IES Data Security Application ICR Application Documents

NCES Data Security Requirements for Accessing Restricted Use Data

IES Data Security Application ICR Application Documents

OMB: 1850-0983

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NATIONAL CENTER FOR EDUCATION STATISTICS

Institute for Education Sciences (IES)
Data Security Application

OMB# 1850-NEW

April 2023

IES RESTRICTED USE DATA APPLICATION
Contents
Restricted-use Licensing Agreement
Memorandum of Understanding
Security Plan
Security Plan: Remote Access Only
Affidavit of Nondisclosure Licensee

Attachment A - p. 3
Attachment B - p. 11
Attachment C - p. 22
Attachment D - p. 27
Attachment E - p. 32

Directions and Tips
• Your application for access to IES data is approved in SAP but requires a
security plan and documents before the data will be sent for researcher use.
• Your application will be considered incomplete until all documents here are
completed and returned to IES Data Security at the following address below:
IES Data Security, National Center for Education Statistics,
Potomac Center Plaza,
550 12th Street, SW, Room 4165,
Washington, DC 20202

• Please mail in the following:
1.

License application

Security Plan form

Affidavits of nondisclosure for the PPO, SSO, and all additional data users

Training certificates for the PPO, SSO, and all additional data users

For more information and more detailed instructions, please see https://nces.ed.gov/statprog/instruct.asp
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of
information unless it displays a valid OMB control number. The valid OMB control number for this voluntary
information collection is 1850-NEW. The time required to complete this information collection is estimated to
average 45 minutes per response, including the time to review instructions, search existing data resources, gather
the data needed, and complete and review the information collection. If you have any comments concerning the
accuracy of the time estimate, suggestions for improving this collection, or comments or concerns about the
contents or the status of your individual application, please e-mail [email protected], or write directly to: IES
Data Security, National Center for Education Statistics, Potomac Center Plaza, 550 12th Street, SW, Room 4165,
Washington, DC

LICENSE FOR THE USE OF INDIVIDUALLY
IDENTIFIABLE INFORMATION PROTECTED UNDER
THE EDUCATION SCIENCES REFORM ACT OF 2002
AND PROTECTED, AS APPLICABLE, UNDER THE
FOUNDATIONS OF EVIDENCE-BASED
POLICYMAKING ACT OF 2018 44 U.S.C., CHAPTER
35, SUBCHAPTER III, Part B, Section 3572
CONFIDENTIAL INFORMATION PROTECTION AND
STATISTICAL EFFICIENCY ACT,
THE FAMILY EDUCATIONAL RIGHTS AND PRIVACY ACT,
AND THE PRIVACY ACT OF 1974
WHEREAS, the Institute of Education Sciences (IES) of the United States Department of
Education has collected and maintains individually identifiable information, the confidentiality of
which is protected by section 183 of the Education Sciences Reform Act of 2002 (ESRA) (PL 107279) (20 U.S.C. 9573), and, as applicable, by the Privacy Act of 1974 (5 U.S.C. 552a); the Family
Educational Rights and Privacy Act (FERPA) (20 U.S.C. 1232g); and Confidential Information
Protection and Statistical Efficiency Act (CIPSEA), Subchapter III, Part B, Section 3572 of
the Foundations of Evidence-Based Policymaking Act of 2018 (44 U.S.C.); and
WHEREAS, IES wishes to make the data available for statistical, research, or evaluation
purposes to requestors qualified and capable of research and analysis consistent with the
statistical, research, or evaluation purposes for which the data were provided or are maintained,
but only if the data are used and protected in accordance with the terms and conditions stated in
this license (License), upon receipt of such assurance of qualification and capability, it is hereby
agreed between
(Insert the name of the agency or organization to be licensed)

hereinafter referred to as the "Licensee", and IES that:

I. INFORMATION SUBJECT TO THIS AGREEMENT
A. All data containing individually identifiable information about students, their
families, and their schools maintained by IES under section 183 of the
Education Sciences Reform Act of 2002, that are provided to the Licensee
and all information derived from those data, and all data resulting from
merges, matches, or other uses of the data provided by IES with other data
are subject to this License and are referred to in this License as subject data.
B. Subject data under this License may be in the form of CD-ROMs, electronic
data, hard copy, etc. The Licensee may only use the subject data in a manner
and to a purpose consistent with:
1. The statistical, research, or evaluation purpose for which the data are
3

maintained. All subject data that include individually identifiable
information are protected under the Privacy Act, ESRA, and/or
CIPSEA and may be used only for statistical, research, or evaluation
purposes consistent with purposes for which the data were collected
and /or are maintained (Licensee's description of the research and
analysis which is planned is attached and made a part of this License Attachment No. 1.);
2. Subject data that includes personally identifiable information from
students’ education records are protected under FERPA and may only
be used for the evaluation of Federally-supported education programs
or for conducting studies, for, or on behalf of, educational agencies or
institutions to improve instruction. (Licensee's description of the
evaluation or study which is planned is attached and made a part of
this License - Attachment No. 1.);
3. The limitations imposed under the provisions of this License; and
4. Section 183 of the Education Sciences Reform Act of 2002 (20 U.S.C.
9573); and, as applicable, CIPSEA, Subchapter III, Part B, Section 3572
of the Foundations of Evidence-Based Policymaking Act of 2018 (44
U.S.C.); the Privacy Act of 1974 (5 U.S.C. 552a); and the Family

Educational Rights Protection Act (20 U.S.C. 1232g) which are
attached to and made a part of this License (Attachment No. 2.)

