Regulation (EC) No 1177/2003 of the European Parliament and of the Council of 16 June 2003 concerning Community statistics on income and living conditions (EU-SILC) (Text with EEA relevance)
Date: 2003-06-16
Institutions: Council of the European Union, European Parliament
Subjects: EU statistics, Eurostat, household, living conditions, marginalisation, poverty, statistical method

3.7.2003

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Official Journal of the European Union

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I

(Acts whose publication is obligatory)

REGULATION (EC) No 1177/2003 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

concerning Community statistics on income and living conditions (EU-SILC)

of 16 June 2003

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Having regard to the Treaty establishing the European Com-
munity, and in particular Article 285(1) thereof,

Having regard to the proposals from the Commission (1),

Having regard to the opinion of the European Economic and
Social Committee (2),

Acting in accordance with the procedure laid down in Article
251 of the Treaty (3),

Whereas:

(1)

(2)

(3)

In order to carry out the tasks assigned to it, particularly
after the Lisbon, Nice, Stockholm and Laeken European
Council meetings held in March 2000, December 2000,
March 2001 and December 2001 respectively,
the
Commission should be kept informed of income distri-
bution and of the level and composition of poverty and
social exclusion in the Member States.

The new open method of coordination in the field of
social inclusion as well as the structural indicators to be
produced for the annual synthesis report increase the
need for comparable and timely cross-sectional and
longitudinal data on income distribution and on the level
and composition of poverty and social exclusion for
establishing reliable and relevant comparisons between
the Member States.

Decision No 50/2002/EC of the European Parliament
and of the Council of 7 December 2001 establishing a
programme of Community action to encourage coopera-
tion between Member States to combat social exclu-
sion (4) has established, under Action 1.2 of Strand 1
concerning the ‘analysis of social exclusion’, the neces-
sary conditions in relation to the funding of measures
concerning the collection and dissemination of compar-
able statistics and in particular supporting the improve-
ment of surveys and analysis of poverty and social exclu-
sion.

(4)

(5)

(6)

(7)

(8)

(9)

The best method of assessing the situation as regards
income, poverty and social exclusion is to compile
Community statistics using harmonised methods and
definitions. Some Member States may require additional
time to adapt
to these harmonised
systems
methods and definitions.

their

To reflect changes taking place in the distribution of
income and in the level and composition of poverty and
social exclusion,
the statistics need to be updated
annually.

To investigate major issues of social concern, especially
new issues requiring specific research, the Commission
needs cross-sectional and longitudinal micro-data at
household and personal level.

Priority should be given to the production of timely and
comparable annual cross-sectional data on income,
poverty and social exclusion.

Flexibility in terms of data sources, in particular the use
of existing national data sources, whether
they be
surveys or registers, and national sample designs should
be encouraged and the integration of the new source(s)
into established national statistical systems should be
promoted.

Commission Regulation (EC) No 831/2002 of 17 May
2002 implementing Council Regulation (EC) No 322/97
on Community statistics, concerning access to confiden-
tial data for scientific purposes (5) has established, for the
purpose of enabling statistical conclusions to be drawn
for scientific purposes, the conditions pursuant to which
access to confidential data transmitted to the Commu-
nity authority may be granted.

(1) OJ C 103 E, 30.4.2002, p. 198, and amended proposal of 15

November 2002.

(2) OJ C 149, 21.6.2002, p. 24.
(3) Opinion of the European Parliament of 14 May 2002 (not yet
published in the Official Journal), Council Common Position of 6
March 2003 (OJ C 107 E, 6.5.2003, p. 26) and Decision of the
European Parliament of 13 May 2003 (not yet published in the Offi-
cial Journal).

(4) OJ L 10, 12.1.2002, p. 1.

(10)

specific Community statistics

is
The production of
governed by the rules set out in Council Regulation (EC)
No 322/97 of 17 February 1997 on Community Statis-
tics (6).

(5) OJ L 133, 18.5.2002, p. 7.
(6) OJ L 52, 22.2.1997, p. 1.

