Page images
PDF
EPUB

Let me return to the problems of confidentiality and privacy which Professor Ruggles already mentioned and which I indicated in the beginning.

The proposal which we have offered for dealing with this problem is to create a set of enclaves among the various statistical agencies. In this way it would be clear that under law the data flowing into the statistical enclave would not be available for purposes which affect the rights, benefits, or privileges of the individual. With such ironclad protections around the statistical enclaves, it would be much easier for the enclaves to share their data.

The concern that the Census Bureau has in terms of releasing its information is that by law, under title XIII, there are certain protections provided. Under the enclave principle, other statistical agencies would have similar protections, and then data sharing would become much more feasible.

If it is all right with you, I would also like to insert into the record a statement on our plans for data confidentiality which is part of our framework for planning statistics. In the statement principles are specified in much more detail, and the existing legislation related to such problems is provided.

Mr. FRASER. We will accept that for the record. [Testimony resumes on p. 126.]

[The material referred to by Dr. Duncan follows:]

Confidentiality of Statistics and

Research Data

[ocr errors]

Introduction and Overview

The concerni for the protection of privacy of individuals and for maintaining secret proprietary information pertaining to business Establishments and other legal institutions is traditional and well known. The recent debates in Congress leading to the passage of the Privacy Act of 1974 and the voluminous literature on the subject identify the Federal Government as a major threat to that privacy. Ladeed. the Government's need for information for policy determination. Beogram evaluation, and regulation of many aspects of society ras led to an increasing need for Information and therefore increasing conflicts with the concepts of privacy, both for individuals and legal persons. It has also focused more attention on the concept of confidentiality of information than ever

before.

It is important that the two concepts of privacy and confidentiality be distinguished at the outset. Privacy, one the one hand. nas been variously defined as: (i) the right to be left alone, to be spared from unauthorized oversight and observation, and from searching inquiries about oneself and one's business 1/; (2) the ability to control the use of information about oneself, whether to give it free circulation, limited circulation, ՕՐ no circulation at all 2/; and (3) the right to participate in a meaningful way in decisions about what information will De collected and how that

information will be used 3/. The concept of autonomy is also used to describe this right. In one view, these definitions imply that a data subject must be fuily informed about all uses of data sought and be given the right to withhold consent from any or all such uses. In the extreme. of course. the Government should not collect any information at all.

Confidentiality.

on the other hand. involves the conditions of use and Tne Government's needs for

disclosure of date once it 1S collected.

information about individuals. businesses, and institutions fall into many different categories including the population count mandated in the Constitution: providing benefits such as welfare, student loans. or medical insurance: collecting taxes: regulating industry: enforcing laws: evaluating programs; or advancing tre state of knowledge througn statistics and resea ch. Hence, the Government collects or causes to be collected great amounts of data, some of it highly personal or capable of inflicting great competitive injury if made public. The challenge posed by the dual concerns for privacy and the enhancement of knowledge is, therefore, to collecting unnecessary information and to maintain the

refrain from

necessary degree of confidentiality for that which is collected.

In addition. in many cases the success of a statistical inquiry leading to an enhancement of knowledge relies on a pledge of confidential treatment of the data. Margaret Martin nas succinctly stated this proposition as

follows:

"Even when

responses

to requests for information are required by

law, the success of a statistical program depends in large measure
on the willing cooperation of respondents. Respondents who
understand the purpose of the inquiry. who sympathize with the
intended use of the information, and who believe that providing the
government with the requested information will not harm them are
much more likely to answer truthfully and with a minimum of effort
on the part of tne data collection agency.
One element in
enlisting

such cooperation is the assurance of harmlessness to the

respondent, and one of the most common metnods for making Such the provision for

assurance in

statistical

data collection 1s

keeping the replies confidential." 4_/

Several strains of legal, public policy, and etnical thought converge on these government-collected data which understandably lead to conflicts which have yet to be resolved adequately. These include: (1) the desire

to protect individual and corporate privacy as defined above. (2) the desire to protect data subjects from the various risks associated with disclosure of identifiable information, once collected, (3) the need to facilitate and search for truth through research and evaluation; and (4) the need for the public to understand how government decisions are made as evidenced by the Freedom of Information Act (FOIA) and the Government in the Sunshine Act (Sunshine Act).

Definition of Statistical and Research Data

and research data is

For the purposes of this chapter, the scope of data under discussion must be identified. The definition of statistical elusive at best: sucn data cannot be defined by the character of the information, but rather by the use to which the information is put. Tnese activities include gathering data for the purpose of estimating aggregates or providing cross-tabulations on economic or social characteristics. the generation of microdata sets on anonymous individual units for analysis. and the development of longitudinal reporting panels. Research activities include biomedical research conducted in clinics or hospitals, socioeconomic experimentation, and evaluation studies of the effect of different approaches to providing Government services. One common thread of these

activities is the advancement of knowledge. whether it De of a general nature or related to a specific problem or Federal program.

are frequently carried out with However. in many cases. data

tne administration of Federal or the collection of social

Statistical and research activities data collected directly from respondents. collected originally in connection with programs such as work training programs security taxes may be essential to a statistical or research program. Medical t eatment records are often used. The quality which separates

these

or

those

administrative activities from those statistical and research activities under consideration in this chapter is how the data are used. Administrative activities use information for determining the eligability for benefits or for investigation or regulation of particular individuals legal entities: such information is "microaction" in nature 5/. In statistical and research activities are defined as activities whose sole purpose is advancement of the state of our knowledge. but they do not include the use of data in identifiable form to make determinations about particular individuals. This definition is similar to the definition of statistical research and reporting records in the Privacy Act.

contrast.

Principles of Confidentiality

Tre

protection of

confidentiality for statistical and research data

involves several basic ingredients:

The prohibition of mandatory disclosure of identifiable data pursuant to a subpoena or other compulsory legal process or under the provisions the Freedom of Information Act:

of

« PreviousContinue »