II. INDIVIDUALS WHO MAY HAVE ACCESS TO SUBJECT DATA
A. There are four categories of individuals that the Licensee may authorize to
have access to subject data. The four categories of individuals are as follows:
1. The Principal Project Officer (PPO) is the most senior officer in charge
of the day-to-day operations involving the use of subject data and is
responsible for liaison with IES.
2. Professional/Technical staff (P/T) conduct the research for which this
License was issued.
3. Support staff includes secretaries, typists, computer technicians,
messengers, etc. Licensee may disclose subject data to support staff
who come in contact with the subject data in course of their duties only
to the extent necessary to support the research under this License.
4. The System Security Officer (SSO) is responsible for maintaining the
day-to-day security of the licensed data, including the implementation,
maintenance, and periodic update of the Security Plan to protect the
data in strict compliance with statutory and regulatory requirements.

B. Licensee may disclose subject data to only to only seven (7) staff, including
the PPO, SSO, P/TS, and support staff, unless IES provides written
authorization for a larger number of P/TS.

III. LIMITATIONS ON DISCLOSURE
A. Licensee shall not use or disclose subject data for any administrative
purposes nor may the subject data be applied in any manner to change the
status, condition, or public perception of any individual regarding whom
subject data is maintained. (Note: Federal Law pre-empts any State law that
might require the reporting or dissemination of these data for any purpose
other than the statistical, research, and evaluation purposes for which they
were collected and/or are maintained.)
B. Licensee shall not disclose subject data or other information containing, or
derived from, subject data at fine levels of geography, such as school district,
institution, or school, to anyone other than IES employees working in the
course of their employment or individuals for whom access is authorized
under this License agreement. Licensee may make disclosures of subject
data to individuals other than those specified in this License only if those
individuals have executed an Affidavit of Nondisclosure and the Licensee has
obtained advance written approval from the IES Data Security Office.
C. Licensee shall not make any publication or other release of subject data
listing information regarding individuals or specific educational institutions
even if the individual respondent identifiers have been removed.
D. Licensee may publish the results, analysis, or other information developed as
a result of any research based on subject data made available under this
License only in summary or statistical form so that the identity of individuals or
specific educational institutions contained in the subject data is not revealed.

IV. ADMINISTRATIVE REQUIREMENTS
A. The research conducted under this License and the disclosure of subject data
needed for that research must be consistent with the statistical, research, or
evaluation purpose for which the data were supplied. The subject data may
not be used to identify individuals or specific educational institutions for
recontacting unless Licensee has obtained advance written approval from the
IES Data Security Office.

B. Execution of Affidavits of Nondisclosure.
1. Licensee shall provide a copy of this agreement, together with the
Security Plan (Attachment No. 3) to the SSO and to each P/T and
support staff person of the Licensee who will have access to subject
data and shall require each of those individuals to execute an Affidavit
of Nondisclosure (Attachment No. 4).
2. The Licensee must ensure that each individual who executes an
Affidavit of Nondisclosure reads and understands the materials
provided to her or him before executing the Affidavit.
3. Licensee shall ensure that each Affidavit of Nondisclosure is notarized
upon execution.
4. Licensee may not permit any individual specified in paragraph II.A. to
have access to subject data until the procedures in paragraphs IV.B.1.
through 3 of this License are fulfilled for that individual.
5. Licensee shall promptly, after the execution of each Affidavit, send the
original Affidavit to the IES Data Security Office and shall maintain a
copy of each Affidavit at the Licensee's secured facility protected under
this License.
C. Notification regarding authorized individuals to IES.
1. Licensee shall promptly notify the IES Data Security Office when the
SSO, or any P/T or support staff who has been authorized to have
access to subject data no longer has access to those data.
D. Publications made available to IES.
1. Licensee shall provide the IES Data security Office a copy of each
publication containing information based on subject data or other data
product based on subject data before they are made available to
individuals who have not executed an Affidavit of Nondisclosure.
2. Because the publication or other release of research results could
raise reasonable questions regarding disclosure of individually
identifiable information contained in subject data, copies of the
proposed publication or release must be provided to the IES Data
Security Office before that disclosure is made so that IES may advise
whether the disclosure is authorized under this License and the
provisions of section 183 of the Education Sciences Reform Act of
2002; CIPSEA, Subchapter III, Part B, Section 3572 of the Foundations of
Evidence-Based Policymaking Act of 2018 (44 U.S.C.); the Privacy Act of
1974; and the Family Educational Rights and Privacy Act. Licensee
agrees not to publish or otherwise release research results provided
to IES if IES advises that such disclosure is not authorized.
6

