
• sex of reference person or head of household
• occupation of reference person or head of household
• other characteristic of reference person or head of household, level of instruction, family status
• income percentiles, deciles
• principal source of household income
• expenditure percentiles
• expenditure classes in monetary terms
• structure of household
• other characteristic of household, n. of persons with income

Documentation and Dissemination:
Published survey reports:⁹ Inquérito aos Orçamentos Familiares 2000 (publication), June 2002
Published methodological information: Inquérito aos Orçamentos Familiares 2000 (publication), June 2002

Additional statistics (or special tables on request) are available for public use, with charges (COICOP thinner than the 2 nd level; regional data).

Separate tables are published for the following special population groups:¹⁰