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Ethical Issues – Privacy, regulation and useful research. Lars Osberg Dalhousie University Statistics Canada Symposium 2005 Ottawa, October 26, 2005. Ethical Issues for Statistical Agencies. Ethical choices and the “greater good” Statistical agencies use resources
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Ethical Issues – Privacy, regulation and useful research Lars Osberg Dalhousie University Statistics Canada Symposium 2005 Ottawa, October 26, 2005
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?
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?
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
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
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
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
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?
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/
Living Standards Measurement Study (LSMS) household surveys • Data access • WWW + free download • Pledge of non-commercial use & citation of source required
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
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
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
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?