estp course on the ess active participation in ess meetings · pdf fileppo 2 (17 ines) ppo 3...

Eurostat

The European Statistics Code of Practice

ESTP course on The ESS – active participation in ESS meetings

Ana Carmen SauraYolanda Gómez

THE CONTRACTOR IS ACTING UNDER A FRAMEWORK CONTRACT CONCLUDED WITH THE COMMISSION

Eurostat

INDEX

I. THE EUROPEAN STATISTICS CODE

OF PRACTICE (CoP)

1. Background

2. Context of adoption of the CoP

3. The revision of the CoP

4. The CoP and its principles

II. IMPLEMENTATION OF THE COP

1. Monitoring activities

2. The new round of peer reviews

III.DEBATE AND PRACTICAL EXERCISE

Eurostat

A CODE OF PRACTICE

• A set of written guidelines issued by an official body or aprofessional association to its members to help them complywith its ethical standards.

• In the public sector, the concept of good practice is related tostandards of good management and good governance:

Good management: Using standards, principles andprocedures for a non-discriminatory, efficient, effectiveand fair management in the use of resources.

Good governance: Exercising the necessary measures toensure good management by the governing body.

• CoP in Official Statistics: a set of principles, rules andprocedures that ensure an effective, fair and responsiblemanagement by the statistical authorities to ensure thehighest quality of their statistics.

What is a code of practice?

Eurostat

• 1994: UNSC adopted the Fundamental Principles of OfficialStatistics.

• 1997: Regulation 322/97 on Community Statistics: Guidingprinciples of official statistics.

• 1999: Article 285 Amsterdam Treaty: “Constitutionalization”of the official statistical principles.

• 2002: ESS Quality Declaration.

• 2003: Code of Best Practice within the context of compilation and reporting of the Excessive Deficit Procedure.

• 2004: Problems in Greek fiscal statistics CRISISOF TRUST

Background

guiding principles of official statistics

guiding principles of official statisticsTHE FIRST INTERNACIONAL PRINCIPLES ON STATISTICS

Eurostat

• June 2004: ECOFIN Council invited the Commission todevelop minimum European standards to reinforce theindependence, integrity and accountability of NSIs.

• 2003-2004: TF on Statistical Law and a CoP for Europeanstatistics

• February 2005: Adoption of the Code by the SPC (formerESSC).

• 25 May 2005: Recommendation of the Commission on theindependence, integrity and accountability of the nationaland Community statistical authorities (COM (2005)217).

• 7 June 2005: ECOFIN Council welcomes the CoP.Practical details still need to be specified further (PR).

• 8 Nov 2005: ECOFIN Council supports the creation of a High Level Advisory Body.

Procedure of approval of the CoP

Eurostat

• 2005: Approval of Code of Practice.

• 2006-2008: First round of peer reviews.

• 2008: Establishment of the ESGAB.

• 2009:

Regulation 223/2009:

Statistical principles: “Further elaborated in the CoP” (art.2)

ESGAB's first annual report to the EP and the Council on the

implementation of the Code of Practice.

First regulation on EDP (on the application of the Protocol on the

excessive deficit procedure).

THE CRISIS OF TRUST OF 2004

Measures adopted after the crisis of trust 2004:

Eurostat

• 2010: Second regulation on EDP (on the effective enforcement of

budgetary surveillance in the euro area)

• 2011: Communication 211/2011: "Towards robust quality management"

• 2011: Final report of the Sponsorship on Quality, which recommended:

Revision of CoP

ESS QAF: it identifies possible activities, methods and tools that facilitate the implementation of the CoP. It is a guiding tool to assist the implementation and monitoring of the CoP. (Principles 4 and 7-15)

Future Peer review from 2013.

• 2012: Reinforcement of statistical governance: Proposal for amending

Regulation 223/2009 (statistical law)

• 2012-2013: TF to develop the methodology of the second round of peer

reviews

Measures adopted after the second crisis of trust 2009

NEW PROBLEMS IN GREEK FISCAL STATISTICS 2009

Eurostat

Principles remain broadly unchanged although aspects related to quality management, professional independence and administrative data were strengthened.

The number of indicators passed from 77 to 82. Four existing indicators were deleted and nine new indicators were created including:

• Rules for appointing and dismissing the head of NSIs

• Quality policy and management

• Advance notice of major revisions

• Use of administrative data sources

• Linking data

• Standardisation

Revised version of the Code of Practice

Eurostat

Dual purpose:• Improving trust and confidence in the independence,

integrity and accountability of both NationalAuthorities and Eurostat, and in the credibility andquality of the statistics (external focus).

• Promoting the application of best internationalstatistical principles, methods and practices by allproducers of European Statistics to enhance theirquality (internal focus).

Objectives

• Self-regulatory instrument adopted by the SPC (formerESSC).

• Applied just for European statistics in the ESS.

