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Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a common framework for European statistics relating to persons and households, based on data at individual level collected from samples

COM/2016/0551 final - 2016/0264 (COD)
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Brussels, 24.8.2016

COM(2016) 551 final

2016/0264(COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

establishing a common framework for European statistics relating to persons and households, based on data at individual level collected from samples

(Text with EEA relevance)

{SWD(2016) 282 final}
{SWD(2016) 283 final}


EXPLANATORY MEMORANDUM

1.CONTEXT OF THE PROPOSAL

Reasons for and objectives of the proposal

The increasing importance of the EU's social dimension

The objective of a highly competitive social market economy, delivering growth, better jobs, social progress and social fairness for all its citizens, is at the heart of the European Union policy agenda. In June 2015, the Five Presidents' Report on Completing Europe's Economic and Monetary Union 1 underlined the importance of building a strong social Europe. President Juncker, in his State of the Union speech of September 2015, conveyed this ambition emphasizing that we need to ‘recreate a process of convergence, both between Member States and within societies, with productivity, job creation and social fairness at its core.’ 

This goal is being forcefully pursued through the revamped European Semester, the annual cycle for the coordination of economic policies at EU level, in line with the October 2015 communication on steps towards completing EMU. A good balance between economic and social goals in the European Semester is particularly important for the sustainability and legitimacy of the Economic and Monetary Union. Hence, social and employment goals have become more prominent in the European Semester, with both country reports and country-specific recommendations assessing social and employment challenges and promoting policy reforms based on best practices.

The Commission has also proposed to develop a European Pillar of Social Rights 2 with the aim of promoting upwards convergence in employment and social conditions, as well as greater resilience to economic shocks. The Pillar should build on, and complement, the EU social "acquis" in order to guide policies in a number of fields essential for well-functioning and fair labour markets and welfare systems. It should become the reference framework to screen the employment and social performance of participating Member States, to drive reforms at national level and, more specifically, to serve as a compass for the renewed process of convergence within the euro area. This should help ensure that economic development results in greater social progress and cohesion, in line with the Europe 2020 strategy and its inclusive growth objective.

This strong commitment to the EU’s social goals must be supported by a solid evidence base. Keeping also in mind that spending on social policies in a broad sense (including social protection, education and health) represents more than a quarter of GDP and more than half of public spending in most Member States, there must be a strong focus on policy outcomes, value for money and efforts to achieve better results through international comparisons, benchmarking and mutual learning.

The EU needs reliable and timely social statistics to monitor the social situation and the impact of economic developments and policies on social conditions in the Member States and their regions, and on the situation of different groups in the population. This necessitates that subjects such as poverty and social exclusion, inequalities, skills, access to employment for all, social protection expenditures, should be better described with sound and timely statistics.

European social and employment statistics

The European Statistical System (ESS) 3 produces the statistical data used to assess Member States’ performance in the context of the European semester, to monitor the key targets of Europe 2020, to implement many Commission evaluation frameworks on employment and social developments, and to pave the way for a future strategic vision for Europe beyond Europe 2020. Over the years, the ESS has set up advanced tools to provide improved and comparable statistics for better policy making at the European level and in the Member States.

The ESS is increasingly confronted with a growing need for statistical information for analysis, research and policy-making. Furthermore, statistical data should continue to meet the high quality standards of official statistics, including timeliness.

Social statistics used at EU level are taken from a variety of sources: population censuses, aggregated administrative data, data from businesses and data on persons and households collected at individual level from samples. The current proposal relates to this last source of social statistical data.

The current system for producing European statistics on persons and households based on data at individual level collected from samples (hereinafter referred to as 'European social statistics collected from samples') is made up of a number of separate domain-specific Regulations, which specify the exact topics to be covered and the technical requirements for the data collection (e.g. sample size, quality criteria and transmission requirements). There are currently five legal bases for conducting European social surveys, which relate, respectively, to the Labour Force Survey (LFS) 4 , European Statistics on Income and Living Conditions (EU-SILC) 5 , the Adult Education Survey (AES) 6 , the European Health Interview Survey (EHIS) 7 , and the Survey on Information and Communications Technologies (ICT) usage in households (ICT-HH) 8 . Two European surveys are conducted on the basis of an informal agreement only: the Household Budget Survey (HBS) and the Harmonised European Time Use Survey (HETUS).

This initiative is part of the Regulatory Fitness and Performance Programme (REFIT) and aims to streamline the European social statistics collected from samples and to make the data collection process more efficient and the statistical output more relevant. The proposed Regulation should guarantee the comparability and coherence of the data in the long run. The system of European social surveys should be sufficiently robust and efficient, and should ensure that the high quality of statistics is maintained which can be challenging given the continual change in this area of statistics: rapid innovation in methodologies and uses of IT, the availability of new data sources, changing needs and expectations of data users and continued pressure on available resources.

Consistency with existing policy provisions in the policy area

It is becoming increasingly necessary for statistics to be reliable, timely and of high quality in order for policymakers, businesses and the general public to be able to take appropriate, evidence-based decisions. Providing statistics of this quality is, however, challenging for the ESS: the ever-increasing demand for data and the demand from respondents to statistical surveys to reduce the burden all combine to put pressure on the production of statistics. Recent statistical initiatives have, therefore, aimed to simplify and improve coordination and collaboration within the ESS, with a view to making the production of European statistics more efficient and reducing the burden on respondents. One example is Regulation (EC) No 223/2009 on European statistics 9 , which was amended in 2015 to clarify the governance of the ESS and to strengthen means of coordination and collaboration at both EU and national level. Other initiatives, such as this proposal and the Framework regulation integrating business statistics (FRIBS), are included in the Commissions REFIT initiative and aim to simplify and streamline the production of European statistics within targeted domains.

The European Statistical Programme 2013-2017 10  identifies statistics on ‘People’s Europe’ (i.e. social statistics) as one of the three pillars of the statistical information system: economic social and environmental. Each of the pillars covers a set of primary statistics that will provide the required input for policy indicators and accounting systems. In order to achieve the objectives of the European Statistical Programme in the most efficient and consistent manner, this Regulation establishes an overarching legal framework for the production of European social statistics collected from samples.

The ESS Vision 2020 11 aims to modernise the production of European statistics, and to thereby further improve the balance between the benefits and importance of having high quality European statistics and the costs and burden related to their production. In this way the ESS will contribute to adequately responding to the European institutions’ need for information for their policy-making and to the statistical needs of the broader society, while giving due consideration to the need to reduce the administrative burden on households and businesses.

Consistency with other EU policies

Developing and evaluating policy in respect of the Union’s political priorities, in particular those relating to jobs, growth and investment, the digital single market, a deeper and fairer European Monetary Union (EMU), migration, internal market, energy union and climate requires good analytical and monitoring tools. Furthermore, the political priorities correspond to a number of different domains within social and economic statistics, making it necessary to ensure greater coherence between data sources and to facilitate increased use of new innovative sources and approaches. The Europe 2020 Strategy uses indicators to monitor headline targets, such as promoting employment, improving education levels and promoting social inclusion through the reduction of poverty. Calculating these indicators requires timely statistical information. This statistical information should be produced as efficiently as is possible using modern statistical data collection and production methods. The current lack of integration between domains makes it more difficult to analyse data coming from various existing data collections. The statistical requirements linked to the 2030 Agenda for Sustainable Development, which addresses both poverty eradication and the economic, social and environmental dimensions of sustainable development, will also benefit from the more integrated and timely indicators resulting from this proposal.

The priorities that policies need to address may change and the need for high quality European social statistics is expected to increase even further in the future, for example, when work starts towards the objectives of the planned European Pillar of Social Rights. Moreover, high quality statistics are needed to allow policymakers to look beyond the current context, to identify and develop new policy frameworks and targets. The importance of European statistics is not limited to the time span of the current strategies. To take an example from the recent past: it was only possible to put in place the indicator-based targets for the Europe 2020 strategy because the European statistical base was rich enough to measure and monitor these targets. On this occasion, putting existing data to use for a new purpose showed the importance of developing and maintaining basic statistics that are flexible enough to be adapted quickly to new policy requirements.

Improving social statistics in line with the Union’s priorities and the stronger social dimension of the EU will require a strong commitment of the Member States and close coordination between policy makers and statisticians at all stages. It will be crucial that they maintain a sufficient investment in social statistics and provide the necessary political support, notably as far as access to administrative data is concerned.

2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

Legal basis

Article 338 of the Treaty on the Functioning of the European Union (TFEU) provides the legal basis for European statistics. Acting in accordance with the ordinary legislative procedure, the European Parliament and the Council adopt measures for the production of statistics where this is necessary for the Union to carry out its role. Article 338 sets out the requirements relating to the production of European statistics, stating that they must conform to standards of impartiality, reliability, objectivity, scientific independence, cost-effectiveness and statistical confidentiality.

Subsidiarity (for non-exclusive competences)

The subsidiarity principle applies insofar as the proposal does not fall within the exclusive competence of the Union.

The ESS provides an infrastructure for statistical information. The system is designed to meet the needs of multiple users, for the purpose of decision-making in democratic societies.

The proposal for this Regulation has been drafted with a view to protecting the core activities of ESS partners while improving efficiency. and ensuring that unnecessary changes and duplication of work are avoided as far as possible.

The collection of statistics covered by the proposal currently takes place according to different rules at EU level. The proposal intends to streamline and modernise the collection of statistics under one framework. It is only possible to provide EU-wide, comparable statistics for policy purposes by acting at EU level.

One of the main criteria that the statistical data must meet is to be coherent and comparable. The Member States cannot achieve the necessary coherence and comparability without a clear European framework, i.e. Union legislation laying down the common statistical concepts, reporting formats and quality requirements.

The objective of the proposed action, namely streamlining European social statistics collected from samples, cannot be achieved satisfactorily by the Member States acting separately. Action can be taken more effectively at EU level, on the basis of a Union legal act ensuring the coherence and comparability of statistical information at EU level in the statistical domains covered by the proposed act. The data collection itself, meanwhile, can be carried out by the Member States.

The Union may therefore adopt measures in this area in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty.

Proportionality

The proposal complies with the proportionality principle, in view of the following:

It will ensure the quality and comparability of European social statistics collected from samples by applying the same principles across Member States. Similarly, it will ensure that European social statistics collected from samples remain relevant and are adapted to respond to users' needs. The Regulation will make the production of statistics more cost-effective while respecting the specificities of Member States’ systems.

Current EU legislation on statistics relating to persons and households has been constantly reviewed over recent years. It has become clear that a Regulation establishing a common framework for the process of collecting, processing and disseminating statistical data in these specific social domains could make this process more efficient (lower cost to benefit) and effective.

The Regulation is expected to reduce the financial and administrative burden placed on respondents, national, regional and local authorities, businesses and the general public. It will achieve this in particular by: standardising concepts and methods, removing duplications, reducing the frequency of data transmission in some areas, and making greater use of a combination of sources in addition to surveys.

In accordance with the principle of proportionality, the proposed Regulation confines itself to the minimum required to achieve its objective and does not go beyond what is necessary for that purpose.

