national statistician’s guidance...national statistician’s guidance | 5objectives 1. this...

NatioNal StatiSticiaN’S GuidaNce:

Confidentiality of Official Statistics

iSBN 978 1 85774 692 1

NatioNal StatiSticiaN’S GuidaNce:

Confidentiality of Official Statistics

2 | National Statistician’s Guidance

ISBN 978-1-85774-692-1

the National StatisticianThe National Statistician – a statutory office holder – is also the Chief Executive of the UK Statistics Authority Board and the Board’s principal adviser on:

• thequalityofofficialstatistics• goodpracticeinrelationtoofficialstatistics,and• thecomprehensivenessofofficialstatistics

SheisalsotheHeadoftheGovernmentStatisticalService(GSS)whichisanetworkofprofessionalstatisticiansandtheirstaffoperatingbothwithintheOfficeforNationalStatisticsandacrossmorethan30othergovernmentdepartmentsandagencies.

enquiriesForenquiriesaboutthecontentofthispublication:Tel:02070142350Email:[email protected]

copyright and reproduction©Crowncopyright2009ThismaterialissubjecttoCrownCopyrightprotection.ForinformationonONScopyrightandonreproducingorredistributingONSmaterial,see

www.ons.gov.uk/copyright/index.html

Lastreviewed:August2009

National Statistician’s Guidance | 3

introduction 4

objectives 5

overview 5

Principle 5 and associated practices 6

annex a: declaration of confidentiality in official Statistics 20

annex B: declaration of confidentiality in official Statistics [third‑party Staff] 22

annex c: Register of exemptions 24

contents


Dame Karen Dunnell DCB National Statistician

Edition 1.0 of the Code of Practice for Official Statistics was published in January 2009. It provides a benchmark of good practice for all bodies producing official statistics. Complying with the Code will help provide assurance that official statistics have been produced to high standards and that they serve the public good. It will also help raise trust and confidence in those statistics.

This supplementary guidance to the Code is intended to help producers of statistics, other officials and ministers to interpret, understand and implement the Code. It should be viewed as supporting documentation and should not be regarded as prescriptive.

It is anticipated that the guidance will be reviewed and updated periodically, in response to experiences of using it as well as to reflect possible updates to the Code itself. Comments on this first edition of the guidance would therefore be most welcome.

August 2009

Introduction


objectives

1. Thisdocumentprovidesguidancetoallproducersofofficialstatisticsoninterpretingandimplementingthe‘Principles’and‘Practices’intheCodeofPracticeforOfficialStatisticswhichrelatetotheconfidentialityofthosestatistics.

2. CompliancewiththeCodewillhelpprovideassurancetodataprovidersthattheirprivateinformationwillbeprotectedandusedonlyforstatisticalpurposes.

3. Pleasenotethatreferencestothe‘HeadofProfessionforStatistics’arealsointendedtorefertotheequivalentleadofficialineachorganisation.

overview

4. The‘FundamentalPrinciple’ofconfidentialityinofficialstatisticsinEuropewasestablishedformallyin1992bytheUnitedNationsEconomicCommissionforEurope(UNECE)1.ThesixthFundamentalPrinciplesays:

Individualdatacollectedbystatisticalagenciesforstatisticalcompilation,whethertheyrefertonaturalorlegalpersons,aretobestrictlyconfidentialandusedexclusivelyforstatisticalpurposes.

5. Theconfidentialityprinciple–Principle5–intheCodeofPracticeforOfficialStatistics(hereafterreferredtoas‘theCode’)issubstantiallythesameasthesixthUNFundamentalPrinciple.Bothprovideaconfidentialityguarantee,andbothlimittheusesofdatacompiledforofficialstatisticstostatisticalpurposesonly.

1 www.unece.org/stats/archive/docs.fp.e.htm


6. Thisguidanceisnotintendedtotaketheplaceofappropriatelegaladvice.Itisessentialthatproducersconsultwithlawyerstoensurethatprocessingofinformationislawful.Inparticularproducersneedtoensurethatallprocessingofdataiscompliantwithhumanrightslaw;theDataProtectionActforpersonaldataandanyotheractconcerningthelawfulcollectionofdata(forexample,theStatisticsofTradeActforbusinessdata).Itisalsoessentialthatthisguidanceistreatedasactinginconjunctionwiththelegaladvicegiven.

