statistical process description using gsbpm as a reference ... · quality documentation 1. the new...

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Statistical Process description using

GSBPM as a reference – Challenges in

a process changing environment

Maria João Zilhão, Statistics Portugal, [email protected]

Magda Ribeiro, Statistics Portugal, [email protected]

Abstract

Statistics Portugal (SP) has a long tradition of statistical process description, starting with a generic model in 1997. Several editions were revised since then and the latest one was recently updated using the last edition of the Generic Statistics Business Process Model (GSBPM V.5) as a reference. Decisions had to be made to have a handbook in a generic format for all staff in statistical production environment, as well as an adaptation between the GSBPM model and all horizontal processes and internal standards in use by SP. The paper will describe i) the new version of the Statistical Process Procedures Handbook model produced by SP, ii) its challenges (strong and weak points) in conception while adapting the GSBPM with SP reality of statistical process implementation and iii) the subsequent levels of process description added to GSBPM (namely, geospatial statistical dimension), and much aligned with ISO 9001 Norms with respect to documented procedures.

Keywords: Statistical Process; Process description; Documented procedures; Quality Standards;

Quality Documentation

1. The New version of the Statistical Process Proce dures Handbook produced

by Statistics Portugal

Statistics Portugal has a long tradition in describing the Statistical process making

use of a process description model. The first edition is dated 1997, very much alike

the experiences that other NSI had in that respect, namely Statistics Canada. Up to

now other editions were implemented and evolved in various ways, namely in detail

(adding new features and dimensions) and flexibility. However, its background

approach always applied the logic of ISO documented procedures (namely,

procedures/tasks; responsibilities; documentation/registers to produce along the

process).

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This type of documents have also been of extreme importance in moments of

changes in organizational structures within the office, namely when a centralized data

collection department was established.

As such, the motivation for describing and updating a Statistical Process Procedures

Handbook has various dimensions in what concerns Statistics Portugal experience:

− First it facilitates internal and external communication (national and

international) about statistical production amongst the staff, helping each unit

and statistician seeing him/herself as a player in the whole process;

− It promotes the standardization of specific terminology and the sharing of

knowledge, data and tools along the business process. As such, it fosters the

process of standardization as a whole.

− It is also extremely important in supporting the planning process of a specific

activity, making use of IT tools that might be available for that (which is the

case of Statistics Portugal).

− It provides a map of the entire business process, enhancing communication in

the organization.

− It allows for the identification, in a systematic way, of all necessary

documentation to be produced along the business process (e.g. related

procedures, reports and performance indicators).

− It allows for the identification of all possible synergies along the process and

between activities.

− It facilitates and supports the modernization of production systems.

− And finally, it is a relevant tool for quality management in what concerns

review activities, such as auditing processes.

2. The challenges in adapting the GSBPM 1 with Statistics Portugal reality of

statistical process implementation

After several years in improving the business process description a decision was

made along the last peer review process to completely align Statistics Portugal

handbook with the GSBPM. 1 Generic Statistics Business Process Model (GSBPM V.5), UNECE , 2013

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Figure 1 – Adopted Business Process Model (adapted from the GSBPM V.5)

Similarly to the GSBPM, the overall model must not be followed in a strict order:

− It is flexible and interactive in what concerns phases and sub-process

sequence;

− There is interdependence among sub-processes;

− The applicability of certain phases and sub-processes depend on the type of

statistical activity, making the scope of the Handbook quite large.

