3.2 UN Fundamental Principles of Official Statistics
The following description is to a large extent based on the United Nations Fundamental Principles of Official Statistics - Implementation Guidelines (). In addition, criteria and indicators described in the European Statistics Code of Practice (), as well as other guidelines mentioned above, have been taken into consideration, when appropriate.
3.2.1 Principle 1 - Relevance, impartiality and equal access
Principle 1 states that “Official statistics provide an indispensable element in the information system of a democratic society, serving the Government, the economy and the public with data about the economic, demographic, social and environmental situation. To this end, official statistics that meet the test of practical utility are to be compiled and made available on an impartial basis by official statistical agencies to honour citizens' entitlement to public information.”
Relevance:
Motivation for and explanation of the principle:
■ Official statistics exist to provide information to the general public, government, businesses and research communities in the economic, demographic, social and environmental fields.
■ Official statistics as an important public good in democratic societies, have to meet the needs of users, and must be disseminated in an impartial way (UN Global Review 2013, page 6) (). They are an essential element of the accountability of governments and public bodies to the public in a democratic society.
■ Relevance is the degree to which statistics meet current and potential needs of various user groups, including the public.
■ Relevance includes the possibility for users to make comparisons in time and space.
Compliance criteria:
■ Processes should be in place to consult users, monitor the relevance and utility of existing statistics in meeting their needs, and consider their emerging needs and priorities.
■ Priority needs should be identified and be met and reflected in the work programme.
■ User satisfaction should be monitored on a regular basis and systematically followed up.
Impartiality and equal access:
Motivation for and explanation of the principle:
■ The use and benefit of official statistics are dependent on their credibility and trust among users.
■ Professional independence of producers of official statistics, scientific competence of their staff and impartiality are the crucial preconditions of trust in official statistics.
Compliance criteria:
■ Statistics should be compiled on an objective basis determined by statistical considerations.
■ Choices of sources and statistical methods, as well as decisions about the dissemination of statistics, should be informed by statistical considerations.
■ Errors discovered in published statistics should be corrected at the earliest possible date and publicised.
■ Information on the methods and procedures used should be publicly available.
■ Statistical release dates and times should be pre-announced.
■ Advance notice should be given on major revisions or changes in methodologies.
■ All users should have equal and simultaneous access to statistical releases. Privileged pre-release access to any user is not recommended and, if any, should be limited, controlled and publicised.
■ Statistical releases and statements made in press conferences should be objective and non-partisan and should not contain any policy-prescriptive statements.
■ As from the release date, official statistics should be accessible for a sufficiently long period. The underlying micro-data should be stored in such a way that they can be used for subsequent statistical purposes by statistical producers and the research community, subject to specific rules.
3.2.2 Principle 2 - Professional standards, scientific principles and professional ethics
Principle 2 states that “To retain trust in official statistics, the statistical agencies need to decide according to strictly professional considerations, including scientific principles and professional ethics, on the methods and procedures for the collection, processing, storage, and presentation of statistical data.”
Motivation for and explanation of the principle:
■ Public trust in statistics relies heavily on the strict adherence by producers of official statistics to scientific principles and independence from any undue political and external influence.
■ Producers of official statistics should be free from conflicts of interest that might be generated through the assignment of non-statistical tasks, or certain statistical tasks outside official statistics, notably with respect to the principles of impartiality and confidentiality.
Compliance criteria:
■ The independence of the producers of official statistics from political and other external interference in developing, producing and disseminating statistics should be specified in law both for the NSO1 and other producers of official statistics, and be associated in the law with appropriate institutional safeguards.
■ Staff and statistical experts within the national system of official statistics should follow and respect professional ethics2. Laws, regulations, and other mechanisms should reinforce adherence to scientific principles and professional ethics.
■ The head of an NSO and, where appropriate, the heads of any other statistical authorities should have sufficiently high hierarchical standing to ensure senior-level access to policy authorities and public administrative bodies. They should be of the highest professional calibre.
■ The head of an NSO and, where appropriate, the heads of any other statistical authorities, should have the final responsibility for ensuring that statistics are developed, produced and disseminated in an independent manner. This covers decisions on the development, production, and dissemination of statistics, including the selection of data sources, concepts, definitions, methods and classifications to be used, and the timing and content of all forms of dissemination.
