18th Meeting of the
European Statistical System Committee

The Hague, NL

27th September 2013

Item 5 of the agenda

Recommendations from the Sponsorship of Standardisation
Work Programme Objective 11.1.11

Towards ESS standardisation

The Recommendations of the Sponsorship of Standardisation

EXECUTIVE SUMMARY

1.Recommendation for action by the ESSC

The ESSC is invited to take note and comment on the work done by the Sponsorship on Standardisation and on the general approach to future standardisation as proposed by the Sponsorship.

Specifically, the ESSC is invited to adopt, approve or give otherwise its opinion on the specific recommendations of the Sponsorship. Furthermore, the ESSC is invited to decide which further steps have to be taken.

2.Background and brief history

The document provides and explains the recommendations of the Sponsorship on Standardisation, whose work is based on the mandate of the ESSC of May 2011. The key results of the Sponsorship were already presented to the ESSC in its interim report in November 2012 and are not repeated here. Amore elaborate version of these results is available in a paper presented at the NTTS[1] conference in 2013 and further details will become available on the Sponsorship website.

The draft recommendations were intensively discussed with a broad group of representatives from Member States (and some other interested parties) in the forward-looking feedback workshop in The Hague on 30 and 31 May 2013 (see here for the workshop minutes). The achieved results and the proposed recommendations received general support; still the workshop generated abundant and fruitful feedback for the presentation of the recommendations. The feedback has beentaken into account in the version of the recommendations included.

The recommendations cover the following areas:

  • Definition of a standard. For the concept of standard, it is proposed to follow the ISO definition, interpreted in the ESS context. Standards can be considered to belong to a wider class of documents called “normative documents”. In this area, some further work has to be done, for instance on the establishment of a vocabulary.
  • Inventory of standards. In order to advance, one first has to know the state of the art. Therefore it is proposed to draw up an annotated and structured inventory of standards and other normative documents.
  • Standardisation process. A formalised process for setting and implementing standards is needed, covering the full life cycle of standards. The process must aim at consensus, needs to be balanced, has to respect due process and must be transparent. ESS wide standards can only be recognised by the ESSC, while operational aspects have to be delegated to a permanent management body for standardisation.
  • Architectural framework. Standards apply to one or more business areas and activities. In order to discuss, without ambiguity, the level of standardisation we want to achieve a common reference framework for each area and activity. Such a framework, which is called an architecture, may be used to describe both the “as is” situation andthe “to be” situation, and can also serve to explore different scenarios. Interoperability is considered a key factor.
  • Impact assessment. For important decisions in the field of standardisation, it is imperative to make a systematic assessment of the costs and benefits implied by the decision proposed. For strategic decisions the assessment often needs to rely on qualitative information only. As a minimum, this assessment has to reflect the impact on the Member States, Eurostatand on the ESS as a whole.
  • Environment and communication. Wherever possible, the ESS standardisation efforts have to be aligned with the standardisation development in other relevant communities. Communication with all relevant stakeholders inside and outside the ESS is also important.

The Sponsorship has by nature a strategic focus, which means that many of its recommendations look abstract and need further elaboration to become operational. In some cases this further work will be done by the ESSnet on Standardisation, which started its activities in February 2013. In other cases it still has to be decided who will take action.

2.1Relation to objectives of the Sponsorship on Standardisation

In the Mandate of the Sponsorship on Standardisation, adopted by the ESSC in its 9th meeting on 18/19 May 2011, seven objectives were formulated. Below we revisit these objectives and describe how they have been dealt with by the Sponsorship.

1) State of the art. Describe the state of the art of ESS standardisation and organise it in an information model clarifying the types of standards, their properties, relationships and operations.

This objective has been brought forward through the proposal to set up an annotated and structured inventory of standards and other normative documents (see for details the ESSC interim report and the NTTS conference paper). The general structure and approach to the inventory have been agreed and tested by the Sponsorship. Completing the inventory is ‘work in progress’ of the ESSnet on Standardisation.

2) Scope. Define the scope of standardisation at ESS level and identify key components like shared infrastructure, common methodologies, interoperability of IT, centres of competence/treatment, common data model, common process description, input/output harmonisation, legal framework, metadata framework.

The scope will be on statistics production. The objective of identifying key components has becomelargely redundantthrough the arrival of the ESS.VIP projects. This programme has similar objectives but from a much broader perspective. Nevertheless, some elements of this objective are addressed implicitly in various recommendations.

3) Common language. Define a level for process, information and methodology description that will enable standardisation and sharing in the ESS; promote a common language.

This objective has been realised by the proposal to adopt ISO terminology for standards (adapted to the ESS context) and the proposal for an architectural framework (see for details the ESSC interim report and the NTTS conference paper). Both proposals will be elaborated in the ESSnet on Standardisation. In addition, for the architectural framework a dedicated taskforce was established by DIME[2].

