General Information About Restricted Data From ICPSR
ICPSR Bylaws state that "data and other material provided are to be used solely for statistical analysis and reporting of aggregated information, and not for investigation of specific individuals or organizations" and requires all users of its materials to give "assurance that such uses of statistical data will conform to widely-accepted standards of practice and legal restrictions that are intended to protect the confidentiality of research subjects." (ICPSR Bylaws, Article I, Section 2.C)
Each data collection in the ICPSR Archive has been examined to ensure that the contents of the collection do not violate explicit or implicit pledges of confidentiality given to respondents or research subjects. Data items that could be used to identify individual respondents are typically removed, masked, or collapsed in the public-use versions of the datasets prepared by ICPSR and released to the research community.
To facilitate research activities that cannot be effectively performed without access to data items that have been removed, masked, or collapsed in the public-use version of a data collection, ICPSR will (upon written request) provide a restricted use dataset to an individual researcher for a specific time period. Provision of such a dataset requires the fully-executed agreement described below.
Eligibility
Access to restricted datasets is limited to researchers who require the additional variables contained in the restricted use file and who agree to the terms and conditions contained in this Restricted Data Use Agreement. Furthermore, access to the restricted use dataset is limited to researchers employed by an organization possessing a current NIH Multiple Project Assurances (MPA) Certification Number (typically research-oriented universities). Access for individuals employed by organizations that do not have an MPA Certification Number may be obtained, however, upon the submission, review, and approval of the Application's Item #9 as well as the documents described in the following section.
University students may gain access to the restricted data, but a faculty advisor must serve as Restricted Data Investigator. The faculty advisor and institution bear full responsibility for ensuring that all conditions of the agreement are met by the student, who must sign the Supplemental Agreement With Research Staff form.
Applying for Use of Restricted Data
Applicants must submit the following items to ICPSR:
Current CVs of all researchers who will be working on the project. CVs of support staff (e.g., research assistants, programmers) are not required.
A detailed Data Protection Plan (see instructions)
A completed and original signature copy of the Restricted Data Use Agreement for each organization involved in the proposed project
A completed and original signature copy of the Supplemental Agreement with Research Staff for each member of the research team other than the Restricted Data Investigator who will have access to the data, including Co-Principal Investigators, if any.
This Restricted Data Use Agreement is a legal document between the researcher, her/his employer, and ICPSR. Changes in the employment status of the researcher require the completion of a new Restricted Data Use Agreement.
ICPSR will have full discretion in deciding whether the applicant meets eligibility criteria and whether the Data Protection Plan is adequate. ICPSR may request additional information from applicants or request changes to the Data Protection Plan. If ICPSR decides all requirements are met, a representative from ICPSR will sign the Restricted Data Use Agreement and return a copy of the fully executed agreement to the applicant along with a copy of the data.
If during the course of the research project, new staff are added who will have access to the data, signed copies of the Supplemental Agreement must be sent to ICPSR. Access to the data cannot be provided to these staff members until the Supplemental Agreements are signed by an ICPSR representative and returned to the Restricted Data Investigator.
Research Teams Consisting of Persons Employed at Different Organizations
Because the researcher and her/his employer are both parties to this Restricted Data Use Agreement, multiple Agreements must be executed when members of a research team with access to the restricted data are employed by different organizations. A separate Agreement must be executed with each organization involved in the project. For instance, when researchers employed at different universities collaborate on the research project, a Restricted Data Investigator must be designated at each university and each university must execute its own Agreement. When a researcher contracts with a firm to perform programming services using the restricted data, both the researcher's organization and the firm performing the programming must have separate Agreements. (Self-employed persons with no institutional affiliation may not gain access to the restricted data.)
When the project involves multiple organizations, the Data Use Agreements for each organization must be submitted to ICPSR together in a single package. This package should include a cover letter identifying the single Principal Investigator who will serve as primary contact for the entire research team. This primary contact must serve as the Restricted Data Investigator (i.e., signatory to the agreement) in his or her employer's Agreement. Other organizations involved in the project should designate the most senior team member (i.e., the team member that holds the greatest authority over other team members from that organization) as their organization's Restricted Data Investigator.
Where to Submit Applications
All application materials described in the previous section, "Applying for Use of Restricted Data," should be mailed to:
ICPSR
Restricted Data Use Agreements
P.O. Box 1248
Ann Arbor, MI 48106-1248
Questions about this application for the use of restricted data may also be sent to the above address or forwarded via facsimile (734) 647-8200 or e-mail (netmail@icpsr.umich.edu).