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(11)

The measures necessary for the implementation of this
Regulation should be adopted in accordance with
Council Decision 1999/468/EC of 28 June 1999 laying
down the procedures for the exercise of implementing
powers conferred on the Commission (1).

(12)

The Statistical Programme Committee (SPC) has been
consulted in accordance with Article 3 of Council Deci-
sion 89/382/EEC, Euratom (2),

HAVE ADOPTED THIS REGULATION:

Article 1

Aim

The aim of this Regulation shall be to establish a common
framework for the systematic production of Community statis-
tics on income and living conditions (hereinafter referred to as
EU-SILC), encompassing comparable and timely cross-sectional
and longitudinal data on income and on the level and composi-
tion of poverty and social exclusion at national and European
levels.

Comparability of data between Member States shall be a funda-
mental objective and shall be pursued through the development
of methodological studies from the outset of EU-SILC data
in close cooperation between the
collection, carried out
Member States and Eurostat.

Article 2

Definitions

For the purpose of this Regulation, the following definitions
shall apply:

(a) ‘Community statistics’ shall have the meaning assigned to

it in Article 2 of Regulation (EC) No 322/97;

(b) ‘production of statistics’ shall have the meaning assigned to

it in Article 2 of Regulation (EC) No 322/97;

(c) ‘year of survey’: means the year in which the survey-data

collection, or most of the collection, is carried out;

(d) ‘fieldwork period’: means the period of time in which the

survey component is collected;

(e) ‘reference period’: means the period of time to which a

particular item of information relates;

(f) ‘private household’: means a person living alone or a group
of people who live together in the same private dwelling
and share expenditures,
including the joint provision of
the essentials of living;

(g) ‘cross-sectional data’: means the data pertaining to a given
time or a certain time period. Cross-sectional data may be
extracted either from a cross-sectional sample survey with
or without a rotational sample or from a pure panel
sample survey (on condition that cross-sectional represen-
tativeness is guaranteed); such data may be combined with
register data (data on persons, households or dwellings
compiled from a unit-level administrative or statistical
register);

(1) OJ L 184, 17.7.1999, p. 23.
(2) OJ L 181, 28.6.1989, p. 47.

(h) ‘longitudinal data’: means the data pertaining to individual-
level changes over time, observed periodically over a
certain duration. Longitudinal data may come either from
a cross-sectional survey with a rotational sample where
individuals once selected are followed up or from a pure
panel survey; it may be combined with register data;

(i) ‘sample persons’: means the persons selected to constitute
the sample in the first wave of a longitudinal panel. They
may comprise all members of an initial sample of house-
holds, or a representative sample of individuals in a survey
of persons;

(j) ‘target primary areas’: means the subject areas for which

data are to be collected on an annual basis;

(k) ‘target secondary areas’: means the subject areas for which
data are to be collected every four years or less frequently;

(l) ‘gross income’: means the total monetary and non-mone-
tary income received by the household over a specified
‘income reference period’, before deduction of income tax,
regular taxes on wealth, employees', self-employed and
unemployed (if applicable) persons' compulsory social
insurance
insurance contributions and employers' social
contributions, but after including inter-household transfers
received;

(m) ‘disposable income’: means gross income less income tax,
regular taxes on wealth, employees', self-employed and
unemployed (if applicable) persons' compulsory social
insurance
insurance
contributions and inter-household transfers paid.

contributions,

employers'

social

Article 3

Scope

The EU-SILC shall cover cross-sectional data on income,
poverty, social exclusion and other living conditions as well as
longitudinal data restricted to income,
labour and a limited
number of non-monetary indicators of social exclusion.

Article 4

Time reference

The

cross-sectional

1.
shall be
produced annually as from 2004. In any given Member State,
the timing of collection shall be kept the same from one year
to the next as far as possible.

and longitudinal data

2.
By way of exception to paragraph 1, Germany, the Neth-
erlands and the United Kingdom may start the annual cross-
sectional and longitudinal data collection in 2005. This will be
the case provided that those Member States supply comparable
data for
the cross-sectional common
European Union indicators, which have been adopted by the
Council before 1 January 2003 in the context of the open
method of coordination and which can be derived on the basis
of the EU-SILC instrument.

the year 2004 for

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The income reference period shall be a 12-month period.
3.
This may be a fixed 12-month period (such as the previous
calendar or tax year) or a moving 12-month period (such as
the 12 months preceding the interview) or be based on a
comparable measure.

