1. IPUMS-Europe: Confidentiality measures for licensing and disseminating restricted-access census microdata extracts https://www.ipums.org/international * * * Robert McCaa, Minnesota Population Center Albert Esteve, Centre d’Estudis Demogràfics rmccaa@umn.edu, aepalos@yahoo.es IPUMS-Europe: Confidentiality measures for licensing and disseminating restricted-access census microdata extracts https://www.ipums.org/international * * * Robert McCaa, Minnesota Population Center Albert Esteve, Centre d’Estudis Demogràfics rmccaa@umn.edu, aepalos@yahoo.es rmccaa@umn.eduaepalos@yahoo.es rmccaa@umn.eduaepalos@yahoo.es “Inadequate use of microdata has high costs” --Len Cook (2003)

2. Outline: IPUMS-International Confidentiality Measures 1. Introduction: What is IPUM S i 5 slides 2. Disseminating anonymized, integrated extracts 3 slides 3. IPUMS-International confidentiality protections » Legal3 slides » Administrative3 slides » Technical6 slides 4. Conclusions 2 slides

3. 1. Introduction: What is IPUM-International? (7 slides)

4. IPUMS-International is… a global collaboratory of National Statistical Institutes & Universities to: » 1. Inventory the world’s census microdata » 2. Preserve endangered microdata and documentation * * * » 3. Integrate census microdata » a. use standards of UNSD, Eurostat, ISCO, ISCED, etc. » b. facilitate comparative research in time and space » 4. Anonymize census microdata to preserve statistical confidentiality, using highest standards » 5. Disseminate restricted access, custom extracts to approved researchers at no cost

5. IPUMS-International, October 2005 dark green = disseminating green = harmonizing lightest green = negotiating Mollweide Projection

6. Available now: (see Table 1) https://www.ipums.org/international https://www.ipums.org/international

7. Table 1. IPUMS-International consortium members, November, 2005Region Oficial Statistics Authority AfricaCameroon, Egypt, The Gambia, Kenya, South Africa, Uganda IPUMS- Latin America Argentina, Bolivia, Brazil, Canada, Chile, Colombia, Costa Rica, Dominican Republic, Ecuador, El Salvador, Guatemala, Honduras, Mexico, Nicaragua, Panama, Paraguay, Peru, Uruguay, USA, Venezuela IPUMS- Global (Asia) Armenia, Bangladesh, Cambodia, China, Fiji, Indonesia, Iraq, Israel, Malaysia, Mongolia, Pakistan, Palestinian Authority, Philippines, Turkmenistan, Vietnam IPUMS- Europe Austria, Belarus, Bulgaria, Czech Republic, France, Germany, Greece, Hungary, Netherlands, Portugal, Romania, Slovenia, Spain, the United Kingdom (pending: Ireland, Italy, Poland, Russia, Switzerland and Turkey).

8. IPUMS-Europe: (Table 2). By July 2005, at 1 st workshop 9 countries entrusted 28 datasets to the project (bolded); 2 nd workshop in 2006; first release in 2007

9. R E C O V E R S Centro Latino Americano y Caribeño de Demografía (CELADE) ~3000 microdata tapes recovered, and corresponding documentation IPUMSiIPUMSiIPUMSiIPUMSi What microdata still exist for the European region? » For the 1960 census round? » 1970s? 1980s? 1990s? Will they be recovered before it is too late?

10. » 1987-1992: USA: SHRL Common format FORTRAN programs Limitations: lost information, false cognates, poor documentation, expensive custom datasets » 1993-1995: IPUMS-USA was an attempt to do it right Single harmonized database, comprehensive integrated documentation, no lost information Beta release 1993, web-based interactive extraction in 1995 » 1995-present: IPUMS-USA internet dissemination Microdata samples for each decennial census: 1850-2000 » 1999-present: IPUMS-International History of IPUMS, 1987-2005

11. 2. Disseminating Anonymized, Integrated Extracts (3 slides)

12. IPUMS i integration principles IPUMS i integration principles » 1. Respect absolute anonymity » 2. Preserve all original data, except adjustments to assure confidentiality (top codes blurrings, masking, re- ordering, etc.) » 3. Harmonize codes for countries occupation: ISCO, HISCO (detailed, general) education: ISCED “ “ family: IPUMS, etc. “ “ » 4. Enhance with constructed variables