Application for ICPSR Restricted Data Files
INSTRUCTIONS: Please provide the following information. Additional information may be attached to this form. Please note that only one application per research project is required. However, separate Data Protection Plans and Data Use Agreements are required for each organization represented by the research team.
Study Title:
Study Number:
Applicant information: (Note: Unless otherwise instructed, the first Principal Investigator listed will serve as the primary contact person with ICPSR.)
Name of Principal Investigator:
Title:
Department (if applicable):
Organization:
Street Address:
City, State, ZIP:
Phone:
Fax:
Email:
Name of Co-Principal Investigator (if applicable):
Title:
Department (if applicable):
Organization:
Street Address:
City, State, Zip:
Phone:
Fax:
Email:
Please provide information on additional Co-Principal Investigators, if applicable.
Title of research project for which this restricted data file is requested.
Short description of research project including research questions, primary methodology, categories of variables to be used (attach additional sheets if required).
What types of data from other sources will be merged with this restricted data file?
State reasons why the public-use data file is not adequate for conduct of the research project.
Describe all the ways that you intend to use the results of the research, including plans for public dissemination.
Provide names, titles, and affiliations of other members of the research team who will have access to the restricted data or to output derived from these data. If not all members have been selected, please list as "unassigned" and indicate the job titles. Include individuals who are employed by different organizations.
If employed at an organization that has a current NIH Multiple Project Assurances (MPA) Certification Number or Federal Wide Assurances (FWA) Certification Number, please provide the number and expiration date.
If a member of the proposed research team, including subcontractors, is employed at an organization that does not have an NIH Multiple Project Assurances (MPA) Certification Number or Federal Wide Assurances (FWA) Certification Number, please respond to the following questions:
Please describe your employer in detail. Include the type of organization, profit/non-profit status, and primary sources of revenue.
What is(are) the sources(s) of funding for the specific research for which you are applying to use this restricted data file? (List name of funding organization, whether funds provided as a grant, contract, or other mechanism.)
Please describe proprietary interests of the funding organizations listed in the response to 9b, above, even if not directly related to the research project described above.
Does your employer have policies regarding scientific integrity and misconduct, or human subjects research that cover the secondary analysis of survey data? If so, please describe these policies.
Instructions for Preparing the Data Protection Plan
Purpose of the Data Protection Plan: The Data Protection Plan becomes part of the signed agreement between ICPSR and the Restricted Data Investigator(s). If the agreement is executed, all members of the research team with access to the data are contractually obligated to follow all aspects of the Data Protection Plan. The fundamental goal of the protections outlined in this plan is to prevent persons who are not signatories to the Restricted Data Use Agreement or the Supplemental Agreement With Research Staff from gaining access to the data. The agreement will not be executed if the plan is not written with sufficient specificity, or if data protections are not deemed adequate by ICPSR.
What should be covered by the plan: The Data Protection Plan applies to both the raw data file received from ICPSR as well as any copies made by the research team, and any new data derived solely or in part from the raw data file. The plan also should address how computer output derived from the data will be kept secure. This applies to all computer output, not only direct data listings of the file.
Components of the plan: Your Data Protection Plan should contain the following components:
Make reference to Title of Research Project and Principal Investigators.
List and describe all locations where copies of the data will be kept.
Describe the computing environment in which the data will be used:
Computing platform (PC, workstation, mainframe platform)
Number of computers on which data will be stored or analyzed
Whether personal computers used in the research project will be attached to a network or will operate independently (stand-alone)
Physical environment in which computer is kept (e.g., in room with public access, in room locked when not in use by research staff)
List and describe how data will be stored: (e.g., on PC hard drive, on removable storage media such as CD, diskettes, or Zip(R) drive.)
Describe methods of data storage when data are not being used.
Describe methods of transmitting the data between research team members (if applicable).
Describe methods of storage of computer output (in electronic form as well as on paper).
Types of protection expected: Although there are alternative ways to assure security for the data and applicants should prepare their plans in a manner that best meets their needs, some or all of the following features are typically found in successful data protection plans:
Password protection for all files containing data (note that password protection is not regarded as sufficient protection by itself)
Removable storage media holding the data (e.g., CDs, diskettes, zip disks, etc.) kept in a locked compartment/room when not in use
Printouts derived from data analysis stored in a locked compartment/room when not in use
No storage of the data any network, including LANs, Internet enabled, etc.
No transmittal of data or analysis output derived from the data via e-mail, e-mail attachments, or FTP (either over the Internet, an Intranet system, or within a local area network)
Use of the data on a dedicated computer kept in a secure room and not connected to a network
No backup copies of the data to be made
Data stored in strongly encrypted form
Restricted Data Use Agreement
INSTRUCTIONS: Please submit an original-signature copy of this agreement; this will be countersigned and a copy returned to you.