Choice of the instrument

Proposed instrument: a Regulation.

Given the objectives and content of the proposal, a Regulation is the most appropriate instrument.

The selection of the appropriate instrument depends on the aim to be achieved by the legislation. Given the need for comparable statistical information at European level, the trend in European statistics has been to use regulations rather than directives as the basic acts. A Regulation is preferable because it lays down the same law throughout the Union. It ensures the comparability of data within the EU, and thus allows high quality European statistics to be produced. It is directly applicable, which means that it does not need to be transposed into national law.

3.RESULTS OF EX POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

Ex post evaluations/fitness checks of existing legislation

As this initiative was launched prior to the adoption of the new Better Regulation guidelines (COM (2015)215), no full evaluation of the current system for the production of European social statistics collected from samples has been carried out. Based on Commission standards, Eurostat’s system for evaluating existing legislation, including the evaluation of the European Statistical Programme 12 was followed, and formed a central part of the whole process. In addition user surveys are conducted every year in order to obtain better knowledge about users, their needs and their satisfaction with the services provided by Eurostat. Evaluation results are used by Eurostat to improve the process of producing statistical information and its statistical output. They feed into various strategic plans, such as the work programme and the management plan.

Stakeholder consultations

Three main groups of stakeholders were targeted for consultation:

Data producers: this category comprises the authorities responsible for the collection and compilation of social statistics. It mainly includes the national statistical institutes (NSIs), at national level, and Eurostat, at EU level. In this context, the data producers are also the main representative of the primary data providers, i.e. households.

Data providers: this category includes both respondents and national institutions that are the holders of administrative data files, such as the government social security and tax departments. The NSIs are also considered, in the broader sense, as a proxy for the primary data providers (i.e. households) given the difficulty of conducting interviews with individual households for the purposes of this consultation.

Data users: within this group, a distinction can be made between institutional users (the Commission itself, national government departments, other international organisations and professional staff working at other EU institutions) and other external users, such as the general public, the media and academics.

Special mention should be made of one particular body that has been consulted as a data user: the European Statistical Advisory Committee (ESAC), established in 2008 by Decision No 234/2008/EC of the European Parliament and of the Council 13 . It has 24 members representing users, respondents and other stakeholders for whom European statistics are of relevance (including the scientific community, social partners and civil society), together with institutional users (e.g. the Council and the European Parliament). Under Article 8 of Regulation (EC) No 223/2009, the ESAC can be consulted during the process of preparing possible new legislation.

The consultation was carried out over the period from July to December 2015. The results are set out in three specific reports 14 .

The problems, as perceived by the consulted stakeholders, can be summarised as follows:

(1)Data users are concerned about the risk of European official statistics not meeting their needs, i.e. not being relevant. Their worries stem from a number of issues relating to the quality of the data, such as the lack of coverage of emerging social issues, constrained timeliness and the limited comparability and coherence between statistical datasets.

(2)Data producers (NSIs) are concerned about the high production costs and the pressure being put on them by the short deadlines set for providing the statistical information needed in the context of emerging social crises. The response burden is also an issue (as too large a burden risks causing response rates to fall, and thus data quality to deteriorate). The NSIs would like to have more support for their modernisation processes (e.g. innovation in technology, methodologies, the use of new data sources and management), the aim of which is to reduce production costs.

The solutions described by the stakeholders can be grouped into three main areas of action:

making official European social statistics better able to be adapted to emerging information needs (i.e. improving their relevance);

increasing the coherence and comparability of European social statistics, in order to ensure higher quality;

using innovative approaches to reduce production costs and lessen the response burden.

Collection and use of expertise

Eurostat has held extensive discussions on the proposal with the NSIs. It set up working groups (for each of the statistical data collections), task forces and directors’ groups, which met regularly to consult on the proposal. The proposal has also been presented to the European Statistical System Committee (ESSC) established by Regulation (EC) No 223/2009. The ESSC provides professional guidance to the ESS on developing, producing and disseminating European statistics. It is chaired by the Commission (Eurostat) and is composed of the representatives of NSIs. The European Economic Area (EEA) and the European Free Trade Association (EFTA) countries participate as observers. Observers from the European Central Bank (ECB), the Organisation for Economic Cooperation and Development (OECD) and other international organisations may also attend the ESSC’s meetings.

External views and expertise were also drawn from a number of additional sources:

(1)The stakeholders' consultation described above included the views of data users and data providers.

(2)The opinion of the ESAC was also sought, as an external source of expertise. The ESAC expressed its support for the proposal for a framework regulation for European statistics on persons and households. It considers a framework regulation as essential for supporting the Commissions current, more extensive, agenda on social policy, and improving the integration and consistency of social data from across Europe 15 .

Impact assessment

This proposal is accompanied by an impact assessment. This identifies the problems currently being faced, presents a number of policy options that could be used to address these problems, and assesses the social and economic impact of each of the options.

The Regulatory Scrutiny Board gave a positive opinion of the impact assessment in March 2016.

The impact assessment identified two main factors underlying the problems being faced in the area of European social statistics collected from samples:

(1)the fragmentation of European social statistics collected from samples across different domains; and

(2)the inflexibility of the methods used for collecting data on persons and households.

The following options were assessed as ways of addressing the fragmentation of European social statistics collected from samples.

Option

Description

1.0 Baseline: fragmented production processes, no legal integration

Keep current legal structure with domain-specific EU Regulations and fragmented processes (different guidelines, procedures and production processes)

1.1 Defragmentation of production processes, no integration of existing legislation

Keep domain-specific EU Regulations, but pursue increased standardisation of the various production processes, definitions and variables (‘defragmentation’) across data collections

1.2 Fragmented production processes (stovepipes), but integration of existing legislation

Integrate legislation on European social statistics collected from samples, without actively pursuing ‘defragmentation’ of production processes

1.3 Defragmentation of production processes, and legal integration

Combine legal integration with defragmentation of production processes. This option has sub-options, characterised by their difference in scope and governance of the whole system

1.3a Defragmentation of production processes, integration of existing legislation

Only includes the five current Regulations (LFS, SILC, AES, EHIS and ICT-HH)

1.3b Defragmentation of production processes, integration of governance of European social statistics collected from samples

HBS/HETUS data collections also covered by the Regulation. Current differences between Member States suggest that substantial harmonisation is required

The three options below were analysed as possible ways of addressing the inflexibility of data collection.

Option

Description

2.0 Baseline: programme and technicalities determined by legislation

Changes to programme or technical items require changes in the Regulation of the European Parliament and of the Council

2.1 Programming determined by legislation / flexible technical specifications

Statistical programming determined by Parliament and the Council, more flexibility in technical items

2.2 Flexible programming / flexible technical specifications

Flexibility in statistical programming and technical items

On the basis of the results of the impact assessment, policy options 1.3a (Consolidate existing Regulations, ‘defragment’ production processes) and 1.3b in the longer run (Integrate governance of European social statistics collected from samples, defragment production processes used for different data collections) were selected to address the fragmentation of European social statistics collected from samples. These policy options include the integration of the EU Regulations currently in place for different specific domains, and measures designed to create greater consistency in data production and handling. This approach would offer the best opportunities for being able to: make social statistics collected from samples more adaptable to changing users’ needs, improve their quality, increase the use of innovative methods, and reduce or limit the costs created by the current fragmented design of European social statistics collected from samples.

Depending on how the production methods are implemented at national level (e.g. whether technological and methodological innovations are adopted, whether there is improved access to administrative registers), the increased costs in the initial design phase of social surveys could be largely offset by the reduction in costs in the data collection phase, which represents two thirds of the total cost of statistical production.

Regulatory fitness and simplification

The REFIT objective of the proposal is to make best possible use of the information provided by private households and persons, and to meet the current and future needs for European statistics while limiting the response burden. This simplification should be achieved by bringing the various European statistical data collections, which are currently covered by separate regulations, under one framework. Details of the reduction of costs for data producers and providers, calculated based on model scenarios, can be found in the impact assessment (Section 7.4 Impacts on efficiency and Annex 4 Analytical models used in preparing the impact assessment). The baseline hypothesis leads to an estimated increase in costs of €10.3 million in the design phase (at EU level), while leading to a decrease of €20.8 million in the data collection (net present value of €-10.4 million). Estimation of costs varied, however, between a net present value of €-3.1 million under the more contained hypothesis and a net present value of -34 million under the less restrictive option.

As the proposal concerns data collected from private households and persons, there is no impact on enterprises, including micro-enterprises and small and medium-sized enterprises (SMEs).

The proposal is consistent with the Digital Check, as it promotes interoperability and reusability by making use of:

The same technical specifications for data sets. The specifications will include: the number and description of variables; the statistical classifications; the characteristics of the statistical populations, the observation units and the respondents; the reference periods and dates; and the requirements relating to geographical coverage, sample features, technical aspects of the field work, editing and imputation, weighting, estimation and variance estimation.

The same standards for transmitting exchanging and sharing information between Eurostat and the Member States. The standards will cover concepts, processes and products, including data and metadata.

Where the quality of data complies with the quality criteria defined in Article 12(1) of Regulation (EC) No 223/2009, Member States should be able to provide data from several sources including methods or innovative approaches in so far as they ensure production of data that are comparable and compliant with the specific requirements laid down by the Regulation.

Fundamental rights

The proposal has no consequences for the protection of fundamental rights. The most relevant considerations for this proposal are the possible effects on personal data protection (for which rights are laid down by Article 8 of the EU Charter of Fundamental Rights, Article 16 TFEU and in secondary legislation 16 ). None of the selected policy options, however, envisages a change in provisions on personal data protection. National and EU legislation on statistics provides for NSIs to guarantee the protection of data. They have strong policies in place for, e.g. safeguarding respondent confidentiality, anonymising records and protecting replies to questionnaires.

4.BUDGETARY IMPLICATIONS

There is a phasing-in period for the implementation of the proposal lasting seven years, from 2019 to 2025, the programme should however continue afterwards. Only the years of the current Multiannual Financial Framework (MFF) have been considered in the legislative financial statement. The continuation of the funding will be conditional to the agreements reached for the next MFF and to the continuation of the specific programmes from which funding is foreseen.

For years 2019 and 2020, funding will come from the existing allocations to programmes and no additional funding is required.

The total appropriations for 2019 and 2020 are estimated at EUR 28.814 million. Detailed budgetary implications are set out in the legislative financial statement.

5.OTHER ELEMENTS

Implementation plans and monitoring, evaluation and reporting arrangements

The proposed Regulation is expected to be adopted by the European Parliament and the Council in 2017 or 2018, with the adoption of implementing measures by the Commission to follow shortly afterwards.

Member States are expected to start data transmission to the Commission under the new Regulation in 2019.

The proposed legislative instrument will be subject to a complete evaluation, in order to assess, amongst other things, how effective and efficient it has been in terms of achieving the objectives and to decide on whether new measures or amendments are needed.