What is the European Statistics CoP?

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• Users: to show that European and national statistical authorities areimpartial and that the statistics they produce and disseminate aretrustworthy, objective and reliable.

• Data providers: to show that the confidentiality of the informationthey provide is protected, and that excessive demands will not beplaced on them.

The CoP is addressed for information to:

• Governance authorities (i.e. Governments, Ministries, Commission,Council): to provide guidelines for them to ensure that their statisticalservices are professionally organised and resourced to producecredible European Statistics in a manner that guaranteesindependence, integrity and accountability.

• Statistical authorities and their staff: to provide a benchmark ofstatistical principles, values and best practices that should help themin producing and disseminating high quality, harmonised EuropeanStatistics.

The CoP is addressed for implementation to:

Eurostat

• Based on 15 principles covering 3 fields:

Institutional environment

Statistical production processes

Output of statistics

• A set of indicators of good practice for each of the

principles are proposed as references for reviewing

the implementation of the Code.

Main features

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2. Mandate for data collection

3. Adequacy of resources

4. Quality commitment

5. Statistical confidentiality

6. Impartiality and objectivity

Principles of “institutional environment”

Institutionalenvironment

1. Professional independence

Eurostat

8. Appropriate statistical procedures

9. Non-excessive burden on respondents

10.Cost effectiveness

7. Sound methodology

Principles of “statistical processes”

Statistical processes

Eurostat

13. Timeliness and punctuality

12. Accuracy and reliability

11. Relevance

14. Coherence and comparability

15. Accessibility and clarity

Principles of “statistical output”

Statisticaloutput

Eurostat

II. IMPLEMENTATION OF THE COP

Eurostat

1. Self-regulatory approach (on a voluntary basis).

• First round of peer reviews (2006-2008)

• First evaluation on the compliance with the CoP

• Among colleagues of the ESS

2. Eurostat monitoring: Improvement actions resulting from

the peer review

3. The ESGAB monitoring activities provide an independent

picture of the ESS as a whole as regards the

implementation of the Code of Practices of European

Statistics.

4. Other monitoring activities in the ESS: EDP, quality

reports, CoC..

IMPLEMENTING THE CoP: MONITORING ACTIVITIES

Eurostat

FIRST ROUND OF PEER REVIEWS 2006-2007

• Participants: 27 NSI (EU&EFTA) and Eurostat

• Covering: institutional environment (P.1-6) anddissemination practices (p.15) and the coordination role onNSIs. Just NSIs no the whole NSS.

• Methodology: Standard information package including theNSIs reply to the self-assessment questionnaire and theresults of a user satisfaction survey.

• Reviewers: 2 persons appointed by the SPC and 1 fromEurostat.

• Three days visit in each Country

• Final report by Country and also for Eurostat withimprovement actions

• 2008: Eurostat sent an “aggregated” report to the EPand Council.


Eurostat

RESULTS 1st ROUND OF PR BY COUNTRY

Peer Review Principles by Country

Countries


FIRST ROUND OF PEER REVIEWS 2006-2007

Eurostat

ANALISYS OF THE RESULTS 1st ROUND OF PRAND ESGAB

• Main weaknesses in three fundamental areas:

• Professional Independence: Consequence: Review

statistical law “legalising” part of the CoP.

• Adequacy of recourses: Consequence: New ESP 2013-2017, the vision for the new decade.

• Compromise with Quality: Consequence: QAF,Commitments on Confidence.

• Need for a new evaluation of the compliancewith the code in situ: Peer Reviews


Eurostat

Follow up IA 2008-2011


Gráfico 5: Acciones de mejora en el SEE 2008-2011

Fuente: Elaboración propia.

0%

20%

40%

60%

80%

100%

Ppo 1

(19

INEs)

Ppo 2

(17

INEs)

Ppo 3

(25

INEs)

Ppo 4

(28

INEs)

Ppo 5

(22

INEs)

Ppo 6

(21

INEs)

Ppo 7

(21

INEs)

Ppo 8

(22

INEs)

Ppo 9

(25

INEs)

Ppo

10 (25

INEs)

Ppo 11

(16

INEs)

Ppo

12 (21

INEs)

Ppo

13 (8

INEs)

Ppo

14 (22

INEs)

Ppo

15 (27

INEs)

ACCIONES DE MEJORA COMPLETADAS 2008-2011

2008 2009 2010 2011 PendientesPending

IMPROVEMENT ACTIONS EUROSTAT MONITORING

COMPLETED IMPROVEMENT ACTIONS 2008-2011

Eurostat

ESGAB: MONITORING THE IMPROVEMENT ACTIONS

Overall rate ofimprovement actionsimplemented increased

from 60 % in 2011 to 71 %in 2012

The first set of peer reviewsappears to have run its coursewith 2/3 of the originallyplanned actions implemented

European Statistical Governance Advisory Board


http://epp.eurostat.ec.europa.eu/portal/page/portal/esgab/introduction

http://epp.eurostat.ec.europa.eu/portal/page/portal/esgab/introduction

Eurostat

PR 2006-2007: Lessons learned

• SAQ: More comprehensive and extended

• PR Teams:

• Threat to the cross-country comparability of the results

• Lack of resources

• Improvements could be envisaged with regard to

the methodology for the user satisfaction

surveys

II. 2. NEW ROUND OF PEER REVIEWS

Starting point

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• Lessons learned during the 2006-2007 PR.