4.
If a fixed income reference period is used, fieldwork for
the survey component shall be carried out over a limited period
as close as possible to the income reference period or to the
tax declaration period so as to minimise time lag between
income and current variables.

Article 5

Characteristics of the data

1.
In order to permit multi-dimensional analysis at the level
of households and persons and in particular investigation of
major issues of social concern that are new and require specific
research, all household and individual data shall be linkable in
the cross-sectional component.

Similarly, all household and personal data shall be linkable in
the longitudinal component.

Longitudinal micro-data do not need to be linkable with cross-
sectional micro-data.

The longitudinal component shall cover at least four years.

2.
In order to reduce response burdens, to help in income
imputation procedures and to test data quality, the national
authorities shall have access to relevant administrative data
sources in accordance with Regulation (EC) No 322/97.

Article 6

Data required

The target primary areas and corresponding reference
1.
periods to be covered by the cross-sectional and the longitu-
dinal components are laid down in Annex I.

Target

2.
secondary areas shall be included every year
starting from 2005 only in the cross-sectional component.
They shall be defined in accordance with the procedure referred
to in Article 14(2). One secondary area shall be covered each
year.

Article 7

Collection unit

1.
The reference population for the EU-SILC shall be all
private households and their current members residing in the
territory of the Member State at the time of the data collection.

2.

The main information collected shall pertain to

(a) private households,

composition and basic
members; and

including data on household size,
current

characteristics of

its

(b) persons aged 16 and over.

The collection unit, together with the mode of collection
3.
for household and personal information, shall be as laid down
in Annex I.

Article 8

Sampling and tracing rules

Cross-sectional and longitudinal data shall be based on

1.
nationally representative probability samples.

2.
By way of exception to paragraph 1, Germany shall
supply cross-sectional data based on a nationally representative
probability sample for the first time for the year 2008. For the
year 2005, Germany shall supply data of which 25 % shall be
based on probability sampling and 75 % shall be based on
quota samples,
to be progressively replaced by
random selection so as to achieve fully representative prob-
ability sampling by 2008.

the latter

For the longitudinal component, Germany shall supply for the
year 2006 one third of longitudinal data (data for years 2005
and 2006) based on probability sampling and two thirds based
on quota samples. For the year 2007, half of the longitudinal
data relating to years 2005, 2006 and 2007 shall be based on
probability sampling and half on quota samples. After 2007 all
longitudinal data shall be based on probability sampling.

In the longitudinal component,

3.
individuals included in
the initial sample, that is to say, sample persons, shall be
followed over the duration of the panel. Every sample person
who has moved to a private household within the national
boundaries shall be followed up to the new location in accor-
dance with tracing rules and procedures to be defined under
the procedure referred to in Article 14(2).

Article 9

Sample sizes

1.
On the basis of various statistical and practical considera-
tions and the precision requirements for the most critical vari-
ables, the minimum effective sample sizes to be achieved shall
be as set out in the table in Annex II.

2.
Sample size for the longitudinal component refers, for
any pair of consecutive years, to the number of households
successfully interviewed in the first year in which all or at least
a majority of the household members aged 16 or over are
successfully interviewed in both the years.

3. Member States using registers for income and other data
may use a sample of persons rather than a sample of complete
households in the interview survey. The minimum effective
sample size in terms of the number of persons aged 16 or over
to be interviewed in detail shall be taken as 75 % of the figures
shown in columns 3 and 4 of the table in Annex II, for the
cross-sectional and longitudinal components respectively.

Information on income and other data shall also be collected
for the household of each selected respondent and for all its
members.

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Article 10

Transmission of data

Article 11

Publication

1. Member States shall transmit to the Commission (Euro-
stat) in the form of micro-data files weighted cross-sectional
and longitudinal data which has been fully checked, edited and
imputed in relation to income.