It is important to first consider the existing monitoring and evaluation tools that are currently in place, and apply to all areas of Eurostat’s statistical production. These tools already provide a means for analysing changes in the effectiveness and efficiency of the new statistical initiative and the quality of the data produced. The main tools are as follows:

The current European Statistical programme provides for mid-term and final evaluations of the programme to be carried out systematically. Social statistics are an integral part of these reporting mechanisms. 17

The Eurostat management plan provides for action to be taken in response to key performance indicators that apply to various areas including social statistics. 18

User satisfaction surveys are carried out on a regular basis. 19

Each statistical domain is also monitored by means of quality reports, which are produced by Member States on a regular basis and analysed by Eurostat as part of the statistical quality assurance framework. These reports cover the quality of statistical outputs in terms of their relevance, accuracy and reliability, timeliness and punctuality, accessibility and clarity, coherence and comparability, as is set out in Regulation (EC) No 223/2009.

The cost of producing the statistics will also be monitored as part of the routine data collection. The following aspects will, in particular, be monitored in detail (at both individual and variable level): developments in the use of administrative data, the mode of data collection (e.g. web interview, face to face interview), the size of the sample, the length of questionnaires, the duration of interviews, and the frequency of data collection. This will allow the progress made in the use of specific techniques and the effect of these changes on the respondent burden to be measured. Furthermore, the variation in the cost of collecting social data at aggregated EU level will be used as an overall indicator for monitoring the implementation of the proposed legislation. This indicator will distinguish between the cost to NSIs of the design, collection and transmission of the data respectively. These figures are not directly comparable across Member States, due to obvious differences in their size, the approach they take to statistics and other developments. Over time, however, these indicators will be able to be used to track the development of the costs of producing European social statistics collected from samples, at EU level and for each individual Member State. These costs may be expressed in terms of the staff involved (e.g. the full-time equivalent number of interviewers working) or financial resources (e.g. the budget allocation for a given data collection). As such, these indicators provide crucial information for monitoring the cost of producing social statistics collected from samples, which is one of the main issues addressed by the proposed new legislation. An improved and harmonised framework for reporting costs, covering the whole ESS and distinguishing between the different statistical production phases, will need to be developed.

Detailed explanation of the specific provisions of the proposal

The proposed Regulation consists of 19 Articles and five Annexes.

As set out in Article 1 ("Subject matter") the purpose of the Regulation is to establish a common framework for European statistics relating to persons and households, based on data at individual level collected from samples. Article 2 contains definitions of specific terms used in the Regulation.

The statistics covered by the Regulation are organised into the domains and topics listed in Article 3, and further detailed in Annex I of the proposed Regulation. It is proposed to empower the Commission to adopt delegated acts to amend the detailed topics listed in Annex I in order to adapt the data collected to future users’ needs. Furthermore, it is proposed to empower the Commission to adopt delegated acts establishing or adapting a multiannual rolling planning (Article 4) in order to meet specific users' requirements that result from technological, social and economic changes.

The Commission should also be empowered to adopt implementing measures on the technical specifications of the data sets (Article 6), the standards for transmission and exchange of information (Article 7), the characteristics of the sampling frames (Article 11) and the quality reporting (Article 12). The requirements relating to quality reporting are in accordance with Regulation (EC) No 223/2009, which provides a reference framework and requires Member States to comply with the statistical principles and quality criteria specified in that Regulation.

This proposal allows and promotes the use of new forms of data collection and of alternative data sources, including administrative data and estimates obtained from modelling and big data (Article 8). It also requires Member States to use high quality sampling frames (Article 11).

The proposal covers a number of other important aspects of the modernisation of European social statistics collected from samples:

It introduces representative feasibility and pilot studies, in order to improve the quality of the statistics and support the development and implementation of new methods (Article 13).

It includes provisions for financial support to be offered to Member States under certain conditions (Article 14).

It includes provisions for derogations to be granted that would i) allow Member States more time to adapt to the new requirements, where needed and ii) allow some variation in how the common methods are applied, while still ensuring the quality and comparability of the statistics produced (Article 17).

In addition, the Regulation contains the required provisions on the exercise of the delegation of power (Article 15), specifying that it is in accordance with the Interinstitutional Agreement on Better Law-Making of 13 April 2016 20 .

The final Articles refer to the Committee procedure (Article 16) and to the repeal of two existing Regulations that will be replaced in full by the new Regulation (Article 18).

The five Annexes set out the detailed information on the topics to be covered, the precision requirements, the sample characteristics, the periodicity and the deadlines for the transmission of data.

2016/0264 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

establishing a common framework for European statistics relating to persons and households, based on data at individual level collected from samples

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 338(1) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Acting in accordance with the ordinary legislative procedure,

Whereas:

(1)In the context of the Europe 2020 Strategy 21 and the strengthening of economic governance, social indicators play an essential role in informing and supporting the Union's key priorities for growth and job creation, the reduction of poverty and social exclusion, skills, mobility and the digital economy. In particular, social indicators must provide a sound statistical basis for developing and monitoring the policies introduced by the Union to address those priorities.

(2)In view of this, social indicators should be of the necessary high quality, in particular in terms of their robustness, their timeliness, their relevance, their adaptability to new users' requests, as well as their comparability and efficiency.

(3)European statistics relating to persons and households are currently collected on the basis of a number of legislative acts covering surveys on persons and households, demographic statistics, population and housing censuses and statistics mainly collected from administrative sources. Some data are also gathered from business surveys. Despite significant improvements in recent years there is a need to further integrate the collection of statistics based on surveys conducted on persons and households.

(4)The possibility to use administrative sources for statistical purposes has widened significantly, thanks to technological advances. The use of administrative sources should be actively promoted in the area of social statistics, while always ensuring the quality, accuracy, timeliness and comparability of those statistics.

(5)The Communication from the Commission to the European Parliament and the Council on the Production Method of EU Statistics: a Vision for the Next Decade 22 emphasised the increasing use of multiple data sources and innovative data collection methods as well as the growing importance of harmonising statistical concepts and methods across domains. It called for a new generation of statistical legislation that would address broader areas.

(6)In 2011, the European Statistical System (ESS) endorsed in Wiesbaden its Memorandum on a New Conceptual Design for Household and Social Statistics. In its view, the European surveys that provide data relating to persons and households should be streamlined, and additional, less frequent microdata collections should be used to complement those core social surveys. Furthermore, there should be better access to administrative data, and the re-use of existing data sources and access to new data sources should be developed at national and EU level.

(7)The developments described above need to be gradually streamlined, and statistical legislation in the area of social statistics needs to be modernised, in order to ensure that the high quality social indicators are produced in a more integrated, flexible and efficient manner. At the same time, due consideration must be given to the needs of users, to the burden placed on respondents, to Member States resources, the reliability and accuracy of the methods used, technical feasibility of producing the statistics, the time within which they can be available and the reliability of the results.

(8)This Regulation sets up a framework for European statistics relating to persons and households based on data at individual level collected from samples. It specifies the data and information to be collected and submitted by Member States, and includes the fundamental quality requirements to be met by the data. It provides for more detailed technical specifications to be given in delegated acts and implementing measures. It allows the various data collections to be integrated with one another and with the use of administrative data, while consolidating and simplifying existing legislation.

(9)In order to better streamline and rationalise the reference framework for European social statistics collected from samples, existing European statistics on persons and households based on data at individual level should be brought together under one framework. This would guarantee that European social statistics collected from samples including the domains of labour market, income and living conditions, health, education and training and use of information and communication technologies would be undertaken in a consistent, coherent and coordinated way.

(10)Data collections in the domains of time use and consumption are currently carried out voluntarily by many Member States, on the basis of agreed general guidelines. These two domains should be modernised, so as to take full advantage of new technological advances. Data collections in these two domains should be organized in accordance with this Regulation so as to open possibilities and create opportunities for further developments in the future, ensuring data that are more timely and relevant, and produced more efficiently. In the meantime, the Member States’ current approaches should not be changed.

(11)Due to their specificities, demographic statistics 23 , population and housing censuses 24 , business surveys and statistics based on mainly administrative sources are not covered by this Regulation and should be governed separately by specific frameworks adapted to their characteristics.

(12)Statistics are no longer considered as just one of many sources of information for policy-making purposes, but instead play a central role in the decision-making process. Evidence-based decision-making requires statistics that meet high-quality criteria, as set out in Regulation (EC) No 223/2009 of the European Parliament and of the Council 25 , in accordance with the purposes they are serving.

(13)High quality social data are not only necessary for policy purposes but also for research and as a component of sound information infrastructure. Researchers acquiring access to microdata for scientific purposes, granted on the basis of Commission Regulation (EU) No 557/2013 26 on European Statistics as regards access to confidential data for scientific purposes, would benefit greatly from having better linked statistical datasets, which would in turn enhance policy impact assessment studies.

(14)Regulation (EC) No 223/2009 provides a reference framework for European statistics and requires Member States to comply with the statistical principles and quality criteria specified in the Regulation. Quality reports are essential for assessing, improving and communicating on the quality of European statistics. The European Statistical System Committee (ESSC) has endorsed an ESS Standard for Quality Reports Structure, in accordance with Article 12 of Regulation (EC) No 223/2009. This should contribute to the harmonisation of quality reporting under this Regulation.

(15)Regulation (EC) No 223/2009 includes rules on the transmission of data from the Member States, including the transmission of confidential data. Measures taken in accordance with this Regulation should ensure that confidential data is protected and that no unlawful disclosure or non-statistical use of data occurs during the production and dissemination of European statistics.

(16)Statistics are needed at national and at regional level as well. In accordance with Regulation (EC) No 1059/2003 27 , all Member States’ statistics that are transmitted to the Commission and that are to be broken down by territorial units should use the NUTS classification. Consequently, in order to establish comparable regional statistics, data on the territorial units should be provided in accordance with the NUTS classification.

(17)In order to take account of economic, social and technical developments, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of the detailed topics set out in Annex I. The Commission should also have the power to put in place or adapt the eight-year multiannual rolling planning for the collection of data covered by this Regulation in accordance with the periodicity specified in Annex IV. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations are conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts.

(18)In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission in respect of the technical specifications of the particular data sets, the technical items when they are common to several data sets, the technical standards needed to facilitate the exchange and sharing of information between the Commission (Eurostat) and the Member States, the sampling frames, notably setting out their minimum requirements, the modalities and content of the quality reports, and in respect of any derogations. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 28 .

(19)Implementation of this Regulation could require major adaptations to the national statistical systems, and the Commission may therefore grant derogations to Member States.

(20)Directive 95/46/EC of the European Parliament and of the Council 29 and Regulation (EC) No 45/2001 of the European Parliament and of the Council 30 should apply to the statistical data covered by this Regulation. In particular, statistical data that are required for the purpose of developing and monitoring Union and national actions and strategies in the areas of public health and health and safety at work should be regarded as data processed for reasons of substantial public interest.

(21)The objective of this Regulation, namely the establishment of a common framework for European statistics relating to persons and households, based on data at individual level collected from samples, cannot be sufficiently achieved by the Member States but can instead, for reasons of harmonisation and comparability, be better achieved at EU level. The EU may therefore adopt measures, in accordance with the principle of subsidiarity set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective.

