1. The Use of Administrative Sources for Statistical Purposes
Frameworks for the Access and Use of Administrative Data

2. Legal Frameworks

3. Data Sources There are two main sources of data Statistical surveys
Administrative records
Legal frameworks are necessary to
enable and control the flow of data
from both sources.

4. National Legal Frameworks
Most statistical institutions have legislation defining their roles and responsibilities, e.g. a ‘Statistical Law’
Many new statistical laws introduced in the last years
Some existing statistical laws have been revised to include provisions for the use of administrative data

5. National Legal Frameworks
Some national legal frameworks give more powers than others for access to administrative data
Historical, political and cultural factors will have an impact on national frameworks, therefore these are not harmonised between countries

6. International Frameworks
The European Union is developing a legal framework for official statistics, including references to the use of administrative data

7. Case Study - Ireland Statistics Act 1993:
30. - (1) For the purpose of assisting the Office in the exercise of its functions under this Act, the Director General may … request any public authority to—
(a) allow officers of statistics … to have access to … any records in its charge, and
(b) provide the Office … with copies or extracts from any such record,
and the public authority shall … comply with any such request free of charge.

8. 31. - (2) If any public authority proposes to introduce, revise or extend any system for the storage and retrieval of information … it shall consult with the Director General and accept any recommendations that he may reasonably make …
(3) The Director General or any public authority may request the National Statistics Board to arbitrate on and, when agreement cannot be reached, to make recommendations to the [Prime Minister] for his decision on proposals made by the Director General …

9. Stages of Development The Eurostat “Handbook of Good
Practices” identifies three key stages
in the development of a legal
framework:
Foundation
Consolidation
Evolution

10. Stages of Development
Foundation stage - The statistical institute starts to get access to administrative sources
Consolidation stage – Administrative data are used to build registers and produce statistics

11. Stages of Development
Evolution stage - The legal framework encourages greater co-operation between administrative data suppliers and the statistical institute concerning the collection of data for multiple purposes

12. How Data Collection is Changing

13. Timing
National statistical institutes are at different stages in this process
Different areas of statistics are at different stages in this process
It takes at least 30 years to move from a population census based on paper questionnaires to one fully based on administrative data

14. Why is This Relevant?
Legal frameworks should reflect the desired future position rather than the current reality, otherwise they will quickly become a barrier
Start planning now for the next revision to the legal framework

15. Legislation on the Internet
Austria -
Ireland -
See sections 30 and 31
Norway -
See chapter 3-2
Germany -
See article 8

16. Policy Frameworks

17. Policy Frameworks Government policy on data sharing Codes of practice
How can the national statistical institute influence this?
Codes of practice
International
National

18. International Codes of Practice
United Nations Fundamental Principles of Official Statistics
Principle 5: 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

19. International Codes of Practice
European Statistical System Code of Practice
Principle 2: Statistical authorities must have a clear legal mandate to collect information for European statistical purposes. Administrations, enterprises and households, and the public at large may be compelled by law to allow access to or deliver data for European statistical purposes at the request of statistical authorities

20. National Codes of Practice
Can reassure the public that data will only be used for specific and reasonable purposes
Should be made available to the public, e.g. via the internet site of the national statistical institute.

21. Organisational Frameworks

22. Using Administrative Sources in Practice
The use of administrative sources is enabled by a legal framework, in the context of a policy framework
But - these are not usually detailed enough to cover all the administrative arrangements for access and use

23. What Else is Needed? Service Level Agreement (SLA)
Some sort of agreement:
Service Level Agreement (SLA)
Administrative Protocol
Contract
Informal or verbal agreement
Other type of agreement according to national customs and practices

24. Formal Agreements
May not be legally enforceable, but are seen as a formal commitment
Set out terms for the provision and use of data
Signed by all parties
Can cover one or more data flows (e.g. Government contracts)

25. Informal Agreements
In a recent inventory, the British statistical system found it used over 1600 administrative data sets
Many agreements were informal
This increases the risk of problems, particularly if staff in either organisation move

26. What information should be included in a formal agreement?
Group Exercise
What information should be included in a formal agreement?

