Skip Navigation
small NCES header image
Statistical Standards Program

Appendix E: Memorandum of Understanding

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, protected under 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.

The Institute of Education 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); Section 183 of the Education Sciences Reform Act of 2002 (PL 107-279); and Title V, subtitle A of the E-Government Act of 2002 (PL 107-347), and wishes to make the data available for statistical research and analysis purposes, but only if the data are used and protected in accordance with the terms and conditions stated in this Memorandum of Understanding (MOU).

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 collected by or on the behalf of IES under Section 183 of the Education Sciences Reform Act of 2002 (P.L. 107-279) and Title V, subtitle A of the E-Government 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 diskettes, CD-ROMs, or hard copy. The Agency may only use the subject data in a manner and for a purpose consistent with:
  1. the statistical purpose for which the data were supplied. The Agency's description of the planned research and analysis as described is attached and made a part of this MOU (Attachment No. 1),
  2. the limitations imposed under the provisions of this MOU, and
  3. Section 183 of the Education Sciences Reform Act of 2002 (P.L. 107-279); Title V, subtitle A of the E-Government Act of 2002 (P.L. 107-347); and the Privacy Act of 1974 (5 U.S.C. 552a), which are attached to and made a part of this MOU (Attachment No. 2).

Top

II. INDIVIDUALS WHO MAY HAVE ACCESS TO SUBJECT DATA
A. There are three categories of individuals that the Agency may authorize to have access to subject data. The three categories of individuals are as follows:
  1. The Principal Project Officer (PPO) is the most senior statistical 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/TS) who conduct the research for which this MOU is issued.
  3. Support staff, which includes secretaries, typists, computer technicians, messengers, etc. The Agency may disclose subject data to support staff that come in contact with the subject data in the course of their duties only to the extent necessary to support the research under this MOU.
B. The Agency may disclose subject data to only seven (7) P/TS unless IES provides written authorization for a larger number of P/TS.

Top

III. LIMITATIONS ON DISCLOSURE
A. The Agency 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.
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. The Agency shall not make disclosures of subject data to individuals other than those specified in this paragraph unless those individuals have executed an Affidavit of Nondisclosure and the Agency has obtained advance written approval from IES.
C. The Agency shall not make any publication or other release of subject data listing information regarding individuals 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 individual respondents contained in the subject data is not revealed.

Top

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 purpose for which the data were supplied. The subject data may not be used to identify individual respondents for recontacting unless the Agency has obtained advance written approval from IES.
B. Execution of Affidavits of Nondisclosure:
  1. The Agency shall provide a copy of this MOU to each PT/S of the Agency who will have access to subject data and shall require each of those PT/S to execute an Affidavit of Nondisclosure.
  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 IES for inclusion in the System of Records as published in the Federal Register.
C. Notification regarding authorized individuals to IES:
  1. The Agency shall promptly notify IES when any PT/S 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 IES a copy of each publication containing information based on subject data or other data product based on subject data before making it available to individuals who have not executed an Affidavit of Nondisclosure.
  2. When publication or other release of research results could raise reasonable questions regarding disclosure of individually identifiable information contained in subject data, the Agency must provide copies of the proposed publication or release to IES 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 Education Sciences Reform Act of 2002 (P.L. 107-279); Title V, subtitle A of the E-Government Act of 2002 (P.L. 107-347); and the Privacy Act of 1974 (5 U.S.C. 552a). 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 IES immediately upon receipt of any legal, investigatory, or other demand for disclosure of subject data.
F. The Agency 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. The Agency agrees that representatives of IES have the right to make unannounced and unscheduled inspections of the facilities of the Agency, 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 (P.L. 107-279); Title V, subtitle A of the E-Government Act of 2002 (P.L. 107-347); and the Privacy Act of 1974 (5 U.S.C. 552a).

Top

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 a P/TS as necessary for the purpose of the statistical research for which the subject data were made available to the Agency.
  2. The Agency shall keep subject data (whether maintained on a personal computer or on printed or other material) in a space where access is limited to only authorized PT/S.
  3. The Agency shall ensure that access to subject data maintained in computer memory is controlled by password protection. The Agency shall maintain all printouts, 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.
  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, secure space of the Agency (as protected under the provisions of this MOU) without first notifying and obtaining written approval from IES.
B. Retention of subject data:
The Agency shall return to the IES all subject data or destroy those data under IES supervision or by approved IES procedures when the statistical research that is the subject of this MOU has been completed or this MOU terminates, whichever occurs first.
C. Compliance with established security procedures:
The Agency shall comply with the Security Procedures described in this MOU.

Top

VI. PENALTIES
A. Any violation of the terms and conditions of this MOU may subject the Agency to immediate abrogation of this MOU by IES, and the requirement of the return of all subject data and related materials.
  1. The IES official responsible for liaison with the Agency shall initiate abrogation of this MOU by written notice to the Agency indicating the factual basis and grounds for abrogation.
  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 IES Director indicating why the MOU should not be abrogated.
  3. The IES Director shall decide whether to abrogate the MOU based solely on the information contained in the notice to the Agency and the rebuttal provided by the Agency. The IES Director shall provide written notice of the decision to the Agency within forty-five (45) days after receipt of the Agency's response. The IES Director 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); Title V, subtitle A of the E-Government Act of 2002 (P.L. 107-347); and/or section 183 of the Education Sciences Reform Act of 2002 (P.L. 107-279). Alleged violations under the 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 isa fine of not more than $250,000 and imprisonment for a period of not more than five (5) years.

Top

VII. PROCESSING OF THIS MOU
A. This MOU shall be for a period of five (5) years. If before the expiration of this MOU, the IES Director establishes regulatory standards for the issuance and content of MOU, 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 IES Director. Any agreement must be signed by the Senior Official (designated in VII.C), the PPO (designated in VII.D) and the IES Director and is effective on the date that all required parties have signed the agreement.
C. The Senior Official (SO) having the legal authority to bind the Agency to the terms of the MOU shall sign this MOU below. The SO certifies, by his/her signature, that:
  1. The Agency has the authority to undertake the commitments in this MOU;
  2. The SO has the legal authority to bind the Agency to the provisions of this MOU; and
  3. The Principal Project Officer (PPO) designated by the Agency is a senior statistical officer for the Agency who has the authority to manage the day-to-day statistical operations of the research, P/TS, and support staff.

________________________________________
Signature of Senior Official

___________________________, _________________________
Name (Print)                                     Title

___________________________
Office

Date _______________ Telephone: (____)__________
D.

The individual described in paragraph II.A.1. and VII.C.3. as the PPO, shall sign below.


________________________________________
Signature of Principal Project Officer

___________________________, _________________________
Name (Print)                                           Title

___________________________
Office

Date _______________ 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)

Top


Would you like to help us improve our products and website by taking a short survey?

YES, I would like to take the survey

or

No Thanks

The survey consists of a few short questions and takes less than one minute to complete.