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SHARING RESEARCH DATA Stephen E. Fienberg, Margaret E. Martin, and Miron L. Suaf, Editors Committee on National Statistics Commission on Behavioral and Social Sciences and Education National Research Council NATIONAL ACADEMY PRESS Washington, D.C. 1985
National Academy Press · 2101 Constitution Avenue, NW · Washington, DC 20418 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. Ibis report has been reviewed by a group other than the authors according to procedures ap- proved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineenng, and the Institute of Medicine. The National Research Council was established by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of Murdering knowledge and of advising the federal government. The Council operates in accor- dance with general policies determined by the Academy under He authority of its congressional charter of 1863, which established the Academy as a private, nonprofit, self-governing member- ship coloration. The Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in the conduct of their services to the government, the public, and the scientific and engineering communities. It is administered jointly by both Academies and the Institute of Medicine. The National Academy of Engineenug and the Institute of Medicine were established in 1964 and 1970, respectively, under the charter of the National Academy of Sciences. Library of Congress Cataloging ~ Publication Data Main entry under title: Sharing research data. "Committee on National Statistics, Commission on Behavioral and Social Sciences and Education, National Research Council." Bibliography: p. 1. Communication in the social sciences Addresses, essays, lectures. 2. Intellectual cooperation Addresses, essays, lectures. 3. Social sciences- Research Addresses, essays, lectures. I. Fienberg, Stephen E. II. Martin, Margaret E. m. Surf, Miron L. IV. National Research Council. (U.S.). Committee on National Statistics. V. National Research Council (U.S.) Commission on Behavioral and Social Sciences and Education. H61.8.S53 1985 300'.72 8~27275 ISBN~309 03499-X Printed in the United States of America
COMMITTEE ON NATIONAL STATISTICS STEPHEN E. PItNBERG (Chair), Department of Statistics, Carnegie- Mellon University LEO BREIMAN, Department of Statistics, University of California, Berkeley JOEL E. COHEN, Department of Populations, The Rockefeller University WAYNE A. FULLER, Department of Statistics, Iowa State University F. THOMAS JUSTER, Institute for Social Research, University of Michigan GARY G. KOCH, Department of Biostatistics, University of Fords Carolina PAUL METER, Department of Statistics, University of Chicago JANE A. MENKEN, Office of Population Research, Princeton University LINCOLN E. MOSES, Department of Statistics, Stanford University JOHN W. PRATT, Graduate School of Business, Harvard University CHRISTOPHER A. SIMS, Department of Economics, University of Minnesota BURTON [I. SINGER, Deparunent of Statistics, Columbia Universitr COURTENAY M. SLATER, CEC Associates, Washington, D.C. JUDITH M. TANUR, Department of Sociology, State University of New York at Stony Brook EDWIN D. GOLDP~LD, Executive Director MIRON L. STRAP, Research Director . . .
SUBCOMMITTEE ON SHARING RESEARCH DATA STEPHEN E. FIENBERG (Chair), Department of Statistics, Carnegie- Mellon University CLIFFORD G. HILDRETH, Department of Economics, University of Minnesota LESLIE KISH, Institute for Social Research, University of Michigan EDWARD R. TUFl a;, Department of Political Science, Yale University MARGARET E. MARTIN, Staff MIRON L. STRAP, Staff IV
Preface This report originated from a letter sent in May 1979 by Professor Melvin Reder of the University of Chicago School of Business to the executive direc- tor of the Committee on National Statistics (CNSTAT). Professor Reder pro- posed a conference on Be sharing of social science research data to examine and discuss Me conflicting pressures affecting researchers regarding the dis- closure to others of data and preliminary analyses. Such a conference, chaired by Clifford Mildred, was held in October 1979. The participants reused many points and recommended furler work by CNSTAT. The comunittee expresses its thanks and appreciation to the parti- cipants, who are listed in the appendix to this volume. In response to the conference recommendation, the Sloan Foundation provided the corr~nittee win a grant to work toward Me development and dissemination of guidelines for the sharing of scientific data, and the System Development Foundation provided a furler grant for work on this report. The study was also supported by a consortium of federal agencies Mat provide funding for the general activi- ties of CNSTAT. A subcommittee of CNSTAT members was appointed to oversee He pro- ject; it was responsible for obtaining and reviewing commissioned papers, developing a set of guidelines for sharing data, and preparing this report for Be committee. Although some of their terms of appointment on the full com- v
mittee expired, all subcommittee members continued to serve throughout the study. We were fortunate to obtain the services and cooperation of several schol- ars who prepared papers following a general outline developed by the sub- comrnittee. The commissioned papers are Part II of this volume and repre- sent different vantage points on the issues of data sharing. The sub committee is especially appreciative of the detailed materials and suggestions contained in these papers and has relied heavily on them in formulating and structuring the discussion of the costs and benefits of data sharing as well as in developing its recommendations. The first paper, prepared at the Inter-university Consortium for Political and Social Research at the University of Michigan by Jerome M. Clubb with coauthors Erik W. Austin, Carolyn L. Geda, and Michael W. Traugott, deals primarily with large social science data sets. The other four papers deal with the advantages and disadvantages of data sharing more broadly. The paper by Robert F. Boruch of the Department of Psychology at Northwestern University describes products of data sharing. The paper by Terry E. Hedrick of the Institute for Program Evaluation of the U.S. General Accounting Office discusses justifications for and obstacles to data sharing. The paper by Joe Shelby Cecil of the Federal Judicial Center and Eugene Griffin of Northwestern University discusses legal issues relevant to data sharing and provides an important analysis of current pertinent law. And the paper by Robert F. Boruch and David S. Cordray of the Deponent of Psychology at Northwestern University suggests professional codes and guidelines for data sharing. Margaret E. Martin and Miron L. Straf served as staff of the subcommittee and coeditors of this report. Lenore Libby prepared a report of the early conference that led to the development of this study. Eugenia Grohman con- tributed greatly in editing our manuscript and guiding it toward publication. Valuable assistance was provided by Roberta Pirosko in bibliographic work and in typing and by Diane Goldman in proofreading and manuscript prepara- tion. Using the computer for word processing, telecommunications, and typesetting, Lee R. Paulson prepared many versions of our manuscript; she also provided bibliographic and other research assistance. Reviewers and many others offered valuable comments and suggestions for our report. To all who have worked with us or otherwise contributed, we are very grateful. The committee views this report as an initial examination of some of the issues of data sharing, on which readers are invited to comment. Stephen E. Fienberg, Chair Committee on National Statistics May 27, 1985 v'
Contents PART I: REPORT OF THE COMMITTEE ON NATIONAL STATISTICS Issues and Recommendations Introduction . . . . . . . .. . . ... . . Benefits of Data Sharing .. . . .. . . . . . . Costs of Data Sharing . . . . . . . . The Changing Environment for Data Sharing Conclusions and Recommendations .. . . . References Appendix . . . . PART II: SOME PERSPECTIVES COMMISSIONED PAPERS Sharing Research Data in the Social Sciences .. . . . . . Jerome M. Clubb, Erik W. Austin, Carolyn L. Geda, and Michael W. Traugott . . V11 3 3 9 .15 .18 .24 .33 .36 .39
Definitions, Products, Distinctions in Data Shanng Robert F. Boruch Justifications for and Obstacles to Data Sharing Terry E. Hedrick The Role of Legal Policies in Data Shanng Joe Shelby Cecil and Eugene Griffin Professional Codes and Guidelines in Data Shanng Robert F. Boruch ar~David S. Cordray . . . Razz ·89 123 148 199