PRINCIPLES AND PRACTICES
for a Federal Statistical Agency
SEVENTH EDITION
Brian A. Harris-Kojetin and Constance F. Citro, Editors
Committee on National Statistics
Division of Behavioral and Social Sciences and Education
A Consensus Study Report of
THE NATIONAL ACADEMIES PRESS
Washington, DC
www.nap.edu
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This activity was supported by Grant No. SES-1560294 between the National Academy of Sciences and the National Science Foundation, which provides support for the work of the Committee on National Statistics from a consortium of federal agencies. Also supporting the Committee’s work are a cooperative agreement with the U.S. Department of Agriculture, to which several agencies contribute, and individual agreements with agencies in the U.S. Departments of Commerce, Health and Human Services, Housing and Urban Development, and Treasury. Any opinions, findings, conclusions, or recommendations expressed in this publication do not necessarily reflect the views of any organization or agency that provided support for the project.
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Suggested citation: National Academies of Sciences, Engineering, and Medicine. (2021). Principles and Practices for a Federal Statistical Agency, Seventh Edition. Washington, DC: The National Academies Press. https://doi.org/10.17226/25885.
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COMMITTEE ON THE 7TH EDITION OF PRINCIPLES AND PRACTICES FOR A STATISTICAL AGENCY
ROBERT M. GROVES, (CHAIR), Office of the Provost, Georgetown University
ANNE C. CASE, Woodrow Wilson School of Public and International Affairs, Princeton University, emeritus
JANET M. CURRIE, Woodrow Wilson School of Public and International Affairs, Princeton University
DONALD A. DILLMAN, Social Science and Economic Research Center, Washington State University
DIANA FARRELL, JPMorgan Chase Institute, Washington, DC
ROBERT GOERGE, Chapin Hall at The University of Chicago
HILARY HOYNES, Goldman School of Public Policy, University of California, Berkeley
DANIEL KIFER, Department of Computer Science and Engineering, The Pennsylvania State University
SHARON LOHR, School of Mathematical and Statistical Sciences, Arizona State University, emeritus
THOMAS L. MESENBOURG, Retired, U.S. Census Bureau
SARAH M. NUSSER, Center for Survey Statistics and Methodology, Iowa State University
JEROME P. REITER, Department of Statistical Science, Duke University
JUDITH A. SELZTER, Department of Sociology, University of California, Los Angeles
C. MATTHEW SNIPP, School of the Humanities and Sciences, Stanford University
JEANNETTE WING, Data Science Institute, Columbia University
BRIAN A. HARRIS-KOJETIN, Director
CONSTANCE F. CITRO, Senior Scholar
COMMITTEE ON NATIONAL STATISTICS
ROBERT M. GROVES, (CHAIR), Office of the Provost, Georgetown University
LAWRENCE D. BOBO, Department of Sociology, Harvard University
ANNE C. CASE, Woodrow Wilson School of Public and International Affairs, Princeton University, emeritus
MICK P. COUPER, Institute for Social Research, University of Michigan
JANET M. CURRIE, Woodrow Wilson School of Public and International Affairs, Princeton University
DIANA FARRELL, JPMorgan Chase Institute, Washington, DC
ROBERT GOERGE, Chapin Hall at The University of Chicago
ERICA L. GROSHEN, The ILR School, Cornell University
HILARY HOYNES, Goldman School of Public Policy, University of California, Berkeley
DANIEL KIFER, Department of Computer Science and Engineering, The Pennsylvania State University
SHARON LOHR, School of Mathematical and Statistical Sciences, Arizona State University, emeritus
JEROME P. REITER, Department of Statistical Science, Duke University
JUDITH A. SELZTER, Department of Sociology, University of California, Los Angeles
C. MATTHEW SNIPP, School of the Humanities and Sciences, Stanford University
ELIZABETH A. STUART, Johns Hopkins Bloomberg School of Public Health
JEANNETTE WING, Data Science Institute, Columbia University
BRIAN A. HARRIS-KOJETIN, Director
CONSTANCE F. CITRO, Senior Scholar
DEDICATION
This seventh edition of Principles and Practices for a Federal Statistical Agency is dedicated to Lauren D. Harris-Kojetin, beloved wife of Brian A. Harris-Kojetin, and Joseph F. Citro, beloved husband of Constance F. Citro. Lauren and Joe both passed away in 2020 while this edition of P&P was being prepared. They provided the love, support, and light that enriched our lives beyond measure and enabled us to fulfill our careers.
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PREFACE
The Committee on National Statistics (CNSTAT) is a standing unit of the National Academies of Sciences, Engineering, and Medicine, established in 1972 to provide an independent, objective resource for evaluating and improving the work of the decentralized federal statistical system. Under the terms of the 1863 congressional charter to the National Academy of Sciences to provide advice to the government on scientific and technical matters, CNSTAT has assessed a wide range of statistical methods and data sources for information that the public and policy makers need. It has evaluated numerous federal censuses, surveys, and other statistical programs and addressed a range of statistical policy issues, such as the independence required for statistical agencies to be credible with policy makers, data users, and the public, regardless of persuasion or party.
