The Standards Site: Data Collection

This is the process whereby information gathered by ethnicity is analysed in order to see whether ethnicity is a factor in pupils' academic performance and what patterns emerge in such analysis. It is similar to monitoring by gender where statistics are broken down in order to see whether differences emerge for boys and girls. Ethnic monitoring can be done in different areas, for example in employment.

Is there a difference between ethnic monitoring and the collection of data on pupils' ethnic group? to top ^

Data collection is a purely mechanical exercise. Ethnic monitoring is the analysis and understanding of the data that has been collected.

How does ethnic monitoring fit in with the Race Relations Act? to top ^

It is a requirement of the Race Relations (Amendment) Act that schools and LEAs make sure that all pupils from minority ethnic backgrounds are given equality of opportunity to succeed and to meet their potential. There is also a duty on schools to 'monitor and assess how their policies affect ethnic minority pupils, staff and parents; the emphasis here is on pupils' achievements'. Ethnic monitoring is an effective tool for comparing the performance of different ethnic groups and assessing the needs of those who seem to be underachieving.

Why is this information needed by the DCSF? to top ^

Schools in England have collected information on the ethnic background of their pupils since 1990. Schools have a statutory obligation to provide information to the DCSF through Pupil Level Annual Schools' Census (PLASC) carried out each January. Ethnic background data on pupils is one element among a range of data covered by PLASC.

Who will make use of this data? to top ^

Schools will be able to use this information to see how well different groups perform at different stages while at school. Schools will be able to use this information to monitor other experiences such as attendance and exclusions from school to make sure that all pupils are treated fairly and that no single group is missing out on or is not attending school.

Analysing this information can help schools monitor and improve their own practices and also celebrate the success achieved by their pupils. Local Authorities and the DCSF will be able to use local and national data to analyse trends in performance, make comparisons, set meaningful targets for performance or improvement and to deploy resources effectively.

How will it be used? to top ^

The introduction of the Pupil Level Annual School Census (PLASC) in January 2002 allows for different data to be linked. This makes it possible for achievement data to be linked to ethnic background data on a national basis for the first time. It will also be possible, for example, to link achievement and ethnic background data to gender. Proper analysis and understanding of this new data will make it possible to gain a better insight into many of the complex issues that may contribute to variations of attainment by different groups of pupils.

How will confidentiality be protected? to top ^

The following safeguards are in place to ensure that pupil's confidentiality is maintained: -

The individual pupil data collected in this exercise will be available to the pupil's school, LEA and the department only and will not be passed onto a third party or published publicly with any details which could potentially identify a pupil.
Information held by the department will only be accessed by DCSF technical staff and pupil names will be held separately and only used for the purposes of linking this data to other pupil information.
The information will be used solely to compile statistics and will not be used for any other purposes.
The procedures have been agreed with the Information Commissioner to ensure they are compliant with the data protection act.

What if parents of a dual heritage child disagree on the ethnic group of the child? to top ^

DCSF Guidance explains that for children aged up to 11, those with parental authority should make the decision on the ethnic background of the child. Children aged 11-15 should make this decision with the support of their parents. Young people aged 16 and over can make the decision for themselves.

However, an individual's perception of their own ethnic identity is considered sensitive personal data and ultimately it is the 'data subject', i.e., the pupil, who determines their own identity by ethnic group. For children aged 11 and above, it is the child's decision that matters and should take precedence over that of their parents.

In the event of a significant disagreement arising either between parents or between a parent and child over ethnic identity, we recommend that the matter should be referred to the DCSF.

What if parents have conflicting views on the recording of ethnic group data for the child? to top ^

However, an individual's perception of their own ethnic identity is considered sensitive personal data and ultimately it is the 'data subject', i.e., the pupil who determines their own identity by ethnic group. For children aged 11 and above, it is the child's decision that matters and should take precedence over that of their parents.

In the event of a significant disagreement arising either between parents or between parents and their child over ethnic identity, we recommend that the matter should be referred to the DCSF.

