**NSF/SRS Restricted-Use Data Procedures Guide **

a.  **Contents**

Introduction

Chapter 1: Laws

1.1 Privacy Act of 1974

1.2 National Science Foundation Act of 1950

1.3 Confidential Information Protection and Statistical Efficiency Act
of 2002

Chapter 2: Licensing Procedures

2.1 Only Restricted-use Data are Licensed

2.2 Restricted-Use Data Procedures for SRS Staff/Fellows and Contractors

2.3 What is a License?

2.4 Applying for a License

2.5 SRS Review/Approval of the License Application

2.6 After Approval of the License Request

2.7 Licensee and Principal Researcher Responsibilities

2.8 Amending or Extending a License

2.9 Closing-Out the License

Chapter 3: Security Procedures

3.1 Risk Management

3.2 General Security Requirements

3.3 Physical Security (Handling, Storage, and Transportation)

3.4 Computer Security Requirements

Chapter 4: On-Site Inspections

4.1 On-Site Inspection Procedures

4.2 Violations, Penalties, and Prosecution

Appendices

A.  Definition of Terms

B.  NSF/SRS Scientists and Engineers Survey Data

C.  NSF/SRS License for the Use of Restricted-Use Data

D.  Security Plan Form

E.  NSF/SRS Affidavit of Nondisclosure Form

F.  Amendment Forms to NSF/SRS License for Restricted-Use Data

Amendment to Add Additional Restricted-Use Data

Amendment to Add Collaborating Researcher

Amendment to Extend License Time Period

**Introduction**

This *Restricted-Use Data Procedures Guide* (hereafter referred to as
the *Guide)* is provided to assist organizations interested in obtaining
access to NSF/SRS restricted-use data, and licensed organizations that
currently have access to NSF/SRS restricted-use data. The mechanism that
NSF/SRS uses to provide access to restricted-use data is a License. The
goal of having a restricted-use data License is to maximize the use of
statistical information while protecting individually identifiable
information from disclosure. The *Guide* outlines the procedures to
apply for the NSF/SRS restricted-use data License and provides an
introduction to the laws and regulations governing these data.

We hope that this *Guide* answers any questions or concerns you may have
regarding the process of applying for a License.

  -------------------------------
  SOME IMPORTANT POINTS TO NOTE
  -------------------------------

-   This *Guide* does not replace the provisions of the laws governing
    the protection of the confidentiality of the data or SRS
    implementation of these laws.

-   The License Agreement is a legal document and may not be altered
    without prior consultation with and written approval by NSF.

-   The licensee must follow all terms and provisions presented within
    the License.

-   Under no circumstances may a licensed data file be physically
    removed or electronically transmitted from a Licensee\'s approved
    site.

-   Licensees are subject to unannounced, unscheduled on-site
    inspections to assess compliance with requirements.

-   The License data are Federal data belonging to NSF/SRS. They are on
    loan and must be returned to SRS upon expiration of the license.

Restricted-Use Data

Federal Agencies collect survey data containing individually
identifiable information (including corporate or organizational
information), which is confidential and protected by law. Agencies use
the term "restricted-use data" for such information. (See appendix A,
Definition of Terms.)

Public-Use Data

Agencies use the term "public-use data" for survey data created for
release without a license because potentially individually identifiable
information has been coded or deleted to produce a file that protects
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 the available SRS public-use data, see appendix B.

1.  **Overview**

Chapter 1: Laws

The **Privacy Act of 1974, as amended**; **the National Science
Foundation Act of 1950, as amended, and the Confidential Information
Protection and Statistical Efficiency Act of 2002**, Title V;**
**provide for the security and privacy of personally identifiable
statistical data maintained by the NSF and the Federal Government.
Sections of these laws make unlawful the disclosure or improper use of
restricted use data. Violators are subject to a ***fine and/or
imprisonment.***

Chapter 2: Licensing Procedures

The SRS will loan 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 apply for a license, an
organization must submit:

-   Formal Letter of Request,

-   Signed License Agreement,

-   Data Requirements,

-   Research Plan,

-   Security Plan, and

-   Executed Affidavits of Nondisclosure.

Chapter 3: 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
applicable laws, the license, and specified Security Procedures. The
Security Procedures, described in chapter 3, specify the computer
security requirements for a stand-alone computer. A stand-alone computer
is the only type of computer permitted \-- a laptop computer does not
qualify as a stand-alone computer.

Chapter 4: On-Site Inspections

Under the terms of the license, SRS has the right to conduct
unannounced, unscheduled inspections of the licensee'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.

1.  **Chapter 1: Laws**

As an overriding principle, Federal agencies are required to collect,
maintain, use, or disseminate any record of identifiable personal
information in a manner that assures that adequate safeguards are
provided to prevent misuse of such information. The laws requiring the
protection of confidential, statistical data collected by NSF/SRS,
include:

-   Privacy Act of 1974, as amended, 5 U.S.C. 552a;

-   The National Science Foundation Act of 1950, as amended, section
    14(i), 42 U.S.C. 1873(i); and

-   Confidential Information Protection and Statistical Efficiency Act
    of 2002, Title V, 44 U.S.C. 3501 note.

Further, under the direction of the Office of Management and Budget, key
Federal agencies issue policies, standards, and guidelines for
protecting personal data.

**1.1 Privacy Act of 1974, amended, 5 U.S.C. 552a**

The Privacy Act protects the privacy of individuals' personal data
maintained by the Federal Government in systems of records. It imposes
numerous requirements upon Federal agencies to safeguard the
confidentiality and integrity of this personal data, and limits the uses
to which one may put the data, and the disclosures that may be made of
the data.

+----------------------------------------------------------------------+
| WARNING                                                              |
|                                                                      |
| Anyone who violates the confidentiality provisions of the Privacy    |
| Act may be found guilty of a misdemeanor and fined up to \$5,000.    |
+----------------------------------------------------------------------+
|                                                                      |
+----------------------------------------------------------------------+

See http://www.usdoj.gov/foia/privstat.htm for text of the statute,
Privacy Act of 1974.

A related source of information is the Federal Information Processing
Standard Publication (FIPSPUB) 41, *Computer Security Guidelines for
Implementing the Privacy Act of 1974*. FIPSPUB 41 provides guidance to
ensure that government-provided individually identifiable information is
adequately protected in accordance with Federal statutes and
regulations.