1. Conceção/Identificação de

necessidadesSpecify Needs

2. Conceção/Especificações

Design

3. Conceção/Desenvolvimento

Build

4. RecolhaCollect

5. ProcessamentoProcess

6. AnáliseAnalyse

7. DivulgaçãoDisseminate

8. AvaliaçãoEvaluate

1.1 Identificar necessidadesIdentify Needs

2.1 Especificar resultados

Design outputs

3.1 Desenvolver suportes para

recolhaBuild collection

instrument

4.1 Criar base de amostragem e

selecionar amostraCreate frame and

select sample

5.1 Integrar dadosIntegrate data

6.1 Preparar resultados

Prepare draft outputs

7.1 Atualizar sistemas de difusão

Update output systems

8.1 Reunir elementos para

avaliaçãoGather evaluation

inputs

1.2 Confirmar necessidades

Consult and confirm needs

2.2 Especificar variáveis

Design variable descriptions


tratamento e análiseBuild or enhance

process components

4.2 Preparar recolhaSet up collection

5.2 Classificar e codificar

Classify and code

6.2 Validar resultados

Validate outputs

7.2 Elaborar produtos de difusão

Produce dissemination

products

8.2 Executar avaliação

Conduct evaluation

1.3 Establecer objetivos

Establish output objectives

2.3 Especificar recolha

Design collection


difusãoBuild or enhance

dissemination components

4.3 Executar recolha

Run collection

5.3 Validar microdados

Review and validate

6.3 Interpretar e explicar resultados

Interpret and explain outputs

7.3 Divulgar produtos de difusãoManage release of

dissemination products

8.3 Estabeler plano de ação de melhoria

Agree an action plan

1.4 Identificar conceitos

Identify concepts

2.4 Especificar universo/amostraDesign frame and

sample

3.4 Configuar fluxos de produção

Configure work flows

4.4 Finalizar recolhaFinalise collection

5.4 Editar e imputarEdit and impute

6.4 Garantir confidencialidadeApply disclosure

control

7.4 Promover produtos de difusão

Promote dissemination

products

1.5 Avaliar dados disponíveisCheck data availability

2.5 Espeficificar tratamento e análiseDesign processing

and analysis

3.5 Testar sistema de produção

Test production system

5.5 Calcular variáveis derivadas e

novas unidadesDerive new

variables and units

6.5 Finalizar resultados

Finalise outputs

7.5 Gerir apoio a utilizadores

Manage user support

1.6 Preparar processo produtivoPrepare business

case

2.6 Especificar sistemas e fluxos

de produçãoDesign production

systems and work flow

3.6 Testar processo de produção

Test statistical business process

5.6 Calcular ponderadores

Calculate weights

3.7 Finalizar sistema de produção

Finalise production systems

5.7 Calcular agregadosCalculate

aggregates

5.8 Finalizar processamento

Finalise data files

Figure 2 – Flexible framework of the adopted model (adapted from the GSBPM V.5)

One of the strong points about having the GSBPM as a model is a consequence of

the multiple European projects that use the model as a

and research. Making use of the same language and process terminology it simplifies

the conception of the handbook itself.

The weak point was the matching process between the sub

and the organisational characteristics of the process organization, that proofed to be

very unbalanced between sub

The fact that SP had already a previous version of

and hierarchy made the task a lot easier, but still the GSBPM structure proofed to be

somehow unbalanced in what concerns the detail of each sub

For that reason, Statistics Portugal applied a third layer in a s

with the tasks of a called “production process matrix” that goes into detail in what

concerns tasks, responsibilities, related documentation and other to produce, as well

as the respective linkage with the SIGINE IT system, an in

standardized tasks for the statistical activities planning process.

Flexible framework of the adopted model (adapted from the GSBPM V.5)


the multiple European projects that use the model as a reference for development


the conception of the handbook itself.

The weak point was the matching process between the sub-processes of the GSBPM


very unbalanced between sub-processes.

The fact that SP had already a previous version of the handbook with different layers


somehow unbalanced in what concerns the detail of each sub-processes.

For that reason, Statistics Portugal applied a third layer in a systematic way, aligned



as the respective linkage with the SIGINE IT system, an in-house It tool system with

standardized tasks for the statistical activities planning process.

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Flexible framework of the adopted model (adapted from the GSBPM V.5)


reference for development


processes of the GSBPM


the handbook with different layers


processes.

ystematic way, aligned



se It tool system with

This was a major development since the update of the handbook was done in parallel

with the update of the IT system itself. Meaning that the tasks are similar, enha

standardization in the process at all levels.

Figure 3 – General organization of the adopted model and its alignment with the GSBPM V.5

3. The subsequent levels of process description added to the GSBPM

It was important to keep a more detailed level of process description (3rd level),

featured on previous versions of the handbook, for different reasons:

− Mapping important activities throughout the business process, resulting from

the process modernization;

− Defining responsibilities;

− Identifying relevant reference documentation and expected outputs;

− Demonstrate the applicability of the business process model regardless of the

type of statistical activity.

As the example shows for a single task (Fig. 4), we can see its relation

GSBPM phase and sub-process, the task description, the units that are responsible

for it, and the applicability of the task taking into account the type of a statistical

activity.

This third level also describes its relation with the IT planning

feature a major development, also relevant in a changing environment.