Member States shall transmit the data in electronic form, in
conformity with an appropriate technical format to be adopted
in accordance with the procedure referred to in Article 14(2).

2.
Regarding the cross-sectional component, Member States
shall transmit the micro-data files relating to year of survey N
to the Commission (Eurostat), preferably within 11 months
after the end of the data collection. The extreme deadline for
the transmission of micro-data to Eurostat
shall be 30
November (N+1) for Member States where data are collected at
the end of year N or through a continuous survey or through
registers and 1 October (N+1) for other Member States.

Together with the micro-data files, Member States
shall
transmit social cohesion indicators based on the cross-sectional
sample of year N which will be included in the annual Spring
report of year (N+2) to the European Council.

The dates of transmission of data also apply for the transmis-
sion of comparable data for cross-sectional common EU indica-
tors for those Member States which start annual collection of
data after 2004 in accordance with Article 4(2).

3.
As for the longitudinal component, Member States shall
transmit the micro-data files up to year N to the Commission
(Eurostat) preferably within 15 months after the end of the
fieldwork. The mandatory deadline for the transmission of
micro-data to Eurostat shall be the end of March (N+2), each
year starting from the second year of EU-SILC.

The first transmission of data, covering longitudinally linked
data for:

— the survey years 2004 and 2005, in the case of Member
States starting annual data collection in 2004, shall take
place by the end of March 2007; and

— the survey years 2005 and 2006, in the case of Member
States starting annual data collection in 2005, shall take
place by the end of March 2008.

The next transmission shall cover the first three survey years
2004-2006 (2005-2007) and shall take place respectively by
the end of March 2008 and 2009.

For the cross-sectional component, the Commission (Eurostat)
shall publish an annual cross-sectional report at Community
level by the end of June N+2, based on the data collected
during year N.

For those Member States which start annual data collection
after 2004 in accordance with Article 4(2) the cross-sectional
report for 2004 shall include the common cross-sectional EU
indicators.

As from 2006, the cross sectional report shall include the avail-
able results of methodological studies referred to in Article 16.

Article 12

Access for scientific purposes to EU-SILC confidential data

1.
The Community authority (Eurostat) may grant access on
its premises to confidential data or release sets of anonymised
micro-data from the EU-SILC source, for scientific purposes
and under the conditions laid down in Regulation (EC) No
831/2002.

2.
For the cross-sectional component, micro-data files at
Community level for data collected during year N shall be made
available for scientific purposes by the end of February N+2.

For

3.
the longitudinal component, micro-data files at
Community level for data collected up to year N shall be made
available for scientific purposes by the end of July N+2.

The first issue of longitudinal micro-data files for those Member
States which start data collection in 2004 shall cover the years
2004 and 2005 and shall take place at the end of July 2007.

The second issue in July 2008 shall cover the years 2004-
2006, for those Member States which start the data collection
in 2004, and the years 2005 and 2006, for those Member
States which start data collection in 2005.

The third issue in July 2009 shall cover the years 2004-2007,
for those Member States which start the data collection in
2004, and the years 2005-2007 for those Member States which
start data collection in 2005.

Thereafter, each July release shall cover longitudinal data at
Community level for the four most recent years for which data
are available.

4.
Reports produced by the Scientific Community based on
cross-sectional micro-data files for data collected during year N
shall not be disseminated before July N+2.

Thereafter, each year
longitudinal data shall be provided
covering the preceding four survey years (revised from previous
releases as necessary).

Reports produced by the Scientific Community based on longi-
tudinal micro-data files in relation to the year of the survey N
shall not be disseminated before July N+3.

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Article 13

Financing

For the first four years of data collection in each Member
1.
State, that Member State shall receive a financial contribution
from the Community towards the cost of the work involved.

2.
The amount of the appropriations allocated annually for
the financial contribution referred to in paragraph 1 shall be
fixed as part of the annual budgetary procedures.

The budget authority shall grant the appropriations avail-

3.
able for each year.

Article 14

Committee

1.
The Commission shall be assisted by the Statistical
Programme Committee, set up by Decision 89/382 (EEC/
Euratom).

2. Where reference is made to this paragraph, Articles 5 and
7 of Decision 1999/468/EC shall apply, having regard to the
provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC
shall be set at three months.