**1.2 The National Science Foundation Act of 1950, as amended, 42 U.S.C.
1873(i)**

The NSF Act also places restrictions on the use of survey data collected
by SRS. Survey information supplied to the Foundation or a contractor of
the Foundation by an individual, by an industrial or commercial
organization, or by certain educational institutional respondents under
a pledge of confidentiality may not be disclosed to the public unless
such information has been transformed into statistical or aggregate
formats that do not allow the identification of the supplier. The names
of organizations supplying such information may not be disclosed to the
public. Explicit authorization (from SRS) is required to use the
Restricted-Use Data. Further, it is illegal to obtain restricted-use
data under false pretenses.

+----------------------------------------------------------------------+
| WARNING                                                              |
|                                                                      |
| Violation of the NSF Act may result in a fine up to \$10,000,        |
| imprisonment for a period of up to five (5) years, or both.          |
+----------------------------------------------------------------------+
|                                                                      |
+----------------------------------------------------------------------+

See http://www.nsf.gov/od/ogc/leg.jsp for the full text of the NSF Act,
Section 1873(i) containing specific confidentiality-protection language.

**1.3 Confidential Information Protection and Statistical Efficiency Act
of 2002**

On December 17, 2002, the President signed into law the Confidentiality
Information Protection and Statistical Efficiency Act of 2002 (CIPSEA).
A main function of the confidentiality sections of the Act is:

\"To ensure that information supplied by individuals or organizations to
an agency for statistical purposes under a pledge of confidentiality is
used exclusively for statistical purposes.\"

+----------------------------------------------------------------------+
| WARNING                                                              |
|                                                                      |
| Violation of the CIPSEA may result in a fine up to \$250,000,        |
| imprisonment for a period of up to five (5) years, or both.          |
+----------------------------------------------------------------------+
|                                                                      |
+----------------------------------------------------------------------+

See http://www.eia.doe.gov/oss/CIPSEA.pdf for the full text of the
CIPSEA.

a.  **Chapter 2: Licensing Procedures**

**2.1 Only Restricted-Use Data Are Licensed **

Restricted-use data are collected under a pledge of confidentiality.
Such data may contain individually identifiable information and are
protected by law. Restricted-use data are only available under a
license. (Note: Public-use data do not require licensing.)^\ ^

The restricted-use data provided to the Licensee and all information
derived from those data are subject to the License.

Information that could result in identifying individuals goes beyond the
obvious personal identifiers (e.g., name, Social Security number,
address, etc.). The survey data, even without personal identifiers, can
provide identifiability based on:

-   education,

-   financial information,

-   employment, and

-   other data such as demographic characteristics.

Therefore, any file of survey data with such identification potential
needs to be licensed for it to be used outside SRS.

Appendix B contains a listing of both public-use and restricted-use data
files available from NSF/SRS.

**2.2 Restricted-Use Data Procedures for SRS Staff/Fellows and
Contractors **

Section 2.2.1 discusses restricted use procedures applying to SRS staff.
There are two vehicles used by SRS to provide temporary, external access
to restricted-use data away from SRS: Contract and Licensing. Section
2.2.2 describes procedures specifically related to contracts.

**2.2.1. Restricted-Use Data Procedures for SRS Staff**

SRS staff and SRS Fellows working on-site at SRS are subject to all of
the obligations and restrictions protecting restricted-use data. SRS
staff is not authorized to issue restricted-use data files---the SRS
Data Licensing Coordinator will assist in the process of obtaining a
license. SRS staff should refer all requests for licensing documents,
affidavits, or restricted-use data to the SRS Data Licensing
Coordinator.

-   Any in-house SRS staff needing access to restricted-use data must
    sign a restricted-use data agreement.

-   SRS Fellows may have rules similar to those of SRS staff or may have
    additional restrictions imposed as circumstances dictate as
    determined by the SRS Confidentiality Officer and SRS management.

-   SRS staff/Fellows working on-site in possession of restricted-use
    data must keep them under lock and key in an approved area (usually
    their office). These data may not be stored on a computer and the
    data files cannot be left open when not in use. (See **chapter 3,
    Security Procedures**, for full details.)

-   The data may not be removed from the SRS office area.

-   These restricted-use data **must** be returned to the SRS Data
    Licensing Coordinator prior to the departure of an SRS staff or SRS
    Fellow working on-site.

**2.2.2. Restricted-Use Data Procedures for SRS Contractors**

When SRS has a contract involving restricted-use data, the initial
contract must contain the provisions of the License. However, this only
applies to SRS contracts that explicitly require the use of
restricted-use data as part of the contractor's work for SRS. Any new or
additional need for restricted-use data by an SRS contractor for SRS
work must be covered by a contract modification.

Note: Any NSF contractor who wishes to use restricted-use data for
allowable statistical activities that are not part of SRS-sponsored work
must follow the regular license procedures as specified throughout this
document.

**2.3 What Is a License?**

1.  **License Components **

The License is the method used to provide access to restricted-use data
to academic institutions and other qualified research organizations
(e.g., non-Federal government agencies, non-statistical Federal
agencies, nonprofit organizations or research contracting firms).
Appendix C contains a copy of the NSF/SRS License Agreement. The License
for Restricted-Use Data consists of the License Agreement and the 4
required attachments.

The License Agreement:

-   specifies the information subject to the agreement,

-   specifies the individuals who may have access to subject data
    (Principal researcher and collaborating researchers),

-   specifies limitations on use and disclosure,

-   specifies penalties for violations,

-   specifies administrative requirements including

    -   requires publications containing the Licensed data be sent to
        SRS for review prior to publication,

    -   requires the organization to contact the SRS Division Director
        in case of (suspected) breaches of security,

    -   requires the organization to agree to unannounced and
        unscheduled inspections, and

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-   specifies the security requirements for the maintenance of, and
    access to, subject data.

**2.3.2 Who Needs a License?**

A license is held by an [organization]{.underline}, not by an
individual; therefore, all applications for a license must come from a
requesting organization. If the organization is not a Federal
statistical agency, it must have a license to authorize any individual
access to restricted-use data. Note that restricted-use data cannot
leave the United States and therefore organizations cannot apply for use
outside the U.S. The principal researcher must officially be a member of
the organization (e.g. an employee).

The following types of organizations within the United States are
eligible to apply for a license:

-   Non-statistical Federal Agencies, including components of the NSF
    other than SRS

-   Non-governmental agencies/Groups/Organizations/Contractors

-   State and Local Government Agencies

-   Educational Institutions

-   Research Laboratories

**2.4 Applying for a License**

The first step in this process is to contact the manager of the survey
that the researcher is interested in using. The SRS survey manager will
help the researcher define the best data file(s) for the research,
whether these data files are public use or restricted use, and whether
the organization is eligible for a license. If restricted use data are
required, the researcher's organization will need to apply for a license
to use these data.