GSBPM

Phases

Sub-processes


system itself. Meaning that the tasks are similar, enha

in the process at all levels.

General organization of the adopted model and its alignment with the GSBPM V.5

The subsequent levels of process description added to the GSBPM

keep a more detailed level of process description (3rd level),


Mapping important activities throughout the business process, resulting from

the process modernization;

ilities;

Identifying relevant reference documentation and expected outputs;

Demonstrate the applicability of the business process model regardless of the

type of statistical activity.

As the example shows for a single task (Fig. 4), we can see its relation

process, the task description, the units that are responsible


This third level also describes its relation with the IT planning system, making t


GSBPM

Phases

processes

Adopted model

Phases

Sub-processes

Businesss process matrixMain tasks of each subprocess

(150 tasks)

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system itself. Meaning that the tasks are similar, enhancing

General organization of the adopted model and its alignment with the GSBPM V.5

The subsequent levels of process description added to the GSBPM

keep a more detailed level of process description (3rd level),


Mapping important activities throughout the business process, resulting from

Identifying relevant reference documentation and expected outputs;

Demonstrate the applicability of the business process model regardless of the

As the example shows for a single task (Fig. 4), we can see its relation with the

process, the task description, the units that are responsible


system, making this


Adopted model

process matrixsubprocess

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Figure 4 – The business process matrix (example for task 30)

The Geospatial information infrastructure dimension along the business process can

only be mapped on the business process matrix, that is within the third layer of the

model. Within this dimension, there are 13 tasks altogether, belonging to different

phases, stages and sub-processes, which are explicitly connected to the spatial data

infrastructure:

− Specify and characterise the dissemination formats and products, including

geographic information;

− Evaluate the ability of the spatial data infrastructure responding to

methodological needs;

− Specify the functional requirements for data collection;

− Specify the functional requirements for the disclosure of geo-referenced

statistical information;

− Test the IT system supporting data collection and reception;

− Test the data disclosure components, including the GIS components;

− Refresh or geo-reference the interviewer's residence;

− Calculate distances between the statistical units and the interviewer's

residence;

− Propose the creation or correction of statistical units in the statistical registers

and propose updates to the samples defined in the sample management

systems;

− Analyze the proposals for updating samples and creating or correcting

statistical units on the sample management systems and statistical registers

and make the respective adjustments;

Ce

nsu

s

Sam

plin

g

Collection instrument

30

Designing or reviewing the collection

instruments, specifying the attributes'

validation rules and the type of testing

to be applied

DMDRI

DMSI

New

OngoingYes Yes Yes

Primary

statistics

The output of this task is included in items V.5.1, VI of the methodological document

Collection instrument: survey form; electronic file register; administrative form

SIGINE tasks:

301 - Support for the designing, building and testing of the questionnaire

401 - Designing, building and testing of the questionnaire

Interrelated tasks from other sub-processes:

32 - “Formulating the instructions for the correct filling of the collection instrument” (3.1)

33 - “Finalizing the collection instrument” (3.1)

Design 2.3 Design collection

Span of

activity

New /

Ongoing

Survey

Ad

min

istr

ati

ve

sou

rce

Type of

activity

Primary /

Derivate

Comments GSBPM phase GSBPM sub-process

Tas

k n

um

ber

Task description

Res

po

nsi

ble

d

ep

artm

en

t

Par

tici

pan

t d

ep

artm

en

t

Applicability

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− Prepare the indicators to be made available in the dissemination database and

associated metadata;

− Upload and update data on the dissemination database;

− Compose the publication or develop other dissemination products.

4. Next steps

− Regular updates to the description of the business process are expected,

following the streamlining of procedures;

− Contributions to model simplification are deemed useful, specifically in what

concerns the more detailed levels of the production matrix;

− Expanding the mapping of documentation to be produced in the context of

each task;

− Producing and standardizing reference documentation that is central to the

business process (work instructions, guidelines, templates);

− Describing and standardizing over-arching processes with a statistical

component (e.g.: quality management, metadata management).

5. References

UNECE (2013), Generic Statistical Business Process Model - Version 5.0. Available

at: https://statswiki.unece.org/display/GSBPM/GSBPM+v5.0

SP (2017), Manual do Processo de Produção Estatística (internal document).

SP (2010), Manual de Processos da Produção estatistica (internal document).

SP (1997), Manual de Procedimentos da Produção Estatística (internal document).

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