(22)The European social statistics collected from samples and the data collection process should become more efficient and relevant. The comparability and coherence of the data in the long run should be ensured. European statistics on persons and households based on data at individual level collected from samples are currently regulated in a number of separate legislative acts which should be replaced by this Regulation. It is therefore necessary to repeal Council Regulation (EC) No 577/98 31 and Regulation (EC) No 1177/2003 of the European Parliament and of the Council 32 .

(23)The European Data Protection Supervisor has been consulted.

(24)The European Statistical System Committee has been consulted,

HAVE ADOPTED THIS REGULATION:

Article 1

Subject matter

1.This Regulation establishes a common framework for European statistics relating to persons and households, based on data at individual level collected from samples of those persons and households.

2.This Regulation does not apply to population and housing censuses referred to in Regulation (EC) No 763/2008 33 .

Article 2

Definitions

For the purposes of this Regulation, the following definitions shall apply:

(a)‘pre-checked data or microdata’ means data or microdata verified by the Member States, on the basis of agreed common validation rules;

(b)‘domain’ means one or several data sets organised in order to cover particular topics;

(c)'observation unit' means an identifiable entity about which data can be obtained;

(d)‘topic’ means the content of the information to be collected about the observation units, each topic covering a number of detailed topics;

(e)‘administrative records’ mean data generated by a non-statistical source, usually a public body, the aim of which is not to provide statistics, for its own purposes;

(f)‘ad hoc subject’ means themes that are of a particular interest for users at a specific point in time but that are not included in the regular data sets. ;

(g)‘headline indicator’ means widely used information that serves to monitor a central objective of EU policy.

Article 3

Data sets

1.The data collection referred to in Article 1 shall be organised into the following domains:

(a)labour market,

(b)income and living conditions,

(c)health,

(d)education and training,

(e)use of information and communication technologies,

(f)time use,

(g)consumption.

2.The data sets shall cover topics common to all domains in addition to the following specific topics, as further detailed in Annex I:

(a)person and household characteristics,

(b)labour market participation,

(c)job tenure and previous work experience,

(d)working conditions including working hours and working time arrangements,

(e)educational attainment and background,

(f)participation in education and training,

(g)health: status and disability, care and determinants,

(h)income, consumption and wealth, including debts,

(i)living conditions, including material deprivation, housing, living environment and access to services,

(j)quality of life, including social and cultural participation and wellbeing,

(k)allocation of time, and

(l)participation in the information society.

3.The precision requirements and the characteristics of the samples used for the different domains shall be as specified in Annexes II and III, respectively.

4.The Commission is empowered to adopt delegated acts in accordance with Article 15 to amend the detailed topics listed in Annex I so as to reflect relevant technical, social and economic developments and respond to the new needs of users. In exercising this power, the Commission shall ensure that:

(a)such delegated acts do not impose a significant additional burden or cost on the Member States or on respondents;

(b)no more than 20 per cent of the detailed topics listed in Annex I are changed for each domain by delegated acts. For the domains for which data are collected with an infra-annual or annual periodicity, these changes shall represent a maximum of 10 per cent of the list of detailed topics. Those maximum percentages shall apply to four consecutive years. The number of detailed topics that may be changed shall be rounded up to the nearest integer.

Article 4

Multiannual rolling planning

1.The Commission is empowered to adopt delegated acts in accordance with Article 15 to establish or adapt a multiannual rolling planning for eight years for the collection of data covered by this Regulation, in accordance with the periodicity specified in Annex IV. The Commission shall ensure that such delegated acts do not impose a significant additional burden or cost on the Member States or on the respondents.

2.This multiannual rolling planning shall specify the period during which data are collected for:

(a)the detailed topics attached to the domains,

(b)ad hoc subjects requested by the users, for the labour market and income and living conditions domains, as provided for in Annex IV. In exceptional and justified cases, these data may cover detailed topics other than those listed in Annex I.

3.The adaptations of the planning referred to in paragraph 1 shall be made no later than 24 months before the beginning of the each data collection period, as specified in the planning. These adaptations shall aim to ensure effectiveness and consistency of the planning with users’ needs.

Article 5

Statistical populations and observation units

1.The statistical population shall consist of all persons usually residing in private households in each Member State.

2.The data collection shall be carried out in each Member State for a sample of observation units constituted by private households or by persons belonging to private households who usually reside in that Member State.

Article 6

Technical specifications of data sets

1.The Commission shall be empowered to adopt implementing acts for the purpose of specifying the following technical items of the individual data sets:

(a)the number and description of variables;

(b)the statistical classifications;

(c)the precise characteristics of the statistical populations, the observation units and the respondents;

(d)the reference periods and dates;

(e)the requirements relating to geographical coverage, sample features including subsampling, technical aspects of the fieldwork, editing and imputation, weighting, estimation and variance estimation;

(f)where necessary to achieve a high level of comparability for employment and unemployment data in the labour market domain, the methodology to be used to collect the data. This may include, where necessary, the order and placing of the questions in the questionnaire. This necessity shall be duly justified.

2.When items are common to several data sets, the Commission shall be empowered to adopt implementing acts for the purpose of specifying the following technical characteristics of the data sets:

(a)the list and description of variables;

(b)the statistical classifications;

(c)the precise characteristics of the statistical populations and of the observation units.

3.For the data sets on monthly unemployment relating to the labour market domain, the Commission shall be empowered to adopt implementing acts for the purpose of describing the variables and the length, quality requirements and level of detail of the time series to be transmitted.

4.These implementing acts shall be adopted in accordance with the examination procedure referred to in Article 16(2).

Article 7

Standards for transmission and exchange of information

1.Technical standards shall be put in place to facilitate the exchange and sharing of information between the Commission (Eurostat) and the Member States, in particular for the purpose of supporting quality management and process documentation related to the statistics covered by this Regulation.

2.The technical standards shall cover statistical concepts, processes and products, including data and metadata.

3.The Commission shall be empowered to adopt implementing acts to establish the technical standards referred to in paragraph 1. These implementing acts shall be adopted in accordance with the examination procedure referred to in Article 16(2).

Article 8

Data sources and methods

1.Member States shall provide the data referred to in Article 1 by using one or a combination of the following sources, provided that they meet the quality requirements given in Article 12:

(a)information directly provided by the respondents;

(b)administrative records and any other sources, methods or innovative approaches in so far as they allow for the production of data that are comparable and compliant with the applicable specific requirements laid down by this Regulation.

2.Member States shall provide the Commission (Eurostat) with detailed information on the sources and methods used.

Article 9

Periodicity of the data sets

The periodicity of the data sets shall be as specified in Annex IV.

Article 10

Data transmission and deadlines

1.The transmission deadlines shall be as specified in Annex V.

2.For every data set, Member States shall transmit to the Commission (Eurostat) pre-checked microdata without direct identification.

3.By way of exception to paragraph 2, pre-checked aggregated data shall be transmitted for the compilation of monthly unemployment statistics.

4.Member States shall collect and transmit data according to this Regulation starting in 2019.

Article 11

Sampling frames

1.Data shall be based on representative samples drawn from sampling frames set up at national level that allow persons or households to be selected at random, with a known probability of selection. The sampling frames shall aim to cover exhaustively and exclusively the population of interest and shall be regularly updated. They shall contain all the information necessary for the sample design, such as information needed for stratification purposes and for contacting the persons or households. The sampling frame shall also include the information needed to link persons to other administrative records, in so far as is allowed under data protection rules.

2.When no such sampling frame is available in the Member State, other sampling frames that meet the following criteria shall be used. Such sampling frames shall:

(a)identify the sample units, which can be persons, households, dwellings or addresses;

(b)be able to provide the probability of selection;

(c)be regularly updated.

3.The Commission shall be empowered to adopt implementing acts laying down uniform conditions for the sampling frames, notably setting out minimum requirements. These implementing acts shall be adopted in accordance with the examination procedure referred to in Article 16(2).

Article 12

Quality

1.Member States shall take the measures necessary to ensure the quality of the data and metadata transmitted.

2.For the purpose of this Regulation, the quality criteria defined in Article 12(1) of Regulation (EC) No 223/2009 shall apply.

3.The Commission (Eurostat) shall assess the quality of the metadata on the specifications, of the data transmitted and of the sampling frames.

4.For this purpose, Member States shall transmit, in respect of the data and microdata referred to in Article 10:

(a)metadata describing the methodology used and how technical specifications were achieved by reference to those laid down by this Regulation;

(b)information on compliance with the minimum requirements for the sampling frames used, including in developing and updating them, as laid down by this Regulation.

5.Member States shall transmit the metadata and information referred to in paragraph 4 by, at the latest, three months after the deadline for transmitting the data and microdata. This additional information shall be provided in the form of quality reports that demonstrate, in particular, how the data and microdata transmitted, and the metadata and information, meet the quality requirements.

6.The Commission shall be empowered to adopt implementing acts specifying the modalities and content of the quality reports. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 16(2).

7.Member States shall inform the Commission (Eurostat) as soon as possible of any relevant information or change with regard to the implementation of this Regulation that would influence the quality of the data transmitted.

8.At the request of the Commission (Eurostat), Member States shall provide the additional information necessary to evaluate the quality of the statistical information.

Article 13

Feasibility and pilot studies

In order to improve the data sets, the Commission (Eurostat) shall, where necessary, institute and Member States shall cooperate in several feasibility and pilot studies, in particular, to improve quality including comparability, to contribute to modernising the consumption and time use domains, to explore and implement new ways of improving responsiveness to users' needs, to better integrate the collection of data and the use of other data sources, and to make data collection in Member States more efficient, taking into account technological developments.

Article 14

Financing

1.    For the implementation of this Regulation, the Union may provide grants to the national statistical institutes and other national authorities referred to in Article 5(2) of Regulation (EC) No 223/2009, for:

(a)    the development and/or implementation of data collections or data collection methods for social statistics, including sampling frames, during the first four years of the collection of the data sets ;    

(b)    developing methodologies, including the feasibility and pilot studies referred to in Article 13;

(c)    collecting statistics on an ad-hoc subject required by the users as provided for in the Annex IV, new or revised sets of variables and characteristics implemented for the first time;

2. The Union financial contribution shall be provided in accordance with Article 7 of Regulation (EU) No 99/2013 of the European Parliament and of the Council 34 , Article 16(1) (a) of Regulation (EU) No 1296/2013 of the European Parliament and of the Council 35 , Article 6 of Regulation (EU) No 1291/2013 of the European Parliament and of the Council 36 , Article 58 of Regulation 1303/2013 of the European Parliament and of the Council 37 , or Article 5 of Regulation (EU) No 282/2014 of the European Parliament and of the Council 38 .

3.    This Union financial contribution shall not exceed 90% of the eligible costs.

Article 15

Exercise of the delegation

1.The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.The power to adopt delegated acts referred to in Articles 3(4) and 4(1) shall be conferred on the Commission for an indeterminate period of time from [Publications Office: please insert exact date of entry into force of the Regulation].

3.The delegation of power referred to in Articles 3(4) and 4(1) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect on the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016 39 .