What are the new ethnic background categories that the DCSF is using? to top ^

These are the categories as presented in the DCSF Guidance:

White

British
Irish
Traveller of Irish Heritage
Gypsy/Roma
Any other White background

Mixed

White and Black Caribbean
White and Black African
White and Asian
Any other mixed background

Asian or Asian British

Indian
Pakistani
Bangladeshi
Any other Asian background

Black or Black British

Caribbean
African
Any other Black background

Chinese

Any other ethnic background

Why are the categories in this order? to top ^

The ordering is intended to match the ordering of categories used in the 2001 national Census and is not intended to suggest a hierarchy between any of the categories. The ordering reflects standard questionnaire design. The first category is the category into which the majority of respondents fall. This prevents the majority of respondents having to scan down the form to find their category which could potentially diminish the level of response. For these reasons the category 'White' appears at the head of the list of categories.

As a new category, the 'Mixed' category has been placed second on the list. This position is to ensure that the maximum number of respondents are made aware of the new category.

Why are the categories limited to these groups only? to top ^

The list of categories is based on the 2001 national population Census and is designed to enable the majority of the population to identify themselves in an accurate and manageable way. As a result, the list is restricted to the ethnic groups which make up the majority of the population. The length of the list is not intended to exclude any groups of the population. The list has been limited to these broad categories to prevent the ethnic data collection form from becoming overly complex or confusing, whilst ensuring the majority of the population can record themselves accurately.

Why is there not a 'write in' box so that people can express their identity other than through the categories as presented. to top ^

The DCSF only requests data for national reporting purposes on the basis of the national categories. The list is not intended to exclude any groups of the population. The DCSF recognises that the list does not necessarily provide a comprehensive opportunity to represent the totality of any individual's ethnic identity. In practical terms, the collection and recording of the data falls to schools to undertake. The possible variety of responses to a 'write in' question would potentially create additional burdens on schools. The Department wanted to avoid putting schools in a position where they would have to determine how different responses map on to the national categories and how to manage those responses that were either ambiguous, confused with nationality or not clearly recognised ethnic groups.

Why do some Local Education Authorities use an extended list of ethnic background categories? to top ^

The DCSF only collects data for national reporting purposes on the basis of the national categories. However in addition to the main list of national categories there is also an extended Key list (URL to Key list). This list contains 70 additional categories which can be used by Local Education Authorities to meet their local data collection needs.

These categories have to be agreed or cleared with the DCSF to ensure that there is a consistency in how the extended categories map on to the national categories. Where extended categories are in use, parents and pupils should be made aware of how their ethnicity is recorded on both the local and national categories.

What if a pupil wants to change the ethnic group provided by their parent? to top ^

A pupil over the age of eleven can change the ethnic group provided by their parent. This change should be made with the support and knowledge of their parents. However, in the event of a significant disagreement between a parent and child, we recommend that the issue is taken up with the DCSF.

What if a parent is unhappy that their child has changed or amended their ethnic category? to top ^

Schools should advise such parents that the child, as the 'data subject', has rights under the Data Protection Act regarding their own ethnic identity as this is regarded as 'sensitive personal data.' In the event that a parent is unhappy with this explanation, the issue should be referred to the DCSF.

My school is predominantly made up of white pupils. Why is ethnic monitoring relevant to my school? to top ^

Ethnic monitoring is as relevant to schools with large numbers of white pupils as it is to schools with significant numbers of non- white pupils. The aim of ethnic monitoring is to monitor the acheivement of all ethnic groups not just non-white groups.

You say that ethnic group is not the same as nationality. Why do some of the categories seem to be nationalities? to top ^

The categories on this list that appear to be nationalities are in fact groups which are defined in race relation legislation as ethnic groups. In 1983 the House of Lords defined an ethnic group as a group which can ''regard itself, and be regarded by others, as a distinct community by virtue of certain characteristics. It is essential that there is (1) a long shared history, of which the group is conscious as distinguishing it from other groups, and the memory of which it keeps alive; (2) a cultural traditionof its own, including family and social customs and manners".

Why are you not collecting data on religious identity as well? to top ^

Many schools do collect information on religion. DfES recognise that the national ethnic categories do not address every aspect of an individual's sense of identity. But there is a limit to the amount of information that can be collected on a national basis. The national set of categories that the Department is introducing is therefore confined to one that tells us about ethnicity.