**2.4.1. The License Application**

The application for a restricted-use data license, consists of the
following documents:

-   Formal Letter of Request,

-   Signed License Agreement (see appendix C),

-   Data Requirements

-   Research Plan,

-   Security Plan (see chapter 3 and appendix D, and

-   Executed Affidavits of Nondisclosure (see appendix E).

    i.  **2.4.2. Formal Letter of Request**

The Formal Letter of Request must be authorized by the organization and
written on organization letterhead. The letter must provide specific
items of information:

**(a) The title of the data file(s)** the organization wants to access.

**(b) A short description of the statistical research project that
necessitates accessing the survey data.**

**(c) The name and title of the Principal Researcher(s)** (PR) who will
oversee the daily operations. (The PR is the principal researcher, who
must be formally employed by the organization, in charge of the
day-to-day operations involving the use of the licensed restricted-use
data and serves as liaison with SRS for the organization.)

**(d) The signature, name and title of the Senior Official** of the
organization having AUTHORITY to enter into a legal contract to bind the
organization to the provisions of the license.

Note: The principal researcher should take into account the amount of
time needed to obtain official institutional signatures in their
scheduling.

i.  **2.4.3. License Agreement**

An executed NSF/SRS License for the Use of Restricted-Use Data,
hereafter referred to as the License Agreement**,** is a legally binding
agreement, and must be reviewed carefully. The License Agreement is
signed by the Senior Official within the organization (educational
institution, non-governmental entity, or government agency) as well as
the Principal Researcher. See appendix C for a copy of the License
Agreement. The License Agreement, along with its four required
attachments, is referred to as the "License."

**(a) Data Requirements (Attachment 1)**

Attachment 1 to the License Agreement is the Data Requirements. This
should include the name of the requested data file and a listing of the
variables needed for the research.

**(b) Research Plan (Attachment 2)**

Attachment 2 to the License Agreement is the Research Plan. This
Research Plan is a** **description of the statistical research project
that necessitates accessing the requested survey data file(s). The
description must fulfill the following conditions:

-   explain why the public-use version of the data is insufficient;

-   describe the final research objectives and uses, of the data;

-   describe the sector(s) of the community that will be served by the
    product; and

-   assure SRS that the data will not be used for any administrative,
    regulatory, or commercial purpose in addition to, or instead of, the
    statistical purpose described.

    i.  **(c) Security Plan (Attachment 3)**

Attachment 3 to the License Agreement is the Security Plan that contains
the detailed procedures for protecting the restricted-use data. All
individuals having access to the licensed restricted-use data must be
covered by the security plan.

Restricted-use data must be kept safe at all times. "Safe" means that
the individually identifiable information is secure from unauthorized
access, disclosure or modification. Security procedures are explained in
detail in chapter 3; the Security Plan must be in compliance with those
procedures. Appendix D is an approved format for the Security Plan. We
recommend that you use this form, as all the information on the form is
required in the Security Plan.

i.  **(d) Affidavits of Nondisclosure (Attachment 4)**

Attachment 4 to the License Agreement will contain the Affidavits of
Nondisclosure. An Affidavit of Nondisclosure must be executed for each
person (researchers, employees or contractor staff) who may have data
access or come in contact with the licensed data. SRS allows up to seven
(7) individuals per project to access the subject data. (SRS may require
that the supervisor of the applicant organization\'s computer facilities
be one of those seven.)

Each Affidavit of Nondisclosure must be notarized and the originals sent
to the SRS Data Licensing Coordinator. Appendix E contains a copy of the
Affidavit of Nondisclosure form.

The one-page Affidavit contains:

-   an oath or affirmation never to disclose individually identifiable
    information covered by the License to any person not similarly
    sworn,

-   the penalties for disclosure,

-   the signature of the Principal Researcher and the Collaborating
    Researcher, and

-   the signature and imprint of a notary public.

The Principal Researcher must also sign the Affidavit of Nondisclosure
for each collaborating researcher. A new Affidavit of Nondisclosure must
be submitted to SRS for each new person given access to the
restricted-use data by the license organization; organizations must
promptly notify SRS of any changes in project staff. (See section 2.8,
Amending or Extending a License.)

i.  **2.5. SRS Review/Approval of the License Application**

The SRS Data Licensing Coordinator and other relevant SRS staff will
review the submitted documents for content and completeness. In
particular, the Formal Letter of Request and Research Plan must
demonstrate that the proposed research meets the basic requirements, and
the Security Plan must comply with the Security Procedures. In addition,
all questions SRS has about an organization\'s application must be
resolved in writing prior to the formal granting of the license.

The SRS Data Licensing Coordinator may request additional information
regarding the proposed use of the data, the resources available to the
researcher to perform the analysis, or other aspects of the project, as
he/she deems necessary.

The SRS Data Licensing Coordinator submits the original License (License
Agreement and Attachments) to the SRS Division Director for signature
only after all required information has been received, the license
application is complete, and all questions have been resolved.

The decision to grant a license is solely that of the SRS. The authority
granted in the license becomes effective on the date of the SRS Division
Director\'s signature.

i.  **2.6 After Approval of the License Request **

After the license request has been approved by SRS, the new Licensee
receives the data package, including:

-   copy of the approved signed License Agreement and all attachments,

-   CD-ROM(s) with the requested restricted-use data file(s),

-   Data file media materials and instructional materials to assist the
    project staff in the use of the data, and

-   Warning/Restriction Labels (attached to all enclosures) and Loan
    Expiration Date Labels (attached to all enclosures).

**NOTE: Under no circumstances may the original or duplicate of the
restricted-use data file be removed or electronically transmitted from
the Licensee's site!**

**2.7. Licensee and Principal Researcher (PR) Responsibilities**

This section addresses the major administrative requirements of the
licensee: maintain the License file, with copies of the Executed
Affidavits; submit research publications; and be ready for on-site
inspections at all times.

The security requirements are explained in detail in chapter 3.

**2.7.1. Maintain the License File**

The Licensee shall maintain a license file at the same facility where
the Licensee stores the restricted-use data. The file is to contain, at
a minimum, the following items:

-   the License, including

\- License Agreement,

\- Data Requirements,

\- the Research Plan,

\- the licensee's Security Plan, and

\- a listing of all individuals who may have access to the data, along
with copies of a

notarized Affidavit of Nondisclosure for each individual;

-   pertinent Federal laws governing the data confidentiality (provided
    by SRS),

-   list of changes in personnel accessing the restricted-use data, and

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-   all amendments to the License.

The Principal Researcher is accountable for having all pertinent
information in this file.