The origins of Principles and Practices for a Federal Statistical Agency (commonly known as P&P or the “purple book”) date back to the late 1980s and early 1990s. During legislative debates over the (unsuccessful) establishment of a Bureau of Environmental Statistics and the (successful) establishment of a Bureau of Transportation Statistics, congressional staff asked CNSTAT for advice on what constitutes an effective federal statistical agency. CNSTAT prepared a document of high-level guidance, launching the first edition of P&P in 1992. It defined and discussed reasons for the establishment of a statistical agency, identified three fundamental principles for an effective statistical agency (relevance to policy, credibility with data users, and trust of data providers), and identified 11 practices to enable a statistical agency to put these principles into action and adhere to them.
The 1992 document served a useful purpose for the federal statistical community. However, it has also needed to be updated to respond to changes in the political, economic, social, and technological environment for statistical agency work. CNSTAT released the second edition of P&P in 2001, and it has released subsequent editions every 4 years to be available to new appointees and others at the beginning of a presidential term of office. CNSTAT adopted this schedule recognizing that officials in the various agencies that house federal statistical agencies are not always cognizant about how to be trusted as credible sources of objective, relevant, accurate, and timely statistics. P&P is designed to assist them, as well as the statistical agencies’ leadership and staff, to be fully aware of the standards and ideals that are fundamental to the agencies’ work. Stakeholders, Congress, the Government Accountability Office, and the Office of Management and Budget have also found P&P useful for such purposes as reviewing agency programs and setting standards.
CNSTAT has made some changes to the principles and practices over time. The first three editions included three principles. In light of threats to independence, the fourth edition elevated statistical agency independence from a practice to a fourth principle. The number of practices rose from 11 to 13 across the first six editions: conclusions and recommendations in CNSTAT study reports led to adding or rewording some practices.
This seventh edition contains five principles: CNSTAT added a new principle on Continual Improvement and Innovation, which has been a strong theme in a number of practices, to recognize its importance for the effective functioning of statistical agencies in the 21st century. We also streamlined the list of practices, reducing their number to 10 (from 13) by combining a few that were closely related. In Part I, we discuss the value of national statistics, uses of statistics for the public good, and the role of federal statistical agencies. In Part II we explicate and comment on each principle, and in Part III we do the same for each practice. Three appendixes (available online) follow: two provide updated information on legislation and regulations that govern federal statistics and the organization of the federal statistical system; a new appendix provides information on international frameworks relevant for U.S. statistical agencies.
We thank the many people who contributed their time and expertise to the preparation of this report, including all the current members of CNSTAT. We are most appreciative of their cooperation and assistance.
We are particularly grateful to the CNSTAT staff, including director Brian Harris-Kojetin, senior scholar Constance F. Citro, and program associate Rebecca Krone. We are also indebted to many others who offered valuable comments and suggestions, too numerous to mention.
This Consensus Study Report was reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise. The purpose of this independent review is to provide candid and critical comments that will assist the National Academies of Sciences, Engineering, and Medicine in making each published report as sound as possible and to ensure that it meets the institutional standards for quality, objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process.
We thank the following individuals for their review of this report: Mary Jo Hoeksema, Government and Public Affairs, Population Association of America/Association of Population Centers; Thomas A. Louis, Department of Biostatistics (retired), Bloomberg School of Public Health, Johns Hopkins University; Colm A. O’Muircheartaigh, Harris School of Public Policy Studies, The University of Chicago; Steven Pierson, Science Policy, American Statistical Association; Nancy A. Potok, Chief Statistician (retired), Office of Management and Budget; Katherine K. Wallman, Chief Statistician (retired), Office of Management and Budget.
Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations of this report nor did they see the final draft before its release. The review of this report was overseen by Alicia Carriquiry, Department of Statistics, Iowa State University. She was responsible for making certain that an independent examination of this report was carried out in accordance with the standards of the National Academies and that all review comments were carefully considered. Responsibility for the final content rests entirely with the authoring committee and the National Academies.
Finally, we thank the following federal agencies, which support the Committee on National Statistics directly and through a grant from the National Science Foundation, a cooperative agreement from the National Agricultural Statistics Service, and several individual contracts:
- National Science Foundation: Methodology, Measurement, and Statistics Program; National Center for Science and Engineering Statistics
- Social Security Administration: Office of Research, Evaluation, and Statistics
- U.S. Department of Agriculture: Economic Research Service, National Agricultural Statistics Service
- U.S. Department of Commerce: Bureau of Economic Analysis, U.S. Census Bureau
- U.S. Department of Education: National Center for Education Statistics
- U.S. Department of Energy: Energy Information Administration
- U.S. Department of Health and Human Services: Agency for Healthcare Research and Quality, National Center for Health Statistics, National Institute on Aging, Office of the Assistant Secretary for Planning and Evaluation
- U.S. Department of Housing and Urban Development: Office of Policy Development and Research
- U.S. Department of Justice: Bureau of Justice Statistics
- U.S. Department of Labor: Bureau of Labor Statistics
- U.S. Department of Transportation: Bureau of Transportation Statistics
- U.S. Department of the Treasury: Statistics of Income Division, Internal Revenue Service.