5.As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

6.A delegated act adopted pursuant to Articles 3(4) and 4(1) shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or the Council.

Article 16

Committee procedure

1.The Commission shall be assisted by the European Statistical System Committee established by Regulation (EC) No 223/2009. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

2.Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

Article 17

Derogations

1.If applying this Regulation, or the implementing measures and delegated acts adopted under it, in a Member State’s national statistical system would necessitate major adaptations, the Commission may grant, by means of implementing acts, a derogation for up to three years. A derogation may only be granted if it will not compromise the comparability of Member States’ data relating to headline indicators, or hamper the calculation of the required timely and representative European aggregates.

2.Where a derogation is still justified at the end of the period for which it was granted, the Commission may grant a subsequent derogation for a maximum period of three years, by means of implementing acts.

3.When the only means by which a Member State can provide the required data sets is by using methods other than those laid down in this Regulation, or in the implementing measures and delegated acts adopted under it, the Commission may exceptionally authorise the use of such methods for a maximum duration of five years, by means of implementing acts.

4.Where the authorisation is still justified at the end of the period for which it was granted, the Commission may grant a subsequent authorisation for a maximum period of five years, by means of implementing acts.

5.For the purposes of paragraphs 1 to 4, the Member State shall submit a duly justified request to the Commission within three months of the date of the entry into force of the act concerned, or six months before the end of the period for which the current derogation or authorisation has been granted. When requesting the authorisation referred to in paragraphs 3 and 4, the Member State concerned shall describe in detail the methods used and demonstrate that they lead to comparable results.

6.The Commission shall adopt those implementing acts in accordance with the examination procedure referred to in Article 16(2).

Article 18

Repeal

1.Regulations (EC) No 577/98 and (EC) No 1177/2003 shall be repealed with effect from 31 December 2018. The requirements set out in these Regulations concerning the transmission of data and metadata, including quality reports, shall continue to apply for the reference periods prior to their repeal.

2.References to the repealed Regulations shall be construed as references to this Regulation.

Article 19

Entry into force

1.This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

2.It shall apply from 1 January 2025 in respect of the domains set out under Article 3(1)(f) and (g).

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels,

For the European Parliament    For the Council

The President    The President

LEGISLATIVE FINANCIAL STATEMENT

1.FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.1.Title of the proposal/initiative

1.2.Policy area(s) concerned in the ABM/ABB structure

1.3.Nature of the proposal/initiative

1.4.Objective(s)

1.5.Grounds for the proposal/initiative

1.6.Duration and financial impact

1.7.Management mode(s) planned

2.MANAGEMENT MEASURES

2.1.Monitoring and reporting rules

2.2.Management and control system

2.3.Measures to prevent fraud and irregularities

3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE

3.1.Heading(s) of the multiannual financial framework and expenditure budget line(s) affected

3.2.Estimated impact on expenditure 

3.2.1.Summary of estimated impact on expenditure

3.2.2.Estimated impact on operational appropriations

3.2.3.Estimated impact on appropriations of an administrative nature

3.2.4.Compatibility with the current multiannual financial framework

3.2.5.Third-party contributions

3.3.Estimated impact on revenue

LEGISLATIVE FINANCIAL STATEMENT

1.FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.1.Title of the proposal/initiative

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a common framework for European statistics relating to persons and households, based on data at individual level collected from samples.

1.2.Policy area(s) concerned in the ABM/ABB structure 40  

3403 – Production of statistical information.

1.3.Nature of the proposal/initiative

 The proposal/initiative relates to a new action 

 The proposal/initiative relates to a new action following a pilot project/preparatory action 41  

 The proposal/initiative relates to the extension of an existing action 

 The proposal/initiative relates to an action redirected towards a new action 

1.4.Objective(s)

1.4.1.The Commission's multiannual strategic objective(s) targeted by the proposal/initiative

Developing and evaluating policy in respect of the Commission's political priorities, in particular those relating to jobs and growth, the digital market, a deeper and fairer European Monetary Union (EMU), migration and mobility, requires good analytical and monitoring tools. Furthermore, the political priorities correspond to a number of different domains within social and economic statistics, making it necessary to ensure greater coherence between data sources. The Europe 2020 Strategy uses indicators to monitor headline targets, such as promoting employment, improving education levels and promoting social inclusion, notably through the reduction of poverty. Calculating these indicators requires timely statistical information. This statistical information should be produced as efficiently as is possible using modern statistical data collection and production methods.

The proposal will also increase flexibility to respond to high level strategic initiatives requesting indicators.

1.4.2.Specific objective(s) and ABM/ABB activity(ies) concerned

Specific objective No 1

To address: i) the current fragmentation in the production of European social statistics collected from samples; and ii) the rigidity of the current system of data collection for European social statistics collected from samples.

ABM/ABB activity(ies) concerned

3403 – Production of statistical information.

1.4.3.Expected result(s) and impact

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted.

The proposal will make European social statistics collected from samples better able to be adapted to society’s needs. In addition, by offering ways of promoting coherence across different domains, the proposal will help Eurostat to ensure the quality of European social statistics collected from samples. It will also facilitate the use of innovative statistical tools and methods and will allow more efficient cooperation and coordination between national statistical institutes and other national authorities, in accordance with Regulation (EC) No 223/2009 on European statistics.

The proposal will create a one-off design cost for the NSIs. The overall cost of implementation is estimated to fall, however, mainly due to a reduction in redundancies in and overlaps between the different data collection and the re-use of statistical production systems. Depending on how the production methods are implemented at national level (e.g. whether technological and methodological innovations are adopted, whether there is improved access to administrative registers), the increased costs in the initial design phase of social surveys could be largely offset by the reduction in costs in the data collection phase, which represents two thirds of the total cost of statistical production. The potential increase of costs resulting from the increased flexibility of data collection could be kept under control if, as envisaged, the core components of the surveys, which determine to a large extent the costs for NSIs, are specified in the framework legislation.

The proposal meets the simplification objectives of the REFIT programme, in particular because it streamlines five regulations into one single regulatory framework.

1.4.4.Indicators of results and impact

Specify the indicators for monitoring implementation of the proposal/initiative.

The Commission (Eurostat) produces common European statistical guidelines and sets requirements on quality reporting relating to the development, production and dissemination of social statistics. The quality reports that Member States are required to produce for each data collection have to include specific checks, relevant to that data collection. This will ensure the quality of the statistical data.

1.5.Grounds for the proposal/initiative

1.5.1.Requirement(s) to be met in the short or long term

In the short to medium term: integrate existing regulations in the field of European social statistics collected from samples; defragment the production processes used for European social statistics collected from samples and improve the flexibility of data collection by introducing multi-tier legislation.

In the long term: ensure that European social statistics collected from samples continue to provide valuable input for EU and national policy-making; and improve the efficiency of the methods used to collect social statistics.

1.5.2.Added value of EU involvement

The task of producing statistics that are (1) harmonised and comparable across Member States, and (2) produced according to the EU’s needs, cannot be achieved at national level alone. It is only possible to produce EU statistics if Member States apply a harmonised methodology and produce statistics according to a defined common output and common characteristics. This can only be fully achieved through EU action.

1.5.3.Lessons learned from similar experiences in the past

Several Regulations covering different domains of social statistics have been adopted resulting in inconsistencies and inefficiencies among data collections. This is the first time a framework Regulation covering seven social statistical domains is proposed. This initiative will streamline the five current legal bases for, respectively, the Labour Force Survey (LFS), EU Statistics on Income and Living Conditions (EU-SILC), the Adult Education Survey (AES), the European Health Interview Survey (EHIS) and the Survey on ICT usage in households (ICT-HH). It will also provide a legal basis for the two European social surveys currently conducted on the basis of an informal agreement: the Household Budget Survey (HBS) and the Harmonised European Time Use Survey (HETUS).

1.5.4.Compatibility and possible synergy with other appropriate instruments

The proposal is compatible with Regulation (EC) No 223/2009 on European statistics.

1.6.Duration and financial impact

 Proposal/initiative of limited duration

   Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY

   Financial impact from YYYY to YYYY

 Proposal/initiative of unlimited duration 42 :

There is a phasing-in period for the implementation of the proposal lasting seven years, from 2019 to 2025.

The programme should however continue afterwards.

Only the years of the current Multiannual Financial Framework (MFF) have been considered in the legislative financial statement (2019-2020).

The continuation of the funding will be conditional to the agreements reached for the next MFF and to the continuation of the specific programmes from which funding is foreseen.

1.7.Management mode(s) planned 43  

 Direct management by the Commission

by its departments, including by its staff in the Union delegations;

   by the executive agencies

 Shared management with the Member States

 Indirect management by entrusting budget implementation tasks to:

◻ third countries or the bodies they have designated;

◻ international organisations and their agencies (to be specified);

◻the EIB and the European Investment Fund;

◻ bodies referred to in Articles 208 and 209 of the Financial Regulation;

◻ public law bodies;

◻ bodies governed by private law with a public service mission to the extent that they provide adequate financial guarantees;

◻ bodies governed by the private law of a Member State that are entrusted with the implementation of a public-private partnership and that provide adequate financial guarantees;

◻ persons entrusted with the implementation of specific actions in the CFSP pursuant to Title V of the TEU, and identified in the relevant basic act.

If more than one management mode is indicated, please provide details in the ‘Comments’ section.

Comments

[…]

[…]

2.MANAGEMENT MEASURES

2.1.Monitoring and reporting rules

Specify frequency and conditions.

Regular in-depth quality reporting on the implementation of each statistical data collection is already being provided, according to specific rules in place. The reporting will be continued and further improved under the new proposal.

Grant recipients must deliver the data collected and the accompanying quality report.

2.2.Management and control system

2.2.1.Risk(s) identified

As the management mode chosen for the proposal is direct management by the Commission, the main inherent risks are those related to the management of procurements and grants.

2.2.2.Information concerning the internal control system set up

The Commission (Eurostat) has developed a control strategy for the period 2013-2017. The measures and tools contained in this strategy are fully applicable to the collection of statistics under the proposed regulation. The types of changes introduced by the strategy can reduce the likelihood of and contribute to preventing fraud. They include: reducing complexity, applying cost-effective monitoring procedures and conducting risk-based ex ante and ex post checks. The strategy also includes awareness-raising measures and training on fraud prevention.

2.2.3.Estimate of the costs and benefits of the controls and assessment of the expected level of risk of error

The Commission (Eurostat) has a control strategy in place which aims, in general, to limit the risk of non-compliance to under the materiality criterion of 2 %, in line with the objectives on internal control and risk management set in its Strategic Plan for 2016-2020. 100% of financial transactions (and thus 100% of the budget) will be subject to obligatory ex ante controls in accordance with the Financial Regulation. Moreover, checks based on in-depth analysis of the underlying documentation will be carried out on the basis of an annual risk analyses. They may cover 4-6 % of the total budget managed by Eurostat.

2.3.Measures to prevent fraud and irregularities

Specify existing or envisaged prevention and protection measures.