The Restricted Data Investigator and the Receiving Organization agree to the following terms and conditions:
Terms
"Restricted Data" refers to the original restricted data provided by ICPSR and any fields or variables derived from these data, on whatever media they shall exist. (Aggregated statistical summaries of data and analyses, such as tables and regression statistics, are not considered "derived" for the purposes of this agreement.)
"Restricted Data Investigator" refers to the investigator who serves as the primary point of contact for all communications involving this agreement. The Restricted Data Investigator assumes all responsibility for compliance with all terms of this agreement by employees of the receiving organization.
"Principal Investigator(s)" refers to the Restricted Data Investigator and any Co-Principal Investigators.
"Receiving Organization" refers to the organization employing the Restricted Data Investigator.
"Research Staff" refers to any individuals other than the "Restricted Data Investigator(s)" with access to the restricted data.
The "Representative of the Receiving Organization" refers to an individual who has the authority to represent your organization in agreements of this sort, such as a Vice President, Dean, Provost, Center Director, or similar official. (Note that a Department Chair is not acceptable unless specific written delegation of authority exists.)
"ICPSR" refers to the Inter-university Consortium for Political and Social Research.
Items Incorporated by Reference
The Application for Restricted Data, as approved by ICPSR, is incorporated by reference into this Agreement.
The Supplemental Agreement with Research Staff, as approved by ICPSR, is incorporated by reference into this Agreement.
The Data Protection Plan, developed by the Restricted Data Investigator, is incorporated by reference into this Agreement.
Ownership of Data
Ownership of restricted data will be retained by ICPSR. Permission to use restricted data by the Investigator(s) and Receiving Organization may be revoked by ICPSR at any time, at their discretion. The Investigator(s) and Receiving Organization must return or destroy all originals and copies of the restricted data, on whatever media it may exist, within 5 days of written request to do so.
Access to the Restricted Data
Access to the restricted data will be limited solely to the individuals signing this agreement and the Supplemental Agreement With Research Staff, as detailed in the approved Data Protection Plan. The data may not be "loaned" or otherwise conveyed to anyone other than the signatories to this agreement.
Copies of the restricted data or any subsequent variables or data files derived from the restricted data will not be provided to any other individual or organization without the prior written consent of the ICPSR.
Uses of the Restricted Data
The restricted data will be used solely for the purpose of scientific and public policy research, and not for any administrative, proprietary, or law enforcement purposes.
The restricted data will be used to generate only statistical summary information that does not allow any individual, family, household, business, or organization to be identified.
The restricted data will be used solely for the research project described in the Application for Restricted Data incorporated by reference into this document.
No attempt will be made to identify any individual person, family, household, business, or organization. If an individual person, family, household, business, or organization is inadvertently identified, or if a technique for doing so is discovered, the identification or discovery will be immediately reported to ICPSR, and the identification or discovery will not be revealed to any other person who is not a signatory to this agreement.
No attempt will be made to link this restricted data with any other dataset, including other datasets provided by ICPSR, unless specifically identified in the approved Application for Restricted Data.
Use of the restricted data will be consistent with the receiving organization's policies regarding scientific integrity and human subjects research.
Data Confidentiality Procedures
If the Receiving Organization requires a review of research proposals using secondary survey data by an Institutional Review Board/Human Subjects Review Committee or equivalent body, that review has taken place and all approvals have been granted prior to application for use of the restricted data.
The Receiving Organization will treat allegations, by ICPSR or other parties, of violations of this agreement as allegations of violations of its policies and procedures on scientific integrity and misconduct. If the allegations are confirmed, the Receiving Organization will treat the violations as it would violations of the explicit terms of its policies on scientific integrity and misconduct.
The Restricted Data Investigator certifies that all aspects of the Data Protection Plan, as approved by ICPSR, will be followed until which time all copies of the restricted data are destroyed.
Destruction of Data Upon Completion of Research Project
The Restricted Data Investigator will certify to ICPSR that all originals and copies of the restricted data, on whatever media, will be destroyed at the completion of the research project described in the Application for Restricted Use Data or within 5 days of written request from the ICPSR.
