Fillable Security Plan Form Institute of Education Sciences (IES) (U.S. Department of Education)

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Security Plan Form Institute of Education Sciences (IES) (U.S. Department of Education)

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IES/RUD SP Form-12v9 Special Handling Required. Handle This Form in Accordance with Government Security Policy. Page 1 of 5
FOR OFFICIAL USE ONLY
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: _______________________________
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)
Project Office Phone Number: ________________________
Physical Security of Data
Describe Building Security:
(Describe building security
arrangements where
project office is located.)
(Provide street address, city, state, zip code, department and building name, and office/room number.)
(Provide street address, city, state, zip code, department and building name, and office/room 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.
IES/RUD SP Form-12v9 Special Handling Required. Handle This Form in Accordance with Government Security Policy. Page 2 of 5
FOR OFFICIAL USE ONLY
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 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.
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.
IES/RUD SP Form-12v9 Special Handling Required. Handle This Form in Accordance with Government Security Policy. Page 3 of 5
FOR OFFICIAL USE ONLY
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.
W A R N I N G
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. Page 4 of 5
FOR OFFICIAL USE ONLY
N O T I C E
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. Page 5 of 5
FOR OFFICIAL USE ONLY
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).
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Security Plan Form Institute of Education Sciences (IES) (U.S. Department of Education)

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Completed 9 February 2021

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