■ The head of an NSO and, where appropriate, the heads of any other producers of official statistics, should have the sole responsibility for deciding on statistical methods, standards and procedure and the timing of statistical releases.
■ The statistical work programmes should be published, and periodic reports should describe progress made.
■ The appointment of the head of an NSO and, where appropriate, the heads of any other statistical authorities, should be based on professional competence only; and not based on political considerations. The reasons on which basis the incumbency can be terminated should be specified in the legal framework. These cannot include reasons compromising professional or scientific independence.
3.2.3 Principle 3 - Accountability and transparency
Principle 3 states that “To facilitate a correct interpretation of the data, the statistical agencies are to present information according to scientific standards on the sources, methods and procedures of the statistics.”
Motivation for and explanation of the principle:
■ The objective is to guarantee user access to necessary information and support the interpretation, the characteristics and quality of official statistics by describing and making available policies and practices surrounding statistical production and dissemination.
Compliance criteria:
■ The head of an NSO and, where appropriate, the heads of any other statistical authorities, should guarantee user access to available statistical information including information on sources, methods and procedures used.
■ Metadata and quality reports should be made readily available to users that will enable them to judge the fitness of use of the data.
■ Producers of official statistics should continuously aim to introduce methodological improvements and systems to manage and improve the quality and transparency of statistics.
■ Producers of official statistics should enhance the professional level of staff by encouraging them to attend training courses, to do analytical work, to publish scientific papers and to participate in seminars and conferences.
■ To ensure accountability, programmes/strategies, as well as reports on the implementation of the statistical work, should be made public.
3.2.4 Principle 4 - Prevention of misuse
Principle 4 states that “The statistical agencies are entitled to comment on erroneous interpretation and misuse of statistics.”
Motivation for and explanation of the principle:
■ Incorrect and misleading use of official statistics can harm society, the business community, and the general trust in official statistics.
■ Reactions to erroneous interpretation and misuse of official statistics, especially in the media and by public users, are essential to ensure that trust in statistics is maintained and thereby improving the use and understanding of official statistics.
■ Educating users on the correct interpretation of official statistics is also crucial.
Compliance criteria:
■ Producers of official statistics should comment publicly on statistical issues, including criticisms and misuse of statistics by users.
■ Producers of official statistics should develop training material and programmes to educate users on the use and correct interpretation of official statistics.
3.2.5 Principle 5 - Sources of official statistics
Principle 5 states that “Data for statistical purposes may be drawn from all types of sources, be they statistical surveys or administrative records. Statistical agencies are to choose the source with regard to quality, timeliness, costs and the burden on respondents.”
Motivation for and explanation of the principle:
■ To produce official statistics is a costly and labour-intensive task for statistical offices as well as for respondents. Therefore, statisticians should apply methods in the least intrusive way and choose sources considering data quality, cost-efficiency and response burden.
Compliance criteria:
■ The mandate of the statistical authorities to collect information for the development, production and dissemination of official statistics should be specified in law.
■ The statistical authorities should be allowed by law to access and collect data for statistical purposes from all public and private data sources and to process such data according to statistical definitions and classifications, and to combine data from different sources.
■ Based on legislation, the statistical authorities should compel response to specific statistical surveys and distinguish between mandatory items/questions (that might include the possibility to issue administrative fines) and non-mandatory ones.
3.2.6 Principle 6 - Confidentiality
Principle 6 states that “Individual data collected by statistical agencies for statistical compilation, whether they refer to natural or legal persons, are to be strictly confidential and used exclusively for statistical purposes.”
Motivation for and explanation of the principle:
■ A fundamental requirement for official statistics is public confidence and acceptance. To maintain respondents' trust, it is the utmost concern of official statistics to safeguard the privacy of data providers (like individuals, households or enterprises) by assuring that no data, whatever their origin, are disseminated that might be traced back to an identifiable person or business.
Compliance criteria:
■ Clear provisions should be laid down in the statistical law and national policies to ensure the strict statistical confidentiality of statistical data and its exclusive use for statistical purposes.
■ The legislation and/or policy should absolutely guarantee:
■ The privacy of data providers (individuals, households, enterprises and other respondents) and the confidentiality of the information about them.
■ The security of information received from all data providers during the whole production process.