Principle 5 and associated practices

Principle5: Privateinformationaboutindividualpersons(includingbodiescorporate)compiledintheproductionofofficialstatisticsisconfidential,andshouldbeusedforstatisticalpurposesonly.

7. TheCodeputs‘privateinformation’intothescopeoftheconfidentialityguarantee.Informationthatislawfullyinthepublicdomainandreadilyavailabletothepublicdoesnot,underthisCode,automaticallybecomeconfidentialwhenitisusedtoproduceastatistic.Newlegalacts(forexample,theFreedomofInformationAct,Re-useofPublicSectorInformationRegulations2,INSPIREDirective3,EnvironmentalInformationRegulations4)haveremovedconfidentialityobligationsfromsomeinformationsources.Atthesametime,technologyhasmadethisinformationreadilyavailabletomostpeople(forexample,GoogleMaps,CompaniesHouseDirect5).Ithasbecomeuntenabletoguaranteeconfidentialitytoinformationthatislawfullyavailableto,andreadily

2 www.opsi.gov.uk/si/si2005/20051515.htm

3 http://inspire.jrc.ec.europa.eu/

4 www.opsi.gov.uk/si/si2004/20043391.htm

5 www.companieshouse.gov.uk/toolsToHelp/chdDirectInfo.shtml


accessibleby,membersofthepublic.TheStatistics and Registration Service Act 2007reflectsthischangebymakinganexceptiontoitsconfidentialityruleforinformationthathasalreadylawfullybeenmadeavailabletothepublic.ThenewRegulationforEuropeanStatisticsalsoexcludespublicdomaininformationfromitsdefinitionofstatisticalconfidentiality.

8. What,then,is‘privateinformation’?Thisprincipleappliestoinformationthat:

• relatestoanidentifiablelegalornaturalperson,and

• isnotinthepublicdomainorcommonknowledge,and

• ifdisclosedwouldcausethemdamage,harmordistress

9. Inparticular,producersofofficialstatisticsshouldbeawareoftheexpectationindividualsmayhavewhentheirinformationisusedtoproducestatistics.Informationrelatingtoanindividualshouldbeconsideredbyaproducerofstatisticstobe‘private’ifitwas:

• providedwiththeexpectationthattheinformationwouldbekeptoutofthepublicdomain

10. Further,legislationmayspecifythatcertaininformationisprivate(a‘prohibitionondisclosure’6)andsuchinformationisofcoursesubjecttothisprinciplewhetherornottheaboveconditionsforprivateinformationarerelevant.

11. A‘legalperson’isacompany,enterprise,orotherorganisationthathasalegalidentity.A‘naturalperson’isamemberofthepublic.Wheretheterm‘individual’isusedintheCodeitmeansbothlegalandnaturalpersons,bothlivinganddead.

6 www.dca.gov.uk/StatutoryBarsReport2005.pdf


12. TheCodedoesnotextenditsconfidentialityguaranteetosocially-definedorself-definedgroups.Forexample,agroupformulatedforthepurposeofpolicyformulationingovernmentisnotofitselfguaranteedconfidentialityandthegroupcanbeidentifiedinofficialstatistics.However,theindividualswithinthegroupdoenjoytheguarantee,andtheirindividualidentityandtheprivateinformationthatmakesthempartofthis(oranother)groupisconfidential.

13. Officialstatisticsareoftenproducedfromtheadministrativedatasourcesandmanagementinformationsystemsthatorganisationsneedinordertocarryouttheirprimaryadministrativeandoperationalfunctions.Similarlysomesurveyshaveadualstatisticalandadministrativerole7.Principle5shouldnotbereadsoastosuggestithasabackward-reachingeffectontheprimaryadministrativedatasource.Merelybecauseanofficialstatisticisderivedfromthemdoesnotmeanthattheadministrativedataholdingsofanorganisationcannowbeusedonlyforstatisticalpurposes.Itseffectwilldependonthecircumstances.Forexample,ifstatisticsproducersinanorganisationextractsnapshotsfromanadministrativedatabaseorsurvey,orreceivefeedsfromadynamicadministrativeinformationsystem,thentheeffectofthisCodeistorequirethattheinformationtakenoutforstatisticalcompilationshouldbeusedforstatisticalpurposesonly.

