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4 4  
5 5  = Document History =
6 6  
7 -(% style="width:1039.96px" %)
8 -|Version|(% style="width:110px" %)Date|(% style="width:856px" %)Comment
9 -|1.0|(% style="width:110px" %)21/8/2015|(% style="width:856px" %)Initial version.
10 -|2.0|(% style="width:110px" %)7/3/2018|(% style="width:856px" %)(((
7 +|Version|Date|Comment
8 +|1.0|21/8/2015|Initial version.
9 +|2.0|7/3/2018|(((
11 11  Replaced the “Embargo: Privileged access” use case confidentiality status to use CONF_STATUS:E instead of CONF_STATUS:N. When this guideline is implemented, the CONF_STATUS:N can no longer be used for this use case (the embargo time is ignored if the CONF_STATUS is N).
12 12  
12 +
13 13  Clarified the document text, removed superfluous text.
14 14  
15 15  Added use of time zone is recommended.
... ... @@ -17,60 +17,74 @@
17 17  
18 18  = Introduction =
19 19  
20 -This paper presents use case scenarios related to confidentiality and embargo in SDMX data exchanges, and provides recommendations on how to represent these elements in the SDMX model. The aim is to provide a consistent and practical way to represent these aspects in SDMX artefacts in order to promote cross-domain consistency, and harmonise methodology and processes.
20 +This paper presents use case scenarios related to confidentiality and embargo in SDMX data exchanges, and provides recommendations on how to represent these elements in the SDMX model. The aim is to provide a consistent and practical way to represent these aspects in SDMX artefacts in order to promote cross-domain consistency, and harmonise methodology and processes.
21 21  
22 +
22 22  Confidentiality aims at protecting data from unauthorised disclosure that could be prejudicial or harmful to the interest of the source or other relevant parties.
23 23  
25 +
24 24  Embargo means that data may become public only after expiry of a pre-defined date and time.
25 25  
28 +
26 26  Embargo establishes a relationship between a set of data (e.g. an observation), a date/time and a group of privileged data recipients.
27 27  
31 +
28 28  Disclosure of data marked as confidential or under embargo is not permitted. Procedures should be in place to prevent such disclosure, including rules for staff, aggregation rules when disseminating data, provision of unit records, etc.
29 29  
34 +
30 30  There needs to be a formal agreement between organisations involved in the exchange of confidential data in order to prepare systems and workflows.
31 31  
37 +
32 32  Data exchange partners are advised to agree up front on the usage of the embargo mechanism(s) for specific data messages.
33 33  
40 +
34 34  The embargo CONF_STATUS value “E” is not recommended for final dissemination to users but only for data exchange.
35 35  
36 36  = Use Cases =
37 37  
38 -This section describes the confidentiality and embargo use cases that are addressed by these guidelines. The use cases and embargo SDMX representations are summarised in annex 1:
45 +This section describes the confidentiality and embargo use cases that are addressed by these guidelines.  The use cases and embargo SDMX representations are summarised in annex 1:
39 39  
40 40  == Use case 1: Non-confidential data ==
41 41  
42 42  Data is available to the public immediately, meaning that data is not confidential and there is no embargo.
43 43  
51 +
44 44  The data’s CONF_STATUS attribute should be set to “Free (free for publication)”.
45 45  
46 -{{box}}SDMX representation
47 -* **CONF_STATUS**: F{{/box}}
54 +|(((
55 +=== SDMX representation ===
48 48  
57 +* **CONF_STATUS**: F
58 +)))
49 49  
50 50  == Use case 2: Confidential data ==
51 51  
52 52  === Exchange of confidential data without embargo nor forwarding to secondary recipients ===
53 53  
54 -One or more observations in the data message are confidential. Embargo does not play a role in this scenario. Depending on arrangements between data exchange partners, this data can be made available to privileged data users.
64 +One or more observations in the data message are confidential. Embargo does not play a role in this scenario. Depending on arrangements between data exchange partners, this data can be made available to privileged data users.