What if the returned ethnic group data form has an ethnic group indicated which does not appear to conform with the school's expectation of that child's ethnicity? to top ^

Schools must accept the responses provided by parents or pupils. A pupil's ethnicity is personal to that pupil and the individual's decision should not be questioned. Most schools carry out an annual data checking exercise to check with parents the accuracy of personal data held by the school on individual pupils. This will provide the opportunity for parents or pupils to reconsider their recorded ethnic category, should they wish to do so.

Individuals can also at any time, ask to see, amend or remove their ethnic group category.

We treat all pupils equally, I am concerned that focusing on a pupil's racial identity will create conflict or polarity between different groups within the school? to top ^

Treating all pupils the same does not necessarily mean that their particular needs are being met or that they have equal access to the education or services to which they are entitled. Effective ethnic monitoring can help schools respond better to underlying needs or patterns of attainment that may be common to some groups of pupils as well as those that are common to all. Ethnic monitoring is one element of management information that can help schools recognise certain trends, understand why these trends occur and to seek solutions or strategies to address significant disparity of attainment or experience wherever it may exist.

Effective ethnic monitoring is likely to be just one element of an overall 'whole school' equal opportunities strategy.

What happens if the form is returned with more than one category ticked? to top ^

The form should be sent back to the parent/pupils with request that just one category is chosen.

What if large numbers of parents or pupils actively refuse to have an ethnic group recorded? to top ^

If a parent or pupil indicates that they do not wish their ethnicity to be recorded, their wishes must be respected and a 'refusal' should be recorded. This applies to isolated cases involving one parent or pupil as well as larger groups. However, the DCSF will be interested to know if there are local reasons why parents or different communities may be resistant to providing this information.

Can a parent or pupil change the ethnic group record held by the school? to top ^

Yes. A parent or pupil can request at any time, that their ethnic group record is altered or deleted.

What precautions are in place to safeguard the identity of individual pupils? to top ^

The Department (DCSF) has absolutely no interest in the personal identity of individual pupils. The names of pupils are required for statistical purposes to enable the Department to link this information with other pupil information such as educational attainment. Other than for these purposes the Department will not make any use of pupil names. Pupil names will be held securely and separately from ethnicity data in a separate file accessed only by DCSF technical staff for linking purposes.

Can individual pupils be identified if they belong to an ethnic group of which there may only be one or two pupils in a particular school? to top ^

Although theoretically a pupil could be identified in these circumstances, occurrences of this happening will only be revealed to DCSF technical staff.

Even if we work hard to collect data on every pupil, we may not have a 100% return, what are the implications of this? to top ^

A low response rate could have potential implications on the amount of funding a school receives as part of any present or future funding which may be based on pupil numbers. A low return will also affect the school's ability to report data for the Pupil Level Annual Schools Census.

What if a school or local education authority has very few pupils with an ethnic group recorded? to top ^

A low response rate could have potential implications on the amount of funding a school receives as part of any present or future funding based on pupil numbers. A low return will also affect the schools ability to report data for the Pupil Level Annual Schools Census. The DCSF may want to consider the reasons why some schools or local education authorities have a significantly low return in case additional advice can offered.

What is ascription/ third party ascription? to top ^

Ascription, as described in the DCSF Guidance, is the process whereby in the event of a parent failing to return the ethnic group collection form, the school can use its best judgement to determine the ethnic group of the pupil. This process is also known as 'third party' ascription. If ascription is to be carried out, there are certain safeguards that need to be in place:

The information should be requested from the parent by post along with a letter that explains that the school will ascribe an ethnic group to their child if there is no response and parents do not formally refuse to provide this information.
If a formal refusal is made, schools must not ascribe an ethnic group.
Parents should be informed of the school's decision and given the opportunity to see, amend or remove the ethnic group record.
The ethnic group record will be marked as 'ascribed by the school.'

The Guidance contains a more detailed explanation of this process and model letters to follow..

