Smallholder Household Survey - CGAP, 2015
Uganda, 2015
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Reference ID
UGA_2015_SHS_v01_EN_M_v01_A_OCS
Producer(s)
Jamie Anderson
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Metadata
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Oct 12, 2020
Last modified
Nov 08, 2022
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Identification
Survey ID Number
UGA_2015_SHS_v01_EN_M_v01_A_OCS
Title
Smallholder Household Survey - CGAP, 2015
Country
| Name | Country code |
|---|---|
| Uganda | UGA |
Study type
Other Household Survey [hh/oth]
Series Information
CGAP has been working to build the evidence base on the financial and agricultural lives of smallholder households. This nationally-representative survey of smallholder households collected information on household demographics, poverty status, agricultural activities, income sources and expenses, mobile phones, and informal and formal financial services. The data was used to detail a national picture of the smallholder sector and identify the characteristics of its key segments in a segmentation analysis. To date, CGAP has smallholder household surveys completed or underway in Mozambique, Uganda, Tanzania, Cote d'Ivoire, and Bangladesh.
Abstract
The objectives of the Smallholder Household Survey in Uganda were to:
• Generate a clear picture of the smallholder sector at the national level, including household demographics, agricultural profile, and poverty status and market relationships;
• Segment smallholder households in Mozambique according to the most compelling variables that emerge;
• Characterize the demand for financial services in each segment, focusing on customer needs, attitudes and perceptions related to both agricultural and financial services; and,
• Detail how the financial needs of each segment are currently met, with both informal and formal services, and where there may be promising opportunities to add value.
• Generate a clear picture of the smallholder sector at the national level, including household demographics, agricultural profile, and poverty status and market relationships;
• Segment smallholder households in Mozambique according to the most compelling variables that emerge;
• Characterize the demand for financial services in each segment, focusing on customer needs, attitudes and perceptions related to both agricultural and financial services; and,
• Detail how the financial needs of each segment are currently met, with both informal and formal services, and where there may be promising opportunities to add value.
Kind of Data
Sample survey data [ssd]
Unit of Analysis
Households
Scope
Notes
The CGAP national surveys of smallholder households used three questionnaires:
1. HOUSEHOLD QUESTIONNAIRE
Respondent: Head of the household, their spouse, or a knowledgeable adult
Content:
· Basic information on all household members (e.g. age, gender, education attainment, schooling status)
· Information about household assets and dwelling characteristics in order to derive poverty status.
2. MULTIPLE RESPONDENT QUESTIONNAIRE
Respondents: All household members over 15 years old who contributed to the household income and/or participated in its agricultural activities
Content:
· Demographics (e.g. land size, crop and livestock, decision-making, associations and markets, financial behaviours)
· Agricultural activities (e.g. selling, trading, consuming crops, livestock, suppliers)
· Household economics (e.g., employment, income sources, expenses, shocks, borrowing, saving habits, investments)
3. SINGLE RESPONDENT QUESTIONNAIRE
Respondent: One randomly-selected adult in the household
Content:
· Agricultural activities (e.g. market relationships, storage, risk mitigation)
· Household economics (e.g. expense prioritization, insurance, financial outlook)
· Mobile phones (e.g., usage, access, ownership, desire and importance)
· Formal and informal financial tools (e.g. ownership, usage, access, importance, attitudes toward financial service providers)
1. HOUSEHOLD QUESTIONNAIRE
Respondent: Head of the household, their spouse, or a knowledgeable adult
Content:
· Basic information on all household members (e.g. age, gender, education attainment, schooling status)
· Information about household assets and dwelling characteristics in order to derive poverty status.
2. MULTIPLE RESPONDENT QUESTIONNAIRE
Respondents: All household members over 15 years old who contributed to the household income and/or participated in its agricultural activities
Content:
· Demographics (e.g. land size, crop and livestock, decision-making, associations and markets, financial behaviours)
· Agricultural activities (e.g. selling, trading, consuming crops, livestock, suppliers)
· Household economics (e.g., employment, income sources, expenses, shocks, borrowing, saving habits, investments)
3. SINGLE RESPONDENT QUESTIONNAIRE
Respondent: One randomly-selected adult in the household
Content:
· Agricultural activities (e.g. market relationships, storage, risk mitigation)
· Household economics (e.g. expense prioritization, insurance, financial outlook)
· Mobile phones (e.g., usage, access, ownership, desire and importance)
· Formal and informal financial tools (e.g. ownership, usage, access, importance, attitudes toward financial service providers)
Topics
| Topic | Vocabulary |
|---|---|
| Agriculture & Rural Development | FAO |
| Food (production, crisis) | FAO |
| Land (policy, resource management) | FAO |
| Livestock | FAO |
| Financial Sector | FAO |
| Access to Finance | FAO |
| Payment Systems | FAO |
| Information & Communication Technologies | FAO |
| Trade | FAO |
| Financial Management | FAO |
| Social Development | FAO |
| Community Driven Development | FAO |
Coverage
Geographic Coverage
National coverage
Universe
The universe for the survey consists of smallholder households defined as households with the following criteria:
1) Household with up to 5 hectares OR farmers who have less than 50 heads of cattle, 100 goats/sheep/pigs, or 1,000 chickens
2) Agriculture provides a meaningful contribution to the household livelihood, income, or consumption.
