Westat, Inc.

Employee Or Contractor’s Assurance Of Confidentiality Of Survey Data

Statement Of Policy

Westat is firmly committed to the principle that the confidentiality of individual data obtained through Westat surveys must be 

protected. This principle holds whether or not any specific guarantee of confidentiality was given at time of interview (or self-response), 

or whether or not there are specific contractual obligations to the client. When guarantees have been given or contractual obligations 

regarding confidentiality have been entered into, they may impose additional requirements which are to be adhered to strictly. 

Procedures for Maintaining Confidentiality

1. All Westat employees and field workers shall sign this assurance of confidentiality. This assurance may be superseded by 

another assurance for a particular project. 

2. Field workers shall keep completely confidential the names of respondents, all information or opinions collected in the course of 

interviews, and any information about respondents learned incidentally during field work. Field workers shall exercise 

reasonable caution to prevent access by others to survey data in their possession. 

3. Unless specifically instructed otherwise for a particular project, an employee or field worker, upon encountering a respondent or 

information pertaining to a respondent that s/he knows personally, shall immediately terminate the activity and contact her/his 

supervisor for instructions. 

4. Survey data containing personal identifiers in Westat offices shall be kept in a locked container or a locked room when not being 

used each working day in routine survey activities. Reasonable caution shall be exercised in limiting access to survey data to 

only those persons who are working on the specific project and who have been instructed in the applicable confidentiality 

requirements for that project. 

Where survey data have been determined to be particularly sensitive by the corporate officer in charge of the project or the 

president of Westat, such survey data shall be kept in locked containers or in a locked room except when actually being used and 

attended by a staff member who has signed this pledge. 

5. Ordinarily, serial numbers shall be assigned to respondents prior to creating a machine-processible record and identifiers such as 

name, address, and social security number shall not, ordinarily, be a part of the machine record. When identifiers are part of the 

machine data record, Westat’s manager of data processing shall be responsible for determining adequate confidentiality 

measures in consultation with the project director. When a separate file is set up containing identifiers or linkage information 

which could be used to identify data records, this separate file shall be kept locked up when not actually being used each day in 

routine survey activities. 

6. When records with identifiers are to be transmitted to another party, such as for keypunching or key taping, the other party shall 

be informed of these procedures and shall sign an assurance of confidentiality form. 

7. Each project director shall be responsible for ensuring that all personnel and contractors involved in handling survey data on a 

project are instructed in these procedures throughout the period of survey performance. When there are specific contractual 

obligations to the client regarding confidentiality, the project director shall develop additional procedures to comply with these 

obligations and shall instruct field staff, clerical staff, consultants, and any other persons who work on the project in these 

additional procedures. At the end of the period of survey performance, the project director shall arrange for proper storage or 

disposition of survey data including any particular contractual requirements for storage or disposition. When required to turn 

over survey data to our clients, we must provide proper safeguards to ensure confidentiality up to the time of delivery. 

8. Project directors shall ensure that survey practices adhere to the provisions of the U.S. Privacy act of 1974 with regard to 

surveys of individuals for the federal government. Project directors must ensure that procedures are established in each survey to 

inform each respondent of the authority for the survey, the purpose and use of the survey, the voluntary nature of the survey 

(where applicable) and the effects on the respondents, if any, of not responding. 

Pledge

I hereby certify that I have carefully read and will cooperate fully with the above procedures. I will keep completely confidential 

all information arising from surveys concerning individual respondents to which I gain access. I will not discuss, disclose, disseminate, 

or provide access to survey data and identifiers except as authorized by Westat. In addition, I will comply with any additional procedures 

established by Westat for a particular contract. I will devote my best efforts to ensure that there is compliance with the required 

procedures by personnel whom I supervise. I understand that violation of this pledge is sufficient grounds for disciplinary action, 

including dismissal. I also understand that violation of the privacy rights of individuals through such unauthorized discussion, disclosure, 

dissemination, or access may make me subject to criminal or civil penalties. I give my personal pledge that I shall abide by this assurance 

of confidentiality. 

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