Session 8 – Access policy and dissemination of microdata United Nations Regional Seminar on Census Data Archiving for Africa Addis Ababa, 20-23 September.

Contents1. Introduction

2. Why should NSOs support the research community?

3. Managing access to microdata

4. Supporting legislation and NSO responsibility as custodian of confidentiality

5. Methods of supporting users

6. Managing tensions between NSOs and researchers

7. Management issues associated with the release of microdata

8. Microdata: Free or for fee?

9. Copyright issues

1. Introduction

Growing demand for microdata, resulting from:- Increasing data dissemination over the

Internet; - collaboration among members of the

research community; and Access to such data is also of interest to

international agencies for cross-country comparisons

What is accessibility

Accessibility is the ease with which statistical data can be obtained by users, and reflects the availability of information from the holdings of the agency in general, and census information in particular

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Accessibility is a Census strategic objective

The strategic objectives of a census include:“implementing policies designed to

safeguard the access of all users to census results”

PRPHC, Rev 2 - Para 1.16.

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To whom should microdata be made available?• Policymakers and researchers employed by line

ministries and planning departments.• Research and academic institutes involved in social

and economic research.• Academic staff and students; and• Other users involved in scientific research, and• International agencies and other sponsoring agencies.

2. Why should NSOs support the research community?

official statistics collected for government and for the use of the research community.

research community plays a role in stimulating policy analysis and debate.

data are analysed and presented from different perspectives.

• Leveraging funding for statistics

2. Why should NSOs support the research community? …. Cont’d

• Enhances the credibility of official statistics

• Improves the reliability and relevance of data

• Reduces duplication in data collection

• Reduces the cost of data dissemination

• Promotes development of new tools for using data

2.1 The perspective of the NSO regarding microdata access

• NSOs must maintain the trust of the respondents , which is fundamental to the effectiveness of the NSO,

• questions of legal authority, quality and costs

• worry about researchers not being particularly careful to preserve the validity of their analysis

• Granting international access sometimes problem because of legal restrictions.

2.2 The perspective of the research community (a) access permits policy makers to pose and analyse complex questions (b) access to microdata permits analysts to calculate marginal rather than just average effects.(c) Access enables replication of important research. (d) access to microdata, and the resulting feedback, can facilitate improvements in data quality. (e) range of outputs increases.•NSOs can play a very useful role in providing an accepted and authoritative, as well as high quality, data source for the research community thus reducing replication of data collection.

3. Managing access to microdata

“Individual data collected by statistical agencies for statistical compilation, whether they refer to natural or legal persons, are to be strictly confidential and used exclusively for statistical purposes”

Principle 6 of the Fundamental Principles of Official Statistics

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3. Managing access - Core principles

Principle 1: It is appropriate for microdata collected for official statistical purposes to be used for statistical analysis to support research as long as confidentiality is protected.Principle 2: Microdata should only be made available for statistical purposes.Principle 3: Provision of microdata should be consistent with legal and other necessary arrangements that ensure that confidentiality of the released microdata is protected.Principle 4: The procedures for researcher access to microdata, as well as the uses and users of microdata should be transparent, and publicly available.

4. Supporting legislation and NSO responsibility as custodian of confidentiality

At a minimum, release of microdata should be supported by some form of authority.

-to engender public confidence that there are legal constraints that determine what can and cannot be done;

- to promote mutual understanding between NSOs and researchers;

- to provide for greater consistency in the way research proposals are treated; and

- to establish a basis for dealing with breaches.

4. Supporting legislation …

• Agreements should be made, not only with researchers but also with senior officers of the institutions they represent. Any breaches should be taken seriously.

5. Methods of supporting users Statistical products for use outside the NSO• Statistical Tables and Data Cubes • Anonymised Microdata Files (AMFs) - Public Use

Files (PUFs) and licensed files

A service window through which researchers can submit data requests - Remote Access Facilities (RAFs)

Allowing researchers to work on the premises of the NSO - Data Laboratories

Engaging a researcher as a temp NSO staff

6. Managing tensions between NSOs & researchers

• While researchers often regard some of the ‘controls’ inherent in the microdata access arrangements as unnecessary bureaucracy, a breach of confidentiality, have dire consequences for NSOs.

• If respondents believe or perceive that an NSO will not protect the confidentiality of their data, they are less likely to cooperate or provide accurate data.

6.1 How might the tensions between NSO and researcher perspectives be resolved? • rapid expansion of databases means virtually impossible to completely avoid identification of persons even though names and addresses are removed, • furthermore, technology advances have made data matching easier

To lessen the tension,• Transparency is important to avoid accusations of secrecy; • Support from champions of use of microdata.

6.2 How do NSOs manage risks of microdata access?• Set principles to be followed for access to microdata

• Ensure there is legal and ethical base for protecting confidentiality.

• Set up an internal committee to debate these matters and make recommendations to the head of the NSO.

• More access through remote access facilities and data laboratories if completely unidentifiable microdata for public release may not be possible

• Explore new technological developments

• Pass some of the onus of responsibility to the research community.

