GAP 5: Control of statistical surveys - Further information

From: Denise Williams
Survey Control Manager
Office for National Statistics

April 2004

I am writing to summarise departmental responsibility as outlined in the Prime Minister’s Instructions to promote best practice in the conduct of government statistical surveys, and to outline the procedures for controlling such surveys. This note describes the main issues, which need to be considered when planning and undertaking a statistical survey; summarises the role of your Survey Control Liaison Officer (SCLO) who will advise you regarding useful principles of good survey practice, and provide guidance on how to follow the survey control procedures.

Survey controls apply to all statistical surveys of businesses and local authorities, conducted by or on behalf of, Government departments or agencies where there is potentially a burden, or a perceived burden, on those approached to participate. This includes both regular and
Ad hoc surveys; both voluntary and statutory surveys. Surveys conducted by, or on behalf of, non-departmental public bodies are also covered.

Prior to the survey-taking place, survey sponsors must submit all proposals to their departmental SCLO. The information you provide will be recorded and later submitted to the Office for National Statistics (ONS) upon request for inclusion in the Government Statistical Service (GSS) Survey Activity Report. All surveys with compliance costs 50k plus, will be forward to the ONS Survey Control Unit (SCU). The survey request will be examined and feedback will be provided to survey sponsors in terms of both specific points and good practice.

Summary of Responsibilities under the New System (PM’s instructions Appendix 1)

Ministers (or Chief Executives):

To approve compliance plans and survey programmes by departments and agencies and any subsequent changes to these. Ministers should assure themselves that the surveys included in the plans are justified and properly controlled.

Departments and agencies:

Departments and agencies must keep records of surveys of business and local authorities undertaken and their compliance costs;
Departments commissioning surveys of business or local authorities must produce annual compliance and quality improvement plans. These should include an analysis of overall compliance costs, initiatives to reduce these costs and improve quality, and outline future plans within agreed compliance costs limits on a three-year rolling basis. Departments with total annual compliance costs exceeding £500,000 should involve an independent observer(where possible from outside the Civil Service) in the construction of their overall plan;
For the purposes of compliance and quality improvement plans – all departments/ agencies should assess compliance costs of all new surveys of business or local authorities. They should also review the compliance costs of regular surveys and obtain feedback from the providers and users of the data. Annual (or less frequent) surveys should be reviewed at least every 5 years. More frequent surveys are reviewed at least every 3 years. Reviews of major regular surveys should involve an independent observer;
Each department should have a Survey Control Liaison Officer (SCLO). SCLOs should submit to the SCU proposals for new, regular surveys of business and local authorities with compliance costs greater than £50,000;
SCLOs should notify the SCU of new, regular surveys of more than 5,000 households or individuals and where the compliance time is 15 minutes or greater.

Independent Observers:

In the preparation of the compliance and quality improvement plan, to authenticate the validity and integrity of the process;
As a member of the survey review team, to ensure that questions on the need for the survey and on quality and compliance costs are properly considered;
Ensure that the needs and views of business and that improvements of most value to business, are fully considered.

Survey Control Unit:

To ensure compliance plans and annual reports are produced by departments/agencies and to publish annual summaries. To report on the total compliance costs imposed by central government statistical surveys of business and local authorities. SCU to inform Ministers/Chief Executives of departments or agencies not fulfilling these reporting and planning requirements;
To monitor survey activity, provide advice to survey sponsors on best practice including the measurement of compliance costs on a consistent basis. To co-ordinate particular initiatives concerned with minimising burdens or improving quality and liaise with the Cabinet Office Better Regulation Unit as required;
To examine proposals for new, large, regular surveys to business and local authorities and to record any new, large regular survey of individuals or households.

For a copy of the Prime Minister’s instructions on ‘Control of Statistical Surveys’ or if you require a copy of ‘Statistical Surveys & Their Control: A guide to Best Practice’ please contact your Survey Control Liaison Officer.