Commission Implementing Regulation (EU) 2019/2242 of 16 December 2019 specifying the technical items of data sets, establishing the technical formats and specifying the detailed arrangements and content of the quality reports on the organisation of a sample survey in the income and living conditions domain pursuant to Regulation (EU) 2019/1700 of the European Parliament and of the Council (Text with EEA relevance)

ANNEX III

Identification of households and persons

Household identification number

Personal identification number

ANNEX IV

Detailed arrangements and contents of quality reports

Member States shall include the following specific information in the quality report on the income and living conditions domain.

STATISTICAL PROCESSING

Sample design

• — Sample size by rotational group and allocation criteria

• — Weightings (design factor, non-response adjustments, adjustments to external data (level, variables used and sources))

• — Final cross-sectional and longitudinal weight

• — Substitutions if applied in cases of unit non-response, method of selection of substitutes, main characteristics of substituted units compared to original units, by region (NUTS 2), distribution of substituted units by record of contact at address, household questionnaire result and household interview acceptance of the original units for each rotational group and total

Sampling unit

Description of the sampling units.

Sources other than surveys

Description of each individual source and of how they are combined.

Data collection

The method by which income variables at component level were obtained and the form they take (e.g. gross, net of taxes on income at source and social contributions, net of tax on income at source, net of social contributions) shall be described.

For each wave, the distribution of household members aged 16 or over by ‘data status’ and by ‘type of interview’ shall be provided, for each sample person, for co-residents and for the total.

Any differences between the national follow up rules and the standard EUSILC follow up rules shall be mentioned.

Data compilation

If there is any imputation, the extent to which it is used and the reasons for it shall be explained.

For the EU-SILC cross-sectional component and for each wave (if there are differences) of the EU-SILC longitudinal component, the imputation procedure used for item non-response shall be described. The list of variables where imputation is used and the instances of imputation as a percentage of the total number of observations per variable shall be reported.

If the sum of the income components is different from the total income, an explanation of the reasons shall be provided.

ACCURACY AND RELIABILITY

Sampling error

For each year for the income components the mean, the total number of observations (before and after imputation) and the standard errors shall be reported at national and regional level (NUTS 2).

Measurement error

The different sources of measurement errors likely to be found in the survey shall be described. This includes a description of the questionnaire design, the use of a cognitive laboratory (if applicable), field testing of the questionnaire, the effect of its design, content and wording, information on the intensity and efficiency of interview training: number of training days, skills testing before starting the fieldwork (rate of success and so on), information on studies to check the impact of the interviewer, such as re-interviews, record check studies, or split-sample experiments (if available), and results from models (if available). Proxy interview rates shall be provided.

Non-response error:

Achieved (Net) sample size

The following information shall be provided for the achieved sample size:

• (a) For each wave the number of households for which an interview is accepted for the database by rotational group breakdown and total,

• (b) For each wave, the number of persons aged 16 or older who are members of the households for which an interview is accepted for the database, and who underwent a personal interview, by rotational group breakdown and total,

• (c) For each wave, the number of selected respondents (if applicable) who are members of the households for which an interview is accepted for the database, and who underwent a personal interview, by rotational group breakdown and total.

Unit non-response

For each wave, the following shall be reported: the distribution of households (original units and substituted units, if applicable) by ‘record of contact at address’, by ‘household questionnaire result’ and by ‘household interview acceptance’.

For the first wave the unit non-response rate shall be provided in accordance with the formulas set out below.

For the total sample, the unit non-response shall be calculated by removing, from the numerator and the denominator of the formulas set out below, those units that are out of scope, according to the follow-up rules.

• — Household non-response rates (NRh) shall be computed as follows:

NRh = (1-(Ra * Rh)) * 100

Where:

• — Ra = Number of addresses successfully contacted/Number of valid addresses selected

• — Ra is the address contact rate

• — Rh = Number of household interviews completed and accepted for database/Number of eligible households at contacted addresses. Rh is the proportion of complete household interviews accepted for the database.

For those Member States where substitutions are made in case of unit non-response, non-response rates shall be calculated before and after substitutions.

• — Individual non-response rates (NRp) shall be computed as follows:

NRp=(1-(Rp)) * 100

Where:

• — Rp = Number of personal interviews completed/Number of eligible individuals in the households whose interviews were completed and accepted for the database. Rp is the proportion of complete personal interviews within the households accepted for the database.

• — Overall individual non-response rates (*NRp) shall be computed as follows:

• NRp = (1-(Ra * Rh * Rp)) * 100

For those Member States where substitutions are made in cases of unit non-response, non-response rates shall be calculated before and after substitutions.

