1. National Science Foundation Division of Science Resources Statistics May 15 2008 The Confidential Information Protection and Statistical Efficiency Act of 2002 (CIPSEA) Training for NCSES staff National Science Foundation National Center for Science and Engineering Statistics www.nsf.gov/statistics

2. National Science Foundation Division of Science Resources Statistics May 15 2008 2 Topics 1.Confidential Information Protection and Statistical Efficiency Act of 2002 (CIPSEA) 2.Confidential SRS surveys 3.Requirements for SRS staff 4.SRS employee CIPSEA training certification

3. National Science Foundation Division of Science Resources Statistics May 15 2008 3 About CIPSEA Training What is this training about? This training provides a broad overview of confidentiality rules and procedures. Who must take this training? All individuals who have access to confidential respondent-level survey information. –SRS staff –SRS contractors –Licensees When must this training be taken? –Before being granted access to respondent-level survey information collected under CIPSEA. –Must be taken annually, but is a lifelong commitment

4. National Science Foundation Division of Science Resources Statistics May 15 2008 4 Background CIPSEA was signed into law on Dec. 17, 2002 as Title V of the E-Government Act of 2002, Public Law 107-347 CIPSEA Subtitle A, Confidential Information Protection –Strengthens confidentiality protections –Limits use of information to statistical purposes –Permits controlled sharing of CIPSEA information for statistical purposes –Imposes severe penalties for willful violation of CIPSEA CIPSEA Subtitle B, Statistical Efficiency Act (applicable to the Census Bureau, the Bureau of Economic Analysis, and the Bureau of Labor Statistics)

5. National Science Foundation Division of Science Resources Statistics May 15 2008 5 Penalty Violating CIPSEA by not protecting the confidentiality of information or improperly using information for non- statistical purposes can result in you being charged with a class E felony that could result in: –Imprisonment for not more than 5 years AND/OR –A fine of not more than $250,000

6. National Science Foundation Division of Science Resources Statistics May 15 2008 6 OMB Authority CIPSEA states that the Director of the Office of Management & Budget (OMB) shall: Coordinate/oversee confidentiality and disclosure policies Review rules proposed by agencies Promote the sharing of information for statistical purposes consistent with privacy rights and the confidentiality pledge OMB has established guidelines for CIPSEA implementation: Annual training and certification Annual reporting of compliance and violations

7. National Science Foundation Division of Science Resources Statistics May 15 2008 7 For CIPSEA data collections, agencies/units must: Pledge to keep the data or information confidential, and Pledge that the information will be used for exclusively statistical purposes. CIPSEA Pledge

8. National Science Foundation Division of Science Resources Statistics May 15 2008 8 CIPSEA Pledge The information you provide will be used for statistical purposes only. In accordance with the Confidential Information Protection provisions for Title V, Subtitle A, Public Law 107-347 and other applicable Federal laws, your responses will be kept confidential and will not be disclosed in identifiable form to anyone other than employees or agents. By law, every NSF employee as well as every agent such as – contractors and authorized researchers, has taken an oath and is subject to a jail term of up to 5 years, a fine of up to $250,000, or both if he or she discloses ANY identifiable information about you.

9. National Science Foundation Division of Science Resources Statistics May 15 2008 9 Provisions Statistical purposes mean: Description, estimation, or analysis of the characteristics of groups, without identifying individuals or organizations that comprise such groups Non-statistical purposes mean: Use of information in an identifiable form that affects the rights, privileges, or benefits of a respondent Use of data for administrative purposes such as compliance with Federal regulations

10. National Science Foundation Division of Science Resources Statistics May 15 2008 10 Guidelines For CIPSEA data collections, agencies will: Collect and handle confidential information to minimize risk of disclosure Review the information to be disseminated to ensure that confidential information cannot be reasonably inferred by either direct or indirect means  Inform respondents of other laws protecting the confidentiality of their responses

11. National Science Foundation Division of Science Resources Statistics May 15 2008 11 Confidential SRS Surveys of Individuals Collected under CIPSEA National Survey of Recent College Graduates (NSRCG) Survey of Doctorate Recipients (SDR) National Survey of College Graduates (NSCG) Not collected under CIPSEA but collected under a pledge of confidentiality Survey of Earned Doctorates (SED)

12. National Science Foundation Division of Science Resources Statistics May 15 2008 12 Confidential SRS Survey Microdata SRS may authorize sharing of confidential information with: SRS staff or survey contractors who –Have a signed data-use agreement –Have completed CIPSEA training (for CIPSEA surveys)

13. National Science Foundation Division of Science Resources Statistics May 15 2008 13 Other laws exist that protect certain confidential federal microdata The National Science Foundation Act of 1950, as amended (All surveys) Exemptions under Freedom of Information Act (All surveys) Privacy Act (applies to SESTAT and SED surveys) Trade Secrets Act (applies to Survey of Industrial Research and Development (R&D)) Federal Contract Law (applies to various contracts) Applicable Laws in Addition to CIPSEA

14. National Science Foundation Division of Science Resources Statistics May 15 2008 14 Breach of Confidentiality A breach of confidentiality has occurred if a user can determine from publicly released information: That an individual is a respondent to an NSF survey An attribute that a specific survey respondent reported to NSF

15. National Science Foundation Division of Science Resources Statistics May 15 2008 15 Release of Information from Confidential SRS Surveys (cont.) Prior to release, information from confidential SRS survey data must be reviewed to ensure that confidentiality is protected and identifiable information is not disclosed. The following must be reviewed for disclosure risk prior to release: Public-use microdata files SRS standard products (papers/articles/tabulations) derived from the use of SRS restricted access microdata Requests from outside data users for tabulations and products developed by NSF contractors and SRS staff

16. National Science Foundation Division of Science Resources Statistics May 15 2008 16 Requirements for SRS Staff Protection of all confidential SRS survey information –Restricted-use data cannot be used at home or on a laptop outside the office –Restricted-use data must be stored in a locked office –Restricted-use data cannot sent by email or electronically Understanding that any improper disclosure or use of confidential SRS survey information has serious negative consequences for NSF and for staff Understanding CIPSEA requirements protecting confidentiality and limiting use of CIPSEA survey information to statistical purposes

17. National Science Foundation Division of Science Resources Statistics May 15 2008 17 Procedures for SRS Staff Direct anyone interested in microdata from CIPSEA surveys to the appropriate survey manager to discuss their interests. If SRS staff and contractors, fellows, and visitors or individuals from external organizations are interested in microdata, please direct them to the SDR project director. They will be referred to the SRS Licensing Coordinator who will obtain a data-use agreement or license agreement. No restricted-use data may be provided without the appropriate agreement. The SRS Licensing Coordinator will arrange to provide the microdata.

18. National Science Foundation Division of Science Resources Statistics May 15 2008 18 Questions about a specific survey should be directed to the survey manager General questions about CIPSEA and related confidentiality issues should be directed to the SRS Confidentiality Officer, the Chief Statistician Any suspected misuse of CIPSEA (or any other NSF survey information) should be reported to the SRS Confidentiality Officer, the Chief Statistician CIPSEA is available at http://csrc.nist.gov/policies/HR2458- final.pdf Procedures for SRS Staff (cont’d)