National
Cooperative
Education
Statistics
System
TheNationalCenterforEducationStatistics(NCES)establishedtheNationalCooperativeEducationStatisticsSystem
(CooperativeSystem)toassistinproducingandmaintainingcomparableanduniforminformationanddataonearly
childhoodeducation,andonelementaryandsecondaryeducation.Thesedataareintendedtobeusefulforpolicymak­
ingatthefederal,state,andlocallevels.
TheNationalForumonEducationStatistics(theForum),isanentityoftheCooperativeSystemand,amongitsother
activities,proposesprinciplesofgoodpracticetoassiststateandlocaleducationagenciesinmeetingthispurpose.The
CooperativeSystemandtheForumaresupportedintheseendeavorsbyresourcesfromNCES.
PublicationsoftheForumdonotundergothesameformalreviewrequiredforproductsofNCES.Theinformationand
opinionspublishedherearethoseoftheForumanddonotnecessarilyrepresentthepolicyorviewsoftheU.S.Depart­
mentofEducationorNCES.
February
2010
ThispublicationandotherpublicationsoftheNationalForumonEducationStatisticsmaybefoundatthewebsites
listedbelow.
TheNCESWorldWideWebHomePageishttp://nces.ed.gov
TheNCESWorldWideWebElectronicCatalogishttp://nces.ed.gov/pubsearch
TheForumWorldWideWebHomePageishttp://nces.ed.gov/forum
Suggested
Citation
NationalForumonEducationStatistics.(2010).ForumGuidetoDataEthics(NFES2010–801).U.S.Departmentof
Education.Washington,DC:NationalCenterforEducationStatistics.
For
ordering
information
on
this
report,
write:
U.S.DepartmentofEducation
EDPubs
P.O.Box1398
Jessup,MD20794–1398
Orcalltollfree1–877–4ED–PUBSororderonlineathttp://www.edpubs.org
Technical
Contact
StephenQ.Cornman
(202)502–7338
[email protected]
ii
Forum Guide to Data Ethics
TA S K F O R C E M E M B E R S ThisguidewasdevelopedthroughtheNationalCooperativeEducationStatisticsSystem
andfundedbytheNationalCenterforEducationStatistics(NCES)oftheU.S.
DepartmentofEducation.AvolunteertaskforceoftheNationalForumonEducation
Statisticsproducedthisdocument.
Chair
Tom
Purwin
JerseyCityPublicSchools,NewJersey
Task Force Members
Cheryl
McMurtrey
MountainHomeSchoolDistrict193,Idaho
Lee
Rabbit
NewportPublicSchools,RhodeIsland
Stephen
Metcalf
MontpelierSchoolDistrict,Vermont
David
Uhlig
CharlottesvilleCityPublicSchools,Virginia
Janice
Petro
ColoradoDepartmentofEducation
Consultant
Tom
Szuba
QualityInformationPartners
Project Officer
Stephen
Q.
Cornman
NationalCenterforEducationStatistics
ACKnOwlEdgMEnTS
ThemembersoftheDataEthicsTaskForceoftheNationalForumonEducationStatistics
wouldliketothankeveryonewhorevieweddraftsofthisdocumentorotherwisecontrib­
utedtoitsdevelopment.ThisincludestheForumSteeringCommitteeandTechnology
(TECH)Committee,andmembersoftheNationalForumonEducationStatistics.
Task Force Members & Acknowledgments
iii
FOREwORd
TheNationalForumonEducationStatistics(theForum)ispleasedtopresentthisForum
Guide to Data Ethics.OnegoaloftheForumistoimprovethequalityofeducationdata
gatheredforusebypolicymakersandprogramdecisionmakers.Anapproachtofurthering
thisgoalhasbeentopoolthecollectiveexperiencesofForummemberstoproduce“best
practice”guidesinareasofhighinteresttothosewhocollect,maintain,andusedataabout
elementaryandsecondaryeducation.Theethicaluseandmanagementofeducationdatais
oneofthosehighinterestareas.
Eachandeveryday,educatorscollectandusedataaboutstudents,staff,andschools.
Someofthesedataoriginateinindividualstudentandstaffrecordsthatareconfidential
orotherwisesensitive.Andeventhosedatathatareamatterofpublicrecord,suchas
aggregateschoolenrollment,needtobeaccessed,presented,andusedinanethically
responsiblemanner.Whilelawssetthelegalparametersthatgoverndatause,ethics
establishfundamentalprinciplesof“rightandwrong”thatarecriticaltotheappropriate
managementanduseofeducationdatainthetechnologyage.Thisguidereflectsthe
experienceandjudgmentofexperienceddatamanagers;whilethereisnomandateto
followtheseprinciples,theauthorshopethatthecontentswillproveausefulreference
toothersintheirwork.
In This Guide
PartIintroducestheconceptofdataethicsinthefieldofeducationanddescribes
thedocument’spurpose,intendedaudience,andlayoutanddesignconventions.
PartIIpresentstheForumCodeofDataEthicsthroughreal­worldexamples
(vignettes)andexplanatorytext(discussion).
AppendixAlistsotherpublicationsfromtheForumthatmaybeusefultoschool,
district,orstateeducationagencystaffwhoareconsideringdataethicsissues.
AppendixBprovidesasample“whistleblower”policyasadaptedfromadocument
developedbyalocaleducationagency.
AppendixCexplainshowmemorandaofunderstandingandacceptableuse
statementscanbevaluabletoolsfordescribingandenforcingdatausageagreements
betweentwoormoreparties—andareoftenusedtoformallyagreetobehavioral
practices.
AppendixDprovidesasummaryofthefederalFamilyEducationalRightsand
PrivacyAct(FERPA).
iv
Forum Guide to Data Ethics
The National Cooperative Education Statistics System
TheworkoftheForumisakeyaspectoftheNationalCooperativeEducationStatistics
System(CooperativeSystem).TheCooperativeSystemwasestablishedtoproduceand
maintain,withthecooperationofthestates,comparableanduniformeducationalinforma­
tionanddatathatareusefulforpolicymakingatthefederal,state,andlocallevels.Toassist
inmeetingthisgoal,theNationalCenterforEducationStatistics(NCES),withintheU.S.
DepartmentofEducation,establishedtheNationalForumonEducationStatistics(the
Forum)toimprovethecollection,reporting,anduseofelementaryandsecondaryeduca­
tionstatistics.TheForumdealswithissuesineducationdatapolicy,sponsorsinnovations
indatacollectionandreporting,andprovidestechnicalassistancetoimprovestateand
localdatasystems.
Development of Forum Products
MembersoftheForumestablishtaskforcestodevelopbest­practiceguidesindata­related
areasofinteresttofederal,state,andlocaleducationagencies.NCESprovidesmanage­
mentoversightofthiswork,butthecontentcomesfromthecollectiveexperienceofthe
stateandschooldistricttaskforcememberswhoreviewallproductsiterativelythroughout
thedevelopmentprocess.Documentsprepared,reviewed,andapprovedbytaskforce
membersundergoaformalpublicreview.Thispublicreviewconsistsoffocusgroupswith
representativesoftheproduct’sintendedaudience,reviewsessionsatrelevantregionalor
nationalconferences,ortechnicalreviewsbyacknowledgedexpertsinthefield.Inaddi­
tion,alldraftdocumentsarepostedontheForumwebsitepriortopublicationsothatany
interestedindividualsororganizationscanprovidefeedback.Afterthetaskforceoversees
theintegrationofpublicreviewcommentsandreviewsthedocumentafinaltime,publica­
tionsaresubjecttoexaminationbymembersoftheForumstandingcommitteesponsoring
theproject.Finally,theentireForum(approximately120members)reviewsandformally
votestoapprovealldocumentspriortopublication.
Foreword
v
TA B l E O F C O n T E n T S TaskForceMembers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
Foreword... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
Part
I:
Introduction
to
Data
Ethics
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1
Part
II:
The
Forum
Code
of
Data
Ethics
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7
The
Integrity
Canons
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
Canon1.Demonstratehonesty,integrity,andprofessionalismatalltimes. . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
Canon2.Appreciatethat,whiledatamayrepresentattributesofrealpeople,
theydonotdescribethewholeperson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11
Canon3.Beawareofapplicablestatutes,regulations,practices,andethicalstandards
governingdatacollectionandreporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Canon4.Reportinformationaccuratelyandwithoutbias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15
Canon5.Beaccountable,andholdothersaccountable,forethicaluseofdata . . . . . . . . . . . . . . . . . . . . . . . .18
The
Data
Quality
Canons
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20
Canon6.Promotedataqualitybyadheringtobestpracticesandoperatingstandards . . . . . . . . . . . . . . . . . . .20
Canon7.Provideallrelevantdata,definitions,anddocumentationtopromote
comprehensiveunderstandingandaccurateanalysiswhenreleasinginformation . . . . . . . . . . . . . . .23
The
Security
Canons
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25
Canon8.Treatdatasystemsasvaluableorganizationalassets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25
Canon9.Safeguardsensitivedatatoguaranteeprivacyandconfidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . .28
Appendices
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31
AppendixA:RelatedResources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31
AppendixB:SampleWhistleblowerProtectionPolicy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35
AppendixC:MemorandaofUnderstandingandOtherDataUseAgreements. . . . . . . . . . . . . . . . . . . . . . . . .39
AppendixD:FamilyEducationalRightsandPrivacyAct(FERPA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41
vi
Forum Guide to Data Ethics
PA R T O N E
InTROdUCTIOn
TO
DATA ETHICS
Ethics: 1. A set of principles of proper conduct.
2. The rules or standards governing the conduct of a person or the
members of a profession.
E
thicshavealwaysbeenimportant,buttheyrarelygetmuchattentionuntil
someonebehavesinanunethicalmanner.Businessethicsbecomeheadline
newswhenfinanciersputtheirownpersonalinterestsaheadoftheirclients’
financialwell­being.Sportsethicsarousepublicdebatewhenanathleteisaccusedof
steroiduse,cheating,orgambling.
Ethicsareespeciallyrelevantinthepublicsector.Politicalleaders,courts,
governmentemployees,andschoolsare—justifiably—expectedtoconductbusinessin
amannerthatefficientlyandeffectivelyusespublicresources,whileatthesametime
guaranteeingourrightsascitizens.Inotherwords,theyareexpectedtoperformtheir
responsibilitiesinanethicalmanner.
Ethicsaremanifestedinmanywaysinaneducationorganization.Principalsare
obligedtotreateachchildfairly;teachersareboundtocreateaclassroomatmosphere
conducivetolearning;cafeteriaworkersareresponsibleforprotectingtheidentityof
childrenreceivingfree­orreduced­pricemeals;boardmembersarechargedtohelp
schoolsfunctioninaccordancewithlaws,standards,norms,andbestpracticesinthe
field;andadministratorsareobligatedtoensurethatschoolresourcesareusedasthey
wereintendedwithoutmismanagement,fraud,orabuse.
Eachandeveryday,educatorscollectandusedataaboutstudents,staff,and
schools.Someofthesedataoriginateinindividualstudentorstaffrecordsthatare
confidentialorotherwisesensitive.And,eveninformationthatisamatterofpublic
record(aggregateschoolenrollment,forexample)needstobeaccessed,presented,and
usedinaresponsiblemanner.
An education
organization should
ensure that all data
handlers understand
and adhere to ethical
standards related to
their responsibilities in
the organization.
While
laws
may
set
the
legal
parameters
that
govern
data
use,
ethics
establish
the
fundamental
principles
of
“right
and
wrong”
that
are
critical
to
the
appropriate
management
and
use
of
education
data.
Part One: Introduction to Data Ethics
1
“Ethics” include
appropriate behavior
and appropriate
expertise. For example,
it is unethical to
disclose private
information about
a staff member
(inappropriate
behavior), and it is
unethical to hire a
data manager who
does not understand
individual privacy
rights (inappropriate
expertise).
Theexponentialgrowthofinformationsystemsthatprovidereadyaccessto
educationdata—oftendrawinguponindividualstudentrecords—hasheightenedthe
importanceoftrainingdatausersabouttheirethicalresponsibilitiesregardinghowthey
appropriatelyaccess,use,share,andmanageeducationdata.Technologymakesdata
readilyavailabletomanystaffmembersinaneducationorganization.Whileimproved
accesshelpsstaffperformtheirjobsmoreeffectively,italsoraisesissuesaboutthe
appropriateuseofdatabecausethepowertotransmitinformationelectronically
multipliestheconsequencesofirresponsiblebehavior.Howmuchmorevulnerableare
wetotheinappropriatedisclosureofinformation(forexample,astudent’sassessment
results,grades,medicalhistory)intheageofdownloads,copyandpaste,andweb
postingthanwewerewhencumulativefolderscouldbelockedawayinafilecabinet?
Howmucheasierisitnowtocreateatechnicallyaccuratebutmisleadingpresentation
topolicymakersorthepublic(forexample,manipulatingtheaxesongraphstogive
thewrongimpressionaboutdatatrends)?Lawsmaysetthelegalparametersinwhich
datausersoperate,butethicsgodeeperandareoftenmorestringent—afterall,itis
usuallynotillegaltochangetheaxisonagraph,butitisunethicaltointentionally
representdatainamannerthatislikelytobemisunderstood.
Purpose of This Guide
AFebruary2010websearchofthephrase“dataethics”yielded103,000results
(http://www.google.com)—clearlytoomanychoicesforanyoneseekingpracticalguidance
aboutbehaviorintheeducationdatacommunity.Educationorganizationsneed
asimple,comprehensivesetofstandardsforestablishingplansthatencouragethe
ethicaluseandmanagementofdata.
Inresponsetothisneed,thisdocumentpresentsacodeofethicsfordata
managementanduseineducationsettings.Allcoreprinciples(called“canons”),
examples,descriptions,andrecommendationsinthisdocumentreflectsituations
thatariseinrealschools,schooldistricts,andstateeducationagencies.Thebest
practicespresentedinpartIIareintendedtosupplementexistingpoliciesineducation
organizations,orserveasatemplatewhenorganizationscreatenewpolicies.