55 55  
56 -The observation’s CONF_STATUS attribute should use a specific code denoting the confidential character of the information. Below are some examples of such confidentiality statuses{{footnote}}For a full list of confidentiality statuses, see https://sdmx.org/wp-content/uploads/CL_CONF_STATUS_1_2_2018.docx{{/footnote}}:
57 57  
58 -* **N**: Not for publication, restricted for internal use only. Used to denote observations that are restricted for internal use only within organisations
59 -* **C**: Confidential statistical information (primary confidentiality) due to identifiable respondents
60 -* **D**: Secondary confidentiality set by the sender, not for publication
61 -* **A**: Primary confidentiality due to small counts
67 +The observation’s CONF_STATUS attribute should use a specific code denoting the confidential character of the information.  Below are some examples of such confidentiality statuses[[~[1~]>>path:#_ftn1]]:
62 62  
69 +* **N**:   Not for publication, restricted for internal use only.  Used to denote observations that are restricted for internal use only within organisations
70 +* **C**:   Confidential statistical information (primary confidentiality) due to identifiable respondents
71 +* **D**:   Secondary confidentiality set by the sender, not for publication
72 +* **A**:   Primary confidentiality due to small counts
73 +
74 +
75 +
63 63  === Forwarding confidential data to secondary recipients ===
64 64  
65 65  A sender sends confidential data to certain primary recipients, and allows those to forward the confidential data to a restricted and pre-defined set of secondary recipients.
66 66  
67 -The observation’s CONF_STATUS attribute should be marked as “Not for publication, restricted for internal use only”. An additional observation-level attribute: CONF_REDIST, defines the secondary recipient(s) to whom the sender allows the primary recipient to forward confidential data{{footnote}}Example: National statistical institute XX reporting data to Eurostat indicates that Eurostat can forward those data to the ECB, IMF and OECD.  More complex use case: The reporting organization specifies that Eurostat can forward those data only to the ECB Statistics Department, thus excluding all other organisations as well as all other ECB departments.{{/footnote}}. See section **Use of the CONF_REDIST attribute** for the appropriate coding of this attribute.
68 68  
81 +The observation’s CONF_STATUS attribute should be marked as “Not for publication, restricted for internal use only”.  An additional observation-level attribute: CONF_REDIST, defines the secondary recipient(s) to whom the sender allows the primary recipient to forward confidential data[[~[2~]>>path:#_ftn2]].  See section **Use of the CONF_REDIST attribute** for the appropriate coding of this attribute.
82 +
83 +
69 69  The forwarding of confidential data is represented as follows in SDMX:
70 70  
71 71  |(((
72 -(% class="wikigeneratedid" id="HSDMXrepresentation-1" %)
73 -SDMX representation
87 +=== SDMX representation ===
74 74  
75 75  * **CONF_STATUS**: N;
76 76  * **CONF_REDIST **(Observation, Conditional): [Organisation(s)];
... ... @@ -85,19 +85,20 @@
85 85  * Allowing privileged access to embargoed data
86 86  * Enabling the frontloading of data into systems
87 87  
102 +
103 +
88 88  **//Allowing privileged access to embargoed data//**
89 89  
90 90  If the goal is to allow the data recipient to have privileged access to embargoed observations in a data message (message), the embargoed observation’s CONF_STATUS attribute should be coded as “E: Not for publication until the embargo time expires; free for publication after the embargo time expires.” with an observation level attribute EMBARGO_TIME (date/time/time zone).
91 91  
92 92  |(((
93 -(% class="wikigeneratedid" id="HSDMXrepresentation-2" %)
94 -SDMX representation
109 +=== SDMX representation ===
95 95  
96 96  * **CONF_STATUS**: E;
97 97  * **EMBARGO**_**TIME** (Observation, Conditional): [timestamp]
98 98  )))
99 99  
100 -Including a time zone is strongly recommended and the best case is to use the UTC (Coordinated Universal Time) time standard. However, if no time zone is provided then the time zone of the recipient is assumed.
115 +Including a time zone is strongly recommended and the best case is to use the UTC (Coordinated Universal Time) time standard. However, if no time zone is provided then the time zone of the recipient is assumed.
101 101  
102 102  These two examples represent the same time for a recipient established in the Central European time zone (e.g. Germany, Norway, Gibraltar):
103 103  
... ... @@ -104,35 +104,46 @@
104 104  * (Recommended) With UTC indicator: 2017-12-15T14:02:29Z
105 105  * With timezone indicator: 2017-12-15T15:02:29+01:00
106 106  
122 +
123 +
107 107  **//Enabling the frontloading of data into systems//**
108 108  
109 -If the goal is to allow frontloading of a whole data message into systems so that the data can be made visible to users at the expiry of the embargo date/time, the header section of the message should contain an embargo date/time attribute. This implies that all information in the data message is under the embargo date/time set in the header. The header attribute EmbargoDate with format date/time/time zone indicates until when the whole data message received cannot be shared with any recipient users.