E. Licensee shall notify the IES Data Security Office immediately upon receipt of
any legal, investigatory, or other demand for disclosure of subject data.
F. Licensee shall notify the IES Data Security Office immediately upon
discovering any breach or suspected breach of security or any disclosure of
subject data to unauthorized parties or agencies.
G. Licensee agrees that representatives of IES have the right to make
unannounced and unscheduled inspections of the Licensee's facilities,
including any associated computer center, to evaluate compliance with the
terms of this License and the requirements of section 183 of the Education
Sciences Reform Act of 2002; CIPSEA, Subchapter III, Part B, Section 3572 of
the Foundations of Evidence-Based Policymaking Act of 2018 (44 U.S.C.); the
Privacy Act of 1974; and the Family Educational Rights and Privacy Act.

V. SECURITY REQUIREMENTS
A. Maintenance of, and access to, subject data.
1. Licensee shall retain the original version of the subject data at a single
location and may make no copy or extract of the subject data available
to anyone except the SSO or a P/T staff member as necessary for the
purpose of the statistical research for which the subject data were
made available to the Licensee.
2. Licensee shall maintain subject data (whether maintained on a
personal computer or on printed or other material) in a space that is
limited to access by the PPO, SSO, and authorized P/T staff.
3. Licensee shall ensure that access to subject data maintained in
computer memory is controlled by password protection. Licensee shall
maintain all print-outs, CD-ROMS, personal computers with subject
data on hard disks, or other physical products containing individually
identifiable information derived from subject data in locked cabinets,
file drawers, or other secure locations when not in use.
4. Licensee shall ensure that all printouts, tabulations, and reports are
edited for any possible disclosures of subject data.
5. Licensee shall establish security procedures to ensure that subject
data cannot be used or taken by unauthorized individuals.
6. Licensee shall not permit removal of any subject data from the limited
access space protected under the provisions of this License as
required in the attached Security Plan (Attachment No. 3.), without first
notifying, and obtaining written approval from, IES.

B. Retention of subject data.
Licensee shall return to the IES Data Security Office all subject data, or
destroy those data under IES supervision or by approved IES procedures
when the statistical analysis, research, or evaluation that is the subject of this
agreement has been completed or this License terminates, whichever occurs
first. Licensee, as part of its responsibilities discussed herein, agrees to
submit a completed Close-out Certification Form to the IES Data Security
Office.
C. Compliance with established security procedures.
Licensee shall comply with the security procedures described in the Security
Plan (Attachment No. 3 to this License).

VI. PENALTIES
A. Any violation of the terms and conditions of this License may subject the
Licensee to immediate revocation of the License by IES.
1. The IES official responsible for liaison with the Licensee shall initiate
revocation of this License by written notice to Licensee indicating the
factual basis and grounds for revocation.
2. Upon receipt of the notice specified in paragraph VI.A.1 of this
License, the Licensee has thirty (30) days to submit written argument
and evidence to the Director of IES indicating why the License should
not be revoked.
3. The Director of IES shall decide whether to revoke the License based
solely on the information contained in the notice to the Licensee and
the Licensee's response and shall provide written notice of the
decision to the Licensee within forty-five (45) days after receipt of
Licensee's response. The Director of IES may extend this time period
for good cause.
B. Any violation of this License may also be a violation of Federal criminal law
under the Privacy Act of 1974 (5 U.S.C. 552a(i)); section 183 of the
Education Sciences Reform Act of 2002 (20 U.S.C. 9573(d)(2); and/or

CIPSEA, Subchapter III, Part B, Section 3572 of the Foundations of EvidenceBased Policymaking Act of 2018 (44 U.S.C.). Alleged violations under section
183 of the Education Sciences Reform Act of 2002 and CIPSEA, Subchapter
III, Part B, Section 3572 of the Foundations of Evidence-Based Policymaking Act of
2018 (44 U.S.C.) are subject to prosecution by the Offices of the United States

Attorney. The penalty for violation of section 183 of the Education Sciences
Reform Act of 2002 and CIPSEA, Subchapter III, Part B, Section 3572 of the
Foundations of Evidence-Based Policymaking Act of 2018 (44 U.S.C.), is a fine of
not more than $250,000 and imprisonment for a period of not more than five
years.
8

VII. PROCESSING OF THIS LICENSE
A. The term of this License shall be for
years. If, before the expiration of
this License, the Director of IES establishes regulatory standards for the
issuance and content of Licenses, the Licensee agrees to comply with the
regulatory standards.
B. This License may be amended, extended, or terminated by mutual written
agreement between the Licensee and the Director of IES. Any amendment
must be signed by a Senior Official specified in paragraph VII.C. of this
License, PPO, and the Director of IES and is effective on the date that all
required parties have signed the amendment.
C. The Senior Official (SO), who cannot be the same individual designated as
the PPO, having the legal authority to bind the organization to the terms of the
License, shall sign this License below. The SO certifies, by his/her signature,
that 1. The organization has the authority to undertake the commitments in
this License;
2. The SO has the legal authority to bind the organization to the
provisions of this License; and
3. The PPO is the most senior subject matter officer for the Licensee
who has the authority to manage the day-to-day statistical, research,
or evaluation operations of the Licensee.