The Forum Guide to Data Ethicsiswrittenforabroadrangeofstakeholdersinthe
educationdatacommunity.Itaddressesethicalissuesrelatedtothemanagementand
useofeducationdata.TheCodeofEthicsispresentedinaformatthatencourages
discussionand,hopefully,adoptionbyschools,schooldistricts,andstateeducation
agencies.Whileformalandsystematictrainingisnecessarytofullyimplementthe
recommendationsinthisguide,thegoalofthisdocumentistomakeethicalprinciples
understandableandactionabletoeducationstaffastheyworkwithdataintheir
organizations.
The Challenge to Leadership
Althoughtheworldisfullofgoodpeople,ethicalbehaviordoesnotjusthappen
automaticallyinanorganization.Educationisacomplexendeavor.Whilemostpeople
seeschoolsasthesettingforteachingandlearning,othersviewschoolsaspolitical
entities,orbusinessopportunities,oragentsofsocialchange.Eachperspectiveislikely
tocarryitsownbiases.Andwhenanindividual’sinterestisatstake,peoplemaybe
temptedtoengageinunethicalbehavior—toknowinglymanipulateormisrepresent
statisticstomakeapoint;misusedataforpersonalgain;orconvincethemselvesthat
privacyandconfidentialityrequirementsdon’tneedtobeobserved.
Collecting,maintaining,reporting,andusingdatainanappropriatemannerthat
2
Forum Guide to Data Ethics
isconsistentthroughouttheorganization,andinalldecisions,willnothappenunless
educationleaderssupportdataethicsasanimportantorganizationalpriority.School
leaderscansetexpectationsthatmakeethicalbehavioranorganizationalnormor,
alternatively,theycanacceptorevenencouragebehaviorthatroutinelyfallsshortof
highstandards.Ethicalbehavioroftentimescanbeencouragedthroughorganizational
structuresandoperationalexpectations.Forexample,aresponsiblesystemofchecks
andbalancesprecludesfinanceofficersfromsigningtheirownexpensereportswithout
anyoneelse’soversight.Byestablishingstandardproceduresforcollectingdata,
generatingandreviewingreports,releasingpublications,andcommunicatingwiththe
public,aneducationorganizationlimitstheopportunitiesforinappropriatebehavior.
Establishingorganizationalstructuresandpracticesthatencourageethicalconduct
isnotenough.Organizationsmustactivelyensurethatalldatahandlersadhereto
allpoliciesandproceduresrelatedtodataethics.Goodcommunicationthroughout
theorganizationandeffectivetrainingcangoalongwaytofosterthisculture.To
helpdatahandlersunderstandandexhibitstandardsofethicalbehavior,education
organizationsshould
• train staff about their ethical responsibilities;
• publicize the expectations for ethical behavior;
• create explicit policies and procedures pertaining to data ethics;
• state clearly the consequences of unethical behavior; and
• enforce these rules uniformly so that everyone is accountable.
Ethicstrainingrequiresaresourcecommitmentfromschoolleaders:securing
skilledtrainers,tailoringcurriculatotheorganization’sandlearners’needs,and
allocatingprofessionaldevelopmenttimeforstafftolearnandpracticenewbehaviors.
Inadditiontodescribingethicalconcepts,trainingshoulddiscusswhyethicsmatter
(ethicalissuesarerealandhavesignificantconsequences)andhowethicsplayoutin
everydaysituationsintheorganization(thatis,howtheyaffecttheroutineactivities
ofthetrainingparticipants).Realisticexamplescustomizedtothelearners’roles
andresponsibilitiesareagoodwaytocommunicatethereal­lifeimplications–and
unexpectedcomplexities­oftheprinciplesintheguide.
Code of Data Ethics Audience
What is “common
sense” to one person
is not necessarily so
to another. Just as an
organization cannot
assume staff know
how to perform the
technical functions
of their jobs without
training, it should
not assume that data
handlers understand
the ethical aspects of
data use and
management without
proper training.
Theresponsibilityfordataethicsultimatelyrestswithanorganization’sleadership.
Nonetheless,appropriateethicalbehaviorinaccessing,using,andmanagingeducation
dataistheresponsibilityofeachandeveryindividualwithaccesstoinformationinan
educationorganization.Thisincludes,butisnotlimitedto,yourorganization’s
superintendent;
chiefinformationofficer;
principal(s);
teachers;
registrar(s);
counselor(s);
schoolboardmembers;
datamanager;
technologydirector;
informationsystemsstaff;
datasteward(s);
technicalstaff;
officestaff;
Part One: Introduction to Data Ethics
3
paraprofessionals;
volunteers;and
vendors.
Layout and Conventions
Eachethicalcanoninthisdocumentispresentedinthefollowingmanner:
C A T E g O R y : Abroadclassificationusedtoorganizethe
Even relatively minor
ethical mistakes in
an education
organization can
become high profile
public events—
something that schools,
districts, and state
education agencies
should try to avoid.
canonsinthisdocument.Thecategories(personal/professionalintegrity,data
quality,andsecurity)canbethoughtofastheoverarchingdriversofethical
behavior.Thesecategoriesareusedtoorganizethedocument’scontent,andthere
isoverlapacrosscategories.
Canon:Thecoreethicalprinciplebeingpresentedanddiscussed.
Vignette:Anexamplethatillustrateshowanethicalcanonisrelevanttothereal
world.Thesefictionalexamplescitevarioussettingsandcircumstancesrelated
todatahandlersbecausethisgrouphasbeenidentifiedastheGuide’sprimary
audience.
Discussion:Anexplanationofthecanonthatprovidescontextfor
understandingtheethicalprinciplesbeingaddressed.
Recommended Practices and Training:Abulletedlistofactivitiesandtasks
thatwouldcontributetoachievingtheethicalprinciplesrepresentedbythe
canon.Thelistsofrecommendedpracticesareillustrativeratherthanexhaustive,
andtheyareintendedtorepresentsomeofthemostfundamentalactivitiesthat
canbeundertakentoadvanceacanon.
Terms You Will See in This Guide
Sometermsthatareusedinterchangeablyinconversationhaveveryspecific,and
distinctive,meaningsastheyareusedintheseCanons.
Personally
Identifiable
Information:Datathatcanbeusedtoidentifyaperson,
orthatcanbeusedinconjunctionwithotherinformation(e.g.,bylinking
records)toidentifyaperson.Thisincludesastudent’sname;thenameofthe
student’sparentorotherfamilymember;theaddressofthestudent;apersonal
identifier,suchasthesocialsecuritynumberorstudentnumber;alistofpersonal
characteristicsthatwouldmakethestudent’sidentitytraceable;oranyother
informationthatwouldmakethestudent’sidentitytraceable.
Private
Information:Datathatareclassifiedasuniquelypersonaland,therefore,
neitheravailableforpublicreleasenoraccessiblewithoutaverified“needto
know”forthepurposesofprovidingapprovededucationalservices.Private
informationinaschoolrecordoftenincludescourseselection,academic
performance,aptitudescores,healthinformation,anddisciplinedata.
4
Forum Guide to Data Ethics
Confidential
Information:Datathathavebeenguaranteedtobemaintained
confidentially(i.e.,thatwillnotbereleased),regardlessoftheirnature(asprivate
orsensitive).
Sensitive
Information:Thosedatathatareconfidentialand/orvitalto
anorganizationasitcarriesoutitsmission.Forexample,dataaboutclass
assignmentsarebothconfidential(dataaboutstudentcourseselectionareprivate)
andvitaltotheschool’scoreinstructionalmission(principalsshouldknowwhere
studentsneedtobeateverymomentoftheday).
General
Information:Thosedatathataregenerallyhelpful,butnotconfidential
and/orvital,toanorganizationasitcarriesoutitsmission.Forexample,adata
filewith“help”instructionsforwebsiteusersisa“general”supportcomponent
withinadatasystem.Whilethefilesareimportanttousersfacingawebproblem,
thedataarenotvitaltorunningaschoolorschoolsystem;noraretheyprivatein
natureorotherwisesubjecttoconfidentialityrestrictions.
Part One: Introduction to Data Ethics
5
PA R T T W O
TTHHEE
FFO
ORRUUM
M
CCO
OddEE
O
OFF
DATA ETHICS
T
hefollowingkeyprinciplesofethicalconductrelatedtoeducationdatawere
identifiedbytheDataEthicsTaskForceoftheNationalForumonEducation
Statistics(theForum).Whilethislistencompassesawiderangeofethical
considerationsandscenarios,itcannotrepresenteveryethicalissuethateducatorsand
theeducationdatacommunitywillface.
THE FORUM CODE OF DATA ETHICS
Integrity
1. Demonstrate honesty, integrity, and professionalism at all times.
2. Appreciate that, while data may represent attributes of real
people, they do not describe the whole person.
3. Be aware of applicable statutes, regulations, practices, and
ethical standards governing data collection and reporting.
4. Report information accurately and without bias.
5. Be accountable, and hold others accountable, for ethical use
of data.
Data Quality
6. Promote data quality by adhering to best practices and
operating standards.
7. Provide all relevant data, definitions, and documentation to
promote comprehensive understanding and accurate analysis
when releasing information.
Security
8. Treat data systems as valuable organizational assets.
9. Safeguard sensitive data to guarantee privacy and confidentiality.
Part Two: The Forum Code of Data Ethics
7
I.
THE
InTEgRITy
CAnOnS
S
chooldistrictsusedataincountlessways,anddata­relatedintegrityissuesarise
quitefrequently.Forexample,injustonegradingperiod,aschooldistrictdealt
withseveralconcernsrelatedtoprofessionalintegrity:
 Aparentwhohadrequestedthathischild’sdirectoryinformationnotbe
disclosedbytheschoolreceivedacommercialadvertisementthatclearly
referenceddatathathadbeencollectedasapartoftheschoolregistration
process.
 Aschoolguidancecounselorusedafewisolatedpiecesofinformationtomake
broadgeneralizationsaboutastudent’seducationalandcareerpotential.
 Awell­respectedcharitableorganizationrequestedaccesstoconfidentialdatato
helpidentifystudentswhomightbenefitfromitshelpandservices.
 Alocalschoolreceivedahighprofilenationalawardbasedonerroneousdata
andfaultyanalysis.
 Aschooladministratorwantedtomanipulatedatainalegalbutmisleading
mannertohelpimprovethedistrict’spublicimage.
Howshouldstaffrespondtothesesituations?
Whatprinciplesshouldguidethisdecisionmaking?
1. Demonstrate honesty, integrity, and
professionalism at all times
A
parent had requested that the school not disclose his child’s directory information to the public. Upon receiving a
series of advertisements from a local photographer—with his child’s middle name misspelled in exactly the same
way as in school mailings—the parent asked a school board member whether the district shared contact information
with commercial organizations. The board member asserted that the district would never do such a thing, but
agreed that the identical misspelling was suspicious and decided to notify the superintendent. The superintendent’s
investigation revealed that the wife of the district’s database manager was a photographer who specialized in
children’s photos. The database manager’s employment was terminated after he admitted that he had shared the data
without following proper procedures for the release of student information.
Whilethisexamplefocusedonadatabasemanager,honesty,integrity,and
professionalismarecriticalrequirementsforanypersonwhosejobdutiesorvolunteer
responsibilitiesincludehandlingeducationdata.Weexpectnolessthanabsolute
honesty,integrity,andprofessionalismatalltimesfromeveryonetrustedtoworkin
ourschools.
Thepeoplewhohandledatainoureducationsystemareexpectedtodomany
things—anddothemallwell.Mostoftheseindividualsaretrainededucatorswho
provideinstructiontostudentsorsuperviseinstructionattheschool,district,orstate
level.Otherdatahandlershavenon­instructionalleadershiporadministrativesupport
roles.Stillothersprovidehighlyskilledtechnicalordataexpertisethatcontributestothe
effectiveandefficientoperationoftheeducationenterprise.Regardlessofanindividual’s
jobtitle,workinginaneducationenvironmentdemandsunwaveringadherencetocodes
ofappropriateconduct,operatingexpectations,andprofessionalstandards.
8
Forum Guide to Data Ethics
A“datahandler”isdefinedinthisdocumentasanyoneinvolvedintheeducation
enterprise—employee,appointee,volunteer,orvendor—whohasaccesstoeducation
dataorwhocontributestothecollection,management,use,orreportingofeducation
data.Datahandlerswhoarehonestcanbetrustedtomaintainobjectivityanduphold
anorganization’sdataproceduresandprotocolsevenwhenitrequiresextraeffort,is
notconvenient,orotherwiserunscountertotheirownpersonalinterests.
Integrity
and
Professionalism
Peoplewithintegritydonotcheat,steal,orlie,evenwhentheywillnotgetcaught.
Theydonot“borrow”datathattheyshouldnotaccess;“cherrypick”datato
misrepresentmeaning;ormisuseinformationinconflictwithlegalnorms,ethical
expectations,orcommonsense.Honestyandintegrityarepersonaltraitsthatare
expectedofanyperson,regardlessofjobtitle,role,responsibility,orfunctionwithin
anorganization.
“Professionalism,”ontheotherhand,iscommonlydefinedastheconduct,
aims,orqualitiesthatcharacterizeormarkaprofession.Thus,“professionalconduct”
complieswithstandardsofbehaviorthatapplytoaspecificroleorposition.Although
commonuseoftheword“professional”impliesaspecializedknowledgeandacademic
preparationassociatedwithcertaintypesofskilledemployment,“professionalism”asa
conceptcanbeextendedtoallrolesandpositionsinanorganizationthathandledata,
regardlessofjobtype.Forexample,superintendentsbehave“professionally”whenthey
accuratelyreportdatatotheschoolboard,nomattertheconsequences.Schoolboard
membersdemonstrate“professionalism”whentheymakesurethattheyunderstand
themeaningandcontextofdatabeforemakingdecisions.Similarly,dataentry
clerksdisplay“professionalism”whentheytakeprideintheirworkandarecarefulto
minimizeentrymistakes.1Volunteersbehaveprofessionallywhentheyrespectthat
certainthingsseenandheardinaschoolbuildingareprivateandshouldnotbeshared
outsideoftheirdutiesattheschool.