On 30 October 2013, Eurostat adopted an anti-fraud strategy for 2014-2017 in accordance with the Commission´s anti-fraud strategy of 24 June 2011 (CAFS). The Eurostat anti-fraud strategy specifies three operational objectives: i) strengthening existing anti-fraud measures; ii) better integrating anti-fraud procedures into Eurostat’s risk assessment and risk management and into audits, planning, reporting and monitoring; and iii) strengthening Eurostat’s anti-fraud capacities and awareness as part of the Commission anti-fraud culture. The anti-fraud strategy is accompanied by an anti-fraud action plan. During the period of its application, the implementation of the anti-fraud strategy is being monitored twice a year with reporting provided to the management.

Eurostat will evaluate the impact of the strategy in 2017, and will update the strategy accordingly. An interim review of the anti-fraud action plan will also be carried in 2016.

Both the review of the Eurostat strategy and the review of the action plan will be carried out on the basis of the updated methodology and guidance issued by the European Anti-Fraud Office (OLAF) in February 2016.

All the potential recipients of grants are public bodies (national statistical institutes and other national authorities, as defined in Regulation (EC) No 223/2009). In addition, the grants are awarded without calls for proposals. Measures for monitoring the management of the grants are in place. They take into account the specific grant procedures, and involve ex ante and ex post analysis of the grant management.

The use of unit costs and lump sums, in accordance with Article 124(1) of the Financial Regulation, substantially reduces the risk of errors relating to the management of grants and thus simplifies their administration.

3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE

3.1.Heading(s) of the multiannual financial framework and expenditure budget line(s) affected

Existing budget lines

In order of multiannual financial framework headings and budget lines.

Heading of multiannual financial framework

Budget line

Type of
expenditure

Contribution

Number
[Heading………………………...……………]

Diff./Non-diff. 44

from EFTA countries 45

from candidate countries 46

from third countries

within the meaning of Article 21(2)(b) of the Financial Regulation

1a

04.030201 – Ass. Prog.: EASI - European Union Programme for Employment and Social Innovation (EaSI)

Diff.

YES

NO

NO

NO

1a

09.040201- Leadership in information and communication technology (Ass. Prog.: HORIZON 2020 - The Framework Programme for Research and Innovation (Horizon 2020)

Diff.

YES

NO

NO

NO

1a

29.020100 – Associated Programmes: ESP - European statistical programme 2013-2017; ESP18_20 - European statistical programme (ESP) 2018-2020

Diff.

YES

NO

NO

NO

1

13.036501 – Ass. Prog.: ERDF - European Regional Development Fund (ERDF)

Diff.

NO

NO

NO

NO

1

13.046101 – Ass. Prog.: CF - Cohesion Fund (CF)

Diff.

NO

NO

NO

NO

3

17.030100 – Ass. Prog.: HEALTH - Union action in the field of health (Health Programme)

Diff.

YES

YES

YES

NO

3.2.Estimated impact on expenditure

[This section should be filled in using the spreadsheet on budget data of an administrative nature (second document in annex to this financial statement) and uploaded to CISNET for interservice consultation purposes.]

3.2.1.Summary of estimated impact on expenditure

EUR million (to three decimal places)

Heading of multiannual financial
framework

Number

1a. Competitiveness for growth and jobs

DG: ESTAT

Year
2019

Year
2020

TOTAL

• Operational appropriations

Number of budget line 29.020100

Commitments

(1)

5.298

4.648

9.946

Payments

(2)

2.649

4.444

7.093

Number of budget line

Commitments

(1a)

Payments

(2a)

Appropriations of an administrative nature financed from the envelope of specific programmes 47  

Number of budget line

(3)

TOTAL appropriations
for DG ESTAT

Commitments

=1+1a +3

5.298

4.648

9.946

Payments

=2+2a

+3

2.649

4.444

7.093




DG: EMPL

Year
2019

Year
2020

TOTAL

• Operational appropriations

Number of budget line 04.030201

Commitments

(1)

3.194

2.695

5.889

Payments

(2)

1.597

2.625

4.222

Number of budget line

Commitments

(1a)

Payments

(2a)

Appropriations of an administrative nature financed from the envelope of specific programmes 48  

Number of budget line

(3)

TOTAL appropriations
for DG EMPL

Commitments

=1+1a +3

3.194

2.695

5.889

Payments

=2+2a

+3

1.597

2.625

4.222



DG: CONNECT

Year
2019

Year
2020

TOTAL

• Operational appropriations

Number of budget line 09.040201

Commitments

(1)

2.000

0.000

2.000

Payments

(2)

1.000

0.800

1.800

Number of budget line

Commitments

(1a)

Payments

(2a)

Appropriations of an administrative nature financed from the envelope of specific programmes 49  

Number of budget line

(3)

TOTAL appropriations
for DG CONNECT

Commitments

=1+1a +3

2.000

0.000

2.000

Payments

=2+2a

+3

1.000

0.800

1.800

EUR million (to three decimal places)

Heading of multiannual financial
framework

Number

1. Smart and inclusive growth

DG: REGIO

Year
2019

Year
2020

TOTAL

• Operational appropriations

Number of budget line 13.036501

Commitments

(1)

0.466

0.466

0.932

Payments

(2)

0.233

0.419

0.652

Number of budget line 13.046101

Commitments

(1a)

0.200

0.200

0.400

Payments

(2a)

0.100

0.180

0.280

Appropriations of an administrative nature financed from the envelope of specific programmes 50  

Number of budget line

(3)

TOTAL appropriations
for DG REGIO

Commitments

=1+1a +3

0.666

0.666

1.332

Payments

=2+2a

+3

0.333

0.599

0.932






TOTAL operational appropriations

Commitments

(4)

11.159

8.008

19.167

Payments

(5)

5.579

8.468

14.047

• TOTAL appropriations of an administrative nature financed from the envelope for specific programmes

(6)

TOTAL appropriations
under HEADING 1
of the multiannual financial framework

Commitments

=4+ 6

11.159

8.008

19.167

Payments

=5+ 6

5.579

8.468

14.047

If more than one heading is affected by the proposal / initiative:

Heading of multiannual financial
framework

Number

3. Security and Citizenship

DG: SANTE

Year
2019

Year
2020

TOTAL

• Operational appropriations

Number of budget line 17.030100

Commitments

(1)

0.000

0.500

0.500

Payments

(2)

0.000

0.250

0.250

Number of budget line

Commitments

(1a)

Payments

(2a)

Appropriations of an administrative nature financed from the envelope of specific programmes 51  

Number of budget line

(3)

TOTAL appropriations
for DG SANTE

Commitments

=1+1a +3

0.000

0.500

0.500

Payments

=2+2a

+3

0.000

0.250

0.250



TOTAL operational appropriations

Commitments

(4)

0.000

0.500

0.500

Payments

(5)

0.000

0.250

0.250

• TOTAL appropriations of an administrative nature financed from the envelope for specific programmes

(6)

TOTAL appropriations
under HEADING 3
of the multiannual financial framework

Commitments

=4+ 6

0.000

0.500

0.500

Payments

=5+ 6

0.000

0.250

0.250

If more than one heading is affected by the proposal / initiative:

• TOTAL operational appropriations

Commitments

(4)

11.159

8.508

19.667

Payments

(5)

5.579

8.718

14.297

• TOTAL appropriations of an administrative nature financed from the envelope for specific programmes

(6)

TOTAL appropriations
under HEADINGS 1 to 4
of the multiannual financial framework

(Reference amount)

Commitments

=4+ 6

11.159

8.508

19.667

Payments

=5+ 6

5.579

8.718

14.297





Heading of multiannual financial
framework

5

‘Administrative expenditure’

EUR million (to three decimal places)

Year
2019

Year
2020

TOTAL

DG: ESTAT

• Human resources

4,164

4,164

8.328

• Other administrative expenditure

0,404

0,414

0.818

TOTAL DG ESTAT

Appropriations

4,568

4,578

9.146

TOTAL appropriations
under HEADING 5
of the multiannual financial framework
 

(Total commitments = Total payments)

4,568

4,578

9.146

EUR million (to three decimal places)

Year
2019

Year
2020

TOTAL

TOTAL appropriations
under HEADINGS 1 to 5
of the multiannual financial framework
 

Commitments

15.727

13.087

28.814

Payments

10.147

13.296

23.443

3.2.2.Estimated impact on operational appropriations

   The proposal/initiative does not require the use of operational appropriations

   The proposal/initiative requires the use of operational appropriations, as explained below:

Commitment appropriations in EUR million (to three decimal places)

Indicate objectives and outputs

Year
2019

Year
2020

TOTAL

OUTPUTS

Type 52

Average cost

No

Cost

No

Cost

Total No

Total cost

SPECIFIC OBJECTIVE No 1 53

Address the current fragmentation in the production European social statistics collected from samples in the EU and the rigidity of their current system of data collection

- Output

LFS ad hoc module

0,067

30

2,000

30

2,000

60

4,000

- Output

EU-SILC ad hoc module

0,017

30

0,500

0

0,000

30

0,500

- Output

Implementation of data collections

0,096

60

5,650

30

3,000

90

8,650

- Output

Methodological and pilot studies

0,080

37

3,009

44

3,509

81

6,517

Subtotal for specific objective No 1

157

11,159

104

8,509

261

19,667

SPECIFIC OBJECTIVE No 2 ...

- Output

Subtotal for specific objective No 2

TOTAL COST

157

11,159

104

8,509

261

19,667

3.2.3.Estimated impact on appropriations of an administrative nature

3.2.3.1.Summary

   The proposal/initiative does not require the use of appropriations of an administrative nature

   The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:

EUR million (to three decimal places)

Year
2019

Year
2020

TOTAL

HEADING 5
of the multiannual financial framework

Human resources

4,164

4,164

8,328

Other administrative expenditure

0,404

0,414

0,818

Subtotal HEADING 5
of the multiannual financial framework

4,568

4,578

9,146

Outside HEADING 5 54
of the multiannual financial framework

Human resources

Other expenditure
of an administrative nature

Subtotal
outside HEADING 5
of the multiannual financial framework

TOTAL

4,568

4,578

9,146

The appropriations required for human resources and other expenditure of an administrative nature will be met by appropriations from the DG that are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.

3.2.3.2.Estimated requirements of human resources

   The proposal/initiative does not require the use of human resources.

   The proposal/initiative requires the use of human resources, as explained below:

Estimate to be expressed in full time equivalent units

Year
2019

Year
2020

29 01 01 01 (Headquarters and Commission’s Representation Offices)

24,45

24,45

XX 01 01 02 (Delegations)

XX 01 05 01 (Indirect research)

10 01 05 01 (Direct research)

29 01 02 01 (AC, END, INT from the ‘global envelope’)

12

12

XX 01 02 02 (AC, AL, END, INT and JED in the delegations)

XX 01 04 yy  55

- at Headquarters

- in Delegations

XX 01 05 02 (AC, END, INT - Indirect research)

10 01 05 02 (AC, END, INT - Direct research)

Other budget lines (specify)

TOTAL

36,45

36,45

XX is the policy area or budget title concerned.

The human resources required will be met by staff from the DG who are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.