Duration of This Agreement
This Agreement will go into effect upon approval of the Agreement by ICPSR, and will remain in effect until the completion of the research project, as noted in the Application for Restricted Use Data, or 24 months from the date this Agreement is accepted by ICPSR, whichever comes first. If, at the end of 24 months, access to the restricted data is still desired, the Restricted Data Investigator must contact ICPSR in writing requesting such continued access. If continued access is denied by ICPSR, or if the Restricted Data Investigator neglects to contact the ICPSR prior to the end of the 24-month period, all originals and copies of the restricted data, on whatever media they exist, must be destroyed by the Restricted Data Investigator.
Post-Approval Modifications to Submitted Materials
If changes in research plans or computer environment will alter the information originally submitted as part of this Agreement, the Restricted Data Investigator shall provide the ICPSR with a copy of the revised materials and a memorandum describing the changes in advance of the revisions. These revisions will be considered amendments to this agreement and may not be implemented until written approval is received by ICPSR.
A change in the employer of the Restricted Data Investigator requires the execution of a new Restricted Data Use Agreement and preparation of a new Data Protection Plan. These materials must be approved by ICPSR before restricted data may be accessed at the new place of employment.
When other research staff join the project, they shall submit the Supplemental Agreement with Research Staff. Such supplemental agreements shall be submitted in a timely manner but, in any event, prior to granting other research staff access to the data on whatever media in which the data may exist.
Violation of This Agreement
If ICPSR determines that the Agreement may have been violated, ICPSR will inform the Restricted Data Investigator(s) of the allegations in writing and will provide them with an opportunity to respond in writing within 10 days. ICPSR may also, at that time, require immediate return or destruction of all copies of the restricted data in possession of the investigators. Failure to do so will be determined to be a material breach of this agreement and, among other legal remedies, may be subject to injunctive relief by a court of competent jurisdiction. If ICPSR deems the allegations unfounded or incorrect, the data may be returned to the Restricted Data Investigator under the terms of the original agreement. If ICPSR deems the allegations in any part to be correct, ICPSR will determine and apply the appropriate sanction(s).
If ICPSR determines that any aspect of this agreement has been violated, ICPSR may invoke these sanctions as it deems appropriate:
Denial of all future access to restricted data files
Report of the violation to the researcher's institution's office responsible for scientific integrity and misconduct, with a request that the institution's sanctions for misconduct be imposed
Report of the violation to appropriate federal and private agencies or foundations that fund scientific and public policy research, with a recommendation that all current research funds be terminated, that future funding be denied to the investigator(s) and to all other persons involved in the violation, and that access to other restricted data be denied in the future
Such other remedies that may be available to ICPSR under law or equity, including injunctive relief
I certify that all materials submitted with this application for this restricted data are truthful.
Furthermore, I acknowledge that I am legally bound by covenants and terms of this agreement, and that violation will constitute unethical professional practice and may subject me to the sanctions listed above.
Restricted Data Investigator
Study Title:
Signature:
Date:
Typed Name:
Title:
Institution:
Building/Room Number:
Street Address:
City/State/ZIP:
Telephone:
Fax:
Email:
Representative of the Receiving Organization
By signing this agreement, this organization agrees that access to these confidential data will be restricted to authorized persons whose names appear on this agreement and the Supplemental Agreement with Research Staff, and that this organization is legally bound by the covenants and terms of this agreement.
Signature:
Date:
Typed Name:
Title:
Institution:
Building/Room Number:
Street Address:
City/State/ZIP:
Telephone:
Fax:
Email:
Representative of the Inter-university Consortium for Political and Social Research
Signature:
Date:
Typed Name:
Title:
(Signatory delegated by Chair of ICPSR Council)
ICPSR
P.O. Box 1248
Ann Arbor, MI 48106-1248
Fax: (734) 647-8200
e-mail:netmail@icpsr.umich.edu
Restricted Data Use Agreement:
Supplemental Agreement With Research Staff
INSTRUCTIONS: Please submit an original-signature copy of this agreement. (It will be countersigned and a copy returned to you.) Use additional copies of this page if necessary.
The undersigned staff, in consideration of their use of this restricted data certify the following:
That they have read the associated Restricted Data Use Agreement, and the Data Protection Plan incorporated by reference into this Agreement.
That they are "Research Staff" within the meaning of the Agreement (any research staff other than the Restricted Data Investigator).
That they will fully comply with the terms of the Agreement, including the Data Protection Plan incorporated by reference into it.
That they will not attempt to access this restricted data until approved to do so by the ICPSR.
Study Title
Signature
Date
Typed Name
Title/Formal Affiliation with Research Project
Signature
Date
Typed Name
Title/Formal Affiliation with Research Project
The above Research Staff are hereby granted approval to access this restricted data:
____________________________________________________________
Inter-university Consortium for Political and Social Research
________
Date
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