27. Agreement Contents 1 Legal basis
Names of persons transferring and receiving data
Detailed description of data covered
Frequency of data supply
Quality standards
Confidentiality rules

28. Agreement Contents 2 Technical standards Provision of metadata
Provisions for payment for supply data
Period of agreement
Contingencies for changes in circumstances
Procedure for resolving disputes

29. Potential Challenges Financial agreements need to be negotiated
Statistical institute may lack funds for data
Suppliers may see data as having a commercial value
Suppliers see no benefit to them

30. Possible Solutions
Statistical law to give the statistical institute the right to obtain data
Statisticians could offer expertise, analysis of data, or the use of statistical tools in exchange
Coordination with other customers in the statistical institute or government could help to spread the cost

31. Quality Issues Data need to be ‘fit for purpose’
Priorities of administrative sources and statistical offices differ
Administrative bodies may spend little or no time on validation work, particularly on data items that are not key to their purpose

32. Quality Conditions Have to be acceptable to both sides Could include:
Content of records (e.g. number of items incorrectly classified should be less than 2%)
Frequency and timeliness
Provision of metadata
Machinery for dealing with disputes

33. Technical Frameworks

34. Technical Frameworks Mechanisms for data transfer File formats
Paper
Magnetic media
Secure on-line connection
File formats
Data / metadata standards
XML
SDMX
GESMES

35. Case Study Administrative Data for the British Statistical Business Register

36. Legal Framework No Statistics Act
Access to administrative data controlled by source-specific acts
Subject to European Union legislation
Legislation for the independence of the statistical office may increase access

37. Policy Framework Government policy favours more data sharing
Requirement to cut costs and the burden on businesses
Strong data protection legislation
Civil liberties groups suspicious of government data sharing schemes

38. Policy Framework Codes of Practice
Britain applies international standards
National Code of Practice
Supported by protocols, e.g. Protocol on Managing Respondent Load
Statistical business register is the gateway for all administrative micro-data on businesses

39. Organisational Framework
Service Level Agreements with other government departments
reviewed annually
signed at director level
Statistical analyses / tools provided in return (e.g. automatic coding software)
Contracts with commercial data suppliers

40. Organisational Framework
Data suppliers represented on business register management committee
Improving working relationships across government - ‘Business Data Sharing Group’

41. Technical Framework
Mostly quarterly copies of administrative registers on CD-ROM
Government Secure Intranet link for daily updates from Value Added Tax
Flat text files
Metadata as separate tables

42. Data Sources Four main administrative sources:
Value Added Tax (VAT) data
PAYE (income tax) data
Company registration data
Company ownership data (from a private sector source - Dun & Bradstreet)

43. Value Added Tax Data Framework: VAT Act / Formal agreement
Frequency: Daily, weekly, monthly
Timeliness: Delivery within 5 days
Quality: Good
Delivery: Electronic via secure intranet
Key content: Name, address, NACE, turnover

44. Income Tax (PAYE) Data Framework: Finance Act / Formal agreement
Frequency: Quarterly
Timeliness: Within 1-4 months
Quality: Employment - good
Address - moderate
Classification - poor
Delivery: CD-ROM
Key content: Address, NACE, employment

45. Company Registration Data
Framework: Contract
Frequency: Quarterly updates, continuous
on-line access
Timeliness: Good
Quality: Good
Delivery: CD-ROM / Internet
Key content: Legal name, company number

46. Dun & Bradstreet Data Framework: Contract
Frequency: Annual update, quarterly supplement, continuous on-line access
Timeliness: Good
Quality: Variable
Delivery: CD-ROM / Internet
Key content: Enterprise group links, foreign ownership codes

47. What national frameworks do you have in place?
Group Discussion
What national frameworks do you have in place?
How effective are they?