3.

The Committee shall adopt its rules of procedure.

Article 15

Implementing measures

1.
The measures necessary for the implementation of this
including measures to take account of economic
Regulation,
and technical changes, shall be taken, at least 12 months before
the beginning of the year of the survey, in accordance with the
procedure referred to in Article 14(2).

2.

Such measures shall concern:

(a) the definition of the list of target primary variables to be
included in each area for the cross-sectional component
and the list of target variables included in the longitudinal
component,
including the specification of variable codes
and the technical format of transmission to Eurostat;

(b) the detailed content of both intermediate and final quality

reports;

(c) the definitions and the updating of the definitions, in parti-
cular the bringing into operation of the income definitions
given in points (l) and (m) of Article 2 (including the time-
table for the inclusion of the various components);

By way of exception, the measures, including those which
3.
take into account economic and technical changes, necessary
for the implementation of this Regulation regarding the 2004
data collection, shall relate only to points (a) to (e) of paragraph
2 and shall be taken at least six months before the beginning of
the year of the survey.

4.
In each Member State the total duration of the interview
relating to the target primary and target secondary variables of
the cross-sectional component, including household and indivi-
dual interviews, shall not exceed one hour on average.

Article 16

Reports and studies

1. Member States shall produce by the end of the year N+1
an intermediate quality report relating to the common cross-
sectional EU indicators based on the cross-sectional component
of year N.

Member States shall produce by the end of year N+2, final
quality reports that cover both cross-sectional and longitudinal
components in relation to the year of the survey N, focusing
on the internal accuracy. By way of exception, the 2004 report
(for Member States starting data collection in 2004) and 2005
report (for Member States starting data collection in 2005) shall
only cover the cross-sectional component.

Small departures from common definitions, such as those
relating to private household definition and income reference
period, shall be allowed, provided they affect comparability
only marginally. The impact on comparability shall be reported
in the quality reports.

2.
The Commission (Eurostat) shall produce by the end of
June N+2 a comparative intermediate quality report relating to
the common cross-sectional EU indicators of year N.

The Commission (Eurostat) shall produce by 30 June N+3 a
comparative final quality report that covers both cross-sectional
and longitudinal components in relation to the year of the
survey N. By way of exception, the 2004 report (for those
Member States starting data collection in 2004) and the 2005
report
(for those Member States starting data collection in
2005) shall cover only the cross-sectional component.

3.
No later than 31 December 2007, the Commission will
submit a report to the European Parliament and the Council on
the work done under this Regulation.

(d) the sampling aspects, including tracing rules;

(e) the fieldwork aspects and the imputation procedures;

(f) the list of target secondary areas and variables.

4.
The Commission (Eurostat) shall organise from 2004
methodological studies to estimate the impact on comparability
of the national data sources used and to identify best practices
to be followed. The results of these studies shall be included in
the report referred to in paragraph 3.

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Article 17

Entry into force

This Regulation shall enter into force on the 20th day following that of its publication in the Official Journal
of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Luxembourg, 16 June 2003.

For the European Parliament

The President

P. COX

For the Council

The President

G. PAPANDREOU

1. Household information

Unit
(Persons or households)

Household

PRIMARY AREAS COVERED IN THE CROSS-SECTIONAL COMPONENT AND AREAS COVERED IN THE LONGITUDINAL COMPONENT

ANNEX I

.

.

3
7
2
0
0
3

Mode of collection

Domains

Areas

Reference period

Cross-sectional (X)
and/or longitudinal (L)
area

E
N

Information collected from a
household member aged 16 or
over or extracted from registers

Basic data

Income

Basic household data including degree of
urbanisation

Current

Total household income (gross (1) and
disposable)

Income reference period

Gross income components at household
level

Income reference period

Social exclusion

Housing and non-housing related arrears

Last 12 months

household

Non-monetary
deprivation
indicators, including problems in making
ends meet, extent of debt and enforced
lack of basic necessities