7 Forexample,theAgricultural Statistics Act 1979 www.opsi.gov.uk/RevisedStatutes/Acts/ukpga/1979/cukpga_19790013_en_1


14. Officialswithstatisticalskillsandtoolsmightusethemtoextractandanalyseinformationfortheadministrativepurposesoftheorganisation(forexample,totargetindividualfraudulentnon-payersoftax).ThisisnotforthepurposeofstatisticalcompilationandthusisoutsidethescopeoftheCode.ProducersofofficialstatisticsinvolvedinadministrativefunctionsshouldseekguidancefromtheNational Statistician’s Code of Conduct8and,morespecifically,the National Statistician’s Guidance: Use of Administrative and Management Information.

Principle5,Practice1: Ensure that official statistics do not reveal the identity of an individual or organisation,oranyprivateinformationrelatingtothem,takingintoaccountotherrelevantsourcesofinformation.

Mostrelevantto: • seniorofficersresponsibleforpublishingstatisticsintheirfinalform

• expertsinstatisticaldisclosurecontrol,statisticaldesign,andinformationlaws

15. ThispracticerequirementdeliversthefirstelementofthePrinciple.Confidentialitywillbemaintainedbynotrevealingtheidentityofapersonnoranyprivateinformationrelatingtothem.

16. TheEuropeanArticle29WorkingPartyOpinion9 on the concept of personal data provides an authoritative source of guidanceforthemeaningof‘identify’and‘relatingto’.

8 TobepublishedSeptember2009

9 http://ec.europa.eu/justice_home/fsj/privacy/docs/wpdocs/2007/wp136_en.pdf


17. Astatisticwillnotusuallydirectlyrevealtheidentityofanindividual,butmoreusuallytheriskisthatthestatisticmaymakeanindividualidentifiable–theindividualhasnotyetbeenidentified,butitmaybepossibletodoso.Thereareagreatnumberofconceivablecircumstancesbywhichanindividualmaybeidentifiableinastatisticbutthesemaybegroupedinto‘intruderscenarios’forthepurposeofoutputdesign10.

18. Whendoesinformation‘identify’anindividual?TheOpinionoftheworkingpartywasthataccountshouldbetakenofthe‘meanslikelyreasonablytobeused’ toidentifyanindividual.Thusthehypotheticalbutremotepossibilityofidentificationisnotsomethingthatautomaticallymakesastatisticdisclosive.Thedesignandselectionofintruderscenariosshouldbeinformedbythemeanslikelyreasonablytobeusedtoidentifyanindividualinthestatisticand,therefore,thesewillvaryaccordingtothetopicofthestatistic,itsuses,andotherfactors.

19. InthisOpinion,information‘relatesto’anindividualif:

• itisbiographicalordescriptiveoftheindividual,or

• itisinformationusedtotreat,measureorevaluatethebehaviouroftheindividual,or

• theuseoftheinformationwillhaveadirectimpactonthe individual

20. TheUKInformationCommissionerhasproducedausefulquickreferenceguideonthesubjectwhichcontainsadecisiontreeforestablishingifinformationispersonaldata11.

21. Thispracticestatementrequiresproducersofofficialstatisticstotakeaccountofothersourcesofinformationwhenconsideringdisclosurerisk.Thesesourcesmaybepublicorprivatebuttherelevanceofthemisdeterminedbywhethertheyarelikelyreasonablytobeusedtoidentifyanindividualandrevealinformationaboutthem.GuidanceondeterminingtherelevanceofanothersourceofinformationisincludedintheadviceissuedtomembersoftheGovernmentStatisticalService(GSS)11.

10 www.knowledgenetwork.gsi.gov.uk/statnet/statnet.nsf/RefDocs/DBHL-6ZYFQN?OpenDocument

11 What is personal data? – A quick reference guide, availabletodownloadfrom: www.ico.gov.uk/tools_and_resources/document_library/data_protection.aspx


22. Somesurveysaskfortheconsentofrespondentsfordisclosureofsomeoftheinformationobtained.ThatpracticeshouldnotbeseenasconflictingwiththePractice1statement.Informationthattherespondentconsentstobeforpublicationinastatisticalreleaseisnotconsideredbytherespondenttobeprivateinformation,andtheconfidentialitycommitmentdoesnotthereforeapply.