Without their support and their commitment to improving the national statistical system, the committee work that is the basis of this report would not have been possible.
Robert M. Groves, Chair
Committee on National Statistics
CONTENTS
The Value of National Statistics in the United States
Federal Statistical Agencies and Units
The Committee on National Statistics and This Report
Principle 1: Relevance to Policy Issues and Society
Principle 2: Credibility Among Data Users and Stakeholders
Principle 3: Trust Among the Public and Data Providers
Principle 4: Independence from Political and Other Undue External Influence
Principle 5: Continual Improvement and Innovation
1. A Clearly Defined and Well-Accepted Mission
2. Necessary Authority and Procedures to Protect Independence
3. Commitment to Quality and Professional Standards of Practice
4. Professional Advancement of Staff
6. Strong Internal and External Evaluation Processes for an Agency’s Statistical Programs
7. Coordination and Collaboration with Other Statistical Agencies
8. Respect for Data Providers and Protection of Their Data
9. Dissemination of Statistical Products That Meet Users’ Needs
10. Openness about Sources and Limitations of the Data Provided
APPENDIXES (available in online version only)
A. LEGISLATION AND REGULATIONS THAT GOVERN FEDERAL STATISTICS
Legal Authority of OMB Over Federal Statistics
Paperwork Reduction Act, 1980–Present
The Foundations for Evidence-Based Policymaking Act of 2018
OMB Statistical Policy Directives
Statistical Policy Directive No. 2—Standards and Guidelines for Statistical Surveys
Statistical Policy Directive No. 7—Metropolitan Statistical Areas
Statistical Policy Directive No. 8—North American Industry Classification System
Statistical Policy Directive No. 10—Standard Occupational Classification
Statistical Policy Directive No. 14—Definition of Poverty for Statistical Purposes
OMB Guidance for Surveys, Federal Statistics, and Evidence Building
PRA Implementation Guidance for Surveys and Other Agency Information Collection Activities
North American Product Classification System
2014 Guidance for Providing and Using Administrative Data for Statistical Purposes (M-14-06)
2015 Guidance on Improving Statistical Activities Through Interagency Collaboration (M-15-15)
Laws and OMB Guidance on Confidentiality and Privacy Protection
1997 Order Providing for the Confidentiality of Statistical Information
Confidential Information Protection and Statistical Efficiency Act
Privacy Impact Assessments: E-Government Act of 2002, Section 208
Federal Information Security Management Act of 2002
Federal Information Technology Acquisition Reform Act of 2014
Federal Cybersecurity Enhancement Act of 2015
Laws and Guidance Related to Information Quality and the Federal Data Strategy
The Information Quality Act of 2000
2004 OMB Final Information Quality Bulletin for Peer Review
Government Performance and Results Modernization Act of 2010
2010 Office of Science and Technology Policy Memorandum on Scientific Integrity
2013 OSTP Memorandum on Increasing Access to the Results of Scientific Research
Improving Implementation of the Information Quality Act (M-19-15)
Federal Data Strategy—A Framework for Consistency (M-19-18)
Interagency Council on Statistical Policy Documents
B. ORGANIZATION OF THE FEDERAL STATISTICAL SYSTEM
Brief History and Structure of the U.S. Federal Statistical System
Budget for Statistical Activities
U.S. Office of Management and Budget
Principal Statistical Agencies
Bureau of Transportation Statistics
Energy Information Administration
National Agricultural Statistics Service
National Center for Education Statistics
National Center for Health Statistics
National Center for Science and Engineering Statistics
Office of Research, Evaluation, and Statistics, Social Security Administration
Statistics of Income Division, Internal Revenue Service
Other Agencies with Statistical Officals
Department of Homeland Security
Environmental Protection Agency
General Services Administration
National Aeronautics and Space Administration
Office of Personnel Management
U.S. Agency for International Development
OMB-Recognized Statistical Units Under CIPSEA
Center for Behavioral Health Statistics and Quality, SAMHSA
Microeconomic Surveys Section, Federal Reserve Board
C. SOME INTERNATIONAL FRAMEWORKS RELEVANT FOR U.S. FEDERAL STATISTICS
United Nations Fundamental Principles of Official Statistics
The Common Quality Framework of the European Statistical System
Quality Framework for OECD Statistical Activies
Core Values for OECD Statistics
UK Code of Practice for Statistics
Trustworthiness: Confidence in the people and organisations that produce statistics and data
Quality: Data and methods that produce assured statistics
Value: Statistics that support society’s needs for information
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