126 +If the goal is to allow frontloading of a whole data message into systems so that the data can be made visible to users at the expiry of the embargo date/time, the header section of the message should contain an embargo date/time attribute.  This implies that all information in the data message is under the embargo date/time set in the header.  The header attribute EmbargoDate with format date/time/time zone indicates until when the whole data message received cannot be shared with any recipient users. 
110 110  
128 +
111 111  Once the EmbargoDate in the header elapses, each observation’s confidentiality status becomes that which is marked in the CONF_STATUS attributes.
112 112  
113 -Note that this scenario presumes that all data in the message cannot be viewed before the header EmbargoDate, and that there is no privileged access before this time. However, observations may be marked with any other confidentiality status that is valid after the frontloading EmbargoDate elapses.
114 114  
132 +Note that this scenario presumes that all data in the message cannot be viewed before the header EmbargoDate, and that there is no privileged access before this time.  However, observations may be marked with any other confidentiality status that is valid after the frontloading EmbargoDate elapses.
133 +
115 115  |(((
116 -(% class="wikigeneratedid" id="HSDMXRepresentation" %)
117 -SDMX Representation
135 +=== SDMX Representation ===
118 118  
119 119  * **CONF_STATUS**: <Set to the required confidentiality status after the embargo time elapses>; <Header>\<EmbargoDate>: [timestamp]
120 120  )))
121 121  
122 -The two ways of representing embargoed data exist to provide efficiency in the exchange, allow for differentiating data intended to be frontloaded and data aimed to be provided in advance to a restricted audience, and provide flexibility when few observations need to be embargoed in a large data message. The trade-off is the complication of system implementation to support the two representations of embargo, which has to be done locally on a case-by-case basis.
123 123  
141 +
142 +The two ways of representing embargoed data exist to provide efficiency in the exchange, allow for differentiating data intended to be frontloaded and data aimed to be provided in advance to a restricted audience, and provide flexibility when few observations need to be embargoed in a large data message.  The trade-off is the complication of system implementation to support the two representations of embargo, which has to be done locally on a case-by-case basis.
143 +
124 124  = Additional recommendations and examples =
125 125  
126 -In data flows that feature confidential data, CONF_STATUS is highly recommended to be a mandatory attribute. However, if CONF_STATUS is optional in the DSD and missing from an observation, it is always implied to be “F” (free).
146 +In data flows that feature confidential data, CONF_STATUS is highly recommended to be a mandatory attribute.  However, if CONF_STATUS is optional in the DSD and missing from an observation, it is always implied to be “F” (free).
127 127  
128 128  === Use of the CONF_REDIST attribute ===
129 129  
130 -The CONF_REDIST attribute defines the secondary recipient(s) to whom the sender allows the primary recipient to forward confidential data. It is recommended to be an optional attribute at observation level. Ideally it should reference a shared code list containing standard organisation codes. To allow several secondary recipients there are these possibilities:
131 131  
132 -Use a code that represents multiple organisations, or;
151 +The CONF_REDIST attribute defines the secondary recipient(s) to whom the sender allows the primary recipient to forward confidential data.  It is recommended to be an optional attribute at observation level. Ideally it should reference a shared code list containing standard organisation codes. To allow several secondary recipients there are these possibilities:
133 133  
134 -Use several CONF_REDIST attributes to portray the multiple recipients. Each attribute represents one recipient and references the same codelist. This implementation is cleaner than the above point 1, though this will require adding as many attributes to your DSD as there are potential recipients of the redistributed confidential data.
135 135  
154 +1. Use a code that represents multiple organisations, or;
155 +
156 +
157 +
158 +1. Use several CONF_REDIST attributes to portray the multiple recipients.  Each attribute represents one recipient and references the same codelist.  This implementation is cleaner than the above point 1, though this will require adding as many attributes to your DSD as there are potential recipients of the redistributed confidential data.