1) Household with up to 5 hectares OR farmers who have less than 50 heads of cattle, 100 goats/sheep/pigs, or 1,000 chickens
2) Agriculture provides a meaningful contribution to the household livelihood, income, or consumption.
Producers and sponsors
Primary investigators
| Name | Affiliation |
|---|---|
| Jamie Anderson | The World Bank (GFMGP - CGAP) |
Producers
| Name | Affiliation | Role |
|---|---|---|
| Colleen Learch | InterMedia Survey Institute | Technical assistance |
Sampling
Sampling Procedure
The CGAP smallholder household survey in Uganda is a nationally-representative survey with a target sample size of 3,000 smallholder households. The sample was designed to provide reliable survey estimates at the national level and for the following administrative four regions: Central, Eastern, Northern, and Western regions. The Central region includes central metro (i.e. four municipalities surrounding Kampala), the parishes in Kampala with poultry activity but it excludes Kampala city which is entirely urban.
(a) SAMPLING FRAME
The sampling frame for the smallholder household survey is the list of enumeration areas (EAs) created for the 2014 Uganda National Population and Housing Census. Uganda is divided into 112 districts with each district comprised of counties/municipalities. Each county/municipality consists of sub-counties/town councils with each of them being further divided into parishes/wards and villages/cells. For the 2014 population census, each village and cell were further divided into EAs. Information on the number of agricultural households at the EA level will be available in December 2015, and thus not on time for the smallholder survey. As a result, the sample allocation of the survey was based on the distribution of households per region and urban and rural according to the 2014 Census.
(b) SAMPLE ALLOCATION AND SELECTION
In order to take non-response into account, the target sample size was increased to 3,158 households assuming a household non-response rate of 5% observed in similar national households. The total sample size was first allocated to the four regions proportionally to their number of households. Within each region, the resulting sample was then distributed to urban and rural areas proportionally to their size. The sample for the smallholder survey is a stratified multistage sample. Stratification was achieved by separating each region into urban and rural areas. The urban/rural classification is based on the 2014 population census. Therefore, eight strata were created, and the sample was selected independently in each stratum. Prior to the sample selection, the sampling frame was sorted by the nine agricultural zones called Zardi (Zonal Agriculture Research Development Institute). In the first stage, 216 EAs were selected as primary sampling units with probability proportional to size, the size being the number of households in the EAs. A household listing operation was carried out in all selected EAs to identify smallholder households according to the definition used in the survey, and to provide a frame for the selection of smallholder households to be included in the sample. In the second stage, 15 smallholder households were selected in each EA with equal probability. Due to rounding, this yielded a total of 3,240 smallholder households. In each selected household, a household questionnaire was administered to the head of the household, the spouse or any knowledgeable adult household member to collect information about household characteristics. A multiple respondent questionnaire was administered to all adult members in each selected household to collect information on their agricultural activities, financial behaviours and mobile money usage. In addition, in each selected household only one household member was selected using the Kish grid and was administered the single respondent questionnaire.
The full description of the sample design can be found in the user guide for this data set.
(a) SAMPLING FRAME
The sampling frame for the smallholder household survey is the list of enumeration areas (EAs) created for the 2014 Uganda National Population and Housing Census. Uganda is divided into 112 districts with each district comprised of counties/municipalities. Each county/municipality consists of sub-counties/town councils with each of them being further divided into parishes/wards and villages/cells. For the 2014 population census, each village and cell were further divided into EAs. Information on the number of agricultural households at the EA level will be available in December 2015, and thus not on time for the smallholder survey. As a result, the sample allocation of the survey was based on the distribution of households per region and urban and rural according to the 2014 Census.
