# Presentation: 772008

## Confidentiality and Data Access Committee

**Jacob Bournazian, Chair**
**     ****Energy Information Administration**

**BTS Confidentiality Seminar Series **
**June 11,  2003**

## Early Developments for Protecting Data Confidentiality 

**Privacy and data confidentiality legislation was introduced in the 1970s.**
**The Right to Privacy was evolving.**
**Issues began to emerge:**
**What is the nature of statistical disclosure? **
**How can agency requirements relating to confidentiality be met? **
**Protecting confidentiality information vs. Public’s need for information. **
**Statistical Working Paper No. 2 – 1978**
**Released by FCSM**

**Notes:**
Data confidentiality had been an issue that statistical agencies were working on since the 1960s.  New legislation during the 1970s, such as the Privacy Act, and Freedom of Information Act, had profound impacts on survey data collection and data release policies for the federal agencies.   It was during the 1960s and 1970s that cell suppression methodology developed as the main tool for preserving data confidentiality.  The approach taken by each agency varied.  One reason was that some agencies had specific legislation requiring agencies to protect the confidentiality of the information collected through surveys.  The vast majority of federal agencies do not.  All agencies are subject to FOIA and the Privacy Act.  These pieces of legislation require agencies to disclose all the information they collect to the public unless the information collections falls within one of the exceptions of FOIA or the Privacy Act.  Some federal surveys are mandatory, and some are voluntary.    Federal agencies developed different approaches to protecting data during collection, processing, and after its release.  In 1978, the FCSM released Statistical Working Paper No. 2 A report on statistical disclosure techniques.  This report was intended to help managerial and technical staff of Federal agencies which publish or otherwise release on methodologies to achieve appropriate disclosure-avoidance practices.  This patch work approach continued to grow during the 1980s.   By the 1990s, the number of electronic data products being released to the public by federal agencies was growing, and at the same time, the proliferation of publicly available electronic data bases and advances in computer technology added more complexity to the field of protecting data confidentiality.  The FCSM was once again focused their attention to this area. 

## Statistical Working Paper No. 22www.fcsm.gov/working-papers/spwp22.html

-  Disclosure Limitation Methods for tables and micro data files
-  Recommendations
-  Guidelines for selecting effective DSL methods
- Further research to develop improved DSL methods
- Annotated bibliography

**Notes:**
	By the early 1990s the FCSM decided to address once again the issues relating to data confidentiality and issued Statistical Working Paper #22.  This was an update of SW  #2 but went further.  This report includes a tutorial, guidelines for preserving data confidentiality, recommendations on best practices of the principal federal statistical agencies, and an annotated bibliography.    The report also recommended that a group be formed that would continue working in this area.
This report was written for employees of the federal government and their contractors.  It has much broader use today as a tutorial and information resource.
The report contained several recommendations for tables and micro data.  One recommendation including sharing software and methodology across the government, recommended several disclosure rules for protecting different types of data.  Recommendation 11 recommended auditing of tabular data as a necessity to ensure the values in suppressed cells cannot be derived. Recommends specific research for each issue within the field of disclosure limitation methodology.
For example, which methodology is appropriate for frequency data or magnitude data

The annotated bibliography is also useful resources because there is 2-3 sentence summary of what the article or publication is about so a user can quickly scan the literature on the subject of data confidentiality.

## CDAC is formed www.fcsm.gov/committees/cdac

**The first interest group formed by the Federal Committee on Statistical Methodology in1996.**
**Two reasons for its formation:**
**Staff within statistical agencies needed a forum to share information and problems relating to data confidentiality.**
**Follow-on activity from SW Paper #22.**
**40 members across 25 federal agencies**

**Notes:**
Subsequent to the FCSM releasing SW Paper # 22of the CDAC being formed, 
Faced with these emerging issues relating to data confidentiality, a group of federal statisticians initiated informal contact late in 1995 and in early 1996, the first meeting of the Confidentiality and Data Access Committee took place.    Agency membership continues to grow each year, and currently have representatatives from approx. 1/3 of all federal agencies. 