Regardlessofadatahandler’sroleinaneducationorganization,consistentlyand
continuouslydemonstratinghonesty,integrity,andprofessionalismareofparamount
importance.Thesequalities,morethananyothercharacteristicortrait,serveasthe
foundationofethicalbehavior.
Ethical data
professionals never
intentionally bias data,
manipulate meaning,
or otherwise influence
interpretation—they
present data as
accurately and
objectively as
possible.
Recommended Practices and Training
Staff who consistently
demonstrate honesty,
integrity, and
professionalism are
the foundation of
ethical behavior in
an education
organization.
1)Createanorganizationalculturethatencourageshonesty,integrity,and
professionalismbyadoptingandenforcingthefollowingpractices:
a.Emphasize,throughstafftraining,thattheorganizationexpectsitsemployees
tobehonest,haveasenseofintegrity,andbehaveprofessionally.Conveythese
sameexpectationstovendors,consultants,volunteers,andanyoneelsewho
performspaidorunpaidworkfortheorganization.
b.Explicitlyrequire“honesty,integrity,andprofessionalism”inalljob
descriptions,staffcontracts,volunteerpolicies,performanceevaluations,and
laboragreements.
c.Informemployees,contractors,andthegeneralpublicofestablishedpolicies,
procedures,andexpectationsregardinghonesty,integrity,andprofessionalism.
d.Commendandreinforcebehaviorthatexemplifieshighethicalexpectations.
ThisisdescribedmorethoroughlyintheForumGuidetoBuildingaCultureofQualityData:ASchoolandDistrict
Resource(seeappendixA).
1
Part Two: The Forum Code of Data Ethics
9
e.Nevertoleratedishonest,corrupt,orunprincipledbehaviorintheworkplace,
regardlessofjobtypeorlevelofauthority.
2)Usedataastheywereintended.
a.Saywhatyoumean,andmeanwhatyousay.Forexample,deceiving
respondentsbyimplyingthatyouarecollectingdataforthedistrictwhenitis
reallyforyourmaster’sthesisisethicallyuntenableunderallbuttherarestof
circumstances.
b.Beverycautiousaboutusingdataforpurposesotherthantheiroriginalintent.
Besurethatdoingsodoesnotviolateindividuals’righttoprivacyorany
agreementsofanonymitythatyou,oryouragency,havemade.Aggregations
ofdatamaybepublishedifpersonallyidentifiableinformationhasnotbeen
disclosed.
3)Avoidatallcostsanyreleaseofdatathatcouldleadtophysical,mental,or
emotionalharmtoothers.Establishandenforcesecurityproceduresand
mechanismsnecessaryforprotectingallsensitivedata(e.g.,academic,behavioral,
health,employment,andfinancialinformation)frominappropriatereleaseanduse.
4)Trainalldatahandlersinthefundamentalprinciplesofdataethics—the“rightsand
wrongs”thatarenotlegalmandatesbutarecriticaltotheappropriatemanagement
anduseofeducationdata.Customizetrainingeffortsbyjobtypeasappropriate
forcommunicatingconceptsandtranslatinginstructionintopractice.Dataclerks,
teachers,andparentvolunteershavedifferentaccesstostudentdataandface
differentsituationsinwhichtheymustknowhowto“dotherightthing.”
5)Usetrainingactivitiesthatencouragelearnerstodiscussandinternalizetheconcepts
ofhonesty,integrity,andprofessionalism.Forexample,askparticipantstodevelop
astatementdescribingtheprofessionalismoftheirroleintheorganization;ask
themtolist,asagroup,theworksituationsthatcallforhonesty,integrity,and
professionalism;developajob­specificcodeofethics,forexample,“Asaparent
volunteer,itismyethicalresponsibilityto___________________________;”create
anddiscussscenariosinwhichtheseethicalqualitiesmightbetested.
10
Forum Guide to Data Ethics
2. Appreciate that, while data may represent
attributes of real people, they do not
describe the whole person
A
dvising kids about their future educational opportunities and career choices was Mrs. Johnson’s passion. Some
of the students in her middle school had the ability to do just about anything they set their minds to, and she was
always sure to tell these kids that the sky was the limit. But with other students, well, that was another story.
Colette, an eighth grader with a history of barely passing math courses, walked excitedly into Mrs. Johnson’s
office and told her that over the weekend she had taken an elevator ride to the top of the tallest building in the city.
Clearly the experience had changed Colette’s vision of her future. “I’ve decided to become an engineer who builds
skyscrapers!” Mrs. Johnson quickly reviewed Colette’s math scores, attendance history, and family situation, and
decided that the data suggested another path. “You know, Colette, becoming an engineer requires a lot of specialized
education, and college is very expensive. Maybe you shouldn’t set your sights so high. I like your haircut. Have you
ever thought about cosmetology?” Collette looked dejected. “Are you telling me that I can’t build skyscrapers? What
if I started studying really hard?” Mrs. Johnson decided not to sugarcoat her analysis. “No, dear, higher math can be
quite challenging and your academic record isn’t very strong.” Colette chose to stand up for her new dream, “But I
haven’t even gotten to high school yet, Mrs. Johnson. Couldn’t I take geometry next year and improve my grades?”
Mrs. Johnson smiled condescendingly and said, “That’s very ambitious, Colette, but geometry is much more difficult
than it sounds. Why not register for general math and use the extra time to get a part-time job so that you have more
experience when you start looking for a job?”
Therearelimitstohowwelldatacanportraypeople­whohavecomplexthoughts,
needs,andemotions.Datacollectedinschoolsareindicatorsofuniquelypersonal
events,conditions,outcomes,andambitions.Eachpieceofdatainastudentorstaff
databaserepresentsaparticularattributeofarealperson,andmaybeusedtomake
important,lastingdecisions.Thedatamaybedryfactstothepeoplewholookat
them,buttothepeoplewhoseeducationalandprofessionalexperiencesarebeing
recorded,theyarethepiecesofaverypersonalacademiccareerandindividual
history,recordingtheirachievementsanddisappointments.
However,teachers,counselors,administrators,andotherswhousestudent
recordsshouldbecarefultofocusonthestudentsittingbeforethemaswellasthe
student’shistorydocumentedinadatabase.Someinformationcouldbeincorrect,
ifdataintegrityisnotmaintained.Somecouldbemisleading,iftakenoutof
context.Didadisciplinaryincidentoccurwhenthestudentwasfacingproblemsat
home?Doesthenewstudentwho’sdoingsopoorlyinmathneedtohavehisvision
checkedtobesurehecanseethechalkboard?
And,perhapsmostimportant,peoplecanchange.Afterall,that’sthepointof
education!Thedoublewarninginthiscanonisthatdatacannotrepresentthetotal
personwhoselifetheyrecord,andtheycannotpredictwithabsoluteprecisionwhat
thatpersonwillbecomeinthefuture.
Recommended Practices and Training
1)Acceptthattherearelimitstohowwelldatacandescribepeople—peoplewith
complexthoughts,needs,andemotions;peoplewithphysicalorpsychological
challengesthatmaynotbewellunderstood;orpeoplewho,throughnofaultof
theirown,liveincircumstancesthatareunhealthy,unsafe,orunstable.
Part Two: The Forum Code of Data Ethics
11
Each piece of data
in a student or staff
database represents
an attribute of a real
person, but these data
cannot adequately
portray all aspects of
a multifaceted
individual.
2)Beespeciallycarefulaboutmakingpersonalorprofessionaljudgmentsaboutpeople
basedsolelyondata.Beparticularlyalerttodatathatmaybeflawed,narrowin
scope,orotherwiseoflimitedapplicability.
a.Justbecausedatacanbeusedtoansweraquestionorinformanopiniondoes
notmeanthattheinformationisentirelyaccurate,reliable,andunbiased.
b.Beverycautiousaboutusingdataforpurposesotherthantheiroriginalintent.
Besurethatdoingsodoesnotviolateindividuals’righttoprivacyorany
agreementsofanonymitythatyouoryouragencyhasmade.Aggregations
ofdatamaybepublishedifpersonallyidentifiableinformationhasnotbeen
disclosed.
c.Effective,data­drivendecisionmakingdrawsfrommultiplesetsofdatathat
supportthesameinterpretation.Donotdrawfromasinglesource,ifatall
possible,andlookatdatafrommultiplesourcesovertimetoseeifthefindings
areconsistent.
3)Bewillingtochallengecommonlyheldassumptionsandprejudicesrelatedto
descriptivedata.
a.Forexample,donotequatedisabilitystatuswithdecreasedintellectualaptitude
orpotential.Insomecases,disabilitystatusreflectsvariationinlearningstyles
ratherthanacademiccapacity,andsomestudentswithdisabilitiesdonot
showdifferencesintheirabilitytofunctioninaschoolorlifesetting.Inother
instances,accommodationsmaypermitstudentswithdisabilitiestofunctionat
highacademiclevels.
b.Donotautomaticallyequateschoolsuccesswithlifesuccess.Academicsuccess
isimportant,especiallywithinthecontextoftheeducationsystem,butpeople
canfindhappiness,prosperity,andsuccessinlifewithoutbeingthehighest
achieverinschool.
4)Traindatahandlerstounderstandthelimitationsofdataasatoolfordescribing
individualsandcategoriesofpeoplebyage,gender,racial/ethnicgroup,language
oforigin,jobtype,andothercategories.Customizetrainingeffortsbyjobtypeas
appropriateforcommunicatingconceptsandtranslatinginstructionintopractice.
Leadadiscussioninwhichyouaskifanyonehaseverbeentreatedunfairly
becauseofdatainaschoolorworkrecord.Alternately,leadadiscussioninwhich
participantsareaskedtodescribeasituationinwhichoutcomesshowedthe
dataaboutthemtobepoorpredictorsofsuccess. Anotheractivityistoprovide
participantswithascenarioandaskthemtofillinthemissingparts.Forexample,
prepareashorthypotheticalresumethatshowsabreakofseveralyearsinwork
history,orastringofjobslastingnomorethanayear,andask“applicants”to
explainthesetoajobinterviewer.Seeifthe“offtherecord”informationchanges
theinterviewer’sopinionoftheapplicant’scredentials.
12
Forum Guide to Data Ethics
3. Be aware of applicable statutes, regulations,
practices, and ethical standards governing
data collection and reporting
T
he local business club had a reputation for doing good works throughout the community, so the district’s data
manager wasn’t surprised when the superintendent told him to pitch in with the organization’s latest charitable
activity. Club members had asked for student socioeconomic data to help identify families in need so that they
could offer financial help with books, school snacks, extracurricular activities, and other worthy initiatives. The data
manager wanted to support these laudable efforts, but knew that he couldn’t disclose the confidential data. When
he informed the superintendent, his boss asked him to bend the rules this one time, “You know they’re trying to do
something good here. I really don’t want us turning away people who want to help our neediest kids.” The data
manager agreed that everyone’s intentions were pure, so he asked if his boss might consider an opt-in program,
whereby all families would be notified of the program and invited to sign up if they were interested. The superintendent
agreed that it was a fair idea, but noted that the yield on opt-in programs was usually low. “Can’t we just bend the
rules this one time to try to do a good thing?” The data manager knew that he faced quite a dilemma—doing good
versus doing right.
Thetemptationtobreaktherulesarisesnowandagain.Andignoranceofalegal
requirementdoesnotcanceltheethicalobligationtomeetit.Goodethicsrequire
thateducatorsmakethemselvesawareofexistingandemergingstatutes,regulations,
practices,andethicalstandardsregardingdatacollectionanddatareporting.Anything
shortofstayingup­to­dateisneitherareasonabledatapracticenoranacceptable
managementoption.
Organizationsshouldmakesurethatstaffandvolunteersarefamiliar,tothe
extenttheirrolesrequire,withanylawsandpoliciesgoverningthecollectionand
reportingofdata.Staffshouldbeawareofanycircumstancesunderwhichexceptions
canbemade.Forexample,canconfidentialinformationbesharedwithauthoritiesifa
studentisindanger?Whendoesasituationwarrantdisclosure?
Lawscanchangeovertime.Educationorganizationsandthepeoplewhowork
withthemshouldknowtheirresponsibilitiesregardingtheprotectionofstudent
dataundertheFamilyEducationRightsandPrivacyAct(FERPA),theIndividuals
withDisabilitiesEducationAct(IDEA),andtheHealthInsurancePortabilityand
AccountabilityAct(HIPAA).(SeeappendixDformoreinformationonFERPA.)
Everyonewhocollects,handles,orreportsdataonindividualshaslegaland
ethicalresponsibilitiesforthisinformation.Organizationsshouldprovidetrainingon
theseresponsibilitiestoteachers,dataclerks,andvolunteers,amongothers.Everyone
shouldknowthedistrict’spolicyonreleasingstudentdirectoryinformationandhow
torespondtorequestsforconfidentialinformation.Thefederallawsprotectingstaff
dataarenotasstringentasthosegoverningstudentrecords.Organizationsshould
determinewhatstatelaws,andstateorlocalpolicies,areapplicabletostaffdata
andinformationaboutparentsorothercommunitymembers.Whichstaffdataare
confidential,andwhicharepublicrecord?Ifdataconfidentialityisrequested(or
required)canitsguaranteebehonored?
Finally,theorganizationshouldbesurethateveryonewhoispartofitisawareof
whohastherighttoaccessdifferentdata.Teachers,counselors,administrators,support
staff,andvolunteersdonotallhavethesamerightofaccesstodata.Knowingwhat
Part Two: The Forum Code of Data Ethics
Ignorance is unethical.
Good ethics demand
that educators make
themselves aware of
changing statutes,
regulations, practices,
and standards.
13
informationisprivate(notminetoknow)isasimportantasknowingwhatinformation
isconfidential(notminetoshare).
Recommended Practices and Training
1)Encourageleadershipwithintheorganizationalhierarchy(e.g.,federal,state,
andlocaleducationagencies,includingboardmembers)toknowandeffectively
communicatecurrentstatutes,regulations,guidelines,acceptedpractices,and
appropriatebehaviorregardingdataaccessanddisclosuretoallemployees.
These and other free
Forum best practice
guides are described
in appendix A and
are available for
downloading,
printing, or ordering
at http://nces.ed.gov/
forum/publications.asp.