In addition, all project staff with access to the restricted-use data
shall sign statements that they have both READ and UNDERSTOOD the
license requirements and procedures. All individuals who may have access
to the restricted-use data must be fully aware of the required security
precautions and procedures. (This is the parent institution and the
Principal Researcher\'s responsibility.)

**2.7.2. Submit Research Publications**

Per Section III.A.1 of the License Agreement, the Principal Researcher
(PR) must provide SRS a copy of all or sufficient portions of each
paper, report, or other data product containing information based on the
SRS restricted-use data at least forty-five (45) days prior to its
submission for publication review (this includes before release to a
reviewer), publication or other dissemination to anyone not listed on
the license.

Licensee shall ensure that all printouts, tabulations, and reports are
edited for any possible disclosures of subject data. In planning and
producing analyses and tabulations, the general rule is not to publish a
cell in which there are fewer than three (3) respondents or where the
cell information could be obtained by subtraction. (In this case,
complementary suppression techniques are required.)

The PR may not publicly release the publication until formally notified
by SRS that no potential disclosures were found. (SRS generally clears
allowable publications within a week.)

The PR shall cite the sources used and include the following statement
in all publications or releases of research results using NSF restricted
or unrestricted data: "The use of NSF data does not imply NSF
endorsement of the research methods or conclusions contained in this
report."

The PR shall forward a final copy of each publication containing
information based on restricted-use data to the SRS Data Licensing
Coordinator.

**2.7.3. Expect On-Site Security Inspections**

The various confidentiality laws require SRS to assure the security of
the SRS restricted use data. SRS achieves this through on-site
inspections (security audits). The license (section III.E) gives SRS
Data Security Officials the right to conduct unannounced, unscheduled
inspections of the Licensee\'s site to assess compliance with the
provisions of the license, Security Procedures, and the Licensee\'s
submitted Security Plan. The inspection procedures are described in
chapter 4.

If an on-site inspection is conducted, SRS will provide formal
notification of any violations in the required security procedures and
the Licensee must correct all identified security violations.

Any violation may subject the Licensee to immediate revocation of the
license by SRS. While all violations are serious, some may require
reporting of the violation to the Inspector General of NSF and/or the
U.S. Attorney.

4.  **Deny Outside Requests for Data**

The Licensee may not provide the restricted-use data to anyone not
covered by the license and not having a signed and notarized Affidavit
of Nondisclosure. The Licensee shall notify SRS Data Licensing
Coordinator immediately when it receives any legal, investigatory or
other demand for subject data, including any request or requirement to
provide subject data to any State agency or State contractor, and shall
keep a record of how the matter was resolved. Requests by institutional
authorities must also be reported to SRS.

**2.8 Amending or Extending a License**

SRS shall be kept informed of any modifications in project operations
throughout the span of the loan period. Amendments must be filed when
there is:

-   any change in the personnel (Principal Researcher or Collaborating
    Researcher or IT staff) accessing the data,

-   a change in the format of the data file,

-   a need for access to additional restricted-use data files or

-   a request to extend the period covered by the License.

To change any of the terms and conditions in the License, the Licensee
shall send a written request to the SRS Data Licensing Coordinator. ALL
SUCH CORRESPONDENCE SHALL BE SIGNED BY THE PRINCIPAL RESEARCHER (or the
Senior Official in the PR\'s absence).

**2.8.1. Additions to Project Staff**

Affidavit(s) of Nondisclosure for new project staff should be submitted
to the SRS Data Licensing Coordinator along with a letter requesting an
amendment to the licensing agreement. See appendix F for an example of
the Amendment form that must be submitted along with the new Affidavit
of Nondisclosure. An Amendment form must be filed for each new
Collaborating Researcher (or other person gaining access to the
restricted-use data).

The SRS Data Licensing Coordinator will send a response letter to the
Licensee indicating the action taken by SRS on the request. This
response is to be kept in the Licensee's file.

2.  **Reduction of Project Staff**

When a Collaborating Researcher or IT staff person no longer requires
the use of the SRS restricted-use data, SRS must be informed in writing
that the Licensee staff person is no longer accessing the restricted-use
data. The SRS Data Licensing Coordinator will note that this person is
no longer allowed access to the restricted-use data and will notify the
SRS Security contractor.

The SRS Data Licensing Coordinator will send a response letter to the
Licensee acknowledging the revised personnel status. This response is to
be kept in the Licensee's file.

Note: A change in the Principal Researcher requires close out of the
license and issuance of a new license!

**2.8.3. Requesting a Change in Data File Format**

Only one copy of a given data file can be borrowed at a time, but the
Licensee can request an exchange of data file formats. The data file
product in the Licensee\'s possession must be returned to the SRS Data
Licensing Coordinator by certified mail before a replacement file can be
sent.

**2.8.4. Requesting an Additional Data File**

A Licensee may request access to another data file in addition to those
specified in the original license. See appendix F for an example of the
Amendment to Add Additional Restricted-use Data form requesting
additional data files.

If the data file request can be accommodated under the same License,
then the applicant need only submit the following information to SRS, in
writing:

-   Title of the file(s) requested

-   Description of the research purpose which necessitates accessing the
    additional restricted-use data, and

-   Names of the personnel who will have access to the additional data
    file(s). Include executed Affidavits of Nondisclosure for any new
    staff or for staff whom do not have the additional data file(s)
    listed on their original Affidavits.

The SRS Data Licensing Coordinator will review the request and forward
it for approval if judged complete. Once approved by the SRS Division
Director, the request for an additional data file will be included in
the Licensee\'s file as an amendment to the License and the data file
will be sent.

5.  **Extending a License**

Per the License Agreement, the License may be extended by mutual written
agreement between the Licensee and the SRS Division Director. Such
requests use the Amendment to Extend the License Time Period form (see
appendix F). Any request for an extension must be signed by all parties
to the original agreement or their assignees and is effective on the
date that all required parties have signed the amendment. When asking
for an extension, the licensee must provide a reason for the extension
and plans for continued access of the restricted-use data. The SRS Data
Licensing Coordinator will process the request.