Description of tasks to be carried out:

Officials and temporary staff

Methodological work for the sound definition of the surveys, including the ad hoc modules

IT work for receiving, validating and processing the data

Data analysis, data release and users support

External staff

Methodological work for the sound definition of the surveys, including the ad hoc modules

IT work for receiving, validating and processing the data

3.2.4.Compatibility with the current multiannual financial framework

   The proposal/initiative is compatible the current multiannual financial framework.

   The proposal/initiative will entail reprogramming of the relevant heading in the multiannual financial framework.

Explain what reprogramming is required, specifying the budget lines concerned and the corresponding amounts.

   The proposal/initiative requires application of the flexibility instrument or revision of the multiannual financial framework.

Explain what is required, specifying the headings and budget lines concerned and the corresponding amounts.

3.2.5.Third-party contributions

The proposal/initiative does not provide for co-financing by third parties.

The proposal/initiative provides for the co-financing estimated below:

Appropriations in EUR million (to three decimal places)

Year
N

Year
N+1

Year
N+2

Year
N+3

Enter as many years as necessary to show the duration of the impact (see point 1.6)

Total

Specify the co-financing body 

TOTAL appropriations co-financed



3.3.Estimated impact on revenue

   The proposal/initiative has no financial impact on revenue.

   The proposal/initiative has the following financial impact:

   on own resources

   on miscellaneous revenue

EUR million (to three decimal places)

Budget revenue line:

Appropriations available for the current financial year

Impact of the proposal/initiative 56

Year
N

Year
N+1

Year
N+2

Year
N+3

Enter as many years as necessary to show the duration of the impact (see point 1.6)

Article ………….

For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.

Specify the method for calculating the impact on revenue.

(1) https://ec.europa.eu/priorities/sites/beta-political/files/5-presidents-report_en.pdf
(2) COM/2016/0127 of 8 March 2016
(3) The ESS is the partnership between the European statistical authority, which is the Commission (Eurostat), and the national statistical institutes (NSIs) and other national authorities (ONAs) responsible in each Member State for the development, production and dissemination of European statistics.
(4)

   Council Regulation (EC) No 577/98 of 9 March 1998 on the organisation of a labour force sample survey in the Community (OJ L 77, 14.3.1998, p. 3).

(5)

   Regulation (EC) No 1177/2003 of the European Parliament and of the Council of 16 June 2003 concerning Community statistics on income and living conditions (EU-SILC) (OJ L 165, 3.7.2003, p. 1).

(6)

   Regulation (EC) No 452/2008 of the European Parliament and of the Council of 23 April 2008 concerning the production and development of statistics on education and lifelong learning (OJ L 145, 4.6.2008, p. 227).

(7)

   Regulation (EC) No 1338/2008 of the European Parliament and of the Council of 16 December 2008 on Community statistics on public health and health and safety at work (OJ L 354, 31.12.2008, p. 70).

(8) Regulation (EC) No 808/2004 of the European Parliament and of the Council of 21 April 2004 concerning Community statistics on the information society (OJ L 143, 30.4.2004, p. 49).
(9) Regulation (EC) No 223/2009 of the European Parliament and of the Council of 11 March 2009 on European statistics and repealing Regulation (EC, Euratom) No 1101/2008 of the European Parliament and of the Council on the transmission of data subject to statistical confidentiality to the Statistical Office of the European Communities, Council Regulation (EC) No 322/97 on Community Statistics, and Council Decision 89/382/EEC, Euratom establishing a Committee on the Statistical Programmes of the European Communities (OJ L 87, 31.3.2009, p. 164)
(10) Regulation (EU) No 99/2013 of the European Parliament and of the Council of 15 January 2013 on the European statistical programme 2013-17 (OJ L 39, 9.2.2013, p. 12).
(11) Communication from the Commission to the European Parliament and the Council on the Production Method of EU Statistics: a Vision for the Next Decade, COM(2009) 404 of 18.8.2009.
(12) See http://ec.europa.eu/eurostat/web/quality/evaluation . 
(13) Decision No 234/2008/EC of the European Parliament and of the Council of 11 March 2008 establishing the European Statistical Advisory Committee and repealing Council Decision 91/116/EEC (OJ L 73, 15.3.2008, p. 13).
(14)

   Eurostat public consultation website: http://ec.europa.eu/eurostat/about/opportunities/consultations/iess

Open public consultation report: http://ec.europa.eu/eurostat/documents/10186/7237349/Open-public-consultation-report.pdf . 

Consultation of the data users: http://ec.europa.eu/eurostat/documents/10186/7237349/Data-users-consultation-report.pdf .

Consultation of the data producers:  http://ec.europa.eu/eurostat/documents/10186/7237349/Data-producers-consultation-report.pdf . 

(15) See: http://ec.europa.eu/eurostat/documents/42577/4167614/ESAC+opinion+3+Dec+2015/421abf9c-4300-445f-a840-f13cadeee306 .
(16) Directive 95/46/EC of the European Parliament and of the Council and Regulation (EC) No 45/2001 of the European Parliament and of the Council.
(17) See http://ec.europa.eu/eurostat/web/quality/general-evaluation-results .
(18) The five key performance indicators are the following: the number of data extractions made by external users from Eurostat reference databases (EuroBase and Comext) via the Eurostat website; the percentage of users that rate the overall quality of European statistics as ‘Very good or ‘Good; the percentage of users that rate the timeliness of European statistics for their purposes as ‘Very good or ‘Good; the percentage of users that rate the comparability of European statistics among regions and countries as ‘Very good or ‘Good; and the residual error rate (RER).
(19) See http://ec.europa.eu/eurostat/web/quality/general-evaluation-results .
(20)

   OJ L 123, 12.5.2016, p. 1.

(21) Communication from the Commission - EUROPE 2020 A strategy for smart, sustainable and inclusive growth COM (2010) 2020 of 3 March 2010.
(22) COM (2009) 404 of 10.8.2009.
(23) Regulation (EU) No 1260/2013 of the European Parliament and of the Council of 20 November 2013 on European demographic statistics (OJ L 330, 10.12.2013, p.39).
(24) Regulation (EC) No 763/2008 of the European Parliament and of the Council of 9 July 2008 on population and housing censuses (OJ L 218, 13.8.2008, p. 14).
(25) Regulation (EC) No 223/2009 of the European Parliament and of the Council of 11 March 2009 on European statistics and repealing Regulation (EC, Euratom) No 1101/2008 of the European Parliament and of the Council on the transmission of data subject to statistical confidentiality to the Statistical Office of the European Communities, Council Regulation (EC) No 322/97 on Community Statistics, and Council Decision 89/382/EEC, Euratom establishing a Committee on the Statistical Programmes of the European Communities (OJ L 87, 31.3.2009, p. 164).
(26) Commission Regulation (EU) No 557/2013 of 17 June 2013 implementing Regulation (EC) No 223/2009 of the European Parliament and of the Council on European Statistics as regards access to confidential data for scientific purposes and repealing Commission Regulation (EC) No 831/2002
(27) Regulation (EC) No 1059/2003 of the European Parliament and of the Council of 26 May 2003 on the establishment of a common classification of territorial units for statistics (NUTS) (OJ L 154, 21.6.2003, p. 1).
(28) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(29) Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31).
(30) Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).
(31) Council Regulation (EC) No 577/98 of 9 March 1998 on the organisation of a labour force sample survey in the Community (OJ L 77, 14.3.1998, p. 3).
(32) Regulation (EC) No 1177/2003 of the European Parliament and of the Council of 16 June 2003 concerning Community statistics on income and living conditions (EU-SILC) (OJ L 165, 3.7.2003, p. 1).
(33) Regulation (EC) No 763/2008 of the European Parliament and of the Council of 9 July 2008 on population and housing censuses (OJ L 218, 13.8.2008, p. 14).
(34) Regulation (EU) No 99/2013 of the European Parliament and of the Council of 15 January 2013 on the European statistical programme 2013-17 (OJ L 39, 9.2.2013, p. 12).
(35)

   Regulation (EU) No 1296/2013 of the European Parliament and of the Council of 11 December 2013 on a European Union Programme for Employment and Social Innovation ("EaSI") and amending Decision No 283/2010/EU establishing a European Progress Microfinance Facility for employment and social inclusion (OJ L 347, 20.12.2013, p. 238)

(36)

   Regulation (EU) No 1291/2013 of the European Parliament and of the Council of 11 December 2013 establishing Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020) and repealing Decision No 1982/2006/EC (OJ L 347, 20.12.2013, p. 104).

(37)

   Regulation (EU) No 1303/2013 of the European Parliament and the Council of 17 December 2013 laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006(OJ L 347, 20.12.2013, p. 320).

(38)
(39) OJ L 123, 12.5.2016, p. 1.
(40) ABM: activity-based management; ABB: activity-based budgeting.
(41) As referred to in Article 54(2)(a) or (b) of the Financial Regulation.
(42) An agreement has been reached between DG ESTAT and the other DGs concerned on the financing of the activities covered by this proposal in the form of cross sub-delegation to be given to DG ESTAT.
(43) Details of management modes and references to the Financial Regulation may be found on the BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html .
(44) Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.
(45) EFTA: European Free Trade Association.
(46) Candidate countries and, where applicable, potential candidate countries from the Western Balkans.
(47) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.
(48) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.
(49) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.
(50) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.
(51) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.
(52) Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
(53) As described in point 1.4.2. ‘Specific objective(s)…’
(54) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.
(55) Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).
(56) As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net amounts, i.e. gross amounts after deduction of 25 % for collection costs.
Top

Brussels, 24.8.2016

COM(2016) 551 final

ANNEXES

to the

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

establishing a common framework for European statistics relating to persons and households, based on data at individual level collected by samples

{SWD(2016) 282 final}
{SWD(2016) 283 final}


Annex I

Topics to be covered

Domain

Topic

Detailed topics

For all domains

Technical items

Data collection information

Identification

Weights

Interview characteristics

Localisation

Person and household characteristics

Demography

Citizenship and migrant background

Household composition

Labour market participation

Main activity status (self-defined)

Elementary job characteristics

Educational attainment and background

Educational attainment level

Labour market

Person and household characteristics

Household composition - details

Duration of stay in the country

Labour market participation

Employment status

Duration of contract

Duration of contract – secondary information

Full- or part-time status - reason

Dependent self-employment

Supervisory responsibilities

Establishment size

Workplace

Working at home

Search for work

Willingness to work

Availability

Second job

Search for another job

Reconciliation between work and family life

Young people on the labour market

Labour market situation of migrants and their immediate descendants

Transition into retirement

Care needs

Job tenure and previous work experience

Start of job

Way job found

Previous work experience

Working conditions including working hours and working time arrangements

Working hours

Working time arrangements

Work organisation and working time arrangements

Educational attainment and background

Educational attainment - details

Participation in education and training

Participation in formal and non-formal education and training (4 weeks)

Participation in formal and non-formal education and training (12 months)

Health: status and disability, care and determinants

Accidents at work and other work-related health problems

Minimum European Health Module

Income, consumption and wealth, including debts

Income from work

Income and living conditions

Person and household characteristics

Household composition - details

Duration of stay in the country

Participation in education and training

Participation in formal education activities (current)

