Concept and legal foundations of the Income and Expenditure Survey
Die Income and Expenditure Survey (EVS) is an official survey in Germany that is regularly conducted by the Federal Statistical Office (Destatis) in collaboration with the state statistical offices. The aim of the EVS is to obtain detailed information about the income, expenditure, assets, and living conditions of private households. The survey is one of the most important sources for analyzing the economic and social situation of the population and serves policy advice, legislation, and international reporting.
Legal foundations of the Income and Expenditure Survey
Statistics Act and relevant legal regulations
The legal basis for the Income and Expenditure Survey is the Act on Statistics for Federal Purposes (Federal Statistics Act – BStatG). The implementation of the EVS is regulated on the basis of the statistics ordinance Ordinance on statistical surveys under the Federal Statistics Act . Additionally, data protection regulations of the Federal Data Protection Act (BDSG) and the General Data Protection Regulation (GDPR) apply.
Further detailed regulations are provided by special administrative orders and regulations, which are developed by the respective competent statistical offices in consultation with data protection authorities.
Obligation to participate, duty of disclosure, and voluntariness
The EVS is primarily based on voluntary participation of private households. Part of the information, particularly regarding income and expenditure, is based on self-selection within certain socioeconomic characteristics. In contrast to other surveys under the Federal Statistics Act, there is no general statutory obligation to provide information for households (§ 7 BStatG in conjunction with the relevant ordinance for the EVS). Participation is therefore voluntary, which affects the composition and weighting of the data collected.
Anonymization and data protection
To protect the rights of participants, all personal data is processed in accordance with the binding provisions of data protection laws. The anonymized analyses ensure that no conclusions can be drawn about individual persons or households. The transmission and storage of the data is carried out according to the highest data protection standards, including pseudonymization and technical and organizational measures, which may be reviewed by data protection supervisory authorities.
Purpose of the survey and areas of application
Information objectives and statistical analysis
The purpose of the EVS is the comprehensive assessment of the financial situation of private households. The following aspects are determined:
- Amount and structure of income from various sources
- Type and scope of consumer expenditure
- Ownership and value of assets (including real estate)
- Sociodemographic characteristics of households
By targeted evaluation of this data, the foundations are laid for the establishment of social policy measures, the adjustment of the consumer price index, and the periodic updating of the Federal Government’s Poverty and Wealth Report. Furthermore, the EVS serves as an important data basis for international comparative studies.
Use of results in the legal system and legislation
The results of the EVS are regularly used in legislative procedures, for example for determining and assessing standard rates under the Social Code (SGB II and SGB XII). The data provide an empirically sound basis for defining and updating subsistence minimums, calculating housing benefits, as well as tax and family policy support instruments.
Process and execution of the Income and Expenditure Survey
Methodology of data collection
The EVS is typically conducted every five years as a representative sample . Households keep detailed household books over a defined period and document income, expenditure, and assets. Participation generally extends over three months; in addition, a separate wealth survey is conducted.
To minimize distortions due to self-selection and non-participation, specific sociodemographic quotas and weighting factors are applied. The mandatory confidentiality practice protects all information, so that individual traceability is prevented.
Responsibilities and official organization
The Federal Statistical Office is responsible for the design, coordination, and nationwide aggregation of the data, while the state statistical offices handle the implementation, information, and support of the participants. The statutory regulations for cooperation between the federal and state governments are laid down in § 1 ff. BStatG and the associated implementing ordinances.
Legal significance and influence of the EVS
Role in jurisprudence
Results of the EVS are referenced and applied in judicial and administrative decisions, such as in the review of the appropriateness of social benefits or as reference values for determining standard rates by the Federal Constitutional Court and the social courts. The constitutional significance arises from the social state principle as well as the right to a dignified minimum standard of living.
Critique, challenges, and further developments
There is repeated criticism of participation bias, as certain population groups (e.g., high-income households) may be underrepresented. This is taken into account in the legal assessment, especially regarding the transparency and reliability of concepts of social justice. Future legislative and data protection developments, such as the increased use of digital survey methods, are leading to continuous further development of the framework conditions.
Summary
Die Income and Expenditure Survey is a key survey instrument of official statistics in Germany, based on a statutory foundation and meeting the highest standards of data protection, quality, and usability. Its results are important for the legislature, executive, and judiciary, particularly for the design and review of lawful social benefits. Thus, the EVS occupies a significant position in the comprehensive and legally robust description and analysis of the population’s economic living conditions.