**2.9. Closing-Out the License **

The SRS Data Licensing Coordinator shall be informed in writing by the
Licensee when the project necessitating the use of the data has been
completed. The Licensee shall return to SRS, by certified mail, the
media containing the original restricted-use data and any additional
materials and documentation sent to the licensee.

a.  The Licensee shall also overwrite the restricted-use data from any
    computer used in their analyses, that is, totally obliterate erased
    (deleted) data so that it cannot be recovered by any means. (See
    Overwrite Data on Storage Media, in Section 3.4.2 (j).)**Chapter 3:
    Security Procedures**

The security procedures used to protect individually identifiable
information are based on the statutes described in Chapter 1. For both
SRS and licensee use of SRS restricted-use data, the SRS Division
Director shall ensure that all personally identifiable information
remain **confidential**, in accordance with the Privacy Act of 1974, the
National Science Foundation Act of 1950, as amended, and when
appropriate, the Confidential Information Protection and Statistical
Efficiency Act of 2002. Other statutes may apply under certain
circumstances, such as the Computer Fraud and Abuse Act of 1986, which
makes it a felony to gain unauthorized access to a computer system
containing Federal data, or to abuse the access one has, with the
purpose of doing malicious destruction or damage.

Restricted-use data licenses are used to make more detailed federal
information sources available to qualified organizations. A License for
Restricted-Use Data is the legal agreement covering terms of use. Strict
security procedures are required to protect the data on individuals who
responded to Federal surveys; i.e., who provided individually
identifiable information. The Licenses provide the assurances of
confidentiality necessary to comply with the pertinent laws.

The Licensees are governed by the terms of the License and the security
procedures, which are the minimum requirements for protecting the
individually identifiable information (referred to as \"subject data\"
in the License) while in the custody of the Licensee.

**3.1 Risk Management**

Individually identifiable information is often highly sensitive but even
when not that sensitive, it requires high levels of confidentiality
protection to prevent unauthorized disclosure or modification because
respondents were promised confidentiality. Licensees shall ensure that
required security measures are continuously in place so that the
restricted-use data are safe at all times. "Safe" means that the subject
restricted-use data are secure from unauthorized disclosure, use, or
modification.

Note: The SRS may inspect Licensee facilities (see chapter 4) and the
inspection criteria are based on the minimum-security requirements
specified in the following 3 sections on General Security, Physical
Security, and Computer Security.

The Licensees with appropriate assistance from their organizational IT
staff shall assess the security of the environment in which the data
will be accessed, handled, and stored to determine if the
minimum-security procedures, described herein, are adequate for their
environment. Because facilities and computer capabilities vary
considerably, there may be onsite conditions that necessitate additional
protections. If so, the Licensees shall increase protections to make the
environment safe.

Licensees must meet the spirit and intent of these protection
requirements to ensure that the restricted-use data are in a safe
environment at all times.

**3.2 General Security Requirements**

**3.2.1. Assign Security Responsibilities**

The Senior Official (SO), who signed the License Agreement, has full and
final responsibility for the security of the restricted-use data.

The SO shall name a System Security Officer (SSO) in the Security Plan.
Typically, the SSO is the network administrator (to verify the lack of
network connectivity while using the data). The SSO shall be responsible
for maintaining the day-to-day security of the system on which the
licensed data reside. The SSO\'s assigned duties shall include the
implementation, maintenance, and periodic update of the security plan to
protect the data in strict compliance with statutory and regulatory
requirements.

The Principal Researcher:

-   also has responsibility for the security of the restricted-use data,

-   is the most senior officer in charge of the day-to-day operations
    involving the use of restricted-use data,

-   shall oversee the preparation and implementation of the
    restricted-use data security plan, and

-   shall monitor and update the security requirements, as needed.

**3.2.2. Develop and Implement Security Plan**

Licensees shall develop and submit a Restricted-Use Data Security Plan
as part of the License. Appendix D contains a sample security plan. The
SO, PR, and SSO shall sign the implemented security plan and provide a
copy to SRS. The SSO, in signing the Security Plan, assures the
inspection and integrity of the Licensee's Security Plan. (Note: SRS
advises that a draft of the security plan be sent for SRS review early
in the application process to avoid delays caused by needed security
upgrades.)

After the license has been approved by SRS, the security plan must be
implemented before the licensee permits any access to the restricted-use
data.

**3.2.3. Restrict Access to Data**

Access control at the research site is the process of determining WHO
will have WHAT type of access to WHICH restricted-use data files.

-   [WHO?]{.underline} Only individuals who have signed an Affidavit of
    Nondisclosure (which requires reading and understanding the Security
    Procedures) as part of the license (e.g. PR, IT staff and
    Collaborating Researcher) may have access to the data, as stated in
    section 2.4.3.(d).

-   [WHAT type of access?]{.underline} User access to the original
    version of the restricted-use data shall be Read-Only.
    Restricted-use survey data files are not to be modified or changed
    in any way. Only statistical uses of the data are permitted. Trying
    to identify an individual or organizational respondent is strictly
    prohibited by law.

-   [WHICH data?]{.underline} Each individual\'s Affidavit of
    Nondisclosure lists the restricted-use data that can be accessed by
    that person.

**3.2.4. Use Data at Licensed Site Only**

Licensee shall retain the original version of the restricted-use data
and all copies or extracts at the single licensed location, i.e., the
licensed site.

Licensee shall not permit removal of any restricted-use data from the
licensed site (i.e., the limited access space approved under the
provisions of this license). Using restricted-use data at home or
providing it to a contractor to use off-site is prohibited.

**3.2.5. Response to Outside Request for Restricted-Use Data**

Any researcher who requests access to restricted-use data held by the
Licensee must sign an Affidavit of Nondisclosure and be approved by SRS
under the procedures for amending the License.

Licensee agrees to notify the SRS Division Director immediately:

-   of any attempt to access the data outside the terms of the license
    (such attempts are illegal); and,

-   when Licensees receive any legal, investigative, or other demand for
    disclosure of restricted-use data, including any request or
    requirement to provide restricted-use data to any State agency or
    State contractor.

Such requests are inconsistent with requirements of this license. Time
is of the essence in notifying SRS of any such request or requirement.
Licensee must also immediately inform the requestor or enforcer of the
request or requirement that restricted-use data are protected under the
law of the United States as specified in the License. Licensee
authorizes SRS to revoke the License, to take possession of or secure
the restricted-use data, and take any other action necessary to protect
the absolute confidentiality of the restricted-use data.

**3.2.6. Return Original Data to SRS**

Licensee shall return to SRS the original restricted-use data when the
research that is the subject of the License Agreement has been completed
or the license expires or is revoked, whichever occurs first. All other
individually identifiable information (e.g., the one backup copy,
working notes) shall be destroyed under SRS supervision or by approved
SRS procedures. The SRS Data Licensing Coordinator will assist in
determining the appropriate procedures.

**3.3 Physical Security (Handling, Storage, and Transportation)**

**3.3.1. Machine-Readable Media and Printed Material**

Portable machine-readable storage media (such as CD-ROMS, USB drives,
floppy diskettes, and removable hard disk drives) containing
restricted-use data must be secure at all times.

