General Information on the Use of Restricted Data From the Community Tracking Study Physician Survey, 1998-1999
This document contains the instructions and forms needed for researchers interested in obtaining restricted data from the Community Tracking Study (CTS) Physician Survey, 1998-1999 conducted by the Center for Studying Health System Change (HSC) for the Robert Wood Johnson Foundation (RWJF). These data are disseminated by the Inter-university Consortium for Political and Social Research (ICPSR), which serves as an agent for RWJF.
About This Application and the CTS
The Community Tracking Study, conducted by the Center for Studying Health System Change, provides data to foster the monitoring and understanding of changes in the health care system and their effects. One important component of the CTS, the Physician Survey, gathers information on physician supply and specialty distribution; practice arrangements and physician ownership; physician time allocation; sources of practice revenue; level and determinants of physician compensation; provision of charity care; physicians' perceptions of their ability to deliver care and their career satisfaction; effects of care management strategies; and various aspects of physicians' practice of medicine, including responses to standardized patient vignettes. Much of this survey information is available in unrestricted, public use microdata files. These unrestricted files are freely available to researchers who agree not to attempt to identify individual respondents.
The HSC promised anonymity to survey respondents, a promise they take very seriously. Because respondents provide large amounts of detailed information, it is possible that data in the CTS data files could be used to identify a physician and his/her practice could be identified. Such a breach of confidentiality would be very costly. It would destroy the trust that respondents placed in the HSC and in the research community as a whole. Individuals would be less willing to participate in future CTS data collection efforts and in similar studies. Moreover, the HSC and ICPSR would face liability for damages that might occur as a result of disclosing personal or proprietary information.
Because of the damage that could be caused by a breach of confidentiality, HSC has gone to great lengths to prevent this from happening by omitting personal identifiers from these datasets. HSC has also adjusted certain responses through aggregation and other data-masking procedures in the CTS Physician Survey, 1998-1999 public use file. The public use file supports only analysis at the national level. It does not contain information that would allow identification of the respondent's practice location. Since an important component of the CTS is the analysis of local health care markets, this will be a serious limitation to some researchers. A version of the CTS Physician Survey, 1998-1999 that allows sub-national analysis is available as a restricted dataset. This restricted dataset may be used only under specific contractual conditions.
Before applying for the use of the restricted data file, researchers should ascertain that 1) the public use file will not satisfy their needs, and 2) the restricted data file contains the data needed for their research. To this end, researchers should examine the documentation for the public use and restricted use data for the Community Tracking Study Physician Survey, 1998-1999.
Eligibility
Access to the restricted dataset 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 the Community Tracking Study Physician Survey, 1998-1999 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 or Federal Wide Assurances (FWA) Certification Number (typically research-oriented universities). Access for individuals employed by organizations that do not have an MPA Certification Number or FWA 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:
- Application for Community Tracking Study Physician Survey, 1998-1999 Restricted Data
- 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 Community Tracking Study Physician Survey, 1998-1999 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.
The Community Tracking Study Physician Survey, 1998-1999 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 Community Tracking Study Physician Survey, 1998-1999 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 CTS Physician Survey, 1998-1999 Restricted Data Use Agreement and return a copy of the fully executed agreement to the applicant along with instructions for obtaining 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 the Community Tracking Study Physician Survey, 1998-1999 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:
Peter Granda
Health and Medical Care Archive
ICPSR
P.O. Box 1248
Ann Arbor, MI 48106-1248
Mailing options which require a street address should be sent to:
Peter Granda
Health and Medical Care Archive
ICPSR
330 Packard
Room 2132
Ann Arbor, MI 48104
Questions about this application for the use of restricted data may also be sent to the above address or forwarded via facsimile (734) 647-8700 or email (hmca@icpsr.umich.edu).
[Application for CTS Restricted Data]
[Data Protection Plan Instructions]
[Restricted Data Use Agreement]
[Supplemental Agreement]
