Introduction

Chapter Contents

• Restricted-Use Data
• Public-Use Data
• Overview
• Laws
• Licensing Procedures
• Security Procedures
• On-Site Inspections

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Restricted-Use Data

The Institute of Education Sciences (IES) collects survey and research data containing individually identifiable information, which is confidential and protected by law.

IES uses the term "restricted-use data" for such information. The terms restricted-use data and "subject data" are synonymous. (See appendix A, Definition of Terms.)

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Public-Use Data

IES uses the term "public-use data" for survey data when the individually identifiable information has been coded or deleted to protect the confidentiality of survey respondents. Access to public-use data does not require a license. It is available to the general public. For more information on public-use data, see NCES online catalog.

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Overview

Laws

• The Privacy Act of 1974 and the Computer Security Act of 1987 provide for the security and privacy of personal data maintained by the Federal Government. These laws pertain to all restricted-use data. Unlawful disclosure is a misdemeanor and is subject to a fine up to $5,000.
• E-Government Act of 2002 E-Government Act of 2002, Title V, subtitle A, Confidential Information Protection: Mandates the protection of individually identifiable information that is collected by any federal agency for statistical purposes. Unauthorized disclosure of these data is a class E felony.
• The USA Patriot Act of 2001 amended NESA 1994 by permitting the Attorney General to petition a Judge for an ex parte order requiring the Secretary of the Department of Education to provide NCES data that are identified as relevant to an authorized investigation or prosecution of an offense concerning national or international terrorism to the Attorney General.
• The Education Sciences Reform Act of 2002 requires IES to collect, analyze, and disseminate education data and to protect the confidentiality of individually identifiable information. A confidentiality violation is a class E felony, punishable by up to five years in prison, and/or a fine up to $250,000.

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Licensing Procedures

IES will lend restricted-use data only to qualified organizations in the United States, using a strict licensing process described in chapter 2. Individual researchers must apply through an organization (e.g., a university, a research institution). To qualify, an organization must submit:

• a Formal Request,
• a signed License Document,
• executed Affidavits of Nondisclosure, and
• the Security Plan Form.

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Security Procedures

Restricted-use data must be SAFE at all times. SAFE means that the data are secure from unauthorized disclosure in accordance with the license and specified Security Procedures. The Security Procedures described in chapter 3 include the computer security requirements for the standalone Computer SAFE model.

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On-Site Inspections

Under the terms of the license, IES has the right to conduct unannounced, unscheduled inspections of the data user's site to assess compliance with the provisions of the license, the Security Procedures, and the Licensee's security plan. The inspection procedures are described in chapter 4.

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