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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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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

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THE NATIONAL ACADEMIES PRESS
Washington, DC
www.nap.edu

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001

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.

International Standard Book Number-13: 978-0-309-68114-8
International Standard Book Number-10: 0-309-68114-6
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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.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
×

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The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia Mc-Nutt is president.

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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Consensus Study Reports published by the National Academies of Sciences, Engineering, and Medicine document the evidence-based consensus on the study’s statement of task by an authoring committee of experts. Reports typically include findings, conclusions, and recommendations based on information gathered by the committee and the committee’s deliberations. Each report has been subjected to a rigorous and independent peer-review process and it represents the position of the National Academies on the statement of task.

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 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

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
×

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

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
×

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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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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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.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
×

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.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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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:

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
×
  • 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

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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APPENDIXES (available in online version only)

A. LEGISLATION AND REGULATIONS THAT GOVERN FEDERAL STATISTICS

Legal Authority of OMB Over Federal Statistics

Background, 1933–1980

Paperwork Reduction Act, 1980–Present

The Foundations for Evidence-Based Policymaking Act of 2018

OMB Statistical Policy Directives

Statistical Policy Directive No. 1—Fundamental Responsibilities of Federal Statistical Agencies and Recognized Statistical Units

Statistical Policy Directive No. 2—Standards and Guidelines for Statistical Surveys

Statistical Policy Directive No. 3—Compilation, Release, and Evaluation of Principal Federal Economic Indicators

Statistical Policy Directive No. 4—Release and Dissemination of Statistical Products Produced by Federal Statistical Agencies

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

Statistical Policy Directive No. 15—Standards for Maintaining, Collecting, and Presenting Federal Data on Race and Ethnicity

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)

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Principles and Practices for a Federal Statistical Agency: Seventh Edition. Washington, DC: The National Academies Press. doi: 10.17226/25885.
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Government statistics are widely used to inform decisions by policymakers, program administrators, businesses and other organizations as well as households and the general public. Principles and Practices for a Federal Statistical Agency, Seventh Edition will assist statistical agencies and units, as well as other agencies engaged in statistical activities, to carry out their responsibilities to provide accurate, timely, relevant, and objective information for public and policy use. This report will also inform legislative and executive branch decision makers, data users, and others about the characteristics of statistical agencies that enable them to serve the public good.

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