• Recommendations of the Sponsorship on Quality.

• ESGAB recommendations.

• ESSC recommendations.

• Recommendations from the ECA (R.12-2012)

NEW ROUND OF PEER REVIEWS

Starting point

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Statistics have to be seen as credible,

trustworthy, and free

of any influence or interference.

IMPORTANT


AIM OF THE NEW ROUND OF PR

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• ESSC of November 2012: set up the ESS TF forthe development of the methodology to:

• operationalize the ESSC recommendations

• develop instruments for the peer reviews, and

• assess the results of the pilots and update theinstruments, if needed.

• Two pilots were conducted in summer 2013: SK,IS

• ESSC: adopted the final methodology inNovember 2013

PREPARATORY PHASE


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• Audit-like approach

• Standardized methodology: Use of the QAF

• Extension to other national authorities(art. 5 Reg. EU 223/2009)

• Covering all principles + Coordination in the NSS

• New questionnaire: Integration/cooperation in theESS

• External reviewers (Peer? Reviews)

• Longer visits (around 5 days) but adapted tonational specificities

• Recommendations and Improvement actions(similar)

NEW APPROACH:


Eurostat

• Self-assessments made by the NSIs and aroundthree ONAs;

• Peer review visits to the 30 countries (EU, EFTAand Switzerland) in order to assess in situ thecompliance with the CoP based on “problematic”issues detected from the SAQ and documentationsent (Risk approach).

• The reports will be qualitative and not quantitativeand not by principle.

• ESGAB will conduct the Eurostat peer review andreport on Eurostat’s compliance with the CoP.

AGREEMENT> The NRPR covers


Eurostat

• June-September 2013: Pilot Phase (2 MS)

• December 2013: Start of 2ª Round PR:

• MS (NSIs and ONAs) filled in the questionnaires

and prepare core documentation.

• Eurostat call for tender (Reviewers team)

• 30 April 2014: Sent of the questionnaires to the

Review Team.

• Peer review visits: August 2014 - August 2015

• Commission final report: 9 March 2016


TIMETABLE: 2013-2015

Eurostat

• Strong legal basis that supports the widely recognised and unchallenged

professional independence, impartiality and objectivity of statistical

authorities.

• Coordination with ONAs is also seen as a strength for a number of NSIs,

• Clear mandate for data collection.

• Highly trained, motivated and dedicated staff.

• The ESS largely complies with the Code’s methodology-related principles

• Strengths in systems, tools, methods and interaction with users.

• clear legal bases for obtaining access to administrative data and for increasing

cooperation with owners of administrative data.

• The active participation of members of the ESS on the international statistical

scene is considered an asset for the whole system.


RESULTS OF THE SECOND ROUND OF PEER REVIEWS

STRENGTHS

Eurostat

• Need to develop clear, transparent and objective procedures for recruiting and

dismissing heads of statistical authorities

• Adequacy of resources: Resources are an area of concern. Many NSIs are

operating under pressure, often to the detriment of methodological improvements

and national statistical demands… many NSIs struggle to attract and retain highly

skilled staff.

• The ESS should invest more in comprehensive quality management

systems… adequate resources should be allocated to work on quality within the

global allocation.

• The NSIs should be more involved in the design and development of methods and

tools for administrative databases



WEAKNESS

Eurostat



• The peer reviews led to 707 recommendations, an average of 21 per

country/Eurostat.

• Only 9 % (65) of the recommendations concern non-compliance with the Code.

• Most relate to impartiality and dissemination (22) and professional

independence (20). These figures should, however, be interpreted with caution as the recommendations

cover a wide array of issues of varying importance

• Although the exercise has value in itself by making ESS members scrutinise their

policies, practices and procedures, its full impact will not be felt until the

implementation of recommendations has progressed further.

• Improvement action plans will be subject to close annual monitoring as of

spring 2016 and should be completed by the end of 2019. Future measures

will be decided in the light of lessons learnt and shared experiences.

http://ec.europa.eu/eurostat/web/quality/peer-reviews

http://ec.europa.eu/eurostat/web/quality/peer-reviews

Eurostat

DEBATE

Eurostat

Thank you for your attention !!

estp course on the ess active participation in ess meetings · pdf fileppo 2 (17 ines) ppo 3...

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