Why is ascription voluntary rather than compulsory for schools? to top ^

The DCSF recognises that the return rates on the request for ethnic background data in some schools can sometimes be so low as to make ethnic monitoring ineffective. We want to give schools the option to carry out ascription if this is the only opportunity that schools will have to collect this data in order to make monitoring possible. Head teachers with the support of their staff are best placed to make the decision whether ascription is desirable or not in their schools.

Therefore ascription is voluntary and schools should not be put under pressure to undertake ascription. The DCSF Guidance on the collection and recording of pupils' ethnic background outlines the specific procedures that schools should take in order to meet data protection guidelines.

If undertaking ascription, on what should a decision be based on determining a pupil's ethnic group? to top ^

Schools have been asked to collect and record ethnic group data on pupils since 1990. It is likely that many pupils already have an ethnic group record based on the old categories. This could form the basis for a preliminary decision. Those responsible for carrying out ascription in schools are advised to consult the member of staff most familiar with the pupil in question, this may also include Teaching Assistants and bilingual support staff, Advice should also be sought from any Ethnic Minority Achievement specialists, including the Traveller Education Service, working with the school or within the local authority.

What if I am put under pressure to ascribe an ethnic group for those pupils whose parents have not returned the ethnic group data collection form? to top ^

Individual members of staff should not be put under pressure to ascribe. However, ascription, if properly conducted according to DCSF guidelines, meets the requirements of data protection legislation and has the support the Commission for Racial Equality.

Every pupil record will make clear whether the information provided came from the pupil or parent and whether ascribed by the present school or previous school. Pupils or their parents will retain the right to remove or change the ethnic group category at any time.

Why is the word 'Roma' used in the terminology? to top ^

Most Gypsies, mainly those from Eastern and Central Europe, would see the use of the term Gypsy as derogatory. Most would prefer to use the word Roma to describe their ethnic heritage.

Why is there a / between Gypsy and Roma? to top ^

The use of the / between these words is intended to offer respect to indigenous Gypsies who would prefer to be called Gypsies rather than Roma. Conversely, it also avoids using the term Gypsy which may be offensive to this group who may have recently entered the UK from Eastern and Central Europe and prefer the term Roma.

How do we identify Travellers? to top ^

If the school has a confident belief that the children in question are likely to be, or have a Traveller heritage, then they should be encouraged to declare it within the context of the ethnic group completion form, but only after establishing, through diplomatic questioning, whether they agree to subscribe to the ethnic status of either Gypsy Roma or Traveller of Irish Heritage.

It needs to be noted that there are some groups of people who ascribe themselves as Travellers but who may well not fall within the 2 categories for the purpose of ethnic monitoring. These groups will include fairground, circus, bargee and New Travellers.

How do we monitor the progress of life-style Travellers? to top ^

There are a number of groups who may consider themselves Travellers, but there are only 2 groups that are currently defined in law as ethnic minorities within the framework of Race Relations legislation. Lifestyle or occupational Travellers should be recorded in the most appropriate ethnic category as shown on the form. If LEAs wish to record the progress of occupational or lifestyle Travellers for local purposes, they should do this in consultation with Traveller Education Services. These groups will include fairground, circus, bargee and New Travellers.

What if the family say that they are Welsh or Scottish Gypsies? to top ^

Irrespective of their countries of origin, people who are willing to self ascribe as Gypsy Roma should be included under the Gypsy Roma category.

Why are other Traveller groups not included in the exercise? to top ^

Although there are a number of groups who call themselves Travellers, there are only 2 groups that are currently defined in law as ethnic minorities within the framework of Race Relations legislation.

What if the Travellers live in a house? to top ^

The ethnic status of Gypsy Roma and Travellers of Irish Heritage is unaffected by where they live, whether it is mobile accommodation or permanent housing. Other housed travellers should be recorded in the most appropriate ethnicity category on the current list of categories.

Is it not unwise and/ or potentially offensive to use the term Gypsy? to top ^

The term Gypsy has, in the past, been used as a derogatory term referring to a negative ethnic stereotype profile. As a result, there may be some families who are reluctant to openly declare their Gypsy Traveller identity and could be offended by this term.