Signature of the Senior Official

Date

Type/Print Name of Senior Official
Title:

Telephone: (

)

D. The individual described in paragraph II.A1. as the PPO shall sign this
License below. If the SO also acts as the chief statistical officer for the
Licensee; viz. as the PPO, the SO shall likewise sign under this paragraph as
well as having signed under paragraph VII.C.

Signature of the Principal Project Officer

Date

Type/Print Name of the Principal Project Officer
Title:

Telephone: (

)

Memorandum of Understanding
THE INSTITUTE OF EDUCATION SCIENCES
U.S. DEPARTMENT OF EDUCATION
and
THE ________________________________________

SUBJECT: Access by the ____________________________________________ to
individually identifiable information acquired by the Institute of Education Sciences (IES)
of the United States Department of Education.
IES has collected and maintains individually identifiable information, the confidentiality
of which is protected by Section 183 of the Education Sciences Reform Act of 2002
(ESRA) (PL 107-279) (20 U.S.C. 9573), and, as applicable, by the Privacy Act of 1974
(5 U.S.C. 552a); the Family Educational Rights and Privacy Act (FERPA) (20 U.S.C.
1232g); and Title V, subtitle A of the E-Government Act of 2002 (CIPSEA) (PL 107-347)
(44 U.S.C. 3501 note); and wishes to make the data available for statistical, research or
evaluation purposes to requestors qualified and capable of research and analysis
consistent with the statistical, research or evaluation purposes for which the data were
provided or are maintained, but only if the data are used and protected in accordance
with the terms and conditions stated in this Memorandum of Understanding (MOU),
upon receipt of such assurance of qualification and capability.
The ________________________________________ (hereinafter referred to as the
“Agency”) and the Institute of Education Sciences (IES) agree that:

I. INFORMATION SUBJECT TO THIS MOU
A. All data containing individually identifiable information about students, their
families and their schools maintained by IES under Section 183 of the Education
Sciences Reform Act of 2002 (P.L. 107-279) and Title V, subtitle A of the EGovernment Act of 2002 (P.L. 107-347) that are provided to the Agency and all
information derived from those data, and all data resulting from merges,
matches, or other uses of the data provided by IES with other data, are subject
to this MOU and are referred to in this MOU as “subject data.”
B. Subject data under this MOU may be in the form of CD-ROMs, electronic data or
hard copy, etc. The Agency may only use the subject data in a manner and for a
purpose consistent with:
1. The statistical, research or evaluation purpose for which the data are
maintained. All subject data that include individually identifiable
information are protected under the Privacy Act, ESRA, and/or CIPSEA
and may be used only for statistical, research, or evaluation purposes
consistent with purposes for which the data were collected and /or are
maintained. The Agency’s description of the research and analysis which
is planned is attached and made a part of this MOU (Attachment No. 1),
2. Subject data that includes personally identifiable information from
students’ education records are protected under FERPA and may only be
used for the evaluation of Federally-supported education programs or for
conducting studies, for, or on behalf of, educational agencies or
institutions to improve instruction. (Agency’s description of the evaluation
or study which is planned is attached and made a part of this MOU Attachment No. 1.);
3. The limitations imposed under the provisions of this MOU, and
4. Section 183 of the Education Sciences Reform Act of 2002 (20 U.S.C.
9573); and, as applicable, Title V, subtitle A of the E-Government Act of
2002 (44 U.S.C. 3501 note); the Privacy Act of 1974 (5 U.S.C. 552a), and
12

the Family Educational Rights Protection Act (20 U.S.C. 1232g) which
are attached to and made a part of this MOU (Attachment No. 2.)
II. INDIVIDUALS WHO MAY HAVE ACCESS TO SUBJECT DATA
A. There are four categories of individuals that the Agency may authorize to have
access to subject data. The four categories of individuals are as follows:
1. The Principal Project Officer (PPO) is the most senior officer in charge of
the day-to-day operations involving the use of subject data and is
responsible for liaison with IES.
2. Professional/Technical staff (P/T) conduct the research for which this
MOU was issued.
3. Support staff includes secretaries, typists, computer technicians,
messengers, etc. The Agency may disclose subject data to support staff
who come in contact with the subject data in course of their duties only to
the extent necessary to support the research under this MOU.
4. The System Security Officer (SSO) is responsible for maintaining the dayto-day security of the licensed data, including the implementation,
maintenance, and periodic update of security procedures to protect the
data in strict compliance with statutory and regulatory requirements.
B. The Agency may disclose subject data to only to only seven (7) staff, including
the PPO, SSO, P/TS, and support staff, unless IES provides written
authorization for a larger number of P/TS.
III. LIMITATIONS ON DISCLOSURE
A. The Agency shall not use or disclose subject data for any administrative
purposes nor may the subject data be applied in any manner to change the
status, condition, or public perception of any individual regarding whom subject
data is maintained. (Note: Federal Law pre-empts any State law that might
require the reporting or dissemination of these data for any purpose other than
13