Principle5,Practice2: Keepconfidentialinformationsecure.OnlypermititsusebytrainedstaffwhohavesignedadeclarationcoveringtheirobligationsunderthisCode.

Mostrelevantto: • informationassetowners

• informationsystemsproviders

• humanresourcesandstafftrainingproviders

23. ThereportonData Handling Procedures in Government providesabenchmarkforkeepinginformationsecure12.Allproducersofofficialstatisticscanbeexpectedtoapplyfullytheminimummandatorymeasuressetoutinthatreport.

24. Anyinformationusedtoproduceofficialstatisticsthatrelatestoidentifiablepersonsshouldbeprotectivelymarked.Usuallythismarkingwillbe‘PROTECT’butforlargevolumesofindividualconfidentialrecordsthemarkingmaybe‘RESTRICTED’.

12 www.cabinetoffice.gov.uk/reports/data_handling.aspx


25. CabinetOffice(CO)guidancestatesthattheinformationassetofficer(IAO)mustbeaseniormanagerwithdaytodayresponsibilityforbusinessfunctionsrelatedtotheinformationasset.COsuggestthatthiswouldnormallybeatSeniorCivilService(SCS)level.IftheHeadofProfessionforStatistics(orequivalentleadofficial)isamemberoftheSCS,thentheorganisationmightconsidermakingthemtheirIAOforinformationobtained,orextracted,toproduceofficialstatistics.Alternatively,therelevantSCSmemberresponsibleforowningthedataandmanagingthestatisticalareamightbeappointedIAO.

26. ItisanabsoluterequirementoftheCodethatonlypersonswhohaveundergonesuitabletrainingandwhohavesignedadeclarationoftheirobligationstoconfidentialitycanuseconfidentialinformationforofficialstatisticspurposes.Organisationsshouldconsiderhowthispracticerequirementmightextendtocontractors,consultants,researchers,andotherthird-partyindividualswhohandlepersonalinformation.Somethirdparties(servicedeliverypartners)willbeproducersofofficialstatisticsandsubjecttothispracticestatementand,therefore,thestaffwillalreadyhavesignedadeclarationandhadtraining.Someproducersofofficialstatisticswillnothandlepersonalinformation.ItisfortheHoPtodecideiftheyshouldsignadeclaration.


27. SimilarlyitisfortheHoPtodeterminehowtoimplementtherequirementfortrainingofstaffinvolvedintheproductionofofficialstatistics.Wheresuchtrainingisalreadyinplace,ittypicallyprovidesbothageneralbackgroundtotheCode,departmentalpolicy,informationlaws,andconductwithinthestatisticalprofession,andalsosomespecificelementstoensuretheparticularlocalrulesandpoliciesrelatingtostatisticalproductionareunderstood.Decisionsshouldalsobemadeaboutwhethertoincludetrainingaspartofstaffinductionand/orperiodicallythereafter,asnecessary.Itwouldbereasonablefortrainingtobeproportionatetotherisks(thatis,theimpactandlikelihood)ofdisclosureordataloss,andtotakeaccountofpriorlearning,experience,andthenatureoftheemployinginstitution.Organisationsmayalsoconsiderthatthetrainingforstaffalreadyrequiredbythereport on Data Handling Procedures in GovernmentmaybeadaptedoradoptedtomeettherequirementsofthisPrinciple.

28. ExamplesofstandarddeclarationsforpersonshandlingpersonalinformationforofficialstatisticscanbefoundinAnnexesAandB.HoPsshouldconsiderissuingdeclarationsorequivalents,perhapsaspartoftrainingorinduction,tospecificallyaddresstheconfidentialityobligationsintheCode.Thepracticestatementdoesnotaddressrenewingthedeclaration,butHoPsmightconsiderlinkingthere-signingofthedeclarationwiththecycleoftrainingtheirstaffundertake.