Frequently Asked Questions
Is there a legal obligation to participate in the Income and Expenditure Survey (EVS)?
The legal obligation to participate in the Income and Expenditure Survey arises from the Act on Statistics for Determining Living Conditions and Household Budgets (Household Statistics Act – HaushStatG) as well as from the Federal Statistics Act (BStatG). As a rule, participation in the EVS is voluntary. However, the Federal Statistical Office may order an obligation to provide information for specific sub-areas on a sample basis in order to ensure the representativeness of the results. If households are required to provide information, they are obligated under § 15 BStatG to provide the requested information truthfully and on time. If the obligation to provide information is violated, administrative fines may be imposed pursuant to § 23 BStatG. However, it should be noted that this obligation does not apply nationwide but is limited to the households drawn in the respective sample. The legal framework is also subject to data protection law, so that personal data must be specially protected.
How is personal data processed and protected within the framework of the EVS?
The processing and protection of personal data in connection with the EVS is subject to strict legal requirements. According to Art. 6 GDPR and §§ 16, 17 BStatG, the data collected may only be used for statistical purposes. The data is pseudonymized so that identification of individual households or persons is excluded. According to § 16 BStatG, it is prohibited to pass on collected personal information to third parties if such data would enable identification of the data subject. In addition, technical and organizational data protection measures are used to restrict access rights and encrypt the transmission of data. Retention periods are based on the specific purpose and legal requirements, so data is deleted or anonymized after the completion of statistical analysis.
What legal foundations regulate the selection of participants in the EVS?
The selection of participants in the Income and Expenditure Survey is governed by the Household Statistics Act (HaushStatG) and the Federal Statistics Act (BStatG). The statistical offices of the federal and state governments select households using a defined mathematical-statistical random method to ensure the representativeness of the results. The legal foundations require compliance with the principle of equal treatment and proportionality under Art. 3 GG. In particular, the selection criteria must be transparently documented and must not have any discriminatory effects. Participation is generally offered on a voluntary basis; however, as previously mentioned, an obligation to provide information can be ordered for certain samples.
What legal obligations do the statistical offices have when handling the collected data?
The statistical offices are legally obliged to use the data exclusively for the specified research purpose (§ 16 BStatG). They must ensure that all data protection requirements, including the GDPR and the BStatG, are complied with. This includes the obligation to minimize data, to observe retention periods, and to conduct data protection impact assessments for particularly sensitive data. They are also obliged to ensure data security both technically and organizationally and to prevent possible misuse. Information obligations under Art. 13, 14 GDPR must be observed so that the households concerned are informed about the processing, purpose, and duration of storage of their data.
What rights do participants have regarding their data after the survey has been completed?
Participants in the EVS have comprehensive rights regarding their personal data from a legal perspective. These include in particular the right of access (Art. 15 GDPR, § 17 BStatG), the right to rectification of inaccurate data (Art. 16 GDPR), the right to erasure (Art. 17 GDPR), and the right to restriction of processing (Art. 18 GDPR). However, there are particularities concerning statistical processing: the right to erasure, restriction of processing or objection is limited in that statistical data can no longer be deleted once they have been anonymized and the statistical results can no longer be traced back to individuals (§ 16 para. 6 BStatG). Complaints may be submitted to the competent data protection supervisory authority.
To what extent can households withdraw from participation in the EVS retrospectively?
Withdrawal from participation in the EVS depends on the legal basis of data collection. If data was collected on a voluntary basis, participants may generally withdraw their consent at any time. Statutory obligations, such as those applying in cases of an obligation to provide information, do not allow for withdrawal until the respective data transfer is complete and the data is anonymized, if necessary (§ 16 BStatG). Once data has been anonymized, there is no longer any claim to deletion or withdrawal, as the data can no longer be assigned to a household. The withdrawal must be declared to the competent statistical office, and deletion or blocking of the data must be effected without delay unless statutory retention obligations prevent this.
What are the legal consequences of providing false information or deliberately refusing to participate if there is an obligation to provide information?
If there is an obligation to provide information pursuant to § 15 BStatG, the intentional or negligent failure to submit, late submission, or submission of incorrect information constitutes an administrative offense. This may be punished by a fine in accordance with § 23 BStatG. The amount of the fine varies depending on the federal state and severity of the offense and may amount to several thousand euros. Furthermore, repeated or intentional refusal may result in further consequences such as dunning procedures or the obligation to correct the information. The statistical authorities are obliged to inform the parties concerned about their rights and obligations as well as the possible legal consequences of refusal.