(Note: Securing data stored on fixed hard drives is addressed in section
3.4.1 in Stand-alone Computers.)

a.  **Lock Up Media.** Restricted-use data on machine-readable media
    shall always be secured from unauthorized access (e.g., locked in a
    secure cabinet when not in use).

b.  **Label/Catalog/Track Media.** To avoid exceeding License expiration
    dates, all portable media from NSF are labeled with the expiration
    date of the license. If the user changes the media, or develops
    subsets, new labels with the license expiration date must be
    affixed. Additionally, the Licensees should use a
    cataloging/tracking system to know who has possession and
    responsibility for what media at all times. Anyone having possession
    of the restricted-use data must have executed an Affidavit of
    Nondisclosure and keep the data at a site approved in the License.
    This applies to computer personnel who load data on the system.
    Restricted-use data shall not be in a computer facility library
    unless all who have access to the library media have executed
    Affidavits of Nondisclosure.

**(c) Lock Up Printed Material.** Printed material containing
individually identifiable information shall always be secured from
unauthorized access (e.g., locked in a secure cabinet when not in use).

**(d) Only One Backup Copy. **The Licensee is permitted to make ONLY ONE
BACKUP COPY OF THE ENTIRE DATA FILE at the beginning of the loan period.
The Licensee shall protect this backup copy and all copies of files
developed during analysis under the same Security Procedures as the
original data file. If the Licensee plans to make a backup copy of the
restricted-use data, the Licensee must state that in the Security Plan.

The Licensee is accountable for any copies of the restricted-use data,
including subsets and intermediate files made during the conduct of
research. The Licensee shall ensure that all such datasets are:

-   Made only when necessary for performing the licensed statistical
    research;

-   Protected at the same level as the original confidential data;

-   Kept only at the approved work site as stated in the License
    Document,

-   Made available only to those persons authorized to access the
    restricted-use data; and

-   Destroyed upon completion of the purpose for which the copy was
    created.

**3.3.2. Limit Transporting of Data**

Restricted-use data are licensed for one site only (see section 3.2.4),
and only the following methods shall be used for transporting the data
from that site to a new license site as approved by SRS, or to and from
SRS:

-   SRS employee;

-   A \"bonded courier,\" who must sign for the sealed package, and who
    is responsible for the data during transport; or

-   By certified mail (normal for transporting data between SRS and the
    Licensee).

**3.4. Computer Security Requirements**

**3.4.1. Stand-Alone Computers**

The National Institute of Standards and Technology (NIST) issued the
*Federal Information Processing Standard Publication (FIPSPUB) 41,
Computer Security Guidelines for Implementing the Privacy Act of 1974.*
This 1975 publication provides the basic guidance for protecting Privacy
Act data, which includes individually identifiable information.

The minimum-security requirements for the SAFE use of restricted-use
data are described in the context of a stand-alone computer, the only
type of computer permitted. Licensees shall meet all the
minimum-security requirements for a stand-alone computer before
restricted-use data can be processed on that system.

A stand-alone computer is one that is in no way connected to another
computer or networked device, such as a switch, hub, or router (with the
possible exception of a printer), or to the Internet or a local area
network (LAN). The stand-alone computer can be running Windows 2000/XP
client or server, Linux, or Mac OS X. Because the stand-alone computer
is not connected to the Internet or a local or wide area network, the
emphasis for securing the data is placed on physical security of the
computer and controlling access to the data. (Note:** **Portable
computers (e.g. notebook or laptop computers) are not allowed and will
not be approved.)

The computer may be configured for a single user or for multiple users.
If configured for multiple users, all users must be named in the license
and have signed an Affidavit of Nondisclosure.

If a prospective Licensee cannot meet computer security requirements, a
License will not be granted.

**3.4.2. Minimum Security Requirements**

**(a) Limit room/area access.** The data must always be secured from
unauthorized access. Computer rooms/areas that process individually
identifiable data must be secure during business hours and locked after
close of business.

**(b) Passwords.** When passwords are used, they shall be unique, at
least 6-8 characters in length, contain at least one non-alphanumeric
character (e.g., ?, &, +), and be changed at least every three months.
See sections below on "Lock Computer and/or Room," and "Automatic
\'Shutdown\' of Inactive Computer" for other password requirements. (For
additional details on passwords, see FIPSPUB 112, *Password Usage*,
Section 4.3, "Password System for High Protection Requirements."

In the absence of an automated password generator, user-selected
passwords should be unique, easy to memorize, and NOT dictionary words.
One good way to select a password is to make up an easy to remember
phrase-My Favorite Lake Is Superior-and use the first letter in each
word plus a non-alphanumeric character (e.g., ?, +, \*) as your
password. The result is MFL?IS.

a.  **Notification (warning screen).** During the login or boot-up
    process, a warning statement should appear on the screen before
    access is permitted. This statement should remain on the screen
    until the user takes action allowing boot-up to continue
    (preferable), or for at least ten seconds to ensure sufficient time
    for the warning to be read. The following statement should be used
    on the access screen; alternative statements need to be approved by
    SRS.

+----------------------------------------------------------------------+
| I.  **WARNING**                                                      |
|                                                                      |
| FEDERAL RESTRICTED-USE DATA                                          |
|                                                                      |
| UNAUTHORIZED ACCESS TO LICENSED INDIVIDUALLY IDENTIFIABLE            |
| INFORMATION IS A VIOLATION OF FEDERAL LAW AND WILL RESULT IN         |
| PROSECUTION.                                                         |
|                                                                      |
| DO YOU WISH TO CONTINUE? (Y)es \_\_\_ or (N)o \_\_\_                 |
+----------------------------------------------------------------------+
|                                                                      |
+----------------------------------------------------------------------+

If it is not feasible for this statement to appear on the screen, the
statement must be printed and attached to the monitor in a prominent
location.

a.  **Read-only Access.** User access authorization to the original data
    shall be Read-Only. Restricted-use survey data files are not to be
    modified or changed in any way.

b.  **No Connections.** The computer on which the restricted-use data
    are loaded must not be connected to any other computer or network
    through any means. It must truly be configured as a stand-alone
    machine.

**(f) Lock Computer and/or Room.** When the authorized user (or users)
is away from the computer, protect the restricted-use data by locking
the computer. For example, physically lock the computer with its
exterior key lock and/or shut down the computer and enable its power-on
password. When out of the room, lock the room to prevent an unauthorized
individual from gaining access to the computer.