6.3 How can NSOs pass some of the risk back to researchers?

• researchers should demonstrate to the NSO the public benefits of their work and that the microdata are necessary for this research.

• making them sign a legally binding undertaking with penalties if they breach confidentiality provisions.

• ensuring researchers are fully aware of their obligations through appropriate education.

7. Management issues associated with the release of microdata

7.1 Managing decision making on confidentialityIt is the chief statistician or his or her delegate who

needs to make the decision on the release of a microdata file. The chief statistician needs advice on whether, eg:

(a) the risk of identification is sufficiently small;(b) the adjustments made to the data items have

not unduly damaged the microdata file; and(c) variables that have been collapsed are the most

appropriate, taking into account both the needs of researchers and the identification risk.

7. Management issues …7.2 Managing metadata

If users are to make effective use of microdata, they must have access to the appropriate metadata. This would include:

• a description of the census/survey including any information on quality;

• a list of the data items and the classifications used (sometimes referred to as a ‘data dictionary’); and

• definitions of the data items.

7. Management issues …7.3 Managing breaches by the researcher• if a legal offence has occurred, legal action should be

considered. • at a minimum, the researcher should be prevented from

further access to microdata.• stopping further release to the institution of the researcher,

at least until the institution has taken appropriate steps in dealing with the offence committed by the researcher;

• for minor breaches, a warning may be sufficient.

Policies for access to archived data – Examples

- South Africa - Ethiopia - Egypt - Botswana

Policies for access to archived data – Example: UK

A guide to putting the principles [on data access and confidentialty] into practice – UK, Protocol on data access and confidentiality

1. The National Statistician will set standards for protecting confidentiality, including a guarantee that no statistics will be produced that are likely to identify an individual unless specifically agreed with them.

 2. Respondents will be informed of the main intended uses and access limitations applying to the information they provide to statistical inquiries.

 3. The same confidentiality standards will apply to data derived from administrative sources as apply to those collected specifically for statistical purposes.

 4. Data provided for National Statistics will only be used for statistical purposes.

 5. Where information identifying individuals must be given up by law, it will be released only under the explicit direction and on the personal responsibility of the National Statistician.

6. Everyone involved in the production of National Statistics will be made aware of their obligations to protect provider confidentiality and of the legal penalties likely to apply to wrongful disclosure.

These obligations will continue to apply after completion of service.

7. Data identifying individuals will be kept physically secure.

8. Access (to identifying data) will require authorisation and will only be allowed when the Head of Profession is satisfied the data will be used exclusively for justifiable research and that the information is not reasonably obtainable elsewhere.

Policies for access to archived data – Example: IPUMS

 1) the NSO retains ownership, including copyright;

2) data are to be used exclusively for statistical purposes associated with teaching, research, and publishing;

3) use for administrative, commercial or income generating purposes is prohibited;

4) application procedures for obtaining access to microdata are specified in the MOU;

5) confidentiality of the data is protected by means of prohibitions against

a. any attempt to ascertain the identity of individuals, families, households, dwellings or other identities;

b. any allegation that an identification has been made.

 In addition there are statements regarding:

6) the necessity of security measures for retaining microdata;

7) publication and citation requirements;

8) procedure for dealing with violations, including sanctions;

9) the sharing of integrated microdata with the National Statistical Offices;

10) recognition of jurisdiction under international law with the ICC International Court of Arbitration for the settlement of disputes; and

11) establishing the supreme precedence of the MOU over any subsidiary document, contract or other instrument.

8. Microdata: Free or for a fee?

8.1 Arguments against fee for access to microdata

• Fees might reduce considerably the number of potential users and hence the real value of the data.

• In developing countries, it may be an obstacle to users with the most interest in the data: students, local research centres, universities, etc.

• Does the fees revert to the NSO or a central agency?

• Selling imposes an obligation of quality and service.

• Selling generates little income.

• Most NSO websites are freely available to users

8.2 Arguments supporting fee for access to microdata

• data producers may consider selling microdata products as an income-generating activities.

• recover costs incurred in the documentation and anonymisation process.

• recover other costs such as a review process for release of files, licensing of data files, operating a data enclave, supporting users, and maintaining infrastructure.

• to make beneficiaries of the data service bear some of these costs.

9. Copyright issues

• microdata copyright interests should be well-established by NSO under some kind of legal instrument consistent with other products

• users should recognize the need for copyright permission from NSOs.

• exemption to copyright infringement should be clearly specified , eg if it does not apply to the government agencies.

• NSOs should clearly inform users what copyright restrictions, if any, apply to their microdata and may choose official agreement that recognizes those rights.

In conclusion,

“A census is not complete until the information collected is made available to potential users in a form suited to their needs” – including microdata.(UN Principles and Recommendations for Population and Housing Censuses, Revision 2, para. 1.206)

References

Principles and Guidelines for Managing Statistical Confidentiality and Microdata Access; Background document, UN Statistical Commission, Thirty-eighth session, 27 February - 2 March 2007

IHSN, Dissemination of Microdata Files: Principles, Procedures and Practices; 2010

Thank you !!