For those Member States where a sample of persons rather than a sample of households (addresses) was selected, the individual non-response rates shall be calculated for ‘the selected respondent’, for all individuals aged 16 or older and for the non-selected respondent.

For the second and subsequent waves, the following information shall be provided:

• — The distribution of persons by membership status

Response rate for the sample for households

• — Wave response rate

Percentage of households successfully interviewed which were passed on to wave t (from wave t-1) or newly created or added during wave t, excluding those out of scope (under the rules on follow up) or non-existent.

• — Longitudinal follow-up rate

Percentage of households which are passed on to wave t+1 for follow-up within the households received into wave t from wave t-1, excluding those out of scope (under the rules on follow up) or non-existent.

• — Follow-up ratio

Number of households passed on from wave t to wave t+1 in comparison to the number of households received for follow-up at wave t from wave t-1.

• — Achieved sample size ratio

Ratio of the number of households accepted for the database in wave t to the number of households accepted for the database in wave t-1.

Response rate for the sample of persons

• — Wave response rate

Percentage of sample persons successfully interviewed among those passed on to wave t (from wave t-1) or newly created or added during wave t, excluding those out of scope (under the rules on follow up).

Percentage of co-residents selected in wave 1 successfully interviewed among those passed on to wave t (from wave t-1).

• — Longitudinal follow-up rate

Percentage of sample persons successfully interviewed in wave t out of all sample persons selected, excluding those who have died or been found ineligible (out of scope), breakdown by causes of non-response.

• — Achieved sample size ratio

Ratio of the number of completed personal interviews in wave t to the number of completed personal interviews in wave t-1. This ratio shall be defined for sample persons and for all persons including non-sample persons aged 16+ and for co-residents aged 16+ selected in the first wave.

• — Response rate for non-sample persons

Ratio of the number of completed personal interviews of non-sample persons aged 16+ in wave t to all non-sample persons aged 16+ listed in the households accepted for the database in wave t or listed in the most recently conducted household interviews for households, which were forwarded from wave t-1 to wave t for follow-up, but could not be successfully interviewed in wave t.

For non-response or attrition in some sub-populations (e.g. young people in selected-respondent countries, other households difficult to reach), for each sub-population concerned:

Description of any measures taken to correct for non-response or attrition.

Evaluation of the impact of any such measures, i.e. how far they correct for non-response or attrition; indicator: share of the subpopulation in the achieved sample vs share of the subpopulation in the sampling frame/initial sample.

Evaluation of any difficulties such measures may indirectly involve (e.g. calibration involving high and volatile weights).

Item non-response

For income variables the following information shall be provided for each wave:

• — Percentages of households (per income components collected or compiled at household level)/persons (per income components collected or compiled at personal level) having received an amount for each income component,

• — Percentage of missing values for each income component collected or compiled at household/personal level,

• — Percentage of partial information for each income component collected or compiled at household/personal level.

Processing errors:

The data entry controls, coding controls and the editing system applied to the data shall be described. An account shall be given of the main errors detected in the post-data-collection process, and the list of editing rules for income for income variables shall be provided.

Procedures for implementing the follow up rules (in accordance with Article 8).

Re-interview rates between wave 1 and each of the subsequent waves (to take re-entries into account too), bearing the out-of-scope rate in mind as well (i.e. among those interviewed at wave 1, the percentages at wave t of (a) individuals in interviewed households, (b) individuals out of scope and (c) individuals not interviewed for reasons other than their being out of scope).

Re-interview rates (from wave t-1 to t) for people leaving their original household, broken down by sex.

Re-interview rates (from wave t-1 to t) for young people (16-35) leaving home, broken down by sex.

Data revision – policy

Information shall be provided about any policy designed to ensure the transparency of disseminated data, whereby the preliminary data compiled are subsequently revised. If data are revised, this shall be reported.

Data revision -practice

Schedule for revisions

Main reasons for revisions and their nature (new source data available, new methods, etc.)

Average size of revisions and their direction

Explanation of any difference between provisional and final data

Date of dissemination of national results.

COHERENCE AND COMPARABILITY

Coherence- Household Budget Survey (HBS)

For each year for which information is available, a comparison of the income variables with HBS shall be made.

Coherence- National Accounts

For each year a comparison with of the main target variables with National Accounts shall be made.

Coherence- internal

For each year any lack of coherence in the EU-SILC data set shall be reported, together with explanations for such inconsistencies.

COST AND BURDEN

Respondent burden

The mean interview duration per household shall be calculated as the sum of the duration of all household interviews plus the sum of the duration of all personal interviews, divided by the number of household questionnaires completed and accepted for the database.