## Objectives 

** ****Share current research activities**
** ****Explore new research ideas**
** ****Serve as a forum for other government entities to seek assistance on confidentiality and data access issues**
** ****Organize data confidentiality sessions at conferences to educate the public and provide a channel for exchanging ideas with academia**
** ****Implement the recommendations and research agenda of Statistical Working Paper No. 22**

**Notes:**
Review the purposes and objectives for which CDAC was formed.  Give current examples for each bullet item.

## New Era Opening For Federal Agencies and  the Statistical Community

- Shelby Amendment
- HIPAA
**Privacy Rule – 1****st**** time national standards set for to protect privacy**.
- Patriot Act
- Common Rule
- CIPSEA

**Notes:**
Data confidentiality is more important today than at any other time for statisticians.   This places CDAC in a unique role for both educating federal agenices and the public as well as helping guide and influence new research.
Shelby Amendment - government-wide guidelines that "provide policy and procedural guidance to Federal agencies for ensuring and maximizing the quality, objectivity, utility, and integrity of information (including statistical information) disseminated by Federal agencies."  Basically makes federally funded research subject to FOIA.
Health Insurance Portability and Accountability Act – setting precedent for standards on protecting the privacy of individuals relating to medical data.  In 1970s HEW issued their rport on privacy protections.   In 1999 FTC used the same 5 principles of notice, choice/consent, access/participation, enforcement/security, and enforcement when outlining the policies for using the Internet. And OMB followed with similar principles for the federal agencies.
Patriot Act – amended the Family Educational Rights and Privacy Act allows law enforcement to access the student data collected for the purpose of statistical research under the National Education Statistics Act.
Common Rule -  Researchers seeking IRB approval need to demonstrate that adequate steps have been taken to preserve the confidentiality of the survey information collected.  Applies to behavioral sciences.

## Meeting Topics

- Legal issues
- Web sites, publications
- Conferences, meetings
- Disclosure limitation practices
- Preparing files for public use
- Data licensing
- Research Data Centers
- Disclosure Review Boards
- Exploring new research methods

**Notes:**
Review types of discussions that occur at CDAC meetings.

## Data Productswww.fcsm.gov/committees/cdac/

**Brochure**
**Confidentiality and Data Access Issues Among Federal Agencies **
**Checklist on Disclosure Potential of Proposed Data Releases**
**Agencies need to centralize their review of data products for disclosure issues**
**Identifiability in Microdata Files**
**Restricted Access Procedures**
**Panel on Disclosure Review Boards of Federal Agencies**
**Links to Other Sources of Information**

**Notes:**
REVIEW EACH DATA PRODUCT WITH A DESCRIPION.
1) The Brochure explains the methods used by federal agencies to protect data and also some methods for releasing data.  It also explains  what is a data license, What is a certificate of confidentiality, sworn agents Why are they used, which agencies use them.
2) The Checklist on Disclosure Potential of Proposed Data Releases.  This has 6 sections.
Microdata files, tablular data from individuals, tabular data from businesses, and selected references.  Walks the reader through a series of questions to be answered, and depending upon the answers, serves as an objective method for evaluating a proposed data release.  It helps identify identifiers on a file and what methods you could use to mask the sensitive data.  Helps the reader focus on sampling methodology and design as potential areas for inadvertent data disclosure.
3) Idenfiability in Microdata files – what is an identifier
4) Restricted Access Procedures – The confidentiality of data can also be protected by setting conditions upon which authorized persons can use sensitive data.  What goes on inside these RDCs.  What can a researcher do at an RDC and what they cannot do.  What can be taken out of an RDC.  How does one apply and obtain access.
5) Panel on Disclosure Review Boards – How they work, what is the decision process they engage in, what is common and what is different across agencies.6) Links to other sources – ASA Privacy and Confidentiality Committee website
CIPSEA legislation

## New Data Confidentiality Product	

- Developed software to perform an audit of the suppression patterns for tabular data
- Available for download from website beginning January, 2004
- www.fcsm.gov/committees/cdac

**Notes:**
As a follow on activity from SW #22 CDAC began a project 2 years ago to develop software for performing an audit of the suppression pattern for tabular data.   CDAC plans to post the documentation and software on their website next year.  Here to tell you more about this latest data product is my colleague, Mark Schipper.