4) Action plan. Define a framework for categorising and evaluating standardisation initiatives fostering their synergies. Recommend prioritised actions and draw up an action plan. A limited number of areas where development is possible should be selected. Distinguish between quick wins and more long-term efforts.

This objective has become partly redundant through the arrival of the ESS.VIP projects. This programme has similar objectives but from a much broader perspective. Nevertheless, the framework mentioned in this objective has been developed (see below under 5), a qualitative tool for evaluation of potential standards has been developed (see also under 5) and recommendations are made to put priority on interoperability and clear interfaces.

5) Business model. Define a business model for implementing standardisation specifying the legal structure, the organisation of strategic and operational management, the sharing of costs and benefits etc. Also make recommendation for its implementation. Clarify how existing collaborative instruments (ESSnets, task forces, working groups) can be used to produce, maintain and implement standards and what new instruments are required.

This objective has been brought forward by proposing a formalised process for life cycle management of standards (including responsible bodies) and suggesting a systematic approach for impact assessment (see for details the ESSC interim report and the NTTS conference paper). Some further work can be done by the ESSnet on Standardisation, but additional actions are still needed.

6) Favourable conditions. Create favourable conditions for standardisation. In case barriers are identified, the Sponsorship shall propose remedial actions.

This objective has been met in many different ways. In fact, all recommendations, and underlying work, can be considered as proposals to create better conditions for standardisation. Two illustrative examples are recommendation 3.4 to separate (“decouple”) the standard-setting process from the implementation process and recommendation 3.5 to consider a pilot approach when developing a new standard. Remedial actions for the potential barrier of lack of support for standardisation initiatives are the recommendations on the process of standardisation, with a focus on consensus and a balanced, transparent approach, and recommendation 5.1 on systematic cost-benefit assessment.

7) Relations. Review and liaise with on-going initiatives related to standardisation in the broader international context. The action plan (under 4) should clarify the relation with these initiatives and incorporate them where useful. Initiatives at stake are: HLG-BAS[3], collaboration initiative of the Australian Bureau, SDMX[4], Global Inventory of Statistical Standards (UN Statistical Committee).

This objective was realised on the one hand by incorporating elements from existing standardisation efforts where possible (e.g. by reusing material from existing inventories and liaising with efforts at UN level like GSBPM, GSIM and CSPA), on the other hand by communicating results to a wider audience at e.g. the NTTS and MSIS[5] conferences. As expressed in recommendations 6.1 and 6.2, these efforts have to be continued.

3. Policy context

Standardisation has always been an important aspect of the ESS, and many standardisation results have been achieved, for instance concerning statistical output standards in many areas. However, so far standardisation has not been treated in a systematic way in the ESS, with proper conceptual tools and an agreed standardisation process, impact assessment and architectural framework.

There is a need for a more systematic approach, because important quality and efficiency gains can be realised if the ESS is implemented according to a shared vision. This is in line with developments at the global level. The increasingindustrialisation of statistics, as described in the vision of the High Level Group for the Modernization of Statistical Products and Services, requires technical, statistical and IT standardsto be used for the statistical production process, so that interoperability comes within range and IT tools for standard modules can be developed together and shared.

Many current and planned activities at global and ESS level, such as the development of GSIM[6] and CSPA[7], and the ESS.VIP projects, are based on the vision that targeted standardisation is the key to reaping important benefits. Standardisation is expected to create benefitsfor Member States as well as the ESS as a whole.

4. Consequences for NSIs

The production of statistics in the Member States will be better integrated in the production system of the ESS. As a consequence, NSIs will realise quality and efficiency gains. This requires accepting the implications of following a common framework, in particular a more modular approach for producing statistics. The impact analysis of standardisation initiatives will systematically take into account the costs and benefits for Member States.

5. Outstanding problems

The recommendations mention a large number of issues to be worked out. Some of these have already been assigned to the ESSnet on Standardisation, such as creating an inventory of ESS standards. The main outstanding problem is the implementation of the process of standardisation as such, in particular how to manage the standardisation on a regular basisby an appropriate work structure and appointment of a permanent standardisation body.

6.Risk assessment

In the current situation there is a risk– that efficiency gains and quality improvements for Member States as well as the ESS as a whole are missed or perceived as being too low. ESS standardisation is a costly exercise and only renders its benefits in the medium and longer term. Also, the costs and benefits are presently not always properly assessed, especially for Member States. These risks shouldbe reduced.

