NORC at the University of Chicago, conducted the EPOP Survey and assured survey respondents their data would be kept confidential and anonymous.  The EPOP Survey public use files (PUFs) have undergone disclosure review to exclude or mask variables that alone, or in combination, could result in re-identifying individuals.  For most researchers, the PUF version of the data provides all the information needed to conduct their analyses.

In limited situations, however, some researchers may need potentially identifying variables to achieve their study objectives.  The EPOP research team can provide restricted use files (RUFs) in these situations.  Accessing this data requires an application process in which researchers show they will adhere to strict legal and data security requirements.

Before proceeding with a request for RUFs, please review these documents--the RUF codebook and the PUF and RUF Variable Comparison --to be sure the variables of interest will be available in the restricted data or are not fully satisfied with the PUF version.  

The preliminary application to access RUFs is the “Restricted Use Data Request Form” below.  After applicants submit the form, please allow approximately two weeks for the EPOP research team to review this preliminary information.  The EPOP research team will notify applicants on whether they can proceed with the full application for restricted data.

The full application to access restricted use files includes:

1. Staff contact information, including a CV or resume, as needed
2. A detailed research plan
3. A detailed data protection plan
4. Completion of data security training developed by NORC and specific to EPOP
5. Review and agreement to the terms of the EPOP Data Use Agreement (DUA).  The principal investigator, legal representative of the institution, security officer, and researchers accessing restricted data sign the DUA after NORC approves the full application.
   

To request EPOP Survey RUFs, a principal investigator should enter his/her contact information and general information about the research in the fields below. Required fields are marked with an asterisk (*). 

Please allow approximately two weeks for the EPOP research team to review this preliminary information and respond to your request.

Please note the following before applying for restricted use files.

Cross-Institution Collaboration

All staff on an application should be affiliated with the same institution or organization.  Researchers who wish to collaborate across institutions each need to submit their own application and sign their own DUA.

For researchers collaborating across institutions, please elaborate on this arrangement in the research plan.  Even after approval for restricted use data, data files and data subsets should not be shared across institutions.

Third Party Access

EPOP restricted data should not be shared with any third parties, agents, or subcontractors other than those individual collaborators approved by NORC as part of a DUA. Any individuals or organizations interested in restricted use files should submit their own application and sign their own DUA.

Staff Additions

After an institution is approved for restricted data, the principal investigator should notify the EPOP research team if new researchers join their study.

New staff will need to follow the same application process as previously approved staff including:

• Submitting their contact information and CV or resume
• Updating the data protection plan, if different from the existing plan
• Completing data security training specific to EPOP
• Signing the EPOP Data Use Agreement (DUA)

New staff may access restricted use files only after approval by the EPOP research team.

PI Transfer to Another Institution

If a principal investigator leaves the institution or organization at which he/she obtained the restricted use files, then a new application will need to be submitted from his/her new institution.   Also, a new DUA will need to be signed. The principal investigator is still bound by the terms of the DUA at their former institution. 

Student Access

Graduate-level students (not undergraduates) may access EPOP restricted use files, but they should have a principal investigator apply on their behalf.  The students are then part of the research staff and adhere to all the same requirements.  In terms of classroom use, the public use data should be utilized, not the restricted data.

Once the EPOP research team has reviewed and approved the preliminary request for restricted use files, applicants can proceed with the full application.

The EPOP research team will email the Data Use Agreement (DUA) to applicants.  Principal investigators should understand and be prepared to agree to the terms.  Any questions or concerns can be addressed.  Signatures are not required until after the EPOP research team approves the full application.

Applicants should prepare the materials as outlined below and email them to EPOPresearch@norc.org with “Application for Restricted Use Files” in the subject line.  Please allow two to three weeks for the EPOP research team to review these materials.

If approved, applicants will be able to obtain the restricted data through SFTP.  Details on this process will be provided at that time.

Staff Contact Information

Research Plan

Please provide a detailed description of your research project including:

1.  The current project title
2.  Research objectives, questions, and analytical approach
3.  The reasons for requesting restricted use files (why the public use data is inadequate for your research needs)
4.  The restricted variables you intend to use and the specific research you will conduct with them
5.  Any plans to merge or link EPOP restricted data with other public use data.  Please name and describe these public use datasets, explain how you will link them, and why this step is necessary for you to accomplish your research objectives.  (As explained in the EPOP DUA, merging or linking to other public use data requires prior approval from NORC. Also, merging or linking of EPOP restricted data with other studies’ restricted data is prohibited.)
6.  Any plans to collaborate with researchers at another institution or organization 
7.  Any plans for papers, book chapters, publications, presentations, or other dissemination of the results.  Please include estimated dates.

Data Protection Plan

Applicants for EPOP restricted use files must provide a plan to keep the data secure and protected.    This document Data Security Requirements is part of the DUA and explains the necessary safe handling procedures.  These measures are designed to ensure that only authorized individuals access the data both electronically and physically. 

Your data protection plan should address all the issues in the Data Security Requirements document.  In particular, please note that restricted data:

1.  May only be stored on private Internet networks, not publicly accessible networks or network segments, such as, public Wi-Fi.
2. May only be stored on FedRAMP-certified cloud services if a cloud service is being used. Please provide details on the specific FedRAMP vendor.  NORC must approve this service.

Also, as part of the application, please submit your institution’s sanction policy, outlining the disciplinary actions that would be taken in the event of security violations.  This information is a required part of the DUA. 

Data Security Training

All research staff are required to complete data security training developed by NORC and specific to the EPOP study.  This training provides detailed and hands-on learning for EPOP restricted use files.   Please allow up to one hour to complete the training.

This application can be submitted before the EPOP training is completed.  But researchers will not be able to start working with the data until they have finished the training.

Some applicants may have completed other data security training programs (the CITI Program or others).  If so, please provide the names of these researchers, the training programs that they completed, and the date completed.  

Human Subjects Review 

Institutional Review Board (IRB) approval is not required to access restricted use files.  If applicants have an IRB approval, though, they are encouraged to submit their assurance number.

EPOP Data Use Agreement (DUA)

The EPOP research team will email the DUA to those applying for restricted use files.  Principal investigators and their staff should review the DUA and submit any questions or concerns to the EPOP research team.

After the full application is approved, signatures will be obtained on the DUA.  A representative of the organization who has legal authority—in addition to the security officer and all those accessing the restricted data--sign the DUA. Once the DUA is signed, the EPOP research team will work with the principal investigator to deliver the restricted use files.