■ The exclusive use for statistical purposes of all data in the statistical system that concerns natural or legal persons, whatever their origin.
■ Confidentiality protection should be implemented at each level of the statistical process – from the preparation of surveys up to the dissemination of statistical products.
■ Penalties should be laid down in the statistical law and/or other legal provisions for any persons (staff or other persons) who wilfully breach the statistical confidentiality, leading to confidential data disclosure.
■ Staff of producers of official statistics should upon appointment sign a legally binding confidentiality pledge. The same applies to third parties who, due to any activity performed within the scope of the NSS, have access to confidential data.
■ Guidelines and instructions on the protection of statistical confidentiality should be provided to staff.
■ The confidentiality policy should be made known and explained to the public.
■ Physical, technological and organizational provisions should be in place to protect the security and integrity of statistical databases. Strict protocols should apply to users accessing statistical microdata for research purposes.
3.2.7 Principle 7 - Legislation
Principle 7 states that “The laws, regulations and measures under which the statistical systems operate are to be made public.”
Motivation for and explanation of the principle:
■ Updated and proper legislation is critical to the effective performance of a national statistical system (see Chapter 3.4 — Legislative frameworks for further discussion of legislation).
■ Transparency of legislation, rules and measures pertaining to the operation of the statistical system is a precondition for maintaining trust in official statistics.
Compliance criteria:
■ The provisions of a statistical law should cover all phases of developing, producing, disseminating and communicating official statistics, and apply to all data collected or obtained for statistical purposes.
■ Public availability and full transparency of laws, regulations, and measures under which a national statistical system operates is a precondition for enforcing the laws, regulations and measures among stakeholders.
3.2.8 Principle 8 - National coordination
Principle 8 states that “Coordination among statistical agencies within countries is essential to achieve consistency and efficiency in the statistical system.”
Motivation for and explanation of the principle:
■ Coordination of statistical activities is necessary to avoid duplication of work, data gaps, conflicting terminology and the dissemination of conflicting results, no matter what the organizational arrangements are for producing national statistics.
■ Coordination is also necessary to minimize the reporting burden of respondents and to facilitate the integration of data from different sources using statistical standards.
Compliance criteria:
■ The mandate/power to coordinate the statistical system should be specified in law.
■ Necessary mechanisms for coordination should be implemented.
■ The national coordinating body, most often the NSO, should effectively coordinate statistical activities within the NSS and thereby improve the consistency and efficiency of the statistical system.
■ Exchange of technical knowledge, including training courses and workshops for members of the system, can support the use of common conceptual framework, processes and appropriate statistical methods.
■ When standards are generated for use by the producers of official statistics, control mechanisms for implementing them should be established.
3.2.9 Principle 9 - Use of international standards
Principle 9 states that “The use by statistical agencies in each country of international concepts, classifications and methods promotes the consistency and efficiency of statistical systems at all official levels.”
Motivation for and explanation of the principle:
■ Use of international standards enhances quality, comparability and usefulness of national statistics.
■ Comparability is an essential dimension of quality, and non-comparable statistics lose a lot of their utility and value for the users.
■ Use of common standards improves efficiency, both within individual agencies, and across the whole system of official statistics.
Compliance criteria:
■ The obligation to use international concepts, classifications and methods for developing, producing, and disseminating official statistics should be specified in law and monitored throughout the statistical system.
■ Use of international concepts, classifications and methods should be promoted in the national statistical system.
3.2.10 Principle 10 - International cooperation
Principle 10 states that “Bilateral and multilateral cooperation in statistics contributes to improving systems of official statistics in all countries.”
Motivation for and explanation of the principle:
■ An essential requirement to develop high-quality statistics is to share challenges, lessons learned and best practices between producers of official statistics from different countries.
■ International cooperation should contribute to the development of national statistical capacities. Active international engagement, including capacity building projects, has a positive impact on the image of the NSO and may have an impact on domestic trust in the NSO of both sides (beneficiary and donor).
■ In general, international cooperation should be a win-win situation for both partners of the cooperation as partnerships should be based on finding joint solutions for challenges and tasks.
Compliance criteria:
■ The NSO, and when relevant, other statistical agencies, should actively participate in the main international discussion forums pertaining to statistics, such as the United Nations Statistical Commission, to ensure continuous improvement of statistics at the international level.