WHEREAS, the Institute of Eduction Sciences (IES) of the United States Department of Education
has collected individually identifiable information, the confidentiality of which is
protected by the Privacy Act of 1974 (5 U.S.C. 552a); Title V, subtitle A of the E-Government Act of 2002 (PL 107-347); and section 183 of the Education Sciences Reform
Act of 2002 (PL 107-279), and
WHEREAS, IES wishes to make the data available for statistical purposes to
requestors qualified and capable of research and analysis consistent with
the statistical purposes for which the data were provided, but only if
the data are used and protected in accordance with the terms and conditions
stated in this license, upon receipt of such assurance of qualification
and capability, it is hereby agreed between
|
| I. |
INFORMATION SUBJECT TO THIS AGREEMENT |
|
A. |
All data containing individually identifiable information about
students, their families, and their schools collected by or on the
behalf of 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 computer tapes, diskettes,
CD-ROMs, hard copy, etc. The Licensee may only use the subject data in a manner and to a
purpose consistent with:
the statistical purpose for which the data were supplied, (Licensee's description of
the research and analysis which is planned is attached and made a part of this license -
Attachment No. 1.)
the limitations imposed under the provisions of this license and,
section 183 of the Education Sciences Reform Act of 2002; Title V, subtitle A of the
E-Government Act of 2002; and the Privacy Act of 1974 (5 U.S.C.
552a) which are attached to and made a part of this license (Attachment No. 2.)
Top
|
|
|
| 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:
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.
Professional/Technical Staff (P/TS) conduct the research for which this license was
issued.
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.
An independent researcher is an individual who has satisfied the requirements
specified in paragraph II.C. of this license.
|
|
B. |
Licensee may disclose subject data to only seven (7) P/TS unless IES provides
written authorization for a larger number of P/TS. |
|
C. |
Licensee may disclose subject data to individuals who desire to do independent
research, under the following conditions:
The independent researcher submits an application for access to subject data to IES
directly, or through the Licensee.
IES provides written approval for the Licensee to disclose subject data to the
independent researcher.
The Licensee completes the affidavit procedures in paragraph IV.B. of the license.
Top
|
|
| III. |
LIMITATIONS ON DISCLOSURE |
|
A. |
Licensee shall not use or disclose subject data for any administrative purposes nor
may they 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 purposes for which they were collected.) |
|
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 paragraph
only if those individuals have executed an affidavit of nondisclosure and the Licensee has
obtained advance written approval from IES. |
|
C. |
Licensee shall not make any publication or other release of subject data listing
information regarding individuals even if the individual 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 contained in the subject data is not
revealed.
Top
|
|
| 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 purpose for which the data were
supplied. |
|
B. |
Execution of affidavits of nondisclosure.
Licensee shall provide a copy of this agreement, together
with the attached SECURITY PROCEDURES (Attachment No. 3) to each
employee of the licensee who will have access to subject data
and shall require each of those employees to execute an affidavit
of nondisclosure. Licensee shall also provide a copy of the attached
SECURITY PROCEDURES, and the abstracted statement of the statistical
purpose for which the data were supplied, to each independent
researcher approved by IES who the licensee intends to have access
to subject data and shall require each of those researchers to
execute an affidavit of nondisclosure. 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.
Licensee shall ensure that each affidavit of nondisclosure is notarized upon
execution.
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.
Licensee shall promptly, after the execution of each affidavit, send the original
affidavit to IES 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.
Licensee shall promptly notify IES when employee who has
been authorized to have access to subject data no longer has access
to those data.
If the terms of an independent researcher's application
specify when the researcher's access to subject data terminates
and access does terminate on that date, the Licensee need not
notify IES of that fact. However, if the researcher's access terminates
on another date, the Licensee shall promptly notify IES of the
date that such access terminates.
|
|
D. |
Publications made available to IES.
Licensee shall provide IES a copy of each publication containing information based
on subject data or other data product based on subject data made available to individuals
who have not executed an affidavit of nondisclosure.
When 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 IES
before that disclosure is made so that IES may advise whether the disclosure is
authorized under this license and the provisions of sections 183 of the Education Sciences
Reform Act of 2002; Title V, subtitle A of the E-Government Act of 2002; and the Privacy Act of 1974 (5 U.S.C. 552a).
Licensee agrees not to publish or otherwise release research results provided to IES if IES
advises that such disclosure
is not authorized.
|
|
E. |
Licensee shall notify IES immediately upon receipt of any legal, investigatory, or
other demand for disclosure of subject data. |
|
F. |
Licensee shall notify IES 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 sections 183 of
the Education Sciences Reform Act of 2002; Title V, subtitle A of
the E-Government Act of 2002; and the Privacy Act of 1974 (5 U.S.C. 552a). Top
|
|
| V. |
SECURITY REQUIREMENTS |
|
A. |
Maintenance of, and access to, subject data.
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 a P/TS or
independent researcher as necessary for the purpose of the statistical research for which
the subject data were made available to the Licensee.
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 authorized personnel.
Licensee shall ensure that access to subject data maintained in computer memory is
controlled by password protection. Licensee shall maintain all print-outs,
diskettes, 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.
Licensee shall ensure that all printouts, tabulations, and reports are edited for
any possible disclosures of subject data.
Licensee shall establish security procedures to ensure that subject data cannot be used
or taken by unauthorized individuals.
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
PROCEDURES, without first notifying, and obtaining written approval from, IES.
|
|
B. |
Retention of subject data.
Licensee shall return to IES all subject data, or destroy those data under IES
supervision or by approved IES procedures when the research that is the subject of this
agreement has been completed or this license terminates, whichever occurs first. |
|
C. |
Compliance with established security procedures.
Licensee shall comply with the SECURITY PROCEDURES attached to this license.
Top
|
|
| 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.
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.
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.
The Director 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 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); section
183 of the Education Sciences Reform Act of 2002; 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 E-Government Act of 2002 are subject to prosecution by 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. Top
|
|
| VII. |
PROCESSING OF THIS LICENSE |
|
A. |
The term of this license shall be for five years. If, before the
expiration of this license, the Director 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, IES. Any amendment must be signed by a Senior
Official specified in paragraph VII.C. of this license, PPO, and the Director and is
effective on the date that all required parties have signed the amendment. |
|
C. |
The Senior Official (SO) having the authority to bind the organization to the terms of
the license, shall sign this license below. The SO certifies, by his/her signature, that -
- The organization has the authority to undertake the commitments
in this license;
- The SO has the authority to bind the organization to the provisions
of this license; and
- The PPO is the most senior statistical officer for the licensee
who has the authority to manage the day-to-day statistical 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 Principle Project Officer |
Date |
| |
|
| __________________________________ |
|
| Type/Print Name of the Senior Official |
|
| |
|
| Title:______________________________ |
Telephone: (____)_______ |
| |
|
| |
|
|
|
E. |
The Director of the Institute of Education Sciences or Designee issues
this license to
______________________________________________. The license is
effective as of the date of the Director or Designee's signature
below, or such other period specified in the Licensee's request
for the license.
______________________________________________
Name
______________________________________________
Title
____________________________________
Type/Print Name of Director or Designee
_______________
Date
IES License Control Number: ______________________________
Top
|
PDF & Related Info
Contact