2)Giveeducatorsaccess,insomereasonableformat,toprofessionalpublications,
instructionalguides,tradejournals,andotherdevelopmentmaterialsnecessary
tostayabreastofrelevantstatutes,regulations,guidelines,acceptedpractices,and
ethicalstandards.
3)Engageinprofessionaldevelopmentandstafftrainingonrelevantstatutes,
regulations,guidelines,acceptedpractices,andethicalstandardsconcerningprivacy
andconfidentiality.Thistrainingshouldbecustomizedtomeettheneedsof
differentjobresponsibilitieswithintheorganization.Undermostcircumstances,
thisincludesstaffeducationaboutbestpracticesformaintainingtheprivacyof
individualstudentandstaffinformation,includingprovisionsofthefederalFamily
EducationalRightsandPrivacyActandsimilarstateandlocalstatutes(seethe
Forum Guide to the Privacy of Student Information: A Resource for Schools, at http://
nces.ed.gov/forum/pub_2006805.asp; andtheForum Guide to Protecting the Privacy of
Student Information: State and Local Education Agencies, at http://nces.ed.gov/forum/
pub_2004330.asp).
4)Scheduleperiodicreviewstoevaluatetheeffectivenessofcommunicationsand
trainingefforts,aswellasstaffcompliancewithapplicablestatutes,regulations,
guidelines,acceptedpractices,andethicalstandards.Ensurethatstaffresponsible
forsupervisingtheemployeeswhoperformdatacollectionandreportingare,
themselves,cognizantofstate­of­the­arteducationdatapractices.
5)Trainalldatausersinaroutineandongoingmanneraboutdatamanagement,
use,privacy,andexchangetoensurethattheyareawareofchangingexpectations
andstandards.Customizetrainingeffortsbyjobtypeasappropriatefor
communicatingconceptsandtranslatinginstructionintopractice.Oneapproachis
todiscusstheorganization’srulesaboutdatadisclosureandasktrainingparticipants
togiveexamplesofhoweachruleappliestotheirwork.Developseveralscenarios
involvingdataconfidentialityandasktheparticipantstotalkabouthowthey
wouldhandlethem.Forexample,situationsmightincludesomeoneidentifying
himselfasaprospectiveemployer,whotelephonesandasksforinformationfrom
astudent’sacademicrecord;anin­servicetrainingsessioninwhichthepresenter’s
visualsincludenamesandotherinformationaboutrealstudents;talkingwitha
volunteerwhoyouhavebeeninformeddivulgedinformationaboutastudent’s
healthcondition;ortalkingwithanon­custodialparentwhowantsacopyof
hisorherchild’sgrades.Inordertoencourageopendiscussion,donotask
trainingparticipantstoreportoninstancesinwhichtheythemselveshavebroken
confidentialityregulations.
14
Forum Guide to Data Ethics
4. Report information accurately and
without bias
T
he community was thrilled to learn that the local high school had been named one of the top 10 schools in the
country by a major news magazine. However, when examining the methodology behind the award, the district
superintendent questioned the finding and decided that she needed to know how the rankings were determined. An
inquiry to the magazine found that the data had been “checked and double-checked,” but no one at the publication
was willing to divulge what data were used to determine the rankings. Additional investigation by district staff revealed
that the magazine had used an incorrect enrollment figure, causing the participation percentage on a national test to
be tremendously inflated. The superintendent understood that, if she reported this to the magazine, the high school
would surely drop from the top tier to the second tier of “best schools.” Still, the error had to be corrected—it was
the right thing to do. Despite the decline in national prominence, the superintendent was surprised to learn that her
community—including parents, students, alumni, and the local media—were very proud that the school district chose
to report the error rather than receive recognition it didn’t deserve. Ensuring accuracy over fame had actually confirmed
to community members that they really did have one of the top school systems in the country.
Withimprovedtechnologiesforgeneratingandpresentingdata,policymakersand
thegeneralpublichavebecomemorenumber­savvyandmoreaccustomedtolooking
forstatisticstobackupaposition.Ourabilitytoprovidedatathataremoreaccurate
andmorerelevantisstrongerthaniteverhasbeen.Asorganizationsfocuson
producinghigh­qualitydata,theyshouldalsoraiseexpectationsforhigh­qualitydata
reportingandpresentation.Inthestorythatintroducesthiscanon,aprincipledschool
administratoruncoveredamistakecausedbyfaultyinformation.However,evenafter
dataqualityhasbeenestablished,datacanstillbesubjecttomisuse.Onecommon
wayofdistortingdataisbymanipulatingthewayinwhichinformationispresented.
Dataareoftenpresentedingraphsorchartsthatdemonstrate,forexample,if
testscoresareimproving,administrativecostsaredecreasing,orstudentpopulations
arechanging.Thesevisualsareeffectivewhentheysummarizeahostofnumbersand
complexanalysesintoasingle,immediatelyunderstandable,“informationsnapshot.”
However,unethical(orincompetent)datahandlerscanbiasperceptionwithformatting
tricksthatchangethewaydatalookingraphicform.Onewaytoaccomplishthis,for
example,istochangescalesonagraphtoinfluenceinterpretation(seefigure1onthe
followingpage).
Notalldatauserspossessthesamelevelofanalyticalexpertise.Community
members,forexample,maywantasinglegraph,oratablethatpresentsthefindingsas
simplyandstraightforwardlyaspossible,whilestatisticalresearcherswouldprobably
prefertoseeallthedataandanalyseslaidoutindetail.Despitetheneedtotailor
reportstoitsaudiences,organizationswillbenefitfromadoptingstandardprotocols
toguidedatareportingandminimizethepotentialforbiasedpresentationthatmight
skewinterpretation.
Policiesgoverningoperationscanalsoaffectdataaccuracy.Forexample,a
districtrulethatsays“allstudentsareconsideredpresentifateacherfailstocollect
attendance”couldtemptsomeschoolstaffmembersto“forget”totakeroll.Sucha
policymightleadtotheappearancethatstudentattendancerateswereimprovingover
time(asteacherscontinueto“forget”totakeroll),eventhoughthedatacollection
policyhadnomeaningfuleffectonactualstudentattendance.
Part Two: The Forum Code of Data Ethics
This ethical principle
is tested when data
show that something is
not working well. Data
handlers are expected
to report information
accurately and without
bias, even when the
news is bad!
15
Score reSultS A
Score reSultS B
100
80
79
●
●
●
●
●
●
78
●
●
77
Score
Score
60
40
20
0
1990
●
76
●
●
●
75
●
●
●
74
1992
1994
1996
1998
73
1990
Year
●
1992
1994
1996
1998
Year
Figure 1. The same data values are represented in both graphs, but the choice of scale for the y­axis
(score) might substantially influence the way a viewer interprets trends over time.
Finally,andveryimportantly,thiscanoncomesintoplaywhendatarepresent
badnews.Peoplearerarelytemptedtoskewdatathatalreadymakethemandtheir
organizationlookgood.Thisethicalprincipleislikelytobetestedwhendatashow
thatsomethingisnotworkingwellorisbehindschedule.Whenthishappens—andthe
newsisbad—datahandlersfindouthowstrongtheircommitmenttoethicalbehavior
reallyis.
Recommended Practices and Training
1)Developastandardreportingframeworktoimprovetheconsistencyofreportsand
minimizethelikelihoodofbiasindatapresentation.
a.Developandapplystatisticalstandardsandguidelinesforwritingdatareports
andpresentingdatatables.Forexample,manyissuesrelatedtoaxisscales,years
reported,andgraphingstyle(e.g.,linechart,piechart,orstackedbars)canbe
standardizedregardlessofdatavalues.
b.Include,inallreports,anexplanationofhowpastreportingwaspresentedand
anychangesindatamethods(e.g.,anassessmenttool)orpresentation(e.g.,a
reportformat);statethereasonswhychangesweremade.
c.Totheextentpossible,usethesamepresentationstandardsinallreport
products.Ifinformationispresentedinastandardformatacrossyearsand
acrossstudies,audienceswilllearntoreadreportseasily–theycanconcentrate
ontheinformationratherthanonthewayinwhichitispresented.
d.Beforereleasingareport,undertakeanindependentreviewtoassesswhether
thedataarepresentedobjectivelyandwithoutbias,especiallywhenthey
describeasituationthatisnotfavorabletothoseresponsibleforproducingthe
report.
2)Incorporateimprovementstoresearchdesignandmethodologyindatareporting,
butdonotletthesechangesmisleaddatainterpretation.Forexample,ifyour
dropoutformulaisadjustedandyouseeacorrectioninonedirectionoranother
becauseofthemodification,donotdeclarethattherewasameaningfulchangein
yourschool’sretentioneffortsunlessyoucancrosswalkorotherwisecomparethe
twomethods.Similarly,arecalibratedassessmentmayofferneitherpositivenor
negativeevidenceofchangeinstudentperformance.
16
Forum Guide to Data Ethics
3)Correcterrorsthatareidentifiedinpreviouslyreporteddata.Ifpublisheddataare
discoveredtobeinaccurateandcorrectingthedataisfeasible,thedatashouldbe
correctedwithanexplanationanddocumentationinsubsequentreportsorreleases
ofthedata. Establishproceduresformakingcorrectionstoensurethatrevised
releasesincludeclearstatementsabouttheimpacttherevisionsmayhaveon
previouslyreportedstatistics.
4)Traindatareportersanduserstofollowstandarddatapreparationandpresentation
methodologiessothatdataarepresentedasaccuratelyandconsistentlyaspossible.
Customizetrainingeffortsbyjobtypeasappropriateforcommunicatingconcepts
andtranslatinginstructionintopractice.Forexample,oneexercisefortechnicalstaff
wouldbetopresentthemwithanarrayoftablesorgraphsrepresentingthesame
informationbutpresentedinwaysthatwouldmisleadareader.Thetaskwould
betofindthe“bad”presentationsandtalkabouthoweachbiasedthedata.Non­
technicalusers,suchasinstructionalstafforboardmembers,coulddiscussthese
sametablesorgraphicsafterthetrainerhashighlightedtheflawsinpresentation.
Anotherapproachthatmighthelpstaffwhopreparepresentationswouldbean
opendiscussion(withoutnames!)ofsituationsinwhichtheyhavebeenencouraged,
ortempted,tobendtherulesinshowingdataalittlemorefavorably.
Part Two: The Forum Code of Data Ethics
The National Center
for Education Statistics
(NCES), the principal
statistical agency within
the U.S. Department of
Education, publishes
statistical standards
and guidelines to
encourage the
generation of high­
quality, reliable, useful,
and informative
statistical information
for the use of public
policy decisionmakers
and the general public
(see http://nces.ed.gov/
statprog/2002/stdtoc.
asp.)
17
5.Be accountable, and hold others
accountable, for ethical use of data
D
istrict leaders were worried about the outcome of the state reading assessment. The stakes were so high that the
district’s data steward and testing coordinator were even more careful than usual to make sure that the results, no
matter what they might be, were accurate. Thus, they were surprised when the superintendent stopped by on a Friday
afternoon for an unprecedented “friendly” chat. “So,” he began. “I know you two are trusted staff members who are full
of integrity, and I would never ask you to be anything but that way—but I do want you to know that these test scores
are very important to our community, and any way we can view the glass as half full rather than half empty would
be greatly appreciated. For example, even though we might not have made our testing targets, we did show some
growth, which is what our public reporting needs to show. Do you understand that?” He was clearly implying that
the public and even the school board shouldn’t see all of the test results. The data steward and testing coordinator
understood that the failing subgroups represented only a small portion of the students who were tested, but they
also knew that it was disingenuous to show only the favorable results—and they prepared themselves for an ethical
dilemma in the face of such pressure from their boss.
In a perfect world, ethical issues would never arise in an education setting.
Unfortunately, ours is not a perfect world, and school personnel should be prepared
for murky situations. Policies and procedures for dealing with breaches in ethical
conduct need to be formulated, and staff members need to be trained to respond to
ethical miscues when—not if—violations occur.
What happens, for example, when a staff member notices questionable behavior
in the district office? Ideally, the incident would be reported and corrected, and the
individual who brought it to light would be thanked. The more realistic scenario,
however, is that the person who sees the infraction is likely to weigh the costs and
benefits of reporting the violation: on the one hand, “this misconduct, whether
intentional or not, needs to be corrected and I will make sure it is”; versus, “hmm,
I know what my colleague is doing is wrong, but is it serious enough to get him
in hot water? What will happen to me if I report the behavior?” Reporting ethical
violations is easier when the offense is egregious or the consequences of reporting it
are minimal. The dilemma is even greater when workers must decide whether to report
that someone with authority over them is not behaving in accordance with accepted
standards.
Fortunately, good leaders usually find a way to help others do the right thing.
This has been the case with the advent of “whistleblower” laws in many states. Under
these statutes, individuals who report violations of acceptable conduct are proactively
shielded from retribution through administrative and legal protections. Such protective
policies are also applicable for encouraging responsible reporting of illegal, unethical,
or incorrect data use. To be effective, however, staff members need to understand how
to report suspected violations and be confident they will be protected from retribution
should they, in fact, register a concern.
Recommended Practices and Training
1) Determine whether appropriate policies, processes, and procedures are in place in
18
Forum Guide to Data Ethics
yourorganizationforreportinganethicalviolation.
a.If“whistleblower”protectionsarenotavailableintheorganization,createthem
(seeappendixB).
b.Ifpoliciesexist,examinethemtodeterminewhethertheyadequatelyprotect
whistleblowers.
c.Holdastaffmeetingtodiscusswithyourdatahandlerswhethertheywouldfeel
confidentreportingethicalviolationsifnecessary.Offerconfidentialmeetings
withselectedstaffmemberswhorepresentdifferentrolesandresponsibilitiesin
theorganizationtoensurethattheycanexpresstheirconcernswithoutfearof
retribution.
d.Traindatahandlerstounderstandthestepstheyneedtotaketoreportillegal,
unethical,orincorrectbehavior.Makesurethattheyunderstandthattheyare
procedurallyprotectedfromretribution.
e.Establishmandatoryethicstrainingcoursesforallstaffmembers.