13. 6 steps using https://www.ipums.org/international: 1. Logon w/ password 2a. Study documentation 2b. Design extract 3. Receive email; logon with p/word 4. Download extract (SSL encrypted) 5. UnZip data (also SAS, STATA) 6. Analyze

14. Data Dissemination: web-based extraction system » Password protected: to make and retrieve extracts » Researcher selects: » Countries, » Censuses, » Cases/sub-populations, » Variables, and » Sample densities » Extract engine queues request, generates extract » Researcher retrieves extract via web with SSL 128-bit encryption » NO: CDs, original codes, or complete datasets

15. 3. Confidentiality Protections (15 slides) “There has been no known attempt at identification with the 1991 SARs [microdata samples of the UK]- nor in any other countries that disseminate samples of microdata” --Elliott and Dale, Journal of the Royal Statistical Society, 1999

16. ‘statistical confidentiality’ shall mean the protection of data related to single statistical units which are obtained directly for statistical purposes or indirectly from administrative or other sources against any breach of the right to confidentiality. It implies the prevention of non-statistical utilization of the data obtained and unlawful disclosure. --COUNCIL REGULATION (EC) No 322/97 of 17 February 1997

17. 3 kinds of confidentiality protections: 1. Legal: Dissemination agreement between University of Minnesota and each National Statistical Institute » Uniform 11 point Memorandum of Understanding regarding: ownership, use, authorization, restrictions, confidentiality, security, publication, violations, sharing, arbitration, and order of precedence 2. Administrative: conditional use license between the University of Minnesota and each researcher » Permission to use restricted access microdata, 3 criteria: research need, research competence, and agree to abide by conditions of use license 3. Technical data protection measures » Specific to each country …/

18. Legal: OSI and U. Minnesota

19. Legal: OSI and U. Minnesota (2001-4)

20. Legal: OSI and U. Minnesota (2005+)

21. 3 kinds of confidentiality protections: 1. Legal: Dissemination agreement between University of Minnesota and each National Statistical Institute » Uniform 11 point Memorandum of Understanding regarding: ownership, use, authorization, restrictions, confidentiality, security, publication, violations, sharing, arbitration, and order of precedence 2. Administrative: conditional use license between the University of Minnesota and each researcher » Permission to use restricted access microdata, 3 criteria: research need, research competence, and agree to abide by conditions of use license 3. Technical data protection measures » Specific to each country …/

22. Legally-binding license agreement » protects privacy and confidentiality » assures proper use » forces snoopers to violate law Access limited to: » Bona-fide researchers (credentials) » With a demonstrated scientific need » who agree to abide by license restrictions » Confidentiality » No redistribution » Safely secured Restricted Access web-based system DISSEMINATESDISSEMINATESDISSEMINATESDISSEMINATES IPUMSiIPUMSiIPUMSiIPUMSi

23. User Conditions of Use License

24. Conditions of Use License (Appendix B)

26. 3 kinds of confidentiality protections: 1. Legal: Dissemination agreement between University of Minnesota and each National Statistical Institute » Uniform 11 point Memorandum of Understanding regarding: ownership, use, authorization, restrictions, confidentiality, security, publication, violations, sharing, arbitration, and order of precedence 2. Administrative: conditional use license between the University of Minnesota and each researcher » Permission to use restricted access microdata, 3 criteria: research need, research competence, and agree to abide by conditions of use license 3. Technical data protection measures » Specific to each country …/

27. ANONYMIZESANONYMIZESANONYMIZESANONYMIZES IPUMSiIPUMSiIPUMSiIPUMSi » Suppress geographical detail » Blur/aggregate sensitive codes » Convert dates to ages (blur key vars.) » Swap cases between districts » Scramble records technical measures are also applied, in addition to the legal & administrative protections

28. EUROSTAT statistical confidentiality standards (Thorogood, 1999) --all endorsed by IPUMS-International » 1. Restrict access to samples » 2. Limit geographical detail » 3. Re-code unique categories--top and bottom » 4. Sign non-disclosure agreement » 5. Prohibit redistribution to third parties » 6. Prohibit attempts to identify individuals or the making any claim to that effect » 7. Require users to provide copies of publications