159 +
160 +
161 +
136 136  If the EMBARGO_TIME and CONF_REDIST attributes are both used:
137 137  
138 138  1. Data is available only to the organisations in CONF_REDIST until EMBARGO_TIME
... ... @@ -139,8 +139,7 @@
139 139  1. Data is available to the public after EMBARGO_TIME
140 140  
141 141  |(% colspan="3" %)(((
142 -(% class="wikigeneratedid" id="HPrivilegedAccess" %)
143 -Privileged Access
168 += Privileged Access =
144 144  )))
145 145  |**Use case**|**No forwarding**|**Forwarding**
146 146  |**Embargo**|(((
... ... @@ -169,6 +169,8 @@
169 169  * The national statistical institutes send data to Eurostat, and allow the data to be shared with the ECB for statistical coproduction
170 170  * The data may only be shared with the public on the next day
171 171  
197 +
198 +
172 172  **CONF_STATUS:**E**;**
173 173  
174 174  **CONF_REDIST: **ECB**;**
... ... @@ -175,31 +175,27 @@
175 175  
176 176  **EMBARGO_TIME=<**T+1 day**, **e.g.** **2017-12-15T10:00:00Z>
177 177  
178 -The solutions suggested above aim at covering the most common confidentiality and embargo use cases within a single transmission from the primary reporter to the primary recipient. However, for some more complex scenarios it might still be required to make multiple transmissions.
179 179  
206 +The solutions suggested above aim at covering the most common confidentiality and embargo use cases within a single transmission from the primary reporter to the primary recipient. However, for some more complex scenarios it might still be required to make multiple transmissions.
207 +
208 +
180 180  It is strongly recommended that use cases are specified in an agreement between organisations involved in regular transmissions up-front in order to avoid unnecessary delay in data publication or – much worse – confidentiality breaches.
181 181  
182 182  **Annex 1: SDMX Representation of the confidentiality use cases**
183 183  
184 184  |(((
185 -(% class="wikigeneratedid" id="HUsecase" %)
186 -Use case
214 +== Use case ==
187 187  )))|(((
188 -(% class="wikigeneratedid" id="HCONF_STATUS28Observation29" %)
189 -CONF_STATUS (Observation)
216 +== CONF_STATUS (Observation) ==
190 190  )))|(((
191 -(% class="wikigeneratedid" id="HAdditionalattributes" %)
192 -Additional attributes
218 +== Additional attributes ==
193 193  )))|(((
194 -(% class="wikigeneratedid" id="HRemarks" %)
195 -Remarks
220 +== Remarks ==
196 196  )))
197 197  |(((
198 -(% class="wikigeneratedid" id="HNon-confidentialdata" %)
199 -Non-confidential data
223 +== Non-confidential data ==
200 200  )))|(((
201 -(% class="wikigeneratedid" id="HF" %)
202 -F
225 +== F ==
203 203  )))|(((
204 204  == ==
205 205  )))|(((
... ... @@ -206,72 +206,58 @@
206 206  == ==
207 207  )))
208 208  |(((
209 -(% class="wikigeneratedid" id="HConfidentialdatawithnoembargo" %)
210 -Confidential data with no embargo
232 +== Confidential data with no embargo ==
211 211  )))|(((
212 -(% class="wikigeneratedid" id="HC3BD3BS3BA3BO3BT3BG3BM3BN" %)
213 -C;D;S;A;O;T;G;M;N
234 +== C;D;S;A;O;T;G;M;N ==
214 214  )))|(((
215 -(% class="wikigeneratedid" id="H-2" %)
216 -
236 +== ==
217 217  )))|(((
218 -(% class="wikigeneratedid" id="HCONF_STATUSwillusuallybeCbutmayalsobeD3BS3BA3BO3BT3BG3BM3BNdependingontherequiredstatusandconfidentialityreason.A0SeetheCL_CONF_STATUScodelistfordetails5B35D" %)
219 -CONF_STATUS will usually be C but may also be D;S;A;O;T;G;M;N depending on the required status and confidentiality reason. See the CL_CONF_STATUS code list for details{{footnote}}https://sdmx.org/wp-content/uploads/CL_CONF_STATUS_1_2_2018.docx{{/footnote}}
238 +== CONF_STATUS will usually be C but may also be D;S;A;O;T;G;M;N depending on the required status and confidentiality reason.  See the CL_CONF_STATUS code list for details[[~[3~]>>path:#_ftn3]] ==
220 220  )))
221 -|(((
222 -**Forwarding of confidential data**
223 -)))|(((
224 -N
225 -)))|(((
240 +|**Forwarding of confidential data**|N|(((
226 226  CONF_REDIST: (Observation, Conditional)
227 227  
228 228  
229 229  )))|CONF_REDIST may represent multiple organisations
230 230  |(((
231 -(% class="wikigeneratedid" id="HEmbargo:Privilegedaccess" %)
232 -Embargo: Privileged access
246 +== Embargo: Privileged access ==
233 233  )))|(((
234 -(% class="wikigeneratedid" id="HE" %)
235 -E
248 +== E ==
236 236  )))|(((
237 -(% class="wikigeneratedid" id="HEMBARGO_TIME28Observation2CConditional29" %)
238 -EMBARGO_TIME (Observation, Conditional)
250 +== EMBARGO_TIME (Observation, Conditional) ==
239 239  
240 240  
241 241  )))|Only the observations with an EMBARGO_TIME attribute are embargoed. After the embargo time elapses, the data are free for publication (equivalent to F status).