**(g) Automatic \"Shutdown\" of Inactive Computer.** Computers can
automatically shutdown, logout, or lockup (e.g., password-protected
screen-savers) when a period of defined inactivity is detected. This
feature may be used in addition to locking the computer and/or room. The
defined period of inactivity shall be three to five minutes.

**(h) Do Not Backup Restricted-Use Data.** Licensees shall not make
routine or system backups (e.g., daily, weekly, incremental, partial,
full) of restricted-use data (one backup copy of the entire
restricted-use data file may be made). (Also see section 3.3.1.(d).)
Intermediate research subsets may be backed up, but such data shall be
kept as secure and at the same site as the original data.

**(i) Staff Changes.** Change passwords when staff changes are made.

**(j) Overwrite Data on Storage Media.** Deleting files from a storage
device does not ensure that the data cannot be later recovered and read
using alternate means. To help ensure that restricted-use data cannot be
read after being erased, drives and other storage devices must be
completely overwritten. Overwriting places new data in storage
locations, making the previous data unreadable. Overwriting is necessary
when a computer containing restricted-use data is no longer used for the
SRS license work (e.g., reallocated to other projects or the project
ends) or when the computer needs to be repaired (e.g., hard drive
crashes).

a.  **Chapter 4: On-Site Inspections**

The License authorizes representatives of SRS to make unannounced and
unscheduled inspections of the Licensee\'s facilities, including any
associated computer center, to evaluate compliance with the terms of the
License and security procedures.

**4.1. On-Site Inspection Procedures**

Under the provisions of the License, SRS may conduct **unannounced** and
**unscheduled** inspections of the license site to assess compliance
with the terms of the license.

The on-site inspection will include a tour of the Licensee\'s computer
facilities. Specifically, Data Security Officials will visit the
Licensee\'s facilities to evaluate compliance in the following two
areas, which are explained in detail in this section.

-   Operational Procedures

-   Security Procedures and Security Plan

Licensee shall cooperate with SRS representatives to facilitate such
compliance audits.

**4.1.1. Operational Procedures**

Data security officials will review the project operations with the
Principal Researcher, or the Senior Official, at the Licensee\'s
facility. This review will focus on the agreements set forth in the
actual License or SRS contract. This includes an inspection of the
current status of the project, as discussed below.

-   Record of License. Data Security Officials will review the
    Licensee\'s file for a copy of the License Agreement and its
    attachments along with copies of all of the Affidavits of
    Nondisclosure.

-   Affidavits of Nondisclosure. Data Security Officials will review the
    names and status of all project personnel. All project personnel
    must have an executed Affidavit of Nondisclosure, and the original
    Affidavits must be on file at SRS. This review is to confirm that
    SRS has the most current information on file for those individuals
    who have the authority to access the restricted-use data.

-   The Project Staff. Data security officials will investigate whether
    all members of the project staff have reviewed a copy of the License
    and a copy of the Security Procedures. This is to ensure that all
    members of the project team are aware of the procedures required for
    accessing restricted-use data.

**4.1.2. Security Procedures and Security Plan**

Data Security Officials will review with the Licensee:

-   all aspects of the Licensee\'s security procedures for the
    restricted-use data, as documented in the Licensing Agreement and
    Chapter 3 of this Guide,

-   the Licensee\'s submitted Security Plan, which is the on-site
    implementation document for the Security Procedures, and

-   the procedures for compliance as stated in the License Agreement and
    in this License Guide.

**4.2. Violations, Penalties, and Prosecution**

1.  **Violations**

-   Statement of Warning. If during the security review or otherwise,
    SRS finds the Licensee to be in noncompliance in a manner that has
    not yet resulted in unauthorized disclosure, SRS will send a
    Statement of Warning to the Senior Official within six weeks (30
    working days) with the finding (often they are provided at the
    conclusion of the inspection). More serious violations may result in
    License revocation or criminal prosecution. (See below.)

The Licensee has one month (20 working days) from receipt of a Statement
of Warning to provide SRS a letter detailing what procedures have been
implemented to restore compliance.

-   Revocation of License. As stated in the License Agreement (Section
    VI, Penalties), any violation of the terms and conditions contained
    in the License may subject the Licensee to immediate revocation of
    the License by the SRS Division Director. SRS will notify the
    Licensee, in writing, of the factual basis and grounds for
    revocation. Data are to be removed from Licensee computers
    immediately and returned to SRS within two business days of
    notification of revocation.

The Licensee has six weeks (30 working days) to submit a written
argument and evidence to SRS indicating why the License should be
reinstated. SRS shall provide written notice of a decision to the
Licensee within nine weeks (45 working days) after receipt of the
Licensee\'s written argument. The SRS Division Director may extend the
time period for good cause, at the Director's discretion. If reinstated,
the SRS Data Licensing Coordinator will work with the Licensee to return
the data.

2.  **List of Most Common Problems and Violations**

-   No three to five-minute shutdown when the computer is left on

-   Lack of warning statement when restricted-use data are brought up on
    the screen

-   Accessing restricted-use data from an off-site location

-   PR not maintaining control over the restricted-use data

-   PR neglecting to inform SRS of project personnel changes

-   Neglecting to return restricted-use data to the SRS Data Licensing
    Coordinator

-   Neglecting to destroy all subsets of the data at the end of the
    project (the SRS Data Licensing Coordinator must be informed that
    this has taken place)

-   Restricted-use data leaving the licensed site

-   Making a copy of the restricted-use data and allowing it to leave
    the licensed site

-   Removing the warning label with the expiration date from the
    restricted-use data

-   Not labeling any copies or sub-sets of the data with the warning
    label

-   Sending correspondence not signed by the PR

2.  **Prosecution and Penalties**

Alleged violations of the Privacy Act of 1974, CIPSEA, or NSF-specific
laws are subject to prosecution by the United States Attorney.

Penalties, fines and imprisonment, may be enforced for each occurrence
of a specific violation.

**APPENDIX A**

**DEFINITION OF TERMS**

**Definition of Terms**

The following are definitions of terms associated with the access to
restricted-use information and are used within this *Guide*.

**Access** - The term for the privilege accorded to a Licensee to see
and utilize the restricted-use data covered by an approved NSF/SRS
License for Restricted-Use Data.

**Affidavit of Nondisclosure** - A one-page form that is completed by
any person (Principal Researcher, Collaborating Researcher, or IT staff)
who may have access to individually identifiable information. This form
contains: (1) the name of the data file(s) to be accessed, (2) the
wording of an oath not to disclose such information to persons not
similarly sworn, (3) a description of the penalties for such disclosure,
and (4) the imprint of a notary public.

