Data protection : issues about anonymisation and dissemination for researchers The French experience Roxane Silberman CCDSHS/Réseau Quetelet CESSDA Wokshop , Athèens 11-12 ocotbre 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Introduction Contribute to the discussion The French experience over the last 20 years Impact of institutional arrangements Impact of pressure and space for negotiations Changes in the contexts Old and new questions Role of the Data Archives in a new world Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 A specific context Importance of the National Institute for Statistics (Insee) : a lot of surveys A specificity of Insee : a scientific dimension (a department of research) Funding academic surveys is not a tradition in France Socio-political surveys Some specialized research institutes : INED, INSERM High pressure upon Insee to get access and questions of equal treatment between researchers Less experience in sharing data Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Different experiences of anonymisation Very different experiences and ways to deal with anonymization in the Réseau Quetelet Centre Maurice Halbwachs (ex-Lasmas) : access to public statistics INED : making surveys (in relation with Insee but as a research institute) and disseminating its own surveys CDSP : disseminating socio-political surveys Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Main issues The French legal framework : its evolution and the impact of the European directive Changes and differences in practices Current questions and current negotiations Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

I.The French legal framework Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

The French implementation Four sources Statistical law Privacy protection law Archives law Law about informatio Changes over the 30 last years Some conflicts between these four sources Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 A. Statistical laws Importance of the implementation of the statistical law Two regulations : for surveys, for administrative purpose The 1951 statistical law The CERFA procedure for administrative data Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 The 1951 law The 1951 law : defines the rules in collecting statistical data for the state (obligation, coordination, statistical secret) Personal data and business data Promulgation by the Ministry of Economy, under the control of the CNIS (National council for statistical information) which includes the “social partners” (and researchers), and with authorization of the CNIL for individual data The 1986 addition : allow Insee to ask for administrative databases Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Statistical secret Formal interpretation: - statistical secret = no dissemination, - liberal interpretation = no dissemination of non anonymised data Exception for business data (assumption = business data cannot be anonymised) : dissemination through a Committee (Comité du secret) including business representatives Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Recent changes 2004 updating of the 1951 law Enlargement of the role of the Comité du Secret to give access to business = administrative data One researcher in the Comité du secret Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 The CERFA procedure For administrative purposes Visas Right of access for citizens through CADA Under the control of the administration The 1986 addition to the 1951 law gave right to the Insee to mobilize administrative data Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Other changes in the law 2004 1978 law and the European directive Compatibility of research aim (history and statistics also) Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

B. The 1978 law : data protection Protection of individual data One of the first laws in Europe (the first wave before the implementation of the 1995 European directive) Linked to the SAFARI episode in the context of informatique revolution 1974 Had an impact on the statistical law: the Ministry must have the advice of the CNIL for Insee surveys and the 1986 addition in order to allow Insee to get administrative data Private and public regimes differ : declaration or authorization cf the SAFARI episode Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Researchers Nothing specific for researchers No reactions from researchers in 1978 Additional chapter in 1994 for epidemiologist (with a specific ethic research committee) Difficult relations between researchers and the CNIL Complex relations between Insee and CNIL Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

The impact of the 1995 European directive France had a rather restrictive law, no needs to add much in order to apply the directive (France was late in updating the law) But the European directive was seized as an opportunity by the statisticians and the researchers to implement the compatibility of statistical and research aims with initial aim of the data collection Joint lobbying of the statisticians and the researchers The 2004 updating of the 1978 law introduces the compatibility of the initial aim with the historical, statistical and scientific aims (impact for storing on the long term and impact on dissemination and reuse) Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 But … Moves from nominative data to direct or indirect identification Some extension in the definition of the “sensitive variables” = impact for collecting data but also for access Same regime for private and public data : declaration except for sensitive data = more pressure on researchers Still no statistician in the CNIL Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

C. The law about the Archives Establishes huge delays for access to archives but also obligation to store data (including individual data) A tendency to open archives Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

D. Law about information In line with European directive Say nothing about researchers But may impact dissemination of data (see Insee and open access to surveys on the website) Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 First conclusions Different laws with potential conflicts on right of access CADA, CNIL, Archives Complexity : interrelation between the CNIL (data protection) and the INSEE (statistical law) = who is deciding what in terms of access for researchers ? Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 II. Practices Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Differences in practices and evolutions Different periods Different contexts : research / public statistics Qualitative and quantitative Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