29. Organisationsmustconsultinternallytoensurethatdeclarationsareinaformthatiscompatiblewiththetermsandconditionsofstaffemployment.Wherepossible,declarationsshouldbeconsideredareiterationofexistingemploymentcontractorCivil Service Codecommitments,andnotanextensionofthem.Itislikelytobethecaseinmanyorganisationsthatthedeclarationwillnotintroduceanewconditionandrelateddisciplinarymeasure,butwillinsteadbringoutforparticularattentionthoseparticularconditionsthatapplytoworkingundertheCode.


Principle5,Practice3: Informrespondentstostatisticalsurveysandcensuseshowconfidentialitywillbeprotected.

Mostrelevantto: • surveyandcensusmanagers

• PrivacyImpactAssessments

30. Surveygoodpracticedictatesthatsurveyrespondentsshouldbeinformeddirectlyofthepurposesofaninquiry.Thisshouldincludethepurposesofotherpartieswhomaybegivenresearchaccesstothedatainitsconfidentialform,theidentitiesofsurveypartnersormembersofconsortiumswhowillusethedatainthatform,andfordualpurposesurveysanynon-statisticalusesthedatawillbeusedfor.Thepracticestatementrequiresthatrespondentsareinformedabouthowconfidentialitywillbeprotectedunderthosecircumstances.Thepracticestatementalsorequiresthatthewaytheinformationatpublicationisprotectedisalsoprovided.

31. Thereisabalancetobeachievedbetweenprovidingenoughinformationtobefairtotherespondent,yetnotsomuchastooverwhelmtherespondentwithinformation.

32. AswithanyothergovernmentICTsystem,allsurveyandcensussystemsthatcollectprivateinformationaboutindividualsarerequiredtohaveaPrivacyImpactAssessment(PIA)whenthereisasignificantchangetothesystem,orotherwisewithinfiveyears.TheInformationCommissioner’sOfficeprovidesaguidetoPIAs13.

33. Itisgoodpracticetoprovideinformationtothepublicingeneralabouthowconfidentialityisprotected.TheOfficeforNationalStatistics,forexample,publishesaSurveyCharter14 andadvanceleafletsforeachofitssocialsurveys.

13 www.ico.gov.uk/for_organisations/topic_specific_guides/pia_handbook.aspx

14 www.statistics.gov.uk/about/ons/survey_charter.asp


34. Theinformationprovidedtorespondentsshouldbetreatedasabindingpromiseabouthowtheirdatawillbeused.Ifitisthoughtnecessarytobreachthispromise,theproceduresetoutinthefifthpracticestatementisrelevant.

35. Whileoutsidethescopeofthispracticestatement,itisrelevanttomentionthat,undertheFirstandSecondDataProtectionPrinciples,theuseofadministrativedatacollectionsforstatisticsandresearchpurposesshouldbeincludedinthefairprocessingnoticesgiventodatasubjects.

Principle5,Practice4: Ensurethatarrangementsforconfidentiality protection are sufficient to protect the privacy of individual information,butnotsorestrictiveastolimitundulythepracticalutilityofofficialstatistics.Publishdetailsofsucharrangements.

Mostrelevantto: • seniorofficersresponsibleforpublishingstatisticsintheirfinalform

• expertsinstatisticaldisclosurecontrol,statisticaldesign,andinformationlaws

36. ThesixthUNFundamentalPrincipleforconfidentialityreferredtointheoverviewisbalancedbythefirstUNPrinciplewhichsays‘…officialstatistics that meet the test of practical utilityaretobecompiledandmadeavailableonanimpartialbasisbyofficialstatisticalagenciestohonourcitizens’entitlementtopublicinformation.’

37. Practice1withinPrinciple5oftheCodewouldbeeasytoachievewithoutthisneedforbalance.Producersofofficialstatisticsaretoconsidertherisktoconfidentialityinrelationtotheutilityofthestatistic.Insomecases,thegreatertheutilityofthestatistic,thegreatertherisktoconfidentiality.


38. Thispracticestatementsuggeststhatthedesignofastatisticshouldachievetheobligationtoprotectagainstdisclosurebutthenshouldbeoptimisedtoincludeasmuchdetailinthestatisticasisreasonablypossible.ThisisachangefromtheformerCode,whichrequiredthatthedisclosurecontrolsettingsshouldbeasextensiveaspossiblewhilestillmeetingspecificuserneeds.

