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~f s~- d .1 PROTECTING INDIVIDUAL PRIVACY IN EVALUATION RESEARCH The Committee on Federal Agency Evaluation Research Assembly of Behavioral and Social Sciences National Research Council National Academy of Sciences Washington, D.C. NASâ¢NAE 1975 SEP 8 1975 LIBRARY
NOTICE The members of the committee appointed to undertake the study reported here were chosen on the basis of recognized competence and with due consideration for a balance of disciplines and expertise appropriate to the project. Responsibility for the content of this report rests with that committee. The project was approved by the Governing Board of the National Research Council, representing and consisting of members of the National Academy of Sciences, the National Academy of Engineer- ing, and the Institute of Medicine. Each report of a committee of the National Research Council is reviewed by an independent group according to procedures established and monitored by a Report Review Committee repre- senting and consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. International Standard Book No. ISBN 0-309-02406-4 Library of Congress Catalog Card No. 75-18591 Available from: Printing and Publishing Office National Academy of Sciences 2101 Constitution Avenue, N.W. Washington, D.C. 20418 Printed in the United States of America
COMMITTEE ON FEDERAL AGENCY EVALUATION RESEARCH Members Alice M. Rivlin, (CHAIRMAN), Senior Fellow, Brookings Institution, Washington, DC* Donald T. Campbell, Professor of Psychology, Northwestern University James Farmer, President, Council on Minority Planning and Strategy, Washington, DC Robinson G. Hollister, Jr., Professor of Economics, Swarthmore College Robert A. Levine, President, New York City RAND Institute* Paul A. Nejelski, Director, Institute of Judicial Administration, New York University Martin Rein, Professor of Urban Studies and Planning, Massachusetts Institute of Technology Peter H. Rossi, Chairman, Department of Social Relations, Johns Hopkins University0 Richard D. Schwartz, Provost and Dean of Faculty of Law and Jurisprudence, Law School, State University of New York Joseph Steinberg, Assistant Commissioner for Office of Survey Design, Bureau of Labor Statistics, U.S. Department of Labor"*" John F. Szwed, Director, Center for Urban Ethnography, University of Pennsylvania Sheldon H. White, Professor of Psychology, Harvard University The Committee is grateful to Stephen S. Baratz, who served as Executive Secretary for most of the Committee's life, and to Marsha Paller and Theodore Voorhees, Jr., who provided valuable research assistance at an early stage of the Committee's deliberations. *Now, Director, Congressional Budget Office *Now, Deputy Director, Congressional Budget Office °Now, Professor of Sociology, University of Massachusetts +NoW, President, Survey Design, Inc., Silver Spring, MD
PROTECTING INDIVIDUAL PRIVACY IN EVALUATION RESEARCH TABLE OF CONTENTS SUMMARY AND RECOMMENDATIONS THE NEED FOR PROTECTING INDIVIDUAL PRIVACY IN EVALUATION RESEARCH Background of the Committee on Federal Agency Evaluation Research The Need for Evaluation Protection of Privacy Findings and Recommendations THE MEANS OF PROTECTING INDIVIDUAL PRIVACY IN EVALUATION RESEARCH Physical Protection Legal Protection CONCLUSION 1 3 8 15 APPENDIX A. CONFIDENTIALITY-PRESERVING MODES OF ACCESS TO FILES AND TO INTERFILE EXCHANGE FOR USEFUL STATISTICAL ANALYSIS By Donald T. Campbell, Robert F. Boruch, Richard D. Schwartz, and Joseph Steinberg APPENDIX B. A RESEARCHER'S SHIELD STATUTE: GUARDING AGAINST THE COMPULSORY DISCLOSURE OF RESEARCH DATA By Paul Nejelski and Howard Peyser