2)Establishguidelinesfordatausepoliciesthatarealignedwithapplicablelaws,
regulations,andbestpractices(seeappendixA).Thisincludesguidelinesrelatedto
datacollection,governance,access,use,exchange,andreporting.
a.Ensurethatallguidelinesarealignedwithlocallaws,policies,andbest
practices.
b.Ensurethatallguidelinesarealignedwithstatelaws,policies,andbest
practices.
c.Ensurethatallguidelinesarealignedwithfederal/nationallaws,policies,and
bestpractices.
It can be a frightening
proposition for workers
to report that someone
with authority over
them is not behaving
by accepted standards.
Organizations may
consider implementing
“whistleblower”
protections (see
appendix B) to assure
staff that they can report
suspected violations
without fear of reprisal.
3)Establishandenforcedatauseagreements,includingmemorandaofunderstanding,
nondisclosureagreements,andothermechanismsforensuringappropriatedatause
(seeappendixC).
a.Requirealldatahandlers,includingstaffandexternalusers,tosigndatause
agreementsand/ornondisclosureagreementspriortobeinggrantedaccessto
anydatafilesthataren’talreadypubliclyavailable.
b.Establishaprocessforevaluatingcomplaintsaboutinappropriateuse.Identify
whoisauthorizedtodeterminewhetherdatausepolicieshavebeenviolated,
whatcriteriaareusedforsuchadetermination,howtheprocesswillbe
conductedfairly,andreasonableconsequencesrelatedtopolicyviolations.
c.Establishandenforcesanctionsfortheviolationofdatauseagreements.An
agreementthatisunenforceableorlacksconsequencesisrarelyeffective.
4)Trainalldatauserstoensurethattheyunderstandhowtoreportviolationsofethical
behavior.
a.Explain“whistleblower”protectionpoliciestoensurestafffeelconfidentthat
doingtherightthing—reportingunethicalbehavior—willnotnegativelyaffect
theirjobstatusorworkingconditions.
b.Reviewindetailtheproceduresforreportingapossibleviolation:whoshould
beinformedoftheincident,whatresponsibilitiesthereportermayhavefor
documentingthequestionedbehavior,whattherepercussionscouldbetothe
observerwhofailstoreportmisconduct.
c.Intrainingsessions,presenthypotheticalsituationsofbothaccidentaland
intentionaldatamisusetostaffandencouragethemtodiscusshowtheywould
actiftheybecameawareofthem.
Part Two: The Forum Code of Data Ethics
19
I I. T H E d A T A Q U A l I T y C A n O n S S
chooldistrictsusedataincountlessways,anddataqualityissuesarisequite
frequently.Forexample,inasinglegradingperiod,oneschooldistrictdealtwith
severalethicalconcernsrelatedtoproducingaccurate,useful,andtimelydata:
 Thedistrictfounditselfwithdisparatesourcesoffree­andreduced­lunch
eligibilitydata,andadministratorsrealizedthattheabsenceofasingle,
authoritativesourcewasleadingtoinconsistent,andevenbiased,reporting
becauseonesetofdataortheotherwasbeinguseddependingonhowthe
resultslookedtothepersonprovidingthedata.
 Standardizedtestscoresappearedtohaveimproved,butthedistrictrealized
thatitwouldbewrongtoletpeopleassumetheresultsmeasuredimproved
academicachievementwhen,inreality,theyprobablyreflectedachangeinthe
assessmenttool.
Howshouldstaffrespondtothesesituations?
Whatprinciplesshouldguidetheirdecisionmaking?
6. Promote data quality by adhering to best
practices and operating standards
A
ll students enrolling in the district were flagged in the student information system (SIS) as either “eligible” or
“ineligible” for free- and reduced-price meals. In addition to these data, food services maintained its own record of
students receiving free- and reduced-price meals to support the daily management of the cafeterias. Because of these
redundant sources for similar data (“eligible” and “participating” counts were easily confused), the district was erratic
in its free- and reduced-price meals reporting—the number of students reported for the program varied depending on
whether the data were reported by the SIS or food services staff. Moreover, because there were two different counts,
district staff faced the temptation to use the number that better met their reporting needs. Sometimes the count of
participating students made the district look better, and sometimes the count of eligible students was beneficial. It
didn’t take long for the staff to realize that this confusion between eligible and participating counts was leading to
ethical dilemmas.
Two new data governance policies were enacted to remedy the situation. The first stated that the student information
system was the authoritative source for all data in the district. The second policy was an offshoot of the first, declaring
that only data staff could respond to data requests, and program or service staff were no longer permitted to provide
data independently. Thus, if a count of students receiving free- or reduced-price meals was needed, the report would
clearly distinguish it from the number of students eligible for this program.
Effectiveinstruction,efficientschoolmanagement,andqualitydataarerelated.The
importanceofqualityintheinformationusedtodevelopaninstructionalplan,run
aschool,createabudget,orplaceastudentinaclasscannotbeovervalued.Most
dataexpertswouldagreethatthefollowingcharacteristicsarecriticaltothisessential
componentofgoodschools:
 Utility:Datashouldprovideinformationthatisusefultotheorganizationina
practicalway.Ifdataarenotuseful,thereisnoreasontocollectthem.
 Accuracy
and
validity:Datashouldmeasurewhattheypurporttomeasure.In
otherwords,datavaluesshouldbecorrectandfreeofbias.
20
Forum Guide to Data Ethics
 Reliability:Datashouldbeconsistent,reproducible,anddependable.Dataare
notreliableifthevalueswouldchangeiftheywerecollectedmorethanonce,
orbymorethanoneperson. Properlydocumentingrevisionstodatavalues,
definitions,andothercharacteristicsisalsonecessarytoensuredatareliability.
 Timeliness:Datashouldbereadilyavailablefordecisionmaking.Forexample,
doteachersandcurriculumdevelopersreceivetestresultsintimetoinform
instructionalplanning?Ifdataarenotavailablewhentheyareneeded,they
lackinvalueandquality.
 Cost-effectiveness:Collectingandmaintainingdatarequiresresources,and
thisburdenshouldbeevaluatedagainstthedata’sutilityandnecessity.Inother
words,thevaluetoinstructionalandnon­instructionaldecisionmakingand
reportingshouldoutweighthecostsofcollectionandstorage.
Justascanon3assertsthatdatahandlersareethicallyresponsibleforknowingthe
laws,regulations,andpoliciesthatgovernaccesstotheinformationforwhichtheyare
responsible,thiscanonassertsthattheyareethicallyresponsibleforensuringhighdata
qualitytothebestoftheirability.
Therearemanyacceptedpracticesandoperatingstandardsthatpromotegood
dataquality.Forexample,
 officestaffshouldsetasidearegulartimefordataentrytasks,whichshouldbe
conductedinanareafreefromdistractionssuchasfoottrafficandnoise;
 technologistsshouldofferahelpdeskand/oranonlinehelpareafordataentry
staff;
 datastewardsshouldresolvedatadiscrepanciesbeforereportsareforwardedto
seniorstaffforreviewandapproval;
 principalsshoulddevelopacalendarfordatareportingdeadlines;
 teachersshouldaskforinstructionsandguidanceforimprovingdatauseinthe
classroom;
 superintendentsshouldsupportacultureofqualitydatathrougharobust
professionaldevelopmentprogram;and
 schoolboardmembersshouldrecognizedatacollection,management,and
useasaroutinecostofdoingbusiness–and,asmuchaspossible,providethe
resourcesforthiswork.
For more information
about supporting data
quality, see the Forum
Guide to Building a
Culture of Data Quality,
listed in appendix A.
Recommended Practices and Training
1)Usebestpracticeresourcestodesignyourdatasystemsandtraindatahandlers.
ThetopicisbeyondthescopeofthisGuide,butthereareanumberofForum
publicationsthatmaybeespeciallyhelpful(seeappendixA):
a.Forum Curriculum for Improving Education Data: A Resource for Local Education
Agencies—forlessonplans,instructionalhandouts,andrelatedresourcesfor
helpingschoolsdevelopacultureofdataquality.
b.Managing an Identity Crisis: Forum Guide to Implementing New Federal Race and
Ethnicity Categories—toguideimplementationofthenewfederalraceand
ethnicitycategories.
c.Every School Day Counts: The Forum Guide to Collecting and Using Attendance
Data—toimprovethequality,comparability,andutilityofattendancedata.
d.Accounting for Every Student: A Taxonomy for Standard Student Exit Codes—to
improvethequality,comparability,andutilityofexitdata.
e.Forum Guide to the Privacy of Student Information: A Resource for Schools—tohelp
applyfederal,state,andlocalprivacylaws.
Part Two: The Forum Code of Data Ethics
21
f.Forum Guide to Education Indicators—tohelpconstructandapplycommonlyused
educationmeasures.
g.Forum Guide to Decision Support Systems: A Resource for Educators—todevelopa
robustdecisionsupportsysteminaneducationorganization.
h.Creating a Longitudinal Data System—tolearnmoreaboutthetenessential
elementsofastatelongitudinaldatasystem,asavailablefromtheData
QualityCampaignathttp://www.dataqualitycampaign.org/files/Publications­
Creating_Longitudinal_Data_Systems­Lessons_Learned_by_Leading_States.pdf.
2)DatasystemimprovementismorethanthisGuidecanaddress,butorganizations
areencouragedtodevelopacomprehensiveandcoordinatedplanforimproving
andensuringdataquality,addressingissuessuchas
a.assigninguniquestudentidentifiers;
b.usingprepopulatedformsforassessmentswhenappropriate;
c.performingdataverification,validation,editing,asnecessarytoassessand
improvedataquality;
d.integratingsystemstoreusedataformultipleappropriatepurposes(payroll,
humanresources,etc.)ratherthancollectingandrekeyinginformationalready
ownedbytheorganization;
e.incorporatingindustrystandardsacrossdisparatesystems,suchastheSchools
InteroperabilityFrameworkstandardsavailableat(http://www.sifinfo.org);
f. utilizingapplicationsthatallowforeasyimportandexportofexistingstudent
data;and
g.identifyingtheauthoritativesourceofdataitemswhenmultiplesystemsinclude
thesamedataitems.
3)Updatedatapracticestoreflectchangingpolicyneeds.Forexample,theroutine
useofasurnameasafamilyidentifiermaynotbesufficientwhenthetraditional
familyunitdefinitionisexpandedtoincludeotherfamilymembers,suchasparents,
stepparents,grandparents,orchildadvocates.
4)Trainalldatausersabouttheconceptsandpracticessurroundingthegeneration,
maintenance,anduseofhighqualityeducationdata.
22
Forum Guide to Data Ethics
7. Provide all relevant data, definitions, and
documentation to promote comprehensive
understanding and accurate analysis when
releasing information
T
he data looked good. Scores on the ninth grade state mathematics assessment had gone up substantially. But
rather than celebrate, the administrative staff stared at each other. The testing coordinator said what everyone was
thinking: “You know, we could get away with reporting that our scores have improved—the assessment has the same
title and the scores are higher. But we know that the test was redesigned and it would be wrong not to mention that
in our reports, right?” Fortunately, the superintendent went even further, and asserted, “Not only will we state that the
assessment has changed, we will emphasize the point given the high likelihood that people will be confused unless it
is addressed explicitly”.
Datahandlersareethicallyobligatedtoprovidesufficientinformationfordatausersto
reasonablyinterpretthemeaningofdatasharedinreportsandotherpublications.In
somecases,thiscanmeanincludingadditionalinformation(e.g.,relevantdifferences
betweentheoldandnewassessments)orpointerstootherdatasets.Inothers,itmight
meansharingcaveatsaboutappropriatedatauseandqualitylimitationsthatmightnot
otherwisebeunderstoodorassumedbyadatauser.Underalmostallscenarios,data
usersneedaccesstodatadefinitions,formulas,methodologies,documentation,and
othercontextualinformationthatinfluenceuseandinterpretation.Thisisadelicate
process;toomuchdetail,ortootechnicalanexplanation,canleadreaderstothrowup
theirhands(andthereport!)infrustration.
Education
indicators
are
too
often
interpreted
out
of
context.
For
guidance
on
appropriate
indicator
use
and
presentation,
see
the
Forum Guide to
Education Indicators.
Also,
see
the
Forum Guide to Metadata for
information
related
to
“data
about
data.”
(Both
guides
are
listed
in
appendix
A.)
Noisolatedpieceofdataismeaningfulwithoutrelateddatathatexplainfurther,
provideacomparativeorcomplementaryperspective,orotherwiseserveascontextfor
guidinginterpretation.Infact,mostdataarevalueneutralunlessinterpretedinlightof
theircontext.Forexample,“testscore”isapieceofinformationusedfrequently(and
withhighstakes)inschools.Butwhatdoesavalueof“68”mean?Isitanindividual’s
score,aclassaverage,oranationalmedian?Whatisthepassingscore?Istheexam
inacoresubjectmatterareaorinanelectiveclass?Ispassingthetestrequiredfor
graduation?Valuejudgments—whethera“68”onanexamisagoodscore—depend
greatlyontherelateddatathatprovidecontextinwhichmeaningisassessed.
Justascanon2assertsthatdatacannevercompletelyrepresentanindividual,
nosinglepieceofdatacansupplyalltheinformationneededtoanswerapolicy
questionconfidently.Assessinganyaspectofacomplexeducationenterpriseusually
requiresasizablebodyofdatasothatdecisionmakerscaninspecttheissuewithina
well­integrated,multidimensionalcontext.Forexample,considertwoschooldistricts:
thefirstwitha90percentgraduationrateandthesecondwitha40percentgraduation
rate.Twoyearslater,theserateshaveimproved3pointsatthefirstschool,to93
percent;and20pointsatthesecondschool,to60percent.Withouttheoriginal
Part Two: The Forum Code of Data Ethics
Defining the terms in
reports goes a long
way toward ensuring
they are understood.
Best practice defini­
tions for many data
elements can be
found in the NCES
Handbooks Online at
http://nces.ed.gov/
programs/handbook.