39. Theobligationtomakedisclosurecontrolmethodssufficient,yetnotoverlyrestrictive,makestheselectionofdisclosurecontrolmethodimportantbecausewhileanymethodcanbesettoachieveconfidentialityprotection,somemethodsachievebetterutilityforthesamelevelofprotection.TheGSSguidancereferencedinfootnote10providesadviceondevelopingconfidentialityrulesandtheselectionofmethods.

40. Thepracticestatementrequiresthattheselectionofmethodstobalancedisclosureriskandutilityforanofficialstatisticaretobepublished,perhapsaspartofthemetadataforthestatistic.However,itisimportanttoensurethatthemethodisnotdescribedinsuchdetailastoaddtotheriskofdisclosure,bygivinganintrudertheinformationneededtounderminetheprotection.

Principle5,Practice5: SeekpriorauthorisationfromtheNational Statistician or Chief Statistician inaDevolvedAdministrationforanyexceptions,requiredbylaworthoughttobeinthepublicinterest,totheprincipleofconfidentialityprotection.Publishdetailsofsuchauthorisations.

Mostrelevantto: • officialsresponsibleforlegalissues,FreedomofInformationrequests,otherrequestsforaccess

• HoPs(orequivalentleadofficials)

• NationalStatisticianandchiefstatisticians


41. Therearecircumstanceswherethelaweitherrequiresorpermitsthedisclosureofprivateinformation.

42. Itisimportanttodistinguishbetweenalegal‘obligation’andalegal‘power/authority’todiscloseprivateinformation.

43. Examplesofalegalobligationareacourtorder,oradecisionnoticeissuedbytheInformationCommissioner.Inalmosteverycasetherewillbearighttoahearingoranappeal,anditisappropriatetousetheselegalprocessestodefendtheprincipleofconfidentiality.Shouldthehearingorappealbelost,theinformationshouldbedisclosedwiththepriorknowledgeandauthorisationoftheNationalStatisticianorthechiefstatisticianintherelevantdevolvedadministration.

44. TheDataProtectionActandotherlegalprovisionsallowforthedisclosureofprivateinformationincertaincircumstances.Somestatisticalstatutesincludediscretionarygatewaysfor non-statistical uses15.Whenthedisclosureofprivateinformationislawfulbutdiscretionaryitbecomesamatterofbalancingthepublicinterestinthedisclosure.

45. Forexample,itwillusuallybelawful,butdiscretionary,toprovidethepolicewithprivatestatisticalinformationthoughttoberelevanttoacriminalinvestigation.Innormalcircumstancesitisappropriatetorefusetoprovideprivateinformationobtainedforstatisticalpurposesuntilthepoliceprovideacourtorderorotherinstructionwithlegalforce.Insomecircumstancesthebalanceofpublicinterestindisclosuremayoutweighthepublicinterestinstatisticalconfidentiality.Ifso,thatrecommendationshouldbemadetotheNationalStatistician/chiefstatistician,andactedupononlywiththeirauthorisation.ArecordwillbemaintainedbytheNationalStatistician/chiefstatisticians.

15 www.opsi.gov.uk/acts/acts2007/ukpga_20070018_en_3#pt1-pb11-l1g39.SeeS39(4)


46. Anothercircumstancethatmayariseiswherethroughstatisticalanalysisamatterisidentifiedthatisimportanttothevitalinterestsofanindividualorgrouporeventhewiderpopulation.Aproducerofofficialstatisticsmayconsiderthatthedisclosureofprivateinformationwouldbeinthesubstantialpublicinterestorwouldsubstantiallybenefitthepersonalsafetyorhealthofanindividual,ortheiraccesstojustice.Ifso,thatrecommendationshouldbemadetotheNationalStatistician/chiefstatisticianandactedupononlywiththeirauthorisation.

47. AnnexCcontainstheregisterofexemptionsthatlistsanumberofknownandpermanentexemptionstothegeneralprinciplesofconfidentialityandstatisticalpurposesonly.TheregisterofexemptionswasassociatedwiththeformerNational Statistics Code of Practiceandthesewillbecarriedover.