the statistical, research, and evaluation purposes for which they were collected
and/or are maintained.)
B. The Agency shall not disclose subject data or other information containing, or
derived from, subject data at fine levels of geography, such as school district,
institution, or school, to anyone other than IES employees working in the course
of their employment or individuals for whom access is authorized under this
MOU agreement. The Agency may make disclosures of subject data to
individuals other than those specified in this MOU only if those individuals have
executed an Affidavit of Nondisclosure and the Agency has obtained advance
written approval from the IES Data Security Office.
C. The Agency shall not make any publication or other release of subject data
listing information regarding individuals or specific educational institutions even
if the individual respondent identifiers have been removed.
D. The Agency may publish the results, analysis, or other information developed as
a result of any research based on subject data made available under this MOU
only in summary or statistical form so that the identity of individuals or specific
educational institutions contained in the subject data is not revealed.
IV. ADMINISTRATIVE REQUIREMENTS
A. The research conducted under this MOU and the disclosure of subject data
needed for that research must be consistent with the statistical, research, or
evaluation purpose for which the data were supplied. The subject data may not
be used to identify individuals or specific educational institutions for recontacting
unless the Agency has obtained advance written approval from the IES Data
Security Office.
B. Execution of Affidavits of Nondisclosure.
1. The Agency shall provide a copy of this agreement to the SSO and to
each P/T and support staff person of the Agency who will have access to
14

subject data and shall require each of those individuals to execute an
Affidavit of Nondisclosure (Attachment No. 4).
2. The Agency must ensure that each individual who executes an Affidavit of
Nondisclosure reads and understands the materials provided to her or
him before executing the Affidavit.
3. The Agency shall ensure that each Affidavit of Nondisclosure is notarized
upon execution.
4. The Agency may not permit any individual specified in paragraph II.A. to
have access to subject data until the procedures in paragraphs IV.B.1.
through 3 of this MOU are fulfilled for that individual.
5. The Agency shall promptly, after the execution of each Affidavit, send the
original Affidavit to the IES Data Security Office and shall maintain a copy
of each Affidavit at the Agency's secured facility protected under this
MOU.
C. Notification regarding authorized individuals to IES.
1. The Agency shall promptly notify the IES Data Security Office when the
SSO, or any P/T or support staff who has been authorized to have
access to subject data no longer has access to those data.
D. Publications made available to IES.
1. The Agency shall provide the IES Data Security Office a copy of each
publication containing information based on subject data or other data
product based on subject data before they are made available to
individuals who have not executed an Affidavit of Nondisclosure.
2. Because the publication or other release of research results could raise
reasonable questions regarding disclosure of individually identifiable
information contained in subject data, copies of the proposed publication
or release must be provided to the IES Data Security Office before that
disclosure is made so that IES may advise whether the disclosure is
authorized under this MOU and the provisions of Section 183 of the
15

Education Sciences Reform Act of 2002; Title V, subtitle A of the EGovernment Act of 2002; the Privacy Act of 1974; and the Family
Educational Rights and Privacy Act. The Agency agrees not to publish or
otherwise release research results provided to IES if IES advises that
such disclosure is not authorized.
E. The Agency shall notify the IES Data Security Office immediately upon receipt of
any legal, investigatory, or other demand for disclosure of subject data.
F. The Agency shall notify the IES Data Security Office immediately upon
discovering any breach or suspected breach of security or any disclosure of
subject data to unauthorized parties or agencies.
G. The Agency agrees that representatives of IES have the right to make
unannounced and unscheduled inspections of the Agency's facilities, including
any associated computer center, to evaluate compliance with the terms of this
MOU and the requirements of Section 183 of the Education Sciences Reform
Act of 2002; Title V, subtitle A of the E-Government Act of 2002; the Privacy Act
of 1974; and the Family Educational Rights and Privacy Act.
V. SECURITY REQUIREMENTS
A. Maintenance of, and access to, subject data.
1. The Agency shall retain the original version of the subject data at a single
location and may make no copy or extract of the subject data available to
anyone except the SSO or a P/T staff member as necessary for the
purpose of the statistical research for which the subject data were made
available to the Agency.
2. The Agency shall maintain subject data (whether maintained on a
personal computer or on printed or other material) in a space that is
limited to access by the PPO, SSO, and authorized P/T staff.