A first period : the end of the 70ies and the beginning of the 80ies A general feature : France was late in setting up a Data Archives (86) Socio-political surveys : CIDSP (Grenoble) Insee and other statistical bodies : only individual access through personal relations but anonymisation is not a main issue : very different arguments but mainly no real discussion on the topic, and individual exceptions Research institutes as Ined = no culture of sharing data Sharing data is the issue, not anonymisation Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Second period : 86 - 98 Some progress in sharing data First collective agreement with Insee and other statistical departments Restrictions to the CNRS (not the universities) Anonymisation is not a main issue : a liberal interpretation of the statistical law, right to disseminate anonymised data, mostly direct identification Commercial issues are more important First discussion in INED about sharing data Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Third period : 1999 -2002 Changes in the level of anonymisation : a decision from CNIL and Insee for the 1999 census : no more dissemination at the level of little geographical units, no dissemination of sensitive variables (less details on nationality and country of birth) Huge impact for geographers (but also for urban managers and municipalities) Difficulties for specific geographical agregations Difficulties for longitudinal analysis Difficulties for contextual analysis Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Negotiation with Insee and other statistical departments Other problems : - access for universities - access to other statistical departments - costs General negotiation A committee in charge of a national policy for social sciences : research, Insee and other statistical departments = a place to discuss and negotiate (CCDSHS) Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

A rather liberal situation A lot of individual micro-data available for all researchers (also available for other countries) Access to business surveys through the Comité du secret (see composition) : few refusals Unequal access to administrative data Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

…but growing concerns with anonymisation Mainly not much progress on the Census dissemination : a complex system with different products that have been offered to replace less anonymised sample, tabulation but no modelisation, time consuming NB In the same time, urban managers were more successful) Geographical levels anonymisation became the general rule for all surveys New restrictions : 1) sensitive variables : nationality,country of birth, spoken languages … 2) indirect identification : not only geographical precision but professions, income …. Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 … in all sectors Indirect identification becomes an issue also for research institutes as Ined New pressure on individual researchers who were unaware of these issues : notifying surveys to the CNIL, asking for authorizations, paying attention to confidentiality Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Lobbying to change the 1978 law Difficult relations with the CNIL (no statisticians) Discussion with the CNIL Common lobbying : research and Insee The 2004 updating of the 1978 law open new space to negotiate Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

…but not the only problem The statistical law The argument of the statistical secret comes back in a different way (responsibility, possible sanctions, rate of response …) Changes in the statistical law ? Status for researchers ? Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 … in a new context New and powerful statistical tools that demand all data More administrative data that can also be merged with surveys More panels difficult to anonymised Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Difference in practices for anonymisation Differences between surveys Differences between institutions (Insee, statistical departments, governmental agencies, research institutes, individual researchers) : different knowledge about the laws, different interpretation, different practices about indirect identification Discussion about indirect identification with the CNIL Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 … but also some access Access through CNIL and Comité du secret Individual contracts under the responsibility of the statistical department or the governmental agency for administrative data Access through CADA (even for newspapers) and National Archives Impact of law about information A specific treatment : the research unit in Insee Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

III. Current discussions and new negotiation Very different practices and situations` High pressure from researchers Space in the law Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Two directions Researches files Safe centers Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Research files General ideal : an intermediate level between anonymised data and safe centers Two levels : public files (now on the Insee web site …) and research file A negotiation Insee/CNIL/ Ministry of Research A general authorization from the CNIL that will allow to discuss with Insee more detailed files The Data Archives will be in charge for dissemination and will have the responsibility Rely on organization and confidence Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Safe centers For more sensitive data Also to merge datasets Business data will go in the safe centers Census not very clear at the moment Different options and questions are currently under discussion : Safe centers or remote access Role of the researchers Role of the Data Archives Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Conclusions 1 A different world : different data : panels, administrative data, merged datasets, powerful statistical tools, more concern about confidentiality Space for negotiation in the law and between the laws Discussion and collective pressure is effective But needs for organization : different levels of dissemination Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006

Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006 Conclusions 2 Role of the Data Archives in this new world? Importance of information and documentation in a distributed system More discussion about indirect identification More discussion about sensitive variables More discussion about choice between anonymisation or different levels and systems of dissemination Data Archives as an actor in the negotiations Réseau Quetelet/ CESSDA workshop, Athènes Otober 11-12 2006