29. EUROSTAT statistical confidentiality standards (Thorogood, 1999) --all endorsed by IPUMS-International 8. Construct age from birthdate, if necessary8. Construct age from birthdate, if necessary 9. Do not identify date of birth9. Do not identify date of birth 10. Do not identify precise place of birth10. Do not identify precise place of birth 11. Migration: timing/place not identified in detail11. Migration: timing/place not identified in detail 12. Identify place of residence by major civil division (pop>20k, 60k, 100k, 1 million—i.e., national convention)12. Identify place of residence by major civil division (pop>20k, 60k, 100k, 1 million—i.e., national convention) 13. Do sensitivity analysis13. Do sensitivity analysis 14. Do confidentiality assessment14. Do confidentiality assessment

30. Anonymization example: Kenya, 1989 Anonymization example: Kenya, 1989 Kenya: Anonymization Based on Unique Characteristics Threshold (50,000 for geographic variables; 10,000 for other variables) TypeProcedure Variable Name KeySuppressedDivision, Location, Sublocation, Enumeration area, Tribe/Ethnicity Aggregated50,000 minimum: Province, District of Residence, Birth and Past Residence NoneSex, Marital Status, Relationship to Head, etc. SensitiveAggregated10,000/1,000 minimum: Occupation, Employment Status Transitory (information is considered too changeable to be used to identify individuals from microdata). NoneAge, Urban/Rural Residence, Literacy, Educational Status, Educational Level, Labor Activity, Children Everborn/Alive/Dead, Last Birth Year, Mortality variables

31. IPUMS-International samples anonymized by: Census Agency (36 countries) or IPUMS (19 countries) Census Agency (n=36): Argentina, Armenia, Austria, Belarus, Brazil, Cambodia, Canada, China, *Czech Republic, Egypt, France, *Germany, Greece, Hungary, Indonesia, *Ireland, Israel, Malaysia, Mexico, Mongolia, Netherlands, Pakistan, Palestinian Authority, Philippines, *Poland, *Portugal, Puerto Rico, Romania, *Slovenia, South Africa, Spain, Turkmenistan, *Turkey, USA, UK, Vietnam * Microdata for 7 countries not entrusted to project yet. * Microdata for 7 countries not entrusted to project yet. IPUMS (n=19): Bolivia, Chile, Colombia, Costa Rica, Dominican Republic, Ecuador, El Salvador, Fiji Islands, Guatemala, Honduras, Iraq, Kenya, Nicaragua, Panama, Paraguay, Peru, Uganda, Uruguay, Venezuela

32. Risk assessment of 1991 SARs: the risk is very low… » After taking into account errors in the data, coding variability and changing of personal characteristics in time » Dale and Elliott, JRSS-A (2003): “For a user of an outside database, attempting this sort of match with no opportunity for verification would prove fruitless. In the first place, the small degree of expected overlap would be a considerable deterrent to an intruder. However, if a match between the two files was attempted the large number of apparent matches would be highly confusing as an intruder would have no way of checking correct identification.”

33. 4. Shifting the Risk-Utility curve rightward by restricting access to accredited users.

34. 4. Conclusion

35. IPUMS-Europe 2004 – 2009 CIECM 2005 DIECM 2006-2008 EIECM 2007-2009 Disseminate Joint integrated European census microdata projects Coordinate Enhance

36. 1. Uniform legal authorization with national statistical authorities 2. Access restricted to academics with need who agree to abide by stringent confidentiality protections 3. Experienced integration teams 4. Proven web-based distribution system 5. High user satisfaction 6. Sustainable: NSF, NIH, FP-6 funded (Europe only) IPUMS-International strengths

37. Thank you! https://www.ipums.org/international additional information at: www.hist.umn.edu/~rmccaa/ click: ipums-europe and: www.ced.uab.es click: IECM * * * * * * Contacts: rmccaa@umn.edu aepalos@yahoo.es https://www.ipums.org/international www.hist.umn.edu/~rmccaa/ www.ced.uab.esrmccaa@umn.edu aepalos@yahoo.es https://www.ipums.org/international www.hist.umn.edu/~rmccaa/ www.ced.uab.esrmccaa@umn.edu aepalos@yahoo.es

38. Population Activities Unit 1990s census harmonization project: » Begun 1992: PAU, ECE, UNFPA, US-NIA » Microdata acquired for 15 countries » Progressive over-samples for the aged » Harmonized 26 core person variables plus 13 optional; 10 dwelling/household variables, 18 optional » Extensive metadata: questionnaires, nomenclatures, classifications

39. Problems with PAU effort: » Lacked legal authority » Inadequate funding » High institutional costs » Insufficient computing infrastructure and human resources » Antiquated distribution system: few users » Sustainability: problematic