Educational attainment and background

Educational attainment - details

Labour market participation

Characteristics of the workplace

Duration of contract

Employment status

Detailed labour market situation

Supervisory responsibilities

Job tenure and previous work experience

Previous work experience

Working conditions including working hours and working time arrangements

Calendar of activities

Working hours

Health: status and disability, care and determinants

Minimum European Health Module

Health status and disability

Children health

Access to health care

Health care

Access to health care (children)

Health determinants

Quality of life, including social and cultural participation and wellbeing

Quality of life

Social and cultural participation

Well-being

Living conditions, including material deprivation, housing, living environment, access to services

Material deprivation

Child deprivation

Main housing characteristics

Housing conditions details, incl. deprivation

Housing costs including imputed rent

Living environment

Use of services, including care services

Affordability

Unmet needs and reasons

Childcare

Income, consumption and wealth, including debts

Income from work

Income from allowances

Income from pensions

Other incomes

Taxes and contributions

Total income

Over-indebtedness

Arrears

Wealth

Main consumption components

Intergenerational transmission of disadvantages

Health

Health: status and disability, care and determinants

Minimum European Health Module

Diseases and chronic conditions

Accidents and injuries

Pain

Mental health

Functional limitations

Difficulties in personal care activities

Difficulties in household activities

Temporary limitation in activity (due to health problems)

Barriers to participation in specific life domains

Use of health and long-term care

Medicine use

Preventive care

Access to health care

Height and weight

Physical activity

Nutritional habits

Smoking

Alcohol consumption

Social and environmental factors

Income, consumption and wealth, including debts

Total income

Education and training

Person and household characteristics

Duration of stay in the country

Job tenure and previous work experience

Start of job

Labour market participation

Establishment size

Educational attainment and background

Educational attainment - details

Educational background

Self-reported skills

Participation in education and training

Access to information on learning possibilities and guidance (12 months)

Participation in formal education activities (12 months)

Most recent formal education activity - details (12 months)

Use of ICT in most recent formal education (12 months)

Reasons for participating in most recent formal education (12 months)

Payment and hours of most recent formal education (12 months)

Outcomes and use of skills from most recent formal education (12 months)

Participation in non-formal education activities (12 months)

Non-formal education activities - details (12 months)

Use of ICT in non-formal education activities (12 months)

Reasons for participating in non-formal education activities (12 months)

Payment and hours of non-formal education activities (12 months)

Outcomes and use of skills from non-formal education activities (12 months)

Obstacles to participation in education and training (12 months)

Informal learning

Income, consumption and wealth, including debts

Total income

Use of information and communication technologies

Information society participation

Access to ICT

Use and frequency of use of ICT

Barriers and problems to use

Effect of use

Security, privacy, trust

Connection to the internet from anywhere

Digital Skills

Internet activities

e-Commerce

Interaction with public authorities

Income, consumption and wealth, including debts

Total income

Time use

Person and household characteristics

Household composition - details

Participation in education and training

Participation in formal education activities (current)

Health: status and disability, care and determinants

Minimum European Health Module

Living conditions, including material deprivation, housing, living environment, access to services

Possession of durable goods

Childcare

Care for sick and elderly

Working conditions including working hours and working time arrangements

Working hours

Working time arrangements

Income, consumption and wealth, including debts

Production for self-consumption and sell, reparations

Income from work

Total income

Allocation of time

Time use, types of activities

Parallel activities

Place of activity

Presence of others during the activity

Assessment of activity

Consumption

Person and household characteristics

Household composition - details

Living conditions, including material deprivation, housing, living environment, access to services

Main housing characteristics

Participation in education and training

Participation in formal education activities (current)

Labour market participation

Duration of contract

Income, consumption and wealth, including debts

Total income

Taxes and contributions

Income in kind from non-salaried activities

Imputed rent

Main source of income

Wealth

Debts

Arrears

Consumption by COICOP

Cross border consumption expenditures by COICOP

Own consumption



Annex II

Precision requirements

1.Precision requirements for all data sets are expressed in standard errors and are defined as continuous functions of the actual estimates and of the size of the statistical population in a country or in a NUTS 2 region.

2.The estimated standard error of a particular estimate shall not be bigger than the following amount:

3.The function f(N) shall have the form of f(N)=a√N+b

4.The following values for parameters N, a and b shall be used.

N

a

b

Labour market domain: precision requirements

Estimated (national) quarterly unemployment-to-population 15-74 ratio

Country population aged 15-74 residing in private households, in million persons and rounded to 3 decimal digits

7800

-4500

Estimated (national) quarterly employment-to-population 15-74 ratio

Country population aged 15-74 residing in private households, in million persons and rounded to 3 decimal digits

7800

-4500

Estimated quarterly unemployment-to-population 15-74 ratio in each NUTS 2 region

Population aged 15-74 in the NUTS 2 region residing in private households, in million persons and rounded to 3 decimal digits

See paragraph 6

Income and living conditions domain

Ratio at-risk-of-poverty or social exclusion to population

Number of private households in the country in millions and rounded to 3 decimal digits

900

2600

Ratio of at-persistent-risk-of-poverty over four years to population

Number of private households in the country in millions and rounded to 3 decimal digits

350

1000

Ratio at-risk-of-poverty or social exclusion to population in each NUTS 2 region (see paragraph 7)

Number of private households in the NUTS 2 region in millions and rounded to 3 decimal digits

600

0

Health domain

Percentage of population severely limited in usual activities because of health problems (age 15 years or over)

Country population aged 15 years or over residing in private households, in million persons and rounded to 3 decimal digits

1200

2800



Education and Training domain

Participation rate in formal education and training (age 18-24)

Country population aged 18-24 residing in private households, in million persons and rounded to 3 decimal digits

200

1500

Participation rate in non-formal education and training (age 25-69)

Country population aged 25-69 residing in private households, in million persons and rounded to 3 decimal digits

400

2000

Use of information and communication technology domain

Percentage of individuals who ordered goods or services over the Internet for private use in the last year

Country population aged 16-74 residing in private households, in million persons and rounded to 3 decimal digits

400

1300

Time use domain

Percentage of population aged 15 and over spending daily on average more than 10% of time working in paid work

Country population aged 15 years or over residing in private households, in million persons and rounded to 3 decimal digits

900

3500

Consumption domain

Percentage of households whose expenditure on housing-related categories including water, electricity, gas and other fuels, are more than 50% of the total expenditure (See paragraph 8)

Number of private households in the country, in millions and rounded to 3 decimal digits

900

2600

5.Should countries obtain negative f(N) values with the parameters expressed above, they will be exempted from the corresponding requirement.

6.For the estimated unemployment-to-population 15-74 ratio in each NUTS 2 region, the function f(N) is defined as follows:

 

7.For the estimated ratio at-risk-of-poverty or social exclusion to population in each NUTS 2 region, these requirements are not compulsory for NUTS 2 regions with less than 0.500 million inhabitants, provided that the corresponding NUTS 1 region complies with this requirement.

8.For the consumption domain, the precision requirements may be reached by combining microdata concerning a maximum of three successive years of observations.



Annex III

Sample characteristics

1.Sample characteristics of the Labour Market domain shall include:

(a)The national sample for the reference quarter (aggregation of consecutive reference weeks) shall be distributed uniformly in all the weeks of the quarter. The sample for the reference quarter (in each NUTS 2 region) shall be distributed in the 3 months proportionally to the number of weeks in each month

(b)The sample shall have an infra-annual rotation pattern. There must be a minimum sample overlap of 20% between the same quarters in consecutive years and of 50% between consecutive quarters without taking into account attrition.

Without prejudice to Article 5(1), data shall be provided for the full sample.

2.Sample characteristics of the Income and Living Conditions domain shall include:

(a)The sample shall have a minimum six-year rotation scheme.

(b)Without taking into account attrition, the sample shall be equally distributed over the years of the rotation scheme, except during the period of changes of the sample size.

3.Sample characteristics of the time use domain shall include: the reporting periods allocated to the sample units shall

(a)be distributed over a consecutive twelve-month period,

(b)include non-working days,

(c)be based on a random sample.

4.Sample characteristics of consumption domain shall include: the reporting periods allocated to the sampled units shall be distributed over a consecutive twelve-month period.



Annex IV

Periodicity

1.For the Labour Market domain, the data sets shall consist of information collected quarterly, annually, biennially and every 8 years. Data on variables relating to ad-hoc subjects shall be collected every four years.

2.For the Income and Living Conditions domain, the data sets shall consist of annual, triennial and sexennial information. Data on variables collected relating to ad-hoc subjects shall be collected every two years.

3.For the Health domain, the data shall be collected every 6 years.

4.For the Education and Training domain, the data shall be collected every 6 years

5.For the Use of Information and Communication Technologies domain, the data shall be collected annually.

6.For the Time Use domain, the data shall be collected every 10 years.

7.For the Consumption domain, the data shall be collected every 5 years.



Annex V

Data transmission deadlines

Member States shall transmit the required data to the Commission (Eurostat) according to the following deadlines at the latest.

1.For the Labour Market domain, the Member States shall transmit :

(1)Pre-checked microdata without direct identifiers, according to the following two-step procedure:

(a)During the first three years of implementation of this regulation, as provided for in article 10(4):

For quarterly data: transmission within ten weeks of the end of the reference period,

For other data: transmission by 31 March of the next year.

(b)From the fourth year of implementation and onwards, the transmission shall be as follows:

For quarterly data: transmission of data for quarters 1, 2 and 3 respectively by 29 May, 29 August and 29 November of the same year and of data for quarter 4 by 28 February of the next year,

For other data: transmission by 15 March of the next year.

In years when those deadlines fall on a Saturday or Sunday, the effective deadline shall be the following Monday.

Where administrative data are used to supply data corresponding to the detailed topic ‘income from work’, that data may be transmitted to the Commission (Eurostat) within twenty-one months of the end of the reference period.

(2)Aggregated results for the compilation of monthly unemployment statistics within 25 days after the reference month. Member States may not cover the last week of the reference month when it spills over in to next month.

2.For Income and Living Conditions domain, the Member States shall transmit pre-checked microdata without direct identifiers, according to the following deadlines:

(a)concerning the variables for the data collection of year N, by the end of the year N. In exceptional cases, when the required administrative data are not available on time, provisional microdata concerning income may be transmitted by the end of the year N, and the final data by 28 February of the year N+1,

(b)concerning the variables related to the six years of the rotation scheme ending in year N, by 31 October of the year N+1.

3.For the Health domain, the Member States shall transmit the pre-checked microdata within nine months after the end of the national period for collecting the data .

4.For the Education and training domain, the Member States shall transmit the pre-checked microdata within six months after the end of the national period for collecting the data.

5.For the Use of Information and Communication Technologies domain, the Member States shall transmit pre-checked microdata by 5 October of the survey year N.

6.For the Time Use domain, the Member States shall transmit the pre-checked microdata by at the latest fifteen months after the fieldwork is finished.

7.For the Consumption domain, the Member States shall transmit the pre-checked microdata within fifteen months after the end of the reference year.

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