3. The Agency shall ensure that access to subject data maintained in
computer memory is controlled by password protection. The Agency shall
maintain all print-outs, CD-ROMS, personal computers with subject data
on hard disks, or other physical products containing individually
identifiable information derived from subject data in locked cabinets, file
drawers, or other secure locations when not in use.
4. The Agency shall ensure that all printouts, tabulations, and reports are
edited for any possible disclosures of subject data.
5. The Agency shall establish security procedures to ensure that subject
data cannot be used or taken by unauthorized individuals.
6. The Agency shall not permit removal of any subject data from the limited
access space protected under the provisions of this MOU, without first
notifying, and obtaining written approval from, IES.
B. Retention of subject data.
1. The Agency shall return to the IES Data Security Office all subject data,
or destroy those data under IES supervision or by approved IES
procedures when the statistical analysis, research, or evaluation that is
the subject of this agreement has been completed or this MOU
terminates, whichever occurs first. The Agency, as part of its
responsibilities discussed herein, agrees to submit a completed Close-out
Certification Form to the IES Data Security Office.
C. Compliance with established security procedures.
1. The Agency shall comply with the security procedures described in this
MOU.

VI. PENALTIES
A. Any violation of the terms and conditions of this MOU may subject the Agency to
immediate revocation of the MOU by IES.
1. The IES official responsible for liaison with the Agency shall initiate
revocation of this MOU by written notice to the Agency indicating the
factual basis and grounds for revocation.
2. Upon receipt of the notice specified in paragraph VI.A.1 of this MOU, the
Agency has thirty (30) days to submit written argument and evidence to
the Director of IES indicating why the MOU should not be revoked.
3. The Director of IES shall decide whether to revoke the MOU based solely
on the information contained in the notice to the Agency and the Agency's
response and shall provide written notice of the decision to the Agency
within forty-five (45) days after receipt of Agency's response. The Director
of IES may extend this time period for good cause.
B. Any violation of this MOU may also be a violation of Federal criminal law under
the Privacy Act of 1974 (5 U.S.C. 552a(i)); Section 183 of the Education
Sciences Reform Act of 2002 (20 U.S.C. 9573(d)(2); and/or Title V, subtitle A of
the E-Government Act of 2002. Alleged violations under Section 183 of the
Education Sciences Reform Act of 2002 and Title V, subtitle A of the EGovernment Act of 2002 are subject to prosecution by the Offices of the United
States Attorney. The penalty for violation of Section 183 of the Education
Sciences Reform Act of 2002 and Title V, subtitle A of the E-Government Act of
2002, is a fine of not more than $250,000 and imprisonment for a period of not
more than five years.

VII. PROCESSING OF THIS MOU
A. The term of this MOU shall be for ____ years. If, before the expiration of this
MOU, the Director of IES establishes regulatory standards for the issuance and
content of MOUs, the Agency agrees to comply with the regulatory standards.
B. This MOU may be amended, extended, or terminated by mutual written
agreement between the Agency and the Director of IES. Any amendment must
be signed by a Senior Official specified in paragraph VII.C. of this MOU, PPO,
and the Director of IES and is effective on the date that all required parties have
signed the amendment.
C. The Senior Official (SO), who cannot be the same individual designated as the
PPO, having the legal authority to bind the organization to the terms of the
MOU, shall sign this MOU below. The SO certifies, by his/her signature, that 1. The organization has the authority to undertake the commitments in this
MOU;
2. The SO has the legal authority to bind the organization to the provisions
of this MOU; and

3. The PPO is the most senior subject matter officer for the Agency who has
the authority to manage the day-to-day statistical, research, or evaluation
operations of the Agency.
__________________________________ ______________________
Signature of the Senior Official

Date

__________________________________
Type/Print Name of Senior Official
Title:______________________________ Telephone: (____)_______

D. The individual described in paragraph II.A1. as the PPO shall sign this MOU
below. If the SO also acts as the chief statistical officer for the Agency; viz. as
the PPO, the SO shall likewise sign under this paragraph as well as having
signed under paragraph VII.C.

__________________________________ ______________________
Signature of the Principal Project Officer

Date

__________________________________
Type/Print Name of the Principal Project Officer
Title:______________________________ Telephone: (____)_______

E. The Director of the Institute of Education Sciences or Designee concurs in this
MOU and authorizes the access of the Agency to the subject data. This is
effective as of the date of the IES Director or Designee’s signature below.
___________________________________________________
Signature of Director or Designee, Institute of Education Sciences
_____________________________,

_______________________

Name (Print)

Title

_________________
Date
MOU Control Number: ____________________
(Assigned by IES)

Security Plan Form
Institute of Education Sciences (IES)
Restricted-use Data
Name of Institution / Organization: _____________________________________________________
PPO Name:
PPO Address:
(no P.O. Box number;
specify building name,
department, and room
number)
PPO Phone Number:

______________________________
(Provide street address, city, state, zip code, department and building name, and office/room number.)

_______________________________

Type of Security Plan:

New

Renewal

Modification

License Number: _____________________

Physical Location of Data
Project Office Address:
(no P.O. Box number;
specify building name,
department, and room
number)

(Provide street address, city, state, zip code, department and building name, and office/room number.)

Project Office Phone Number:

________________________

Note: The restricted-use data and computer must be secured and used only at this location. When the data are
not being used, the data must be stored under lock and key at this location. Only authorized users of the data,
as listed on the License, may have key access to this secure project office/room.

