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Giving research access to official microdata through the facilities of a National Statistical Institute: INE in Portugal
Jose A. PINTO MARTINS - DISSEMINATION UNITAna PINTO - LEGAL UNIT
16 & 17 october 2014 Athens, Greece
Second Regional Workshop - Microdata Access in European CountriesCooperation between National Statistical Institutes and Data Archives
Accreditation
Protocol
STATE LAW 22/2008, 13TH
MAY
State Law nº 22/2008, 13 May (principles, rules and structure of National Statistical System - NSS)
Art. 6 - Statistical confidentiality
2 — All individual statistical data collected by statistical authorities are confidential
General context
Legal framework (1/3)
Art. 6 - Statistical confidentiality
7 — … shall only be supplied for SCIENTIFIC PURPOSES, if ANONYMISED, upon an AGREEMENT signed between the statistical authority supplying the data and the entity requesting them...
8 — Requests …a specific scientific project, by researchers in universities or other legally recognized higher education institutions and scientific investigation organizations, …recognized as pursuing scientific purposes…
Legal framework (2/3)
Scientific purposes
PURPOSE - Scientific purposes and within the scope of a specific scientific project by researchers from:
• Universities and other higher education institutions• Other scientific investigation organizations, officially recognized as
having purposes of scientific research
CHARACTERISTICS OF DATA RELEASED – Anonymised
FORMALIZATION - An agreement signed between the Statistics Portugal and researcher(s), defining the technical and organizational measures deemed necessary to ensure the protection of confidential data and avoid any risk of illicit dissemination or use for other purposes.
State Law 22/2008 – establishes the Legal conditions for access by researchers to individual statistical data:
Legal framework (3/3)
FROM LEGAL CONDITIONS TO PRACTICAL ASPECTS - COOPERATION (1)
The applying process is based on three pillars:
ACCREDITATION
External to Statistics Portugal
(based on Protocolwith DGEEC and FCT,
both entities of the Ministry of Education
and Science, responsible for
conducting and funding research in PT)
REQUEST
Assessment by Statistics Portugal
making data available (anonymised or in
Secure environment)
AGREEMENT
Signed between Statistics Portugal and the researcher
establishing conditions
of use and sanctions
SUBJECT – ESTABLISHES THE COOPERATION FORMS BETWEEN THREE PARTNERSregarding conditions of access to statistical individual anonymised data in respect to art. 6º, n. 7 and 8 of NSS State Law 22/2008, 13th May.
SCOPE – Researchers from universities or other higher education institutions legally recognized and organizations, institutions or departments of scientific research recognized as such by the MES.
THE PROTOCOL (1)
(responsible for ACCREDITATION)
DGEECFCT Statistics
Portugal
(Provides access to databases/microdata)
Accreditation Request = Form + statement of commitment ( 1/researcher)
The Accreditation Request should be fully filled, signed and stamped, presented to DGEEC. Submission by webform will be available soon.
From the PROTOCOL (established cooperation) – to ACCREDITATION (cooperation in action)
Accreditation Request
Accreditation granted
Availability and support
Accreditation flow →
Each researcher involved in the request must also sign a statement of commitment (binding each researcher to statistical
secrecy)
Accreditation form
ACCREDITATION validity
Valid during the length declared for the research project
Valid only for data identified as being directly related to the accreditation request that gave rise to the credential.
The request for accreditation is associated with the obligatory signing of the Code of Conduct for the use of statistical data by the applicant and the research institution under the law (duty of confidentiality, of not replicate data, the conditions of security of the data, the obligation of destruction the data after usage and liability questions)
Accreditation – Who is a researcher? (1/4)
Accreditation – Who is a researcher? (2/4)
Accreditation – Who is a researcher? (3/4)
Accreditation – Who is a researcher? (4/4)
1 – Statistical databases (anonymised for researchers use)
2 – Specific results / taylor-made sets of anonymised data
3 - Safe centre (exceptionally)(directly on the individual databases without direct identification of statistical units) all outputs are checked before release; final information does not contain any direct or indirect
identification of the units referred to
4 – Remote access (not yet implemented)
(Available) ACCESS MODES
Cooperation in action?
Accreditation Request
Accreditation granted
Availability and support
Accreditation flow →
Our “statistics” (1/4)
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
(*)
0
10
20
30
40
50
60
26
3027
33
41
32
2528
3936
48
41
47
54
34
Requests (No.), 2000-2014(*)
(*) - Jan - Sep 2014
Researchers and Requests
3rd Quarter 2014
2nd Quarter 2014
1st Quarter 2014
4th Quarter 2013
3rd Quarter 2013
4
10
20
11
12Requests (No.)
Requests (No.)
(*) - Jan-Mar
3rd Quarter 2014
2nd Quarter 2014
1st Quarter 2014
4th Quarter 2013
3rd Quarter 2013
0 5 10 15 20 25 30 35 40 45
6
23
42
26
19
4
10
20
11
12
Requests (No.)
Researchers (No.)
(*) - Jan-Mar
Average (Researchers/Request ) ~ 2
Our “statistics” (2/4)
3rd Quarter 2013 4th Quarter 2013 1st Quarter 2014 2nd Quarter 2014 3rd Quarter 2014
Research project 7 7 12 9 2
Phd research 1 0 6 1 0
Master 4 4 2 0 2
1
3
5
7
9
11
13
Requests by type of research activity
Our “statistics” (3/4)
Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q30.0
2.0
4.0
6.0
8.0
10.0
12.0
14.0
16.0
Average Time of INE’s answers
Nº
day
s
2012 2013 2014
Our “statistics” (4/4)
• Access to confidential data for scientific purposes is a priority for INE and for the use of Official statistics because many questions – economic, social, environmental and political sciences – can be answered adequately on the basis of relevant and detailed data allowing in-depth analyses;
• Wider access to confidential data for scientific work without compromising the high level of protection is beneficial to statistics;
• The experience and needs from researchers are relevant for improving accessibility of confidential data;
• Our commitment is providing good information. Researchers responsibility is the use of data in full respect for the fundamental Principle of Statistical Confidentiality.
Conclusions
And…
From our GOOD experience, COOPERATION for this specific purpose is an advantage; it allows, namely, split and share responsibilities' among parties with specific knowledge, and definitely rendering the system more efficient.
Conclusions
Cooperation in action? YES
Thank you for your attention!
Questions?
Second Regional Workshop - Microdata Access in European CountriesCooperation between National Statistical Institutes and Data Archives