7.Next steps

A number of different steps should follow the ESSC discussion of the recommendations of the Sponsorship on Standardisation:

  1. For each individual recommendation, next steps have been provided. For each recommendation adopted by the ESSC these steps must be undertaken. In some cases, the steps are part of the work plan of the ESSnet on Standardisation. In other cases, the responsible parties and the time frames have not yet been defined. It is proposed to mandateDIME for following up the other steps (given its mandate in cross-cutting ESSC matters) and to ask DIME to present a roadmap in a next ESSC meeting.
  2. The setof next steps mentioned above is a heterogeneous mix that needs to be coordinated. It is proposed to ask DIME to coordinate these next steps. As an alternative, a Steering Group can be set up that oversees both the activities of the ESSnet on Standardisation and all other activities related to the roadmap. Up to now, this task was taken care of by the Sponsorship on Standardisation in an informal way.
  3. The Sponsorship on Standardisation ends its activities with submitting the attached set of recommendations. Hence, the Sponsorship requests to be formally relieved from its duties by the ESSC.

RECOMMENDATIONS OF THE SPONSORSHIP ON STANDARDISATION

This document synthetises the recommendations formulated by the Sponsorship on Standardisation following the mandate granted by the ESSC in May 2011. The key results of the Sponsorship are summarised in the interim report to the ESSC of November 2012 and in a paper presented at the NTTS[8]conference in March 2013. Full detailed results will become available on the website of the Sponsorship on Standardisation.

Draft recommendations were intensively discussed in the forward-looking feedback workshop held in The Hague on 30 and 31 May 2013. For this workshop, representatives from all ESS Member States (and some other interested parties) were invited. The results achieved and recommendations proposed by the Sponsorship received broad support from workshop participants. Still, the workshop generated abundant and fruitful feedback (see here for the workshop minutes). The feedback has been taken into account in this revised version of the recommendations.

The most visible change is the regrouping of the recommendations under six headings and a slight reduction in the number of recommendations. The grouping is mainly based on the work areas of the Sponsorship:

  1. Definition of a standard;
  2. Inventory of standards;
  3. Standardisation process;
  4. Architectural framework;
  5. Impact assessment;
  6. Environment and communication.

Standardisation is an instrument to generate quality and efficiency gains. Standardisation is not a goal in itself; it supports the integration of data, methods and processes in the European Statistical System (ESS). The benefits can be generated through:

  • Conceptual or methodological harmonisation;
  • Economies of scale (e.g. common development, common processes);
  • Sharing of knowledge and tools.
  1. DEFINITION OF A STANDARD

Animated discussions pointed out the need for a common understanding of the concept of standard. The ISO (International Organization for Standardization) definition can be regarded as the standard in this respect:

A standard is a document, established by consensus and approved by a recognized body, that provides for common and repeated use, rules, guidelines or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context.

The Sponsorship has added an interpretation specifically applicable to the ESS context. The definition also indicates how to organise the process of standardisation (see Section 3 below). Adoption of the ISO definition has the further advantage of making available a fully developed vocabulary of related terms and definitions.

1.1.Definition of a standard

Formulation. Adopt the ISO definition of a standard and its proposed interpretation in the ESS context.

Motivation. A formal definition serves as a basic reference for all standardisation efforts. The ISO definition is a good choice because it is clear and used world-wide in various communities. Some further interpretation is needed, however, to explain its meaning in the ESS context (see Section 3 for the interpretation of consensus).

Consequences. All future ESS standardisation work needs to be checked for consistency with the definition.

Next steps. Communication to stakeholders inside and outside the ESS that the ESS has adopted the definition.

1.2.Normative documents

Formulation. Consider standards as part of a wider class of ESS normative documents.

Motivation. There are several kinds of documents with a harmonisation or alignment goal, including regulations, standards and others. These are called normative documents[9]. To be able to identify the ‘real’ standards it is necessary to have a broad overview of normative documents. ’Other’ types of normative documents, e.g. code lists, templates, validation rules, are widely used in the ESS. Relations and differences between standards, regulations and other normative documents should be clearly identified to enable adequate use; e.g. to build a consistent system of normative documents. Moreover, documents may evolve over time and move from one class to another.

Consequences. In case of a need for harmonisation or alignment, the suitable type of normative document should be considered. It could be a new standard, or enforcement of the implementation of an existing one through a regulation. Alternatively, the introduction of another type of normative document could be considered, which can be faster, cheaper and can function effectively. A new standard may evolve from an existing ‘other normative document’. An inventory covering normative documents, while focusing on the desired harmonisation areas, enhances consistency and transparency (see Section 2).

Next steps. The proposed inventory (see Section 2) will have to take this recommendation into account and cannot be restricted to standards only.

1.3.Types of normative documents

Formulation. Identify types of ESS normative documents.

Motivation. Normative documents have many different functions in the statistical process. Each type of normative document has specific characteristics from a standardisation perspective. It is recommended to have a categorisation of types of normative documents adapted to the traditional statistical terminology: vocabularies, formats, definitions, classifications, code lists, statistical indicators, methods, tools etc. This ESS categorisation should be mapped to the ISO categorisation.

Consequences. A straightforward correspondence table between the two systems has been developed, thus avoiding extra work. Normative documents should be characterised accordingly (a normative document can combine several types).

Next steps. The ESSnet on Standardisation will categorise existing normative documents as part of its work programme.