Private Lives and Public Policies

Confidentiality and Accessibility of Government Statistics

Auteur: de Wolf, Virginia A.; Jabine, Thomas B.; Duncan, George T.
Éditeur: National Academies Press
ISBN: 9780309086516
eISBN Pdf: 9780309576116
Lieu de publication: United States
Année de publication électronique: 1993
Mois : Janvier
Pages: 289
Langue: Anglais

Légende

Americans are increasingly concerned about the privacy of personal data—yet we demand more and more information for public decision making. This volume explores the seeming conflicts between privacy and data access, an issue of concern to federal statistical agencies collecting the data, research organizations using the data, and individuals providing the data.

A panel of experts offers principles and specific recommendations for managing data and improving the balance between needed government use of data and the privacy of respondents. The volume examines factors such as the growth of computer technology, that are making confidentiality an increasingly critical problem.

The volume explores how data collectors communicate with data providers, with a focus on informed consent to use data, and describes the legal and ethical obligations data users have toward individual subjects as well as toward the agencies providing the data. In the context of historical practices in the United States, Canada, and Sweden, statistical techniques for protecting individuals' identities are evaluated in detail.

Legislative and regulatory restraints on access to data are examined, including a discussion about their effects on research.

This volume will be an important and thought-provoking guide for policymakers and agencies working with statistics as well as researchers and concerned individuals.