23
No single piece of
data can provide
meaningful
information in the
absence of related
data that provide
context.
graduationrates,onemightassumethattheschoolwiththe20­pointincreaseis
retainingstudentsmoreeffectivelythantheschoolwiththe3­pointincrease.Looking
atdataovertimeprovidesacontextinwhichdatauserswouldseethatthedifference
inimprovementisprobablyaffectedtosomedegreebythestartingpoints—itbecomes
hardertoimproveasanyrateapproachesthe100percentceiling.Otherinformation
couldadvancetheinterpretationevenfurther.Say,forexample,thattheschool
withthe40percentgraduationratewasthealternativeschoolforstudentsatriskfor
droppingout.Inthatcase,progressingfroma40to60percentgraduationratewould
beasignificantachievement.
Recommended Practices and Training
1)Establishstatisticalstandardsandguidelinesfordatapresentationinallpublic
reports.
a.Includeexplanationsofanypreparatoryorstatisticalproceduresusedwhile
developingthereport.
b.Preparedocumentationtosummarizeresearchmethodologyandissues
involvedincollecting,analyzingandpublishingthedata.
c.Includefilestructure,recordlayout,codebook,metadata,anddatadictionary
guidanceordatabasesasappropriate.
d.Includedefinitionsforalltechnical,data,andeducationaltermsandjargon;as
wellasanysurveysandformulasreferencedinthereport.
e.Includerelatedinformationthatencouragesabroader,morecomprehensive,
andaccurateinterpretationofthedatainthereport.
f.Addanexplanationwhenreadersmaymisinterpretdata.Forexample,if
dropoutratesarebeingreported,statewhetherthedatarepresentacohortrate
orannualrate,anddefinetherate,ratherthanassumingitwillbeintuitively
understood.
g.Providetechnicalcontactinformationonallreportssothatreaderswith
questionsaboutmethodology,definitions,ordocumentationknowwhereto
turnforadditionalinformationandclarification.
2)Subjectdraftreportstomultiplereviewsandsharereviewers’commentswiththe
authors.
3)Trainalldatahandlerstoprovideadditionaldataandmetadatainreportsand
correspondenceasappropriatetoimprovedatauseandinterpretation.
24
Forum Guide to Data Ethics
I I I . T H E S E C U R I T y C A n O n S S
chooldistrictsusedataincountlessways,anddata­relatedsecurityissuesarise
quitefrequently.Oneschooldistrictrecentlydealtwithseveralethicalconcerns
relatedtodatasecurity:
 Atechnician’serrorcausedaservertocrashafterthenetworkmanagerhad
forgottentobackupfiles,resultinginseveralthousanddollarsbeingspentto
restorelostdata.
 Apersonalfriendshipbetweenaschoolboardmemberandschoolprincipalled
toinformaldataexchangesand,eventually,theinappropriatepublicreleaseof
confidentialstudentdata.
Howshouldstaffrespondtothesesituations?
Whatprinciplesshouldguidethisdecisionmaking?
8. Treat data systems as valuable
organizational assets
T
he network manager called the chief information officer at 11:00 p.m. “You’re never going to believe this, but a
tech assistant fried our database.” The CIO rolled her eyes. “How many times do we need to tell people they can’t
touch that equipment?” “Well, to be fair, it was a new employee—but you’re right, it is an ongoing problem.” The CIO
then asked, “But why are you calling me? You know how to access the offsite backup files as well as I do.” “That’s
the second part of the problem,” the network manager confessed. “I know there is no excuse for it, but I wanted to
leave a little early on Friday and figured I could have the backup tapes sent in on Monday. I meant to do it first thing
Monday morning, but a data request from the superintendent came in and I just lost track of time. I know I fouled
up, but we don’t have an offsite backup for the last two weeks.” The CIO was very angry, but knew that the network
manager appreciated the magnitude of the mistake and that a reprimand wouldn’t help. “Well, we’re going to need to
hire specialists and get the system fixed.” “But that’s going to cost several thousand dollars,” the network manager
interjected. “I know,” the CIO said. “But tell me our other options?”
Educationorganizationsspendagreatdealofmoneyonsystemsforcollecting,
storing,accessing,using,andsharingdata.Inadditiontotheseinfrastructureexpenses,
therearesignificanthumanresourcecostsforcollectingandmanagingdata.Collection
instruments,includingassessmentsandsurveyforms,forexample,mustbecarefully
designedbyhighlyskilledprofessionals.Theadministrationoftheseassessmentsand
surveys—beginningwiththedeliveryofthematerialsandendingwithverificationand
validationactivities—requiresmanystaffhoursandrepresentsasubstantialinvestment.
Moreover,manyeducationorganizationsbuildorrentclimate­controlledfacilities,
contractwithoffsitebackupstorageservices,employelaborateencryptionalgorithms,
mandaterestrictiveuserauthenticationschemes,conductcriminalbackgroundchecks
onstaff,andengageinrobustdestructiontechniquesattheendofapieceofdata’s
usefullife.Educationdataareclearlyavaluedassetortheywouldnotwarrantthis
muchattention.
Thiscanonisprobablyviolatedunintentionallyasoftenasitiswillfullybroken.
Failuretofollowproceduresthatprotectdataanddatasystems–orfailuretoanticipate
potentialthreatstothese–cancauseasmuchdamageasanydeliberatesabotage.
Part Two: The Forum Code of Data Ethics
25
For more information
about data security,
see the Forum Unified
Education Technology
Suite (appendix A).
Inadditiontothelossofresourceswhenadatasystemmustbereplaced
orrepairedbecauseofnegligentbehavior,thereistheissueofdatasecurity.Itis
practicallyimpossibletoretrievedataaftertheyhavebeenreleasedelectronically.Once
someone’sprivateinformationhasbeensharedovertheInternet,itwillneveragainbe
private.Moreover,wheninformationislost,damaged,orotherwiseunavailablewhen
needed,therecanbeseriouseffectsontheoperationofaneducationorganization.
Whathappenswhenateachercannotdownloadalessonplanintimetoinform
instructionalchoicesforstudentssittinginhisclassroom?Orwhenaschoolnurse
cannotfindasickkindergartner’shometelephonephonenumberquickly?What
wouldhappenintheaftermathofatornadoorothercatastropheifaschoolprincipal
couldnotaccessthemorning’sattendanceinformationtoaccountforeverystudent
afterabuildingevacuation?
Awiderangeofpeopleandeventsthreatendata,including
 naturalconditionssuchasfire,flood,lightening,orhumidity;
 intentionalacts,includingmalicioushackersandcomputerviruses;
 routineorunintentionalactions,suchasunwittinglyplacingacoffeecup
onaserverorleavingapasswordtapedtoacomputermonitor.
Datamustbeprotectedfromtheseandotherthreatsbymeansofawiderangeof
physical,software,hardware,andaccesssecuritymeasures.Countermeasuresinclude
ahostofprocessesandproductsintendedtoprevent,deter,contain,anddetect
problems,aswellasrecoverdatawhenneeded.However,whilewerelyontraditional
technicalanddatamanagementsolutionstosecurityconcerns,thesesecurity
proceduresareimplementedbyindividualswhomustfollowaprofessionalethicthat
recognizestheirresponsibilitiesasstewardsoftheorganization’sinformationresources.
When
information
is
lost,
damaged,
or
otherwise
unavailable
when
needed,
it
can
have
a
serious
effect
on
the
operations
of
an
education
organization.
Recommended Practices and Training
1)Documentallsecurityproceduresincluding
a.passwords;
b.systemaccessprocedures;
c.encryptionproceduresandalgorithms;
d.dataexchangeprotocolswithpartners(schools,districts,stateeducation
agencies,intermediateunits,applicationserviceproviders,etc.);
e.metadata(dataaboutdata)concerningtechnologies,methods,operations,and
dataelements;and
f.othersecurityproceduresyoumayhave.
2)Establishathoroughandrobustsecurityplanbasedonanextensiveriskassessment,
threatanalysis,andcountermeasurestrategyfortheentireorganization.
3)Establishproceduresthatensureadherencetosecurityproceduresforallformsof
data,includingdigitalandprintrecords.
a.Employphysicalsecuritymeasureswithoutexception.Forexample,neverprop
openthedoortotheserverroomwhenitissupposedtostaylocked,andinstall
locksandothersurveillancetoolstopreventunauthorizedentryintosecure
areas.
26
Forum Guide to Data Ethics
b.Followallsecurityrequirementsrelatedtotheuseofmobiledatastorage
devices,includinglaptopcomputers,handhelds,portablediskdrives(e.g.,
jumpdrives),etc.
c.Userequiredtransmissionprotocolsforallformsofdataexchange,including
transfersofdatatapesandemail.Thisoftenincludestheuseofencryptionand
passwordprivileges.
d.Backupdataresponsibly.Althoughtheorganizationmayengageinoffsite
storage,individualusersmustbesuretostoredatainproperformats,in
designatedlocations,andwithappropriatetestingandverification.
e.Neverallowdatahandlerstoaccessdatathatarenotrequiredfortheirwork.
f.Neverallowdatahandlerstosharetheirpasswordsorotherauthentication
informationwithotheruserswhomaynothavethesameaccessprivileges.
g.Neverallowdatahandlerstouseshortcutsorunauthorizedchannelsfor
accessingtheorganization’ssystemsandnetworks,whetheronsiteorremotely.
h.Destroydatathathavereachedtheendoftheirusefullife.
i.Reviewandreauthorizeuseraccessprivilegesatleastonceayear.
4)Trainalldatausersabouttheirdatasecurityresponsibilities.
a.Thoroughlyorientnewemployeestosecurityprocedures,andmakesure
theyunderstandtheirresponsibilitiesandrepercussionsforfailingtoobserve
procedures.
b.Includesecuritytrainingforstaffandvolunteerswhohaveaccesstothe
organization’sinformationsystem.Thisshouldincludewhattodotoprotect
hardwareandsoftwareaswellasprotectinginformation.
Part Two: The Forum Code of Data Ethics
27
9. Safeguard sensitive data to guarantee
privacy and confidentiality
A
school board member was a personal friend of the principal at the local elementary school. When the board
member needed information, she would email the principal and get a reply with the data attached. Both school
leaders knew they were circumventing official procedures for sharing data, but rationalized that, since they both
had privileges to obtain the data from the data steward, this more direct and informal approach only expedited an
exchange that was otherwise permissible anyway. They didn’t see any harm in this practice until the board member
made a public presentation that inadvertently revealed that the one and only Asian female student in the 4th grade
had a learning disability. The student’s parents were in the audience and took offense to the public display of private
information. The district’s information security officer informed both the board member and principal that sharing
data so haphazardly violated the district’s policies and procedures. Had proper procedures been followed, the data
steward would have masked all personally identifiable information and the private information would not have been
accidentally disclosed.
Sensitive information is
that information that, if
lost or compromised,
might negatively affect
the subject of the
information.
A data handler does
not have the right to
look at her neighbor’s
­
child’s grades simply
because she has
access privileges to
student information.
­
There must be a
legitimate “need to
know” that stems from
officially assigned
work responsibilities.
28
Withinadatasystem,thereisadistinctionbetween“generalinformation”(i.e.,
thosedatathataregenerallyhelpfultoyourorganizationasitcarriesoutitsmission)
and“sensitiveinformation”(i.e.,thosedatathatareconfidentialand/orvitalto
yourorganizationasitcarriesoutitsmission).Forexample,adatafilewith“help”
instructionsforwebsiteusersisa“general”supportcomponentwithinyourdata
system.Whilethefilesareimportanttousersfacingawebproblem,thedataarenot
vitaltorunningaschoolorschoolsystem;noraretheyprivateinnatureorotherwise
subjecttoconfidentialityrestrictions.Ontheotherhand,dataaboutclassassignments
arebothconfidential(dataaboutstudentcourseselectionareprivate)andvitaltothe
school’scoreinstructionalmission(principalsshouldknowwherestudentsneedtobe
ateverymomentoftheday).
Ethicalstandardsforprotectingsensitiveinformationarehigherthanthose
forgeneralinformation.Withtheexceptionofsomedirectoryinformationthat
maybeconsideredapartofthepublicrecord,individualstudentinformation(e.g.,
transcriptsandotherindividualrecords)aresubstantiallyaprivatematterand,assuch,
arerequiredtobemaintainedinaconfidentialmanner.Theyarenotthepublic’s
business,noradatahandler’sbusiness,unlessthereisalegitimate“needtoknow”the
informationtocarryoutofficiallyassignedresponsibilities.
Canon3addressestheneedtobeawareoflawsandpoliciesgoverning
datacollectionandreporting,includingtheconfidentialityofprivatedataabout
individuals.Theprincipleincanon9addressestheresponsibilityoforganizationsto
establishandenforceproceduresthatwillputthesesafeguardsinplace.
Recommended Practices and Training
1)Identifywhichdataareconsideredtobesensitive(privateand/orvitalto
operations).
2)Developandimplementarobustdatasecurityplanthatincludesspecific
precautionsforsensitivedata,suchasthefollowing.
a.Limitaccessprivilegesstrictlytodatahandlerswho“needtoknow”the
informationtoconducttheirofficialdutiesandresponsibilities.
b.Reviewandreauthorizeuseraccessprivilegesonanannualbasis.
Forum Guide to Data Ethics
c.Limitremoteaccessprivilegessothatdatainasecurelocationcannotbe
exportedtoasitethatisnotsecure(e.g.,downloadsfromasecuredatabaseinto
anExcelorPDFfileathome).
d.Maintainhighstandardsforverifyingdatarequestsanddatasharing.Due
diligencepriortosharingdataismorethanjustidentifyingwhowantsthedata.
Askquestionssuchas:Whydotheywantit?Howwilltheyuseit?Willthey
destroyitproperly?Howcanproperhandlingbeverified?Willtheysignan
acceptableuseagreement?Notethatitisoftenhelpfultohavethesequestions
answeredinwriting.
e.Mandatepasswordrulesthatmakeitdifficultforhackerstoguess.Forexample,
passwordsshouldbesixormorecharactersinlengthandincludeatleastone
letterandonenumber,aswellasanasterisk,exclamationpoint,orotherspecial
character.Passwordsshouldnotbenamesorwordsthatappearinadictionary.
f.Requiretheuseofsecuretransmissiontechnologies,includingsecureservers,
authenticationtools,andencryptionalgorithms.
g.Storedatasecurely.Thisrequiresappropriatephysicalsecurity,software
security,accesssecurity,networksecurity,andrelatedbehavioralmanagement
security.
h.Establishandenforcesecurityexpectationsforportabledatastoragemedia,
includinglaptopcomputers,externalharddrives,portabledrives,etc.