Principle5,Practice6: Ineverycasewhereconfidentialstatisticalrecordsareexchangedforstatisticalpurposeswithathirdparty,preparewrittenconfidentialityprotectionagreementscoveringtherequirementsunderthisCode.Keepanoperationalrecordtodetailthemannerandpurposeoftheprocessing.

Mostrelevantto: • officialsresponsiblefordataaccess/sharingarrangements.


48. Thispracticestatementsuggeststwolevelsofdocumentation.First,itsuggeststhereshouldbeanoverarchingagreementthatoutlinestheservicesanddatatobeexchanged,andthepurposesandstandardsforthatuseoftheprivateinformation.Second,perhapsappendedtotheconfidentialityprotectionagreement,thereshouldbeanoperationalrecordtodetaileach instance of transfer to the third party to achieve completenessofaudit.Compliancewithdataprotectionlaw,and/ortheGovernment Security Policy Framework,mayalreadyrequirethisdocumentation.TheDataHandlingReviewminimummandatoryrequirementsobligeallinformationassetownerstomaintainriskassurancewhenconfidentialstatisticalrecordsareprovidedtothirdparties.TheReviewrequiresthatasetofdocumentsismaintainedtosetouthowriskassuranceistobedeliveredwhenprotectivelymarkeddataisshared.

49. Itisinevitablethattransferofdatatothirdpartiesintroducessomedegreeofrisk.Onepurposeofthedocumentationistodescribehowthatriskwillbemanaged.Failuretoproperlyexploitthepotentialofinformationisalsoarisk,soafurtherpurposeofthedocumentationshouldbetorecordthepublicgoodarisingfromtheshareduseofthedata.

50. Researchaccesstodataisanimportantfeatureofastatisticalsystem.InthecaseoftheOfficeforNationalStatistics(ONS),this is expressed in the Statistics and Registration Service Act 2007whichsaysresearchaccessshouldbepromotedandassisted,includingbyprovidingaccesstoprivateinformationshouldthatbenecessaryandproportionatetotheresearchproposal.AsguidancetothispartoftheCode,organisationsareadvisedthatconfidentialityprotectionagreementsandoperationalrecordsshouldcapturethesuitabilityoftheresearcher;theresearchproject;andtheorganisationalandtechnicalenvironmentinwhichtheaccesswilltakeplace(safeperson,safeproject,safeplace).

51. Itisgoodpracticetopublishthecriteriabywhichaccesstodataforresearchpurposesmaybegranted.TheONSApproved Researchercriteriaisanexample16.

16 www.ons.gov.uk/about/who-we-are/our-services/unpublished-data/access-to-ons-data-service/index.html


annex a

declaration of confidentiality in official Statistics

‘Private information about individual persons (including bodies corporate) compiled in the production of official statistics is confidential, and should be used for statistical purposes only.’

IhavereadtheabovePrincipleandtheconfidentialitypracticestatementsintheCode of Practice for Official Statistics.

IwillseektheadviceofGovernmentStatisticalServicecolleaguesortheguidanceofmyHeadofProfessionforStatistics(ortheequivalentleadofficial)ifIamunclearabouthowtoapplythisprincipleinmywork.

WherethereisdoubtaboutthescopeofthisDeclarationinmyworkIwillseekclarityinwritingfrommyHeadofProfession(ortheequivalentleadofficial).

Inparticular,Iwillensure:

• officialstatisticsdonotrevealprivateinformationaboutindividuals

• privateinformationforofficialstatisticsisusedforstatisticalpurposes only

• privateinformationforofficialstatisticsiskeptsecure

• privateinformationforofficialstatisticsissharedonlyaccordingtowrittenagreements

• confidentialityismaintained


Iconsidermyselftobesufficientlywelltrainedtoupholdtheconfidentialityprincipleinmywork.IacknowledgethatIdonothavetheauthoritytobreachtheseobligationsotherthanwiththespecificandwritteninstructionofmyHeadofProfession(orequivalent).

Iam CopytoHeadofProfession

Signature ________________ Name __________________

Name ________________ [HoPcontactdetails]

Date ________________


annex B

declaration of confidentiality in official Statistics [third‑party staff]

‘Private information about individual persons (including bodies corporate) compiled in the production of official statistics is confidential, and should be used for statistical purposes only.’