PRIVATE LIVES AND PUBLIC POLICIES
Copyright
Acknowledgments
Contents
Executive Summary
- STUDY GOALS AND SCOPE
- GUIDING PRINCIPLES
  - DEMOCRATIC ACCOUNTABILITY
  - CONSTITUTIONAL EMPOWERMENT
  - INDIVIDUAL AUTONOMY
- KEY FINDINGS AND RECOMMENDATIONS
  - STATUTORY PROTECTION AGAINST MANDATORY DISCLOSURE OF INDIVIDUALLY IDENTIFIABLE DATA
  - BARRIERS TO DATA SHARING WITHIN GOVERNMENT
  - ACCESS TO DATA BY NONGOVERNMENT USERS
  - PRIVACY CONCERNS AND DECLINING COOPERATION IN SURVEYS
  - STATISTICAL PROCEDURES TO PROTECT CONFIDENTIALITY
  - CROSS-CUTTING RECOMMENDATIONS
1 Principles and Problems
- THE TENSION BETWEEN PRIVATE LIVES AND PUBLIC POLICIES
- STUDY GOALS AND SCOPE
- HOW DOES THE FEDERAL STATISTICAL SYSTEM FUNCTION?
- KEY DEFINITIONS
  - DATA SUBJECTS AND DATA PROVIDERS
  - INFORMATIONAL PRIVACY
  - CONFIDENTIALITY AND DATA PROTECTION
  - INFORMED CONSENT AND NOTIFICATION
  - DISCLOSURE
  - ADMINISTRATIVE AND STATISTICAL DATA
- WHAT PRINCIPLES SHOULD GUIDE STATISTICAL AGENCIES?
  - DEMOCRATIC ACCOUNTABILITY
  - CONSTITUTIONAL EMPOWERMENT
  - INDIVIDUAL AUTONOMY
- THE SPECIAL ROLE OF FEDERAL STATISTICAL AGENCIES
- DATA ACCESS IN A DEMOCRATIC SOCIETY
- PROBLEMS IN ENSURING CONFIDENTIALITY AND DATA ACCESS
  - DO STATISTICAL AGENCIES HAVE ADEQUATE AUTHORITY TO PROTECT DATA?
  - CAN COMMUNICATION WITH THE PUBLIC BE IMPROVED?
  - ARE DATA PROVIDERS PROPERLY NOTIFIED OR INFORMED?
  - ARE CURRENT CONFIDENTIALITY AND DATA ACCESS LAWS ADEQUATE AND APPROPRIATE?
  - HOW CAN NONGOVERNMENT USERS BE GIVEN ACCESS TO DATA WHILE PRESERVING CONFIDENTIALITY?
  - CAN INDIVIDUAL-LEVEL DATA BE PROVIDED FOR PUBLIC USE?
  - CAN LEGITIMATE NEEDS FOR DATA SHARING WITHIN GOVERNMENT BE MET?
  - STRUCTURE OF THE REPORT
- NOTES
2 The Framework of Study
- EVOLUTION OF THE FEDERAL STATISTICAL SYSTEM
- EARLIER STUDIES OF PRIVACY, CONFIDENTIALITY, AND DATA ACCESS
  - AMERICAN STATISTICAL ASSOCIATION AD HOC COMMITTEE ON PRIVACY ANDCONFIDENTIALITY
  - PRIVACY PROTECTION STUDY COMMISSION
  - OFFICE OF FEDERAL STATISTICAL POLICY AND STANDARDS
- WHAT HAS CHANGED TO WARRANT A NEW STUDY?
  - ADVANCES IN COMPUTER AND COMMUNICATIONS TECHNOLOGY
  - OUTSIDE RESEARCHERS
  - RECORD LINKAGE
  - ORGANIZATIONS CONCERNED WITH CONFIDENTIALITY AND DATA ACCESSIBILITY
  - PERSUADING DATA PROVIDERS
  - COGNITIVE RESEARCH
  - NEW DEVELOPMENTS IN RESEARCH ON STATISTICAL DISCLOSURE LIMITATION
- RESPONSIBILITIES OF FEDERAL STATISTICAL AGENCIES
  - RESPONSIBILITIES TO THE PUBLIC
  - RESPONSIBILITIES TO DATA PROVIDERS AND DATA SUBJECTS
  - RESPONSIBILITIES TO DATA USERS
  - RESPONSIBILITIES TO OTHER STATISTICAL AGENCIES
  - RESPONSIBILITIES TO CUSTODIANS OF ADMINISTRATIVE RECORDS
- NOTES
3 Data Subjects
- INTRODUCTION
- INFORMED CONSENT AND NOTIFICATION
  - HISTORICAL DEVELOPMENT OF INFORMED CONSENT AND NOTIFICATION PROCEDURES
    - The Privacy Act of 1974
    - Professional Association Guidelines
    - Matching Survey and Administrative Data
    - Waivers
  - CURRENT POLICIES AND PRACTICES
  - MANDATORY DATA SETS: CONTROLLING INFORMATION ABOUT ONESELF
  - FINDINGS AND RECOMMENDATIONS
- RESEARCH RELATED TO CONFIDENTIALITY AND DATA ACCESS
  - CONTROLLED SURVEY EXPERIMENTS
  - COGNITIVE RESEARCH
  - PUBLIC OPINION RESEARCH
  - FINDINGS AND RECOMMENDATIONS
- PUBLIC INFORMATION ACTIVITIES OF STATISTICAL AGENCIES AND ORGANIZATIONS
  - CURRENT PRACTICES
  - RECOMMENDATIONS
4 Data Users
- BASIC CONCEPTS RELATED TO DATA ACCESS
- EXPECTATIONS OF DATA USERS
  - BACKGROUND
    - Increasing Demands for Access
    - Meeting User Needs: Successes and Failures
    - Factors that Affect Agency Decisions on Access
    - User Influence on Agency Decisions
  - FINDINGS AND RECOMMENDATIONS
    - Data Sharing Within Government
    - Access to Data by Nongovernment Users