Protecting the
confidentiality of
individually identifiable
data is imperative. The
primary difference in
how individual student
and staff data should
be secured stems from
protections specific
to student data, as
detailed in FERPA
(see appendix D).
3)Establishandenforcepoliciesgoverningthereleaseofstudentdata(bothprivate
anddirectoryinformation)incompliancewithFERPA,aswellasrelatedstateand
localprivacylawsandregulations.
a.Trainalldatahandlerstounderstandtheirresponsibilitieswithrespectto
FERPAandotherapplicablestatutesandregulations.
b.Requirewrittenpermissionfromaparenttoreleasenon­directoryinformation
subjecttotheexceptionsidentifiedinFERPA.
4)Trainalldatahandlerstoidentifywhichdataaregeneralinformationandwhichare
sensitive.
a.Ensurethatdatahandlersunderstandtheexpectationsandconsequencesof
FERPA,HIPAA,andrelatedstateorlocalprivacylaws.
b.Trainindividualsbasedontheiraccessprivilegestosensitivedata.Non­
technicalstaffwithaccessprivileges—suchasteachers,administrators,ordata
clerks—needtounderstandthedatasystem’ssecuritysafeguardsandhowthey
canfollowthem. Includediscussionsaboutthe“why”ofsecurityaswellasthe
“how,”sothatlearnerscaninternalizethisethicalprincipleandapplyittotheir
work.
Part Two: The Forum Code of Data Ethics
29
AppEndIx
A
R E l AT E d R E S O U R C E S Thesematerialsmaybeusefultoschool,district,orstateeducationagencystaff
consideringdataethics.
Forum
Guide
to
Metadata:
The
Meaning
Behind
Education
Data
http:nces.ed.gov/forum/pub_2009805.asp
Thisdocumentwasdevelopedtoempowerstafftousedatamore
effectivelyasinformation.Itexplainswhatmetadataare,whythey
arecriticaltothedevelopmentofsoundeducationdatasystems,
whatcomponentscompriseametadatasystem,whatvaluemetadata
bringtodatamanagementanduse,andhowtoimplementandusea
metadatasysteminaneducationorganization.
Every
School
Day
Counts:
The
Forum
Guide
to
Collecting
and
Using
Attendance
Data
http://nces.ed.gov/forum/pub_ 2009804.asp
ThisForumguideoffersbestpracticesuggestionsoncollectingand
usingstudentattendancedatatoimproveperformance.Itincludes
astandardsetofcodestomakeattendancedatacomparableacross
districtsandstates.Thepublicationalsopresentsreal­lifeexamples
ofhowattendanceinformationhasbeenusedbyschooldistricts.
Managing
an
Identity
Crisis:
Forum
Guide
to
Implementing
New
Federal
Race
and
Ethnicity
Categories
http://nces.ed.gov/forum/pub_2008802.asp
Thisbest­practiceguidewasdevelopedtoassiststateandlocal
educationagenciesintheirimplementationofthenewfederalrace
andethnicitycategories,therebyreducingredundanteffortswithin
andacrossstates,improvingdatacomparability,andminimizing
reportingburdens.Itservesasatoolkitfromwhichusersmayselect
andadoptstrategiestohelpthemquicklybegintheprocessof
implementationintheiragencies.
Appendix A
31
Forum
Guide
to
the
Privacy
of
Student
Information:
A
Resource
for
Schools
http://nces.ed.gov/forum/pub_2006805.asp
Thisfreepublicationwaswrittentohelpschoolandlocaleducation
agencystaffmembersbetterunderstandandapplytheFamily
EducationalRightsandPrivacyAct(FERPA),afederallawthat
protectsprivacyinterestsofparentsandstudentsinstudent
educationrecords.Itdefinestermssuchas“educationrecords”
and“directoryinformation”;andoffersguidancefordeveloping
appropriateprivacypoliciesandinformationdisclosureproceduresrelatedtomilitary
recruiting,parentalrightsandannualnotification,videotaping,onlineinformation,
mediareleases,surveillancecameras,andconfidentialityconcernsrelatedspecificallyto
health­relatedinformation.Muchoftheguidancerelatingtoprivacypolicieswouldbe
ofinteresttoorganizationsgeneratingbusinessrulesaboutthetopic.
Forum
Guide
to
Protecting
the
Privacy
of
Student
Information:
State
and
Local
Education
Agencies
http://nces.ed.gov/forum/pub_2004330.asp
Thisfreeguidepresentsageneraloverviewofprivacylawsand
professionalpracticesthatapplytoinformationcollectedfor,and
maintainedin,studentrecords.Thepublicationalsoprovidesan
overviewofkeyprinciplesandconceptsgoverningstudentprivacy;
summarizesfederalprivacylawsincludingrecentchanges;identifies
issuesconcerningthereleaseofinformationtobothparentsand
externalorganizations;andsuggestsgooddatamanagementpracticesforschools,
districts,andstateeducationagencies.Muchoftheguidancerelatingtoprivacy
policieswouldbeofinteresttoorganizationsgeneratingbusinessrulesaboutthetopic.
Forum
Guide
to
Building
a
Culture
of
Quality
Data:
A
School
and
District
Resource
http://nces.ed.gov/forum/pub_2005801.asp
Thisfreepublicationassertsthatgooddata,likegoodstudents,
areproducedinschools.Whileitisundeniablyhardertoteacha
studentthanitistocollectstatistics,certainprocedurescanhelpto
achievebothgoals.Recently,awarenesshasgrownaboutthelink
betweeneffectiveteaching,efficientschools,andqualitydata.The
qualityoftheinformationusedtodevelopaninstructionalplan,run
aschool,planabudget,orplaceastudentinaclassdependsontheschooldataclerk,
teacher,counselor,and/orschoolsecretarywhoenterdataintoacomputer.Withthat
inmind,thefocusofthisreportisondataentryandgettingthingsdonerightfrom
thebeginning.
32
Forum Guide to Data Ethics
Forum
Curriculum
for
Improving
Education
Data:
A
Resource
for
Local
Education
Agencies
http://nces.ed.gov/forum/pub_2007808.asp
Thiscurriculumsupportseffortstoimprovethequalityofeducation
databyservingastrainingmaterialsforK–12schoolanddistrict
staff.Itprovideslessonplans,instructionalhandouts,andrelated
resources,andpresentsconceptsnecessarytohelpschoolsdevelopa
cultureforimprovingdataquality.
Forum
Guide
to
Education
Indicators
http://nces.ed.gov/forum/pub_2005802.asp
Thispublicationprovidesencyclopedia­typeentriesfor44
commonlyusededucationindicators.Eachentrycontainsa
definition,recommendeduses,usagecaveatsandcautions,related
policyquestions,dataelementcomponents,aformula,commonly
reportedsubgroups,anddisplaysuggestions.Thispublicationwill
helpreadersbetterunderstandhowtoappropriatelydevelop,apply,
andinterpretcommonlyusededucationindicators.
NCES
Nonfiscal
Data
Handbook
for
Early
Childhood,
Elementary,
and
Secondary
Education
(2007)
http://nces.ed.gov/programs/handbook
TheNCES Handbooksareavaluablesourceofmetadatafororganizationsand
individualsinterestedineducationdata.Theseprintandonlineresourcesdefine
standardeducationtermsforstudents,staff,schools,localeducationagencies,
intermediateeducationagencies,andstateeducationagencies.TheHandbooksare
intendedtoserveasareferenceforpublicandprivateorganizations,including
educationinstitutionsandearlychildhoodcenters,aswellaseducationresearchers
andotherusersofeducationdata.Inordertoimproveaccesstothisvaluableresource,
NCEShasalsodevelopedtheNCES Handbooks Online,aweb­basedtoolthatallows
userstoviewanddownloadHandbook informationviaanelectronictableofcontents,
adrilldownfinder,elementnameandfirstlettersearches,andadvancedqueryoptions.
Appendix A
33
AppEndIx
B
SAMplE
wHISTlEBlOwER
pROTECTIOn
pOlICy
Whistleblowerpoliciesarecriticaltoolsforprotectingindividualswhoreportactivities
believedtobeillegal,dishonest,unethical,orotherwiseimproper.Thissamplepolicy
isadaptedfromadocumentdevelopedbytheFairbanks(Alaska)NorthStarBorough.1
I. Theorganizationwillnotretaliateagainstawhistleblower.Thisincludes,butis
notlimitedto,protectionfromretaliationintheformofanadverseemployment
actionsuchastermination,compensationdecreases,orpoorworkassignments
andthreatsofphysicalharm.Anywhistleblowerwhobelieveshe/sheisbeing
retaliatedagainstmustcontacttheHumanResourcesDirectorimmediately.
Therightofawhistleblowerforprotectionagainstretaliationdoesnotinclude
immunityforanypersonalwrongdoingthatisallegedandinvestigated.
II. Whistleblowerprotectionsareprovidedintwoimportantareas:confidentiality
andretaliation.Insofaraspossible,theconfidentialityofthewhistleblowerwillbe
maintained.However,identitymayhavetobedisclosedtoconductathorough
investigation,tocomplywiththelaw,andtoprovideaccusedindividualstheir
legalrightsofdefense.
III. Individualsprotectedinclude
a.theemployee,orapersonactingonbehalfoftheemployee,whoreportstoa
publicbodyorisabouttoreporttoapublicbodyamatterofpublicconcern;
or
b.theemployeewhoparticipatesinacourtaction,aninvestigation,ahearing,or
aninquiryheldbyapublicbodyonamatterofpublicconcern.
IV. Theorganizationmaynotdischarge,threaten,orotherwisediscriminateagainst
anemployeeregardingtheemployee’scompensation,terms,conditions,location,
orprivilegesofemployment.
V. Theorganizationmaynotdisqualifyanemployeeorotherpersonwhobrings
amatterofpublicconcern,orparticipatesinaproceedingconnectedwitha
matterofpublicconcern,beforeapublicbodyorcourt,becauseofthereportor
participation,fromeligibilitytobidoncontractswiththeorganization;receive
landunderadistrictordinance;orreceiveanotherright,privilege,orbenefit.
VI. Theprovisionsofthispolicydonot
a.requiretheorganizationtocompensateanemployeeforparticipationinacourt
actionorinaninvestigation,hearing,orinquirybyapublicbody;
b.prohibittheorganizationfromcompensatinganemployeeforparticipationin
acourtactionorinaninvestigation,hearing,orinquirybyapublicbody;
RetrievedMay1,2009,fromhttp://www.co.fairbanks.ak.us/humanresources/policies/65%20personnel­payroll/p%20%20
65­14%20whistleblowers.pdf
1
Appendix B
35
c.authorizethedisclosureofinformationthatislegallyrequiredtobekept
confidential;or
d.diminishorimpairtherightsofanemployeeunderacollectivebargaining
agreement.
VII. Limitationtoprotections
a.Apersonisnotentitledtotheprotectionsunderthispolicyunlessheorshe
reasonablybelievesthattheinformationreportedis,orisabouttobecome,
amatterofpublicconcern;andreportstheinformationingoodfaith.
b.Apersonisentitledtotheprotectionsunderthispolicyonlyifthematter
ofpublicconcernisnottheresultofconductbytheindividualseeking
protection,unlessitistheresultofconductbythepersonthatwasrequired
byhisorheremployer.
c.Beforeanemployeeinitiatesareporttoapublicbodyonamatterof
publicconcernunderthispolicy,theemployeeshallsubmitawritten
reportconcerningthemattertotheorganization’schiefexecutiveofficer.
However,theemployeeisnotrequiredtosubmitawrittenreportifheor
shebelieveswithreasonablecertaintythattheactivity,policy,orpractice
isalreadyknowntothechiefexecutiveofficer;orthatanemergencyis
involved.
VIII.Reliefandpenalties
a.Apersonwhoallegesaviolationofthispolicymaybringacivilactionandthe
courtmaygrantappropriaterelief.
b.Apersonwhoviolatesorattemptstoviolatethispolicyisalsoliableforacivil
fineofnotmorethantenthousanddollars($10,000.00).
Procedures
I.
Ifanemployeehasknowledgeoforaconcernofillegalordishonest/fraudulent
activity,theemployeeistocontacthis/herimmediatesupervisorortheHuman
ResourcesDirector.Allreportsorconcernsofillegalanddishonestactivities
willbepromptlysubmittedbythereceivingsupervisortotheHumanResources
Director,whoisresponsibleforinvestigatingandcoordinatinganynecessary
correctiveaction.AnyconcernsinvolvingtheHumanResourceDirectorshould
bereportedtothechiefexecutiveofficer.
II.
Thewhistleblowerisnotresponsibleforinvestigatingtheallegedillegalor
dishonestactivity,orfordeterminingfaultorcorrectivemeasures;appropriate
managementofficialsarechargedwiththeseresponsibilities.
III. Examplesofillegalordishonestactivitiesincludeviolationsoffederal,state,
orlocallaws;billingforservicesnotperformedorforgoodsnotdelivered;and
otherfraudulentfinancialreporting.Theemployeemustexercisesoundjudgment
toavoidbaselessallegations.Anemployeewhointentionallyfilesafalsereportof
wrongdoingwillbesubjecttodisciplinaryaction.
36
Forum Guide to Data Ethics
Supplemental information
Definitions
1.“Whistleblower”isdefinedbythispolicyasanemployeewhoreports,tooneor
moreofthepartiesspecifiedinthispolicy,anactivitythathe/sheconsidersto
beillegal,dishonest,unethical,orotherwiseimproper.
2.“Employee,”or“public employee,”meansapersonwhoperformsaservicefor
wagesorotherremunerationunderacontractofhire,writtenororal,expressor
implied,forthedistrict.
3.“Matter of public concern”means
a.aviolationofastate,federal,ormunicipallaw,regulation,orordinance;
b.adangertopublichealthorsafety;and/or
c.grossmismanagement,substantialwasteoffunds,oraclearabuseof
authority.
