Ethical Issues – Privacy, regulation and useful research

1. Ethical Issues – Privacy, regulation and useful research Lars Osberg Dalhousie University Statistics Canada Symposium 2005 Ottawa, October 26, 2005

2. Ethical Issues for Statistical Agencies • Ethical choices and the “greater good” • Statistical agencies use resources • Which could be spent elsewhere (e.g. health) • And expose respondents to risk • E.g. Privacy loss if individual data disclosed • If data gathering has net social benefits, statistical agencies have a case to exist • Data + Analysis => potentially useful knowledge => Probability of social benefits of data collection • Issue: are Expected benefits > Expected costs ? • Problem of competing ethical risks • E.g. - When does reducing risk of data disclosure reduce the benefits of data collection?

3. Panel Micro-data • World-wide recognition of potential social benefits of analysis based on longitudinal panel micro-data • pre1970s – “evidence” for social policy = anecdotes + cross-tabulations + introspection • Since 1970s – PSID + many successors • Panel data enable testing of complex models of conditional effects, context, cumulative causation – huge gains in understanding & potential policy effectiveness • Researchers need direct access to data • Outliers – information content or coding error ? • Ethical Issue: • Potentially huge social benefits to research but small cell sizes imply identification of individuals is possible • e.g. early childhood deprivation & adult health?

4. When is it ethical to prevent potentially useful research? • Micro-data collection produces social benefits only if data is actually used for analysis and policy debate • If data access is excessively constrained, usage declines • Cumulative role of habituation – as usage declines, fewer analysts realize what questions could be answered & public debate reverts • Implication: Data which could help improve social outcomes yields fewer benefits but still imposes costs of collection • Regulatory Regime Choice conditions researcher decisions • Ethical issue: any benefits of reduced (?) disclosure risk versus costs of less data usage • Agency Choices: – Regulatory Regime & Research Direction • Given costs & benefits of alternatives, researchers will choose research directions • World wide competition for research attention

5. Current RDC Prior scrutiny Individual Project Researcher Note: data - dry & inaccessible Process Scrutiny Prior Vetting of all publication Limited scope of data access Strong sanctions if malfeasance Medicine / Law Generic license No attempt at prior control of individual items Note: juicy & accessible data Strong sanctions if malfeasance Professional Legal Regulatory Regimes for Confidential Information

6. Continuum of regulatory regimes in practice • Data access conventions/regulations vary widely – even among OECD nations • No evidence of any improper disclosure anywhere • Multiple regulatory hurdles – a new concurrent trend in Canada • Canadian academic researchers also now often have to navigate prior project approval by Ethics Review Boards • Implication – much greater time cost to using Canadian micro-data

7. Which Regulatory Regime is more ethical? • An ethical choice, by a statistical agency, must include consideration of the predictable consequences • Benefit = decreased (?) risk of data disclosure • Change in disclosure probability is key • Cost of disclosure depends on social norms • Habituation & past practice produce current norms • E.g. University salaries, Scandinavian income tax data • Costs of excess regulation • Loss of social benefits of data collection • data analysis, policy design & informed democratic public debate all suffer

8. Globalization & Research- publish or perish ! • Academic researchers have to publish • Tenure + funding + status + ego + curiosity • Global arena – much more than 1980s • Journals + conferences + specialist peer groups • Innovative data attracts international research • 1986/87 LMAS attracted foreigners to Canadian issues • PSID continues to attract Canadian researchers to US issues – USA gets free data analysis, Canada pays • Does Canada want to import or export free data analysis?

9. Available Micro-Data Options • http://www.icpsr.umich.edu/ • Inter-university Consortium for Political and Social Research (ICPSR) • VAST holdings – e.g. 2455 hits on “income” • PSID, SIPP, SCF, WVS & many more • http://www.gesis.org/en/za/index.htm • Central Archive for Empirical Social Research, University Cologne • ISSP data 1985-2002 (CD-ROM 25 Euro); Euro-Barometer, etc • http://www.cpc.unc.edu/projects/china • China Health and Nutrition Survey • 1989, 1991, 1993, 1997 and 2000 micro data panel • http://www.worldbank.org/lsms/

10. Living Standards Measurement Study (LSMS) household surveys • Data access • WWW + free download • Pledge of non-commercial use & citation of source required

11. The Canadian data option ? • Data Liberation Initiative • Cross-sectional micro-data with major edits or • Regional Data Centres - selected panel data sets • Submit project proposal + CV • “application process can take up to eight weeks” (or more) • Note – effectively prevents MA or undergrad thesis research • + personal security clearance, criminal record check process • access to the RDC: 8 AM - 4 PM, Monday - Friday • No data leave + Results screened before release (5 days at UWO) • Access approval valid only for specified project • New application required for any new idea / extension • Access approval valid only for period of initial application • Data access expires – maximum one year renewal possible • Contract + Oath of non-disclosure = Sanctions if malfeasance • Statcan publication pre-screened for disclosure + reviewed

12. Minimal Criteria for Academic Researchers • Is Technically Interesting / Innovative Research Possible ? • Is Research topic “hot” ? • Socially Significant research results ? • Is Publication Likely ? • Prestige Ranking of Journal ? • Probability of Acceptance ? Time to decision ? • Options if not initially successful ? • Publication options for World data • Many more & much higher status • Increased probability of future grant funding • COST in Time, $ and hassle

13. World Data Instant, free permanent access Multiple high status journals International peer group Conferences in very fun places Global issues Canadian micro-data Costly to access Time + hassle No certainty of continued access Limited publication options Local network of user interest Trips to Ottawa Patriotic interest in own community ? Researcher cost-benefit calculation

14. Ethical Choices for Statistical Agencies • Ethical decisions must recognize the predictable consequences of choice • This talk argues that: • Higher access costs imply researchers will use Canadian micro data less • Loss of social benefits of data collection should be compared to benefits – if any – in data privacy • Is there an Ottawa illusion of an infinitely elastic supply of Canadian researchers?