- LEGAL AND ETHICAL RESPONSIBILITIES OF DATA USERS
  - BACKGROUND
    - Legal Responsibilities of Users
    - Ethical Responsibilities of Users
  - FINDINGS AND RECOMMENDATIONS
5 Legislation
- GENERAL REGULATION OF FEDERAL STATISTICAL AND RESEARCH RECORDS
  - THE PRIVACY ACT
  - FREEDOM OF INFORMATION ACT
- AGENCY-SPECIFIC LEGISLATION
  - BUREAU OF THE CENSUS
  - NATIONAL CENTER FOR EDUCATION STATISTICS
  - NATIONAL CENTER FOR HEALTH STATISTICS
  - INTERNAL REVENUE SERVICE
  - AGENCIES LACKING EXPLICIT STATUTORY PROTECTION OF ESTABLISHMENT DATA
  - NEW STATISTICAL AGENCIES
- FINDINGS AND RECOMMENDATIONS
- NOTES
6 Technical and Administrative Procedures
- INTRODUCTION
- RESTRICTED DATA: STATISTICAL TECHNIQUES FOR PROTECTING CONFIDENTIALITY
  - DISCLOSURE RISK AND STATISTICAL DISCLOSURE LIMITATION TECHNIQUES
  - SELECTED STATISTICAL DISCLOSURE LIMITATION PRACTICES OF FEDERAL STATISTICAL AGENCIES
    - Procedures Used for Tables
    - Procedures for Microdata Files
  - THE IMPACT OF IMPROVED COMPUTER AND COMMUNICATIONS TECHNOLOGY
  - RECENT RESEARCH ON DISCLOSURE LIMITATION
    - Systematic Frameworks
    - Papers Commissioned by the Panel
    - Shielding Organizational Data
  - FINDINGS AND RECOMMENDATIONS
- RESTRICTED ACCESS: ADMINISTRATIVE PROCEDURES TO PROTECT CONFIDENTIALITY
  - INTERAGENCY DATA SHARING
    - Examples of Interagency Data Sharing
    - Discussion
  - EXTERNAL DATA USERS
    - Examples of Restricted Access by External Data Users
    - Examples of Failure to Gain Access
    - Discussion
  - ARCHIVING FEDERAL STATISTICAL DATA SETS
  - RESTRICTED ACCESS: FINDINGS AND RECOMMENDATIONS
- NOTES
7 Statistical Data on Organizations
- INTRODUCTION
  - TYPES OF ORGANIZATIONS
  - DIFFERENCES BETWEEN DATA ON PERSONS AND DATA ON ORGANIZATIONS
    - Legislation
    - Other Differences
  - CONTENT OF CHAPTER
- THE ENERGY INFORMATION ADMINISTRATION VS. THE DEPARTMENT OF JUSTICE: A FURTHER EROSION OF FUNCTIONAL SEPARATION
  - BACKGROUND
  - DISCUSSION
    - Is EIA a Statistical Agency?
    - Did EIA Mislead Respondents?
    - Is the EIA's Problem Unique?
  - FINDINGS AND RECOMMENDATIONS
- INABILITY TO SHARE BUSINESS LISTS: AN EMBARRASSMENT TO THE FEDERAL STATISTICAL SYSTEM
  - BACKGROUND
  - PRACTICES IN OTHER COUNTRIES
  - FINDINGS AND RECOMMENDATIONS
- WAIVERS: WHOSE INFORMATION IS IT?
  - BACKGROUND
  - EXAMPLES
  - FINDINGS AND RECOMMENDATIONS
- USER ACCESS: GETTING A BETTER RETURN ON INVESTMENTS IN ECONOMIC STATISTICS
  - BACKGROUND
  - FINDINGS AND RECOMMENDATIONS
8 Managing Confidentiality and Data Access Functions
- MANAGEMENT OF CONFIDENTIALITY AND DATA ACCESS QUESTIONS IN THE FEDERAL STATISTICAL SYSTEM
  - WITHIN STATISTICAL AGENCIES
  - ACROSS STATISTICAL AGENCIES
  - THE INFLUENCE OF PROFESSIONAL SOCIETIES
- ALTERNATIVE MODELS FOR MANAGING CONFIDENTIALITY AND DATA ACCESS QUESTIONS: A LOOK AT OTHER COUNTRIES
- U.S. PROPOSALS FOR AN INDEPENDENT PRIVACY PROTECTION BOARD
- FINDINGS AND RECOMMENDATIONS
  - AGENCY STAFFING AND MANAGEMENT OF CONFIDENTIALITY AND DATA ACCESS FUNCTIONS
  - INTERAGENCY COORDINATION
  - DATA PROTECTION BOARD
Recommendations
- CHAPTER 3
- CHAPTER 4
- CHAPTER 5
- CHAPTER 6
- CHAPTER 7
- CHAPTER 8
References
Appendix A Study Procedures
- PANEL ORGANIZATION AND ACTIVITIES
- CASE STUDIES
  - LONGITUDINAL RETIREMENT HISTORY WORKSHOP
  - WORKSHOP ON CONFIDENTIALITY OF AND ACCESS TO DOCTORATE RECORDS
  - WORKSHOP ON CONFIDENTIALITY OF AND ACCESS TO NATIONAL CENTER FOR EDUCATION STATISTICS DATA
- INFORMATION GATHERING
  - REQUEST FOR DOCUMENTATION
  - INVITATION FOR COMMENTS
  - CONFERENCE ON DISCLOSURE LIMITATION APPROACHES AND DATA ACCESS
- COMMISSIONED PAPERS
  - Attachment 1
    - I.
    - II.
  - Attachment 2
Appendix B Biographical Sketches
Index