4.“Public body”includesanofficeroragencyof
a.thefederalgovernment;
b.thestate;
c.apoliticalsubdivisionofthestateincludingamunicipalityoraschool
district;and
d.apublicuniversityinthestate.
Appendix B
37
AppEndIx
C
M E M O R A n d A O F U n d E R S TA n d I n g A n d O T H E R d ATA U S E AgREEMEnTS
Memorandaofunderstanding(MOUs)andacceptableusestatementsareeffective
toolsfordescribingandenforcingdatausageagreementsbetweentwoormoreparties.
Theyarefrequentlyusedtoformallyagreetodesirablebehavioralpracticessuchas
gooddataethics.
Amemorandumofunderstanding(MOU)isawrittendocumentdescribing
abilateralormultilateralagreementbetweentwoormoreparties.Itexpressesa
convergenceofwillandunderstandingbetweenparties,indicatinganintended
commonlineofaction.Itmostoftenisusedincaseswherepartiesdonotintendto
implyalegalcommitmenttoeachother,butdowishtoengageinanagreementof
principleallthesame.
AMOUtypicallyestablishestheframeworkforcollaboration,intended
outcomes,audiences,andthepurposesforwhichdatawillandwillnotbeused.Itmay
alsodescribeownershipofresources,confidentialityaspects,andconditionsforproper
releaseofdata(ifany).AMOUmayalsospecifytheresponsibilitiesoftheparties
coordinatingthedatacollection,andanyfeesassociatedwithcollecting,compiling,
andtransmittingdata.Thedocumentmayalsospecifyanytimelinestobemet.
AMOUisacommonsynonymforaletterofintent(LOI).
Sample Memoranda of Understanding
Severalexamplescanbefoundat:
http://www.state.gov/r/pa/prs/ps/2007/mar/82496.htm
http://www.uscis.gov/files/nativedocuments/mou.pdf
http://www.uscis.gov/files/article/mou.pdf
Appendix C
39
Sample Agreements
Employee
Acceptable
Data
Usage
Statement
Iacknowledgethat[nameoforganization]’sdatausagepolicies,guidelines,and
procedureshavebeenmadeavailabletomeforadequatereviewandconsideration.I
alsocertifythatIhavebeenadequatelytrainedintheapplicationoftheserequirements
andgivenampleopportunitytohaveanyandallquestionsaboutmyresponsibilities
addressed.IamawarethatIamaccountableforalldatausagepolicies,guidelines,
andproceduresthatapplytomytasksattheorganization.Moreover,Iagreetouse
datainanappropriateandethicalmannerasrequiredbytheorganization’sdatausage
policies,guidelines,andprocedures.Iunderstandthatfailuretoabidebyanyand
allpolicies,guidelines,andprocedurescanresultinorganizational,civil,orcriminal
action;and/ortheterminationofmyemployment.
Signature:
PrintedName:
JobTitle:
Date:
/
/
Contractor/Consultant/Outsider
Acceptable
Data
Usage
Statement
Iacknowledgethat[nameoforganization]hasprovidedmewithadequatetimeto
reviewandconsiderthedatausagepolicies,guidelines,andproceduresitdeems
applicabletoresponsibilitiesIamundertakingonitsbehalf,regardlessofmy
employmentstatus.IamawarethatIamaccountableforalldatausagepolicies,
guidelines,andproceduresthatapplytomytasksattheorganization.Moreover,
Iagreetousedatainanappropriateandethicalmannerasrequiredbythe
organization’sdatausagepolicies,guidelines,andprocedures.Iunderstandthat
failuretoabidebyanyandallpolicies,guidelines,andprocedurescanresultin
organizational,civil,orcriminalaction;and/ortheterminationofmyrelationship
with[nameoforganization].
Signature:
PrintedName:
Affiliation:
Date:
40
/
/
Forum Guide to Data Ethics
AppEndIx
d
FA M I ly E d U C AT I O n A l R I g H T S A n d
p R I vA C y
A C T
( F E R pA )
Manystatesandlocalitieshaveenactedlawsandregulationstoprotectastudent’sright
toprivacy.So,too,hasthefederalgovernment,intheformoftheFamilyEducational
RightsandPrivacyActof1974(FERPA),whichguaranteestheprivacyofeducational
recordsforstudentsandtheirparents;theEducationSciencesReformActof2002
(ESRA);theConfidentialInformationProtectionandStatisticalEfficiencyActof
2002(CIPSEA);theFreedomofInformationAct(FOIA);thePaperworkReduction
Actof1995;andtheComputerSecurityActof1987.Inaddition,thefederalHealth
InsurancePortabilityandAccountabilityAct(HIPAA)establishedstandardsregarding
theelectronicexchangeofhealthinformation.Certainactivitiesperformedbyschool
staff,includingschoolnurses,maybesubjecttoprovisionsofHIPAA.Formore
informationabouttheintersectionofFERPAandHIPAA,seeHealth and Healthcare
in Schools,TheImpactofFERPAandHIPAAonPrivacyProtectionsforHealth
InformationatSchool:QuestionsfromReaders(2003,Volume4,Number4).
ThisisasummaryofthefederalFamilyEducationalRightsandPrivacyAct
(FERPA).Visithttp://www.ed.gov/policy/gen/guid/fpco/ferpa/index.htmlformore
information.
Family Educational Rights and Privacy Act (FERPA)
Statute:20U.S.C.§1232g.Regulations:34CFRPart99.
I.
FERPA
General
Overview
TheFamilyEducationalRightsandPrivacyAct(FERPA)isafederallawthatprotects
theprivacyofstudenteducationrecords.20U.S.C1232g;34CFRpart99.FERPA
appliestoallschoolsthatreceivefundsfromtheU.S.DepartmentofEducation.
Schoolsmustnotifyparentsandeligiblestudentsannuallyoftheirrightsunder
FERPA.Theactualmeansofnotificationislefttothediscretionofeachschool.
Generally,schoolsmusthavewrittenpermissionfromtheparentoreligible
studentinordertoreleaseanyinformationfromastudent’seducationrecord.
However,FERPAallowsschoolstodisclosethoserecords,withoutconsent,tothe
followingpartiesorunderthefollowingconditions:
 schoolofficialswithlegitimateeducationalinterest;
 otherschoolstowhichastudentistransferring;
 specifiedofficialsforauditorevaluationpurposes;
 appropriatepartiesinconnectionwithfinancialaidtoastudent;
 organizationsconductingcertainstudiesfor,oronbehalf,oftheschools;
 accreditingorganizations;
 tocomplywithajudicialorderorlawfullyissuedsubpoena;
 appropriateofficialsincasesofhealthandsafetyemergencies;and
Appendix D
41
 stateandlocalauthoritieswithinajuvenilejusticesystem,pursuanttospecific
statelaw.34CFR99.31
FERPAconfersrightstoparentswithrespecttotheirchildren’seducationrecords.
Localeducationagencies(LEAs)mustannuallynotifyparentsandeligiblestudentsof
theirrightsunderFERPA.34CFR§99.7.Parentsoreligiblestudentshavetherightto
inspectandreviewthestudent’seducationrecordsmaintainedbytheschool.Parents
oreligiblestudentshavetherighttorequestthatschoolscorrectrecordstheybelieveto
beinaccurateormisleading.
II.
Balancing
the
Interests
of
Privacy
and
Safety
Schoolofficialsareaskedtobalancetheinterestsofsafetyandprivacyforindividual
students.TheU.S.DepartmentofEducationissuedaguidepertainingtothesafety
issueinOctoberof2007.Theprovisionsfollowbelow:
A. Health or Safety Emergency
Inanemergency,FERPApermitsschoolofficialstodisclosewithoutconsent
educationrecords,includingpersonallyidentifiablerecords,toprotectthehealthor
safetyofstudentsorotherindividuals.Inahealthorsafetyemergency,recordsand
informationmaybereleasedtoappropriatepartiessuchaslawenforcementofficials,
publichealthofficials,andtrainedmedicalpersonnel.34CFR99.31(a)(10)and99.36.
Thisexceptionislimitedtotheperiodoftheemergency.
B. Law Enforcement Unit Records
Manyschooldistrictsemploysecuritystafftomonitorsafetyandsecurityinand
aroundschools.Investigativereportsandotherrecordscreatedandmaintainedby
these“lawenforcementunits”arenotconsidered“educationrecords”subjectto
FERPA.Schoolsmaydiscloseinformationfromthelawenforcementunitrecordsto
anyone,includingoutsidelawenforcementauthorities,withoutparentalconsent.
34CFR99.8.
Schoolsmustindicatewhichofficeservesastheschool’slawenforcementunit.
Asanexample,theU.S.DepartmentofEducationhaspostedamodelnotificationat
http://www.ed.gov/policy/gen/gui/fpcoferpa/lea­officials.html.
C. Security Videos
Imagesofstudentscapturedonsecurityvideotapesmaintainedbyschoollaw
enforcementunitsarenotconsiderededucationrecordsunderFERPA.
AccordingtotheU.S.DepartmentofEducation,schoolsthatdonothavea
designatedlawenforcementunitmightconsiderdesignatinganemployeetoserveas
the“lawenforcementunit,”inordertomaintainthesecuritycamera(s)anddetermine
theappropriatecircumstancesinwhichtheschoolwoulddiscloserecordedimages.
D. Personal Knowledge
FERPAdoesnotprohibitaschoolofficialfromdisclosinginformationaboutastudent
iftheinformationisobtainedthroughtheschoolofficial’sknowledgeorobservation,
andnotfromthestudent’seducationrecords.Forexample,ifanofficialoverhearsa
studentmakingthreateningremarkstootherstudents,FERPAdoesnotprotectthat
information.
42
Forum Guide to Data Ethics
E. Transfer of Education Records
Schoolofficialsmaydiscloseanyandalleducationrecords,includingdisciplinary
recordsandrecordsthatwerecreatedasaresultofastudentreceivingspecial
educationservicesunderpartBoftheIndividualswithDisabilitiesAct,toanother
schoolorsecondaryinstitutionatwhichthestudentseeksorintendstoenroll.Schools
mustmakeareasonableattempttodisclosethattheinformationtransferhasoccurred,
whichcanbepartoftheschool’sannualFERPAnotification.Parentscanrequesta
copyofinformationdisclosed,andtheyhaveanopportunityforahearing.
F. Directory Information
Schoolsmaydisclose,withoutconsent,“directory”informationsuchasastudent’s
name,address,telephonenumber,dateandplaceofbirth,honorsandawards,and
datesofattendance.However,schoolsmusttellparentsandeligiblestudentsabout
directoryinformationandallowthemareasonableamountoftimetorequestthatthe
schoolnotdisclosedirectoryinformationaboutthem.
III.
Protection
of
Pupil
Rights
Amendment
TheProtectionofPupilRightsAmendment(PPRA)affordsparentscertainrights
regardingtheconductofsurveys,collectionanduseofinformationformarketing
purposes,andcertainphysicalexams.120U.S.C.§1232h;34CFRPart98.Parentsor
eligiblestudentshavetherighttoconsentbeforestudentsarerequiredtocomplete
asurvey;receivenoticeandtheopportunitytooptout;andinspectprotected
information.PPRAalsorequireswrittenparentalconsentifasurveyincludesquestions
onthelistofprohibitedtopics.
IV.
Recordkeeping
Requirements
FERPAalsorequiresthateducationalorganizationsmaintainarecordofeachrequest
foraccesstoandeachdisclosureofpersonallyidentifiableinformationfromthe
educationrecordsofeachstudent(aslongasastudent’seducationalrecordsare
maintainedbytheeducationagencyorinstitution).Foreachrequestordisclosurethe
recordmustinclude
i)thepartieswhohaverequestedorreceivedpersonallyidentifiableinformation
fromtheeducationrecords;and
ii)thelegitimateintereststhepartieshadinrequestingorobtainingthe
information.
PPRAgovernstheadministrationtostudentsofasurvey,analysis,orevaluationthatconcernsoneormoreofthe
followingeightprotectedareas:
politicalaffiliationsorbeliefsofthestudentorthestudent’sparent;
mentalorpsychologicalproblemsofthestudentorthestudent’sfamily;
sexbehaviororattitudes;
illegal,antisocial,self­incriminating,ordemeaningbehavior;
criticalappraisalsofotherindividualswithwhomrespondentshaveclosefamilyrelationships;
legallyrecognizedprivilegedoranalogousrelationships,suchasthoseoflawyers,physicians,andministers;
religiouspractices,affiliations,orbeliefsofthestudentorstudent’sparent;or
 income(otherthanthatrequiredbylawtodetermineeligibilityforparticipationinaprogram,orforreceiving
financialassistanceundersuchprogram).
1
Appendix D
43
Ifthepersonallyidentifiableinformationisdisclosed,theeducationalagencyor
institutionmustdocument
1)thenamesofanyadditionalpartiestowhichthereceivingpartymaydisclose
theinformationonbehalfoftheeducationalagencyorinstitution;and
2)thelegitimateinterestsunderFERPA99.31whicheachoftheadditionalparties
hasinrequestingorobtainingtheinformation.
Thisdoesnotapplyiftherequestwasfrom,orthedisclosurewasto
1)theparentoreligiblestudent;
2)aschoolofficialunder99.31(a)(1);
3)apartywithwrittenconsentfromtheparentoreligiblestudent;
4)apartyseekingdirectoryinformation;or
5)apartyseekingorreceivingtherecordsasdirectedbyaFederalgrandjury
orotherlawenforcementsubpoena,andtheissuingcourtorotherissuing
agencyhasorderedthattheexistenceorthecontentsofthesubpoenaorthe
informationfurnishedinresponsetothesubpoenanotbedisclosed.
V.
Contact
Information
U.S.DepartmentofEducation
FamilyPolicyComplianceOffice(FPCO)
400MarylandAvenue,SW
Washington,DC20202–5920
(202)260–3887
InformalinquiriesmaybesenttoFPCOviathefollowingemailaddresses:
[email protected]@ed.gov.TheFPCOwebsiteaddressis:www.ed.gov/policy/gen/
guid/fpco.
44
Forum Guide to Data Ethics