Physical Security of Data
Describe Building Security:
(Describe building security
arrangements where
project office is located.)

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 1 of 5

Describe Project Office Security:
(Describe project office
security arrangements for
the room where the computer
and data will be located.)

Computer Security Requirements
Describe Computer System:
(Please read the Note below.
Computer security must follow
the requirements listed below.)

Computer Operating System: _______________________________
Anti-Virus Software Installed on Computer: ________________________

Note: The restricted-use data must be copied to and run on a standalone, desktop computer. Use of a laptop
computer, external hard drive, or USB memory stick is strictly prohibited. Absolutely no restricted-use data
may be copied onto a server or computer that is attached to a modem or network (LAN) connection. Prior to
attaching the computer to a modem or LAN connection, the restricted-use data must be purged and overwritten on
the computer.

The following physical location and computer security procedures must be implemented when in possession of
restricted-use data. By checking the box next to each security procedure, you signify that these security procedures will
be implemented for the duration of the project and License period:

 Only authorized users listed on the License will have access to the secure room.
Access will be limited to the secure room/project office by locking the office when
away from the office.
 Data will only be secured, accessed and used within the secure project office/room
(as specified on page 1 of this plan).
 A password will be required as part of the computer login process.
 The password for computer access will be unique and contain 6 to 8 characters with
at least one non-alphanumeric character.

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 2 of 5

 The computer password will change at least every 3 months or when project staff
leave.
 Read-only access will be initiated for the original data.
 An automatic password protected screensaver will enable after 5 minutes of inactivity.
 No routine backups of the restricted-use data will be made.
 Project office room keys will be returned and computer login will be disable within 24
hours after any user leaves the project. The PPO will notify IES of staff changes.
 Restricted-use data will not be placed on a server (network), laptop computer,
USB memory stick, or external hard drive.
 The data will be removed from the project computer and overwritten, whether at the
end of the project or when reattaching a modem or LAN connection.
 Post Warning notification: During the computer log-in process, a warning
statement (shown below) will appear on the computer screen before access is granted.
If it is not possible to have the warning appear on the screen, it must be typed and
attached to the computer monitor in a prominent location.

WARNING
U.S. Government Restricted-use Data
Unauthorized Access to Data (Individually Identifiable Information) on this Computer
is a Violation of Federal Law and will Result in Prosecution.
Do You Wish to Continue? (Y)es or (N)o

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 3 of 5

NOTICE
Proposed Publications Using Restricted-use Data
Sample Surveys and Evaluations
Licensees are required to round all unweighted sample size numbers to the nearest ten (nearest 50 for the
Early Childhood Longitudinal Study Birth Cohort) in all information products (i.e., proposals, presentations,
papers or other documents that are based on or use restricted-use data). Licensees are required to provide a
draft copy of each information product that is based on or uses restricted-use data to the IES Data Security
Office for a disclosure review. In the case of information products that are based on or use FERPA-protected
restricted use data, the IES Data Security Office will also review the product to determine if, consistent with
the approved project proposal, the Licensee used the data to conduct a study to improve instruction or as an
“authorized representative of the Secretary” to evaluate a Federally supported education program. The
Licensee must not release the information product to any person not authorized to access the data you are
using until formally notified by IES that no potential disclosures were found and, if applicable, that no FERPA
issues were identified. This review process usually takes 3 to 5 business days.
The PPO shall also forward a final copy of any public presentations or reports published or released that are
based on or use restricted-use to the IES Data Security Office to provide feedback on uses of ESRA data.
Administrative Record/Universe Data
Licensees are required to follow the disclosure avoidance procedures transmitted with the restricted-use
data in all information products (i.e., proposals, presentations, papers or other documents that are based on
or use restricted-use data). Licensees are required to provide a draft copy of each information product that is
based on or uses restricted-use data to the IES Data Security Office for a disclosure review. In the case of
information products that are based on or use FERPA-protected restricted-use data, the IES Data Security
Office will also review the product to determine if, consistent with the approved project proposal, the
Licensee used the data to conduct a study to improve instruction or as an “authorized representative of the
Secretary” to evaluate a Federally supported education program. The Licensee must not release the
information product to any person not authorized to access the data you are using until formally notified by
IES that no potential disclosures were found and, if applicable, that no FERPA issues were identified. This
review process usually takes 3 to 5 business days.
The PPO shall also forward a final copy of any public presentations or reports published or released that are
based on, or use FERPA-protected restricted-use data to the IES Data Security Office.

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 4 of 5

Signature Page – Management Review and Approval
I have reviewed the requirements of the License agreement and the security procedures in this plan that describe
the required protection procedures for securing, accessing and using the restricted-use data.
I hereby certify that the computer system, physical location security procedures, and access procedures meet all
of the License requirements and will be implemented for the duration of the project and License period.