However, a majority of Gypsy Travellers are very conscious of whether language is being used aggressively and it is likely that the context within a school will be supportive and affirmative in relation to equal opportunity issues.

What if the questionnaire is not completed? to top ^

Refer to the notes in the guidance. However, it is recognised that the historic social status of Gypsy Roma and Travellers of Irish Heritage has been negative and there may well be some parents who feel that they are protecting their children by not declaring their ethnic background. In these circumstances, every encouragement and reassurance should be given to these families by carefully explaining the value to be gained for the child from the exercise.

Who should I contact if I have other queries on ethnic group data collection? to top ^

Queries on ethnic monitoring should be addressed to: -
Christine Ru Pert-em-Hru
Department for Children, Schools and Families
4E Sanctuary Buildings
Great Smith Street
London SW1P 3BT
Tel: 020 7925 5662

email: christine.ru pert-em-hru@dcsf.gsi.gov.uk

What should happen if an LEA using just the main census 2001 categories receives a pupil whose ethnicity is recorded using a category from the list of DCSF approved local categories? to top ^

Schools software systems are set up to ensure that where this is the case the pupil's full ethnicity details will be transferred from the sending to the receiving school. This will include the pupil's main census code and local extended code. Where the pupil's ethnicity is recorded on the basis of an ethnicity code not in use by receiving school, the pupil's local code will be stored in the receiving school's software but the extended code will be hidden and mapped back to the appropriate main census code used by the receiving school.

As stated in the guidance document the ethnicity data collection form should make it clear to respondents which of the main census codes their extended categories will map back to.The Department does not require LEAs or schools to inform pupils/parents that on transferring to a new school, their data is now recorded on the basis of the main census codes. There may, however, be occasions where parents/pupils object to their data being recorded on the basis of the main census codes. The choice of which local extended categories is an LEA decision and as such it is up to the LEA to determine how best to respond to pupils/parents queries.

Yes, the receiving LEA can re-survey the pupil but will need to make sure it is made clear in correspondence to parents/ pupils that the information is being collected to gain further information for local monitoring purposes. It should also be remembered that parents/ pupils have the right to refuse to give this information out again.

A number of LEAs have collected ethnicity information for many years from various sources and using a range of methods to do so. These procedures are designed to ensure the collection of ethnicity data is conducted lawfully under the Data Protection Act and also to ensure that all parents/ pupils have the right to define their own ethnicity. Previously collected data may not fulfill these criteria. It is vital that schools/ LEAs use the procedures described in the guidance document to ensure that their collection is in the spirit of the Data Protection Act and also allows parents/ pupils the right to choose their own ethnicity.

When should schools decide if ascription is necessary? to top ^

To ensure that schools have a consistent policy on ascription for all pupils, we recommend that the decision to undertake ascription is taken before any correspondence to parents have been sent out. The letter to parents should then be amended to include a paragraph on ascription as shown on the model letter contained in the guidance document.

As a variant, if a school finds that the response rate from parents/ pupils is lower than expected after they have sent letters out by pupil post, they can decide to ascribe ethnicity where pupil post has failed. If this happens, schools must, for all the outstanding pupils, undertake the ascription process as described in the guidance, including the process of contacting those parents used a stamped envelope and the amended model letters.

The key here is that the policy to ascribe has to be consistent and schools should not ascribe for some groups of pupils and not others.

What if a pupil aged over 11 has Special Education Needs or may not be competent to make the decision on their own ethnic group? to top ^

Any 'data subject' i.e. the pupil, has the primary rights over their own sensitive personal data such as ethnic group. In cases where a pupil may have significant difficulty making this decision on their own, those with parental responsibility should guide the pupil. Care should be taken to ensure that the pupil is made aware of the individual's right to check, amend or have this data removed, if the pupil chooses to do so.

Why isn't there a 'Black British' category? to top ^

Black British would under most circumstances be the preferred term. However, it does not help us differentiate between pupils whose heritage is African or Caribbean, which is important given the differences shown by research in performance of the two groups. Whilst there is not a specific category labelled 'Black British' any respondent using any of the categories under the heading of 'Black or Black British' will be identifying themselves as such. There is no suggestion that to be defined as 'British' respondents have to be White.