(b) SAMPLE ALLOCATION AND SELECTION
In order to take non-response into account, the target sample size was increased to 3,158 households assuming a household non-response rate of 5% observed in similar national households. The total sample size was first allocated to the four regions proportionally to their number of households. Within each region, the resulting sample was then distributed to urban and rural areas proportionally to their size. The sample for the smallholder survey is a stratified multistage sample. Stratification was achieved by separating each region into urban and rural areas. The urban/rural classification is based on the 2014 population census. Therefore, eight strata were created, and the sample was selected independently in each stratum. Prior to the sample selection, the sampling frame was sorted by the nine agricultural zones called Zardi (Zonal Agriculture Research Development Institute). In the first stage, 216 EAs were selected as primary sampling units with probability proportional to size, the size being the number of households in the EAs. A household listing operation was carried out in all selected EAs to identify smallholder households according to the definition used in the survey, and to provide a frame for the selection of smallholder households to be included in the sample. In the second stage, 15 smallholder households were selected in each EA with equal probability. Due to rounding, this yielded a total of 3,240 smallholder households. In each selected household, a household questionnaire was administered to the head of the household, the spouse or any knowledgeable adult household member to collect information about household characteristics. A multiple respondent questionnaire was administered to all adult members in each selected household to collect information on their agricultural activities, financial behaviours and mobile money usage. In addition, in each selected household only one household member was selected using the Kish grid and was administered the single respondent questionnaire.
The full description of the sample design can be found in the user guide for this data set.
Weighting
The sample for the smallholder household survey is not self-weighting, therefore sampling weights were calculated. The first component of the weights is the design weight based on the probability of selection for each stage of selection. The second component is the response rate at both household and individual levels. The design weights for households were adjusted for non-response at the household level to produce adjusted household weights. Sampling weights for the multiple respondent data file were derived from adjusted household weights by applying to them non-response rates at the individual level. For the single respondent data file, the same process was applied after considering the sub-sampling done within the household. Finally, household and individual sampling weights were normalized separately at the national level, so the weighted number of cases equals the total sample size. The normalized sampling weights were attached to the different data files and used during analysis.
Data Collection
Dates of Data Collection
| Start | End |
|---|---|
| 2015-08-16 | 2015-09-07 |
Data Collection Mode
Computer Assisted Personal Interview [capi]
Data Processing
Data Editing
During data collection, InterMedia received a weekly partial SPSS data file from the field which was analysed for quality control and used to provide timely feedback to field staff while they were still on the ground. The partial data files were also used to check and validate the structure of the data file. The full data file was also checked for completeness, inconsistencies and errors by InterMedia and corrections were made as necessary and where possible.
Data Appraisal
Estimates of Sampling Error
The sample design for the smallholder household survey was a complex sample design featuring clustering, stratification and unequal probabilities of selection. For key survey estimates, sampling errors considering the design features were produced using either the SPSS Complex Sample module or STATA based on the Taylor series approximation method.
Data Appraisal
Following the finalization of questionnaires, a script was developed using Dooblo to support data collection on smart phones. The script was thoroughly tested and validated before its use in the field.
Access policy
Contacts
| Name | Affiliation | |
|---|---|---|
| Anna Nunan | The World Bank (GFMGP - CGAP) | [email protected] |
| Max Mattern | The World Bank (GFMGP - CGAP) | [email protected] |
| Jamie Anderson | The World Bank (GFMGP - CGAP) | [email protected] |
Confidentiality
https://microdata.worldbank.org/index.php/terms-of-use
Access conditions
Direct access.
Citation requirements
Use of the dataset must be acknowledged using a citation which would include:
- the Identification of the Primary Investigator
- the title of the survey (including country, acronym and year of implementation)
- the survey reference number
- the source and date of download
Anderson, Jamie. 2016. Survey of Smallholder Households in Uganda: Household Level Data. Washington, D.C.: CGAP, March. Ref UGA_2015_SHS_v01_M. Downloaded from [url] on [date].
- the Identification of the Primary Investigator
- the title of the survey (including country, acronym and year of implementation)
- the survey reference number
- the source and date of download
Anderson, Jamie. 2016. Survey of Smallholder Households in Uganda: Household Level Data. Washington, D.C.: CGAP, March. Ref UGA_2015_SHS_v01_M. Downloaded from [url] on [date].
Disclaimer and copyrights
Disclaimer
The user of the data acknowledges that the original collector of the data, the authorized distributor of the data, and the relevant funding agency bear no responsibility for use of the data or for interpretations or inferences based upon such uses
Metadata production
DDI Document ID
DDI_UGA_2015_SHS_v01_EN_M_v01_A_OCS_FAO
Producers
| Name | Abbreviation | Affiliation | Role |
|---|---|---|---|
| Office of Chief Statistician | OCS | Food and Agriculture Organization | Adoption of metadata for FAM |
| Development Data Group | DECDG | The World Bank | Documentation of the DDI |
DDI Document version
UGA_2015_SHS_v01_EN_M_v01_A_OCS_v01