______________________________________________________
Senior Official Signature

_______________
Date

______________________________________________________
Senior Official Name & Title (print)

________________________
Phone Number

______________________________________________________
Principal Project Officer Signature

_______________
Date

______________________________________________________
Principal Project Officer Name & Title (print)

________________________
Phone Number

______________________________________________________
System Security Officer Signature

_______________
Date

______________________________________________________
System Security Officer Name & Title (print)

________________________
Phone Number

Note: The National Center for Education Statistics (NCES) processes licenses and disseminates restricted-use data for all centers in the Institute of
Education Sciences (IES) including the National Center for Education Research (NCER), the National Center for Education Statistics (NCES), the
National Center for Education Evaluation (NCEE), and the National Center for Special Education Research (NCSER).

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 5 of 5

Security Plan Form:
Remote Access Only
Institute of Education Sciences (IES)
Restricted-use Data

Name of Institution / Organization: _____________________________________________________
PPO Name:
PPO Address:
(no P.O. Box number;
specify building name,
department, and room
number)
PPO Phone Number:

______________________________
(Provide street address, city, state, zip code, department and building name, and office/room number.)

_______________________________

Type of Security Plan:

New

Renewal

Modification

License Number: _____________________

Physical Location of Data
Project Office Address:
(no P.O. Box number;
specify building name,
department, and room
number)

(Provide street address, city, state, zip code, department and building name, and office/room number.)

Project Office Phone Number:

________________________

Physical Security of Data
Describe Building Security:
(Describe building security
arrangements where
project office is located.)

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 1 of 5

Describe Project Office Security:
(Describe project office
security arrangements for
the room where the computer
and data will be located.)

Computer Security Requirements
Describe Computer System:
(Please read the Note below.
Computer security must follow
the requirements listed below.)

Computer Operating System: _______________________________
Anti-Virus Software Installed on Computer: ________________________

The following computer security procedures must be implemented when in possession of restricted-use data. By
checking the box next to each security procedure, you signify that these security procedures will be implemented for
the duration of the project and License period:

 A password will be required as part of the computer login process.

 The password for computer access will be unique and contain 6 to 8 characters with
at least one non-alphanumeric character.

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 2 of 5

 The computer password will change at least every 3 months or when project staff
leave.
 Read-only access will be initiated for the original data.
 An automatic password protected screensaver will enable after 5 minutes of inactivity.
 Restricted-use data will not be placed on a server (network), laptop computer,
USB memory stick, or external hard drive.

 Post Warning notification: During the computer log-in process, a warning
statement (shown below) will appear on the computer screen before access is granted.
If it is not possible to have the warning appear on the screen, it must be typed and
attached to the computer monitor in a prominent location.

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 3 of 5

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 4 of 5

______________________________________________________
Senior Official Signature

_______________
Date

______________________________________________________
Senior Official Name & Title (print)

________________________
Phone Number

______________________________________________________
Principal Project Officer Signature

_______________
Date

______________________________________________________
Principal Project Officer Name & Title (print)

________________________
Phone Number

______________________________________________________
System Security Officer Signature

_______________
Date

______________________________________________________
System Security Officer Name & Title (print)

________________________
Phone Number

IES/RUD SP Form-12v9

Special Handling Required. Handle This Form in Accordance with Government Security Policy.
FOR OFFICIAL USE ONLY

Page 5 of 5

License #______________

Affidavit of Nondisclosure
____________________________________
(Job Title)

______________________________
(Date Assigned to Work with IES Data)

____________________________________
(Organization, State or Local Agency Name)

____________________________________
(Organization or Agency Address)

____________________________
(NCES Database or File Containing
Individually Identifiable Information*)

I, __________________________________ , do solemnly swear (or affirm) that when given access to the
subject IES database or file, I will not (i) use or reveal any individually identifiable information furnished, acquired, retrieved or assembled by
me or others, under the provisions of Section 183 of the Education Sciences Reform Act of 2002 (P.L.
107-279) for any purpose other than statistical, research, or evaluation purposes specified in the IES
survey, project or contract;
(ii) make any disclosure or publication whereby a sample unit or survey respondent (including students
and schools) could be identified or the data furnished by or related to any particular person or school
under these sections could be identified; or
(iii) permit anyone other than the individuals authorized by the Director of the Institute of Education
Sciences to examine the individual reports.
___________________________________
(Signature)
[The penalty for unlawful disclosure is a fine of not more than $250,000 (under 18 U.S.C. 3571) or
imprisonment for not more than five years (under 18 U.S.C. 3559), or both. The word "swear" should be
stricken out when a person elects to affirm the affidavit rather than to swear to it.]
City/County of _________________ Commonwealth/State of ________________ .
Sworn to and subscribed before me this _______________ day of
_______________, 20________ . Witness my hand and official Seal.

____________________________________
(Notary Public/Seal)

My commission expires__________________ .

* Request all subsequent follow-up data that may be needed. This form cannot be amended by NCES, so access to
databases not listed will require submitting additional notarized Affidavits.
Form last revised 08/06/19

File Type	application/pdf
File Title	Restricted Use Data License Security Plan Form
Subject	Restricted Use Data License Security Plan Form
Author	Authorised User
File Modified	2023-04-28
File Created	2023-02-01