242 242  |(((
243 -(% class="wikigeneratedid" id="HEmbargo:Privilegedaccesswithforwarding" %)
244 -Embargo: Privileged access with forwarding
255 +== Embargo: Privileged access with forwarding ==
245 245  )))|(((
246 -(% class="wikigeneratedid" id="HE-1" %)
247 -E
257 +== E ==
248 248  )))|(((
249 249  EMBARGO_TIME (Observation, Conditional)
250 250  
251 -(% class="wikigeneratedid" id="HCONF_REDIST:28Observation2CConditional29" %)
252 -CONF_REDIST: (Observation, Conditional)
261 +== CONF_REDIST: (Observation, Conditional) ==
253 253  )))|(((
254 -(% class="wikigeneratedid" id="HOnlytheobservationswithanEMBARGO_TIMEattributeareembargoed.Aftertheembargotimeelapses2Cthedataarefreeforpublication28equivalenttoFstatus29." %)
255 -Only the observations with an EMBARGO_TIME attribute are embargoed. After the embargo time elapses, the data are free for publication (equivalent to F status).
263 +== Only the observations with an EMBARGO_TIME attribute are embargoed. After the embargo time elapses, the data are free for publication (equivalent to F status). ==
256 256  
257 -(% class="wikigeneratedid" id="HCONF_REDISTmayrepresentmultipleorganisations" %)
258 -CONF_REDIST may represent multiple organisations
265 +== CONF_REDIST may represent multiple organisations ==
259 259  )))
260 260  |(((
261 -(% class="wikigeneratedid" id="HEmbargo:Frontloading" %)
262 -Embargo: Frontloading
268 +== Embargo: Frontloading ==
263 263  )))|(((
264 -(% class="wikigeneratedid" id="HSettotherequiredconfidentialitystatusaftertheembargotimeelapses." %)
265 -Set to the required confidentiality status after the embargo time elapses.
270 +== Set to the required confidentiality status after the embargo time elapses. ==
266 266  )))|(((
267 -(% class="wikigeneratedid" id="H3CHeader5CEmbargoDate3E:5Btimestamp5D" %)
268 -<Header\EmbargoDate>: [timestamp]
272 +== <Header\EmbargoDate>: [timestamp] ==
269 269  
270 270  
271 -)))|(((
272 -There is no EMBARGO_TIME attribute as the whole message is embargoed with no privileged access.
273 -)))
275 +)))|There is no EMBARGO_TIME attribute as the whole message is embargoed with no privileged access.
274 274  
277 +
278 +
279 +
275 275  ----
276 276  
277 - {{putFootnotes/}}
282 +[[~[1~]>>path:#_ftnref1]] For a full list of confidentiality statuses, see [[https:~~/~~/sdmx.org/wp-content/uploads/CL_CONF_STATUS_1_2_2018.docx>>url:https://sdmx.org/wp-content/uploads/CL_CONF_STATUS_1_2_2018.docx]].
283 +
284 +[[~[2~]>>path:#_ftnref2]] Example: National statistical institute XX reporting data to Eurostat indicates that Eurostat can forward those data to the ECB, IMF and OECD.  More complex use case: The reporting organization specifies that Eurostat can forward those data only to the ECB Statistics Department, thus excluding all other organisations as well as all other ECB departments.
285 +
286 +[[~[3~]>>path:#_ftnref3]] [[https:~~/~~/sdmx.org/wp-content/uploads/CL_CONF_STATUS_1_2_2018.docx>>url:https://sdmx.org/wp-content/uploads/CL_CONF_STATUS_1_2_2018.docx]]
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