Physical and social environment

Labour information

Child care

Housing

Dwelling type, tenure status and housing
conditions

Amenities in the dwelling

Housing costs

Current

Current

Current

Current

Current

Current

X, L

X, L

X, L

X, L

X, L

X

X

X, L

X

X

(1) Gross income components shall cover gross employee and self-employment income (monetary and non-monetary), gross employer's social insurance contributions, imputed rent, property income, gross current transfers received, other

gross income and interest payments.
Non-monetary components of employee (with the exception of company cars that is to be calculated as from the first year of the survey) and self-employed income, imputed rent and interest payments shall be optional from the first
year of the survey and compulsory from 2007.
Gross employer's social insurance contributions shall only be included from 2007 if results of feasibility studies are positive.
Variables required for calculating imputed rent will be collected as from the first year of data collection for each Member State (2004 or 2005).

O

f
f
i
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i
a
l

J
o
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n
a
l

o
f

t
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a
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U
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L

1
6
5
/
7

Mode of collection

Domains

Areas

Reference period

Cross-sectional (X)
and/or longitudinal (L)
area

2. Personal information

Unit
(Persons or households)

All persons aged under 16

Former household members

All persons aged 16 or over in
the household

Personal
information collected
from a household member aged
16 or over or extracted from
registers

Personal
information collected
from all household members
aged 16 or over (proxy as an
exception for persons tempora-
rily away or incapacitated) or
extracted from registers

Preferably by personal contact
but proxy accepted as a normal
procedure or extraction from
registers

Basic data

Income

Basic data

Education

Labour information

Demographic data

Demographic data

Current

Income reference period

Gross personal income, total and compo-
nents at personal level

Income reference period

Basic personal data

Demographic data

Current

Current

Education,
attained

including highest ISCED level

Current

labour

Basic
information on current
activity status and on current main job,
including information on last main job for
unemployed

Current

Basic information on activity status during
income reference period

Income reference period

Total number of hours worked on current
second/third … jobs

Current

Health,
health
including
chronic illness or condition

status

and

Current

Access to health care

Past 12 months

At least one household member
(the selected
aged 16 or over
respondent)

Personal
information collected
from individual(s) (proxy as an
exception) or extraction from
registers

Health

Labour information

Detailed labour information

Current

Activity history

Working life

Calendar of activities

Income reference period

X, L

L

X, L

X, L

X, L

X, L

X, L

X

X

X, L

X

X, L

L

L

L

1
6
5
/
8

E
N

O

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l

J
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e

E
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a
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U
n
o
n

i

.

.

3
7
2
0
0
3

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ANNEX II

Minimum effective sample sizes

Households

Persons aged 16 or over to be
interviewed

Cross-sectional

Longitudinal

Cross-sectional

Longitudinal

1

2

3

4

EU Member States

Belgium

Denmark

Germany

Greece

Spain

France

Ireland

Italy

Luxembourg

Netherlands

Austria

Portugal

Finland

Sweden

United Kingdom

4 750

4 250

8 250

4 750

6 500

7 250

3 750

7 250

3 250

5 000

4 500

4 500

4 000

4 500

7 500

3 500

3 250

6 000

3 500

5 000

5 500

2 750

5 500

2 500

3 750

3 250

3 250

3 000

3 500

5 750

Total of EU Member States

80 000

60 000

Iceland

Norway

2 250

3 750

1 700

2 750

8 750

7 250

14 500

10 000

16 000

13 500

8 000

15 500

6 500

8 750

8 750

10 500

6 750

7 500

13 750

156 000

3 750

6 250

6 500

5 500

10 500

7 250

12 250

10 250

6 000

11 750

5 000

6 500

6 250

7 500

5 000

5 750

10 500

116 500

2 800

4 650

Total including Iceland and Norway

86 000

64 450

166 000

123 950

Note: The reference is to the effective sample size which is the size required if the survey were based on simple random
sampling (design effect in relation to the ‘risk of poverty rate’ variable = 1,0). The actual sample sizes will have to
be larger to the extent that the design effects exceed 1,0 and to compensate for non-response of all kinds. Further-
more, the sample size refers to the number of valid households which are households for which, and for all
members of which, all or nearly all the required information has been obtained.