IhavereadtheabovePrincipleandtheconfidentialitypracticestatementsintheCode of Practice for Official Statistics.

IwillseekadvicefromthesourcesnamedintheConfidentialityProtectionAgreementifIamunclearabouthowtoapplythisprincipleinmywork.

WherethereisdoubtaboutthescopeofthisDeclarationinmywork,IwillseekclarityinwritingfromthesignatorytotheConfidentialityProtectionAgreement.

Inparticular,Iwillensure:

• officialstatisticsdonotrevealprivateinformationaboutindividuals

• privateinformationforofficialstatisticsisusedforstatisticalpurposes only

• privateinformationforofficialstatisticsiskeptsecure

• privateinformationforofficialstatisticsissharedonlyaccordingtowrittenagreements

• confidentialityismaintained


Iconsidermyselftobesufficientlywelltrainedtoupholdtheconfidentialityprincipleinmywork.IacknowledgethatIdonothavetheauthoritytobreachtheseobligations.

Iam Copytosignatorytothe ConfidentialityProtectionAgreement

Signature ________________ Name __________________

Name ________________ [contactdetails]

Date ________________


annex c

Register of exemptions

i. UnderaMinisterialDirectionoranoticefromtheChancelloroftheExchequer,asdelegatedtotheUKStatisticsAuthority,informationcollectedbytheOfficeforNationalStatistics(ONS)undertheStatisticsofTradeActmaybedisclosedforusebythegovernmentdepartmentorlocalauthorityauthorisedby,andforpurposesspecifiedin,thatdirectionornotice.

ii. Confidentialcommercialinformationmaybedisclosedundertheprovisionsofthefoundinglegislationofspecificbodiesoragencies,suchastheEnvironmentAgency.

iii. CertaininformationmaybedisclosedtolocalplanningauthoritieswithinthemeaningoftheTownandCountryPlanningActs.

iv. AdministrativedataheldbyONSontheInter-departmentalBusinessRegister(IDBR),andwhichhasnotbeenverifiedundertheStatisticsofTradeAct,maybedisclosedtoanygovernmentdepartmentfortheconductofstatisticalsurveys.InformationheldbyONSontheIDBRwhichhasbeenverifiedundertheStatisticsofTradeActissubjecttotheprovisionsinparagraph(i)ofthisannex.CertaininformationfromtheIDBRcanalsobemadeavailabletocertainnon-departmentalbodieswithstatutoryfunctions.DetailsmaybeobtainedfromONSLegalServices(OfficeforNationalStatistics,SegensworthRoad,Titchfield,Fareham,PO155RR).

v. CommercialinformationmaybeusedincriminalproceedingsforanyoffenceundertheStatisticsofTradeAct,orforareportofproceedings.

vi. Inthecaseofoverseastradestatistics,UKandEuropeanlegislationandconventionpermit‘passiveconfidentiality’tobeapplied.


vii. Censusreturnslessthan100yearsoldareclosedtothepublic.TheNationalArchive,followingtheintroductionoftheFreedomofInformationActinJanuary2005,nowconsiderapplicationsforthepartialdisclosureofpersonalinformationfromthe1911Census.

viii.DisclosureofpersonalinformationcollectedinthecensusmaybepermittedincourtinthecaseofprosecutionsunderthetermsoftheStatistics and Registration Service Act 2007.

ix. HerMajesty’sRevenueandCustoms(HMRC)providessomegovernmentdepartmentswithlimitedinternationaltradeinformationrelatingtoenergy,includingdetailsabouttraders.

x. TheAgricultureStatisticsActallowsthedisclosureofinformationcollectedunderthatacttogovernmentdepartments,planninganddevelopmentauthorities,theFoodStandardsAgency,someEUinstitutions(undersection12 of the European Communities Act 1972),forcriminalproceedingsorwheretheSecretaryofStatebelievesitisinthepublicinterest.

xi. Informationrelatingtoanindividualmaybegivenuptothatindividual,throughasubjectaccessrequestmadeunderthetermsoftheData Protection Act 1998.

xii. Since2005,undertheEnvironmentalInformationRegulations,publicbodieshavebeenobliged,onrequest,toreleaseinformationonemissions,andotherinformationwherethereisnogoodreasonnotto.

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