**Collaborating Researcher (CR) **-- A CR, under the supervision of a
Principal Researcher (PR), may conduct the research, or conduct any
analysis, for which the License is issued. Only seven (7) CR or IT staff
may have password access to restricted-use data unless SRS provides
written authorization for a larger number of CRs. Each CR must complete
an Affidavit of Nondisclosure.

**Disclosure** - The availability or release of restricted-use data to
anyone other than the individuals duly authorized in the License
Agreement and Affidavits of Nondisclosure. Such disclosure is unlawful.

**Individually Identifiable Information** - Any item, collection, or
grouping of information pertaining to an individual including, but not
limited to, the individual\'s education, financial transactions, or
employment history, and especially when containing the name, or an
identifying number, such as Social Security number.

**License** - This term applies to a method that is utilized by SRS to
authorize access to a data file, or a subset of a data file, containing
restricted-use data. As used in this Guide, "License" refers to the
License Agreement and its required 4 attachments (Data Requirements,
Research Plan, Security Plan and Affidavits of Nondisclosure.) The
\"License\" specifies the obligations imposed on the Licensee and the
procedures that must be followed in the maintenance of the
restricted-use data.

**License Agreement** -- This refers to the legal document signed by the
requesting institution and the SRS to allow the institution access to
the requested restricted-use data. It includes eight Sections. As used
in the Guide, the signed License Agreement along with the 4 required
attachments is collectively referred to as "the License."

**Licensee** -- The organization that applied for and was granted the
License.

**Maintain** - To collect, store, use or have available for
dissemination when used in connection with the term \"record\"; and to
have control over, or responsibility for, a system of records when used
in connection with the term \"System of Records.\"

**Personal/Individual Identifier** - An identifying element associated
with an individual, including the individual\'s name, or Social Security
number, which is assigned to or directly correlates with the individual.

**Principal Researcher (PR)** - The PR is the researcher in charge of
the day-to-day operations involving the use of the restricted-use data
and is responsible for the liaison with SRS. Graduate students are not
permitted to be a PR, but may work under the supervision of a PR as a
Collaborating Researcher. The PR must complete an Affidavit of
Nondisclosure.

**Public Use** - This describes any survey data that are disseminated
through SRS that are publicly available without restriction. Such survey
data have been coded or aggregated to remove any individually
identifiable information and thus do not require restrictions for
access.

**Restricted-Use** **Data **- This is a descriptor of any data set that
contains individually identifiable information (with or without
individual identifiers). Special procedures are taken to protect this
information, and it can be issued only to Licensees on loan.

**Routine Use** - The description in the Privacy Act of 1974 of the
permissible uses of individually identifiable information in a system of
records. Except for the use of data for statistical purposes, these
routine uses are not permitted for SRS data files.

**Senior Official (SO)** - The SO is the individual who has the
authority to bind the organization to the License. The SO is responsible
for signing the License, and with his/her signature certifies that: (1)
the organization has the authority to undertake the commitments in the
License, and (2) he/she has the authority to bind the organization to
the provisions of the License.

**Subject Data** - These are all data containing individually
identifiable information collected by, or on behalf of, SRS that are
provided to the Licensee and are protected under the terms presented in
the executed License. This includes all data/information derived from
these data. (see Restricted-Use Data.)

**System of Records** - Any group of records under the control of a
federal agency or its contractors, from which information is retrieved
by the name of the individual, or by some identifying number, symbol, or
other personal identifier. A notice in the Federal Register publishes
the maintenance of a System of Records. Single records or groups of
records, which are not retrieved by a personal identifier, are not part
of a system of records.

**System Security Officer** - The SSO is the person responsible for
maintaining the day-to-day security of the system on which the licensed
data reside. The SSO\'s assigned duties shall include the
implementation, maintenance, and periodic update of the security plan to
protect the data in strict compliance with statutory and regulatory
requirements.

I.  **APPENDIX B**

**NSF/SRS SCIENTISTS AND ENGINEERS SURVEY DATA NSF/SRS Scientists and
Engineers Survey Data **

The Division of Science Resources Statistics (SRS) of the National
Science Foundation (NSF) produces and disseminates a wide variety of
publications and data releases. Their content ranges from survey
documents that present little more than tabular data to sophisticated
studies that present more complex analysis of raw data. The analysis
documents tend to contain more textual information with occasional
tabular data or graphic presentations.

The SRS Web site (http://www.nsf.gov/statistics/) provides access to a
wide range of publications and data sets about scientific and
engineering education, workforce, facilities, and research & development
in the United States. Each survey description states the series of
reports in which data from that series are published.

**NSF/SRS Restricted-Use Data**

Data on scientists and engineers from the following sources are
currently available under license agreement:

-   [Survey of Earned Doctorates (SED)]{.underline} - the population for
    this survey consists of all individuals receiving a research
    doctorate from a U.S. academic institution. For additional
    information contact: Mark Fiegener at mfiegene@nsf.gov or 703
    292-4622.

-   [Survey of Doctorate Recipients (SDR)]{.underline} - the population
    for this survey consists of all individuals under the age of 76 who
    received a research doctorate in science or engineering from a U.S.
    institution and were residing the U.S. on the survey reference date.
    For additional information contact: Daniel Foley at dfoley@nsf.gov
    or 703 292-7811.

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-   [National Survey of Recent College Graduates (NSRCG)]{.underline} -
    the population for this survey consists of all individuals under the
    age of 76 who received a bachelor\'s or master\'s degree in science
    or engineering during the reference periods from a U.S. institution.
    This survey is designed in part to cover individuals excluded from
    the NSCG because they did not have a college degree at the time of
    the NSCG. For additional information contact: Kelly Kang at
    kkang@nsf.gov or 703 292-7796.

-   SESTAT Integrated Database (http://www.nsf.gov/statistics/sestat/) -
    contains about 100,000 records of persons with a science engineering
    degree and/or occupation, weighted to represent an estimated 13
    million persons in the U.S. educated or working as scientists or
    engineers during the survey reference weeks. Data from three surveys
    (Survey of Doctorate Recipients, National Survey of College
    Graduates, and the National Survey of Recent College Graduates) are
    integrated into this combined database to provide information about
    the employment, education and demographic characteristics of
    scientists and engineers in the United States. This public database
    contains variables that were created to protect the confidentiality
    of individuals. For additional information contact: Nirmala
    Kannankutty at nkannank@nsf.gov or 703 292-7797.

**NSF/SRS Public-Use Data**

SRS makes public-use survey data electronically available in three ways:

-   Integrated S&E Resources Data system (WebCASPAR)

-   Scientists and Engineers Statistical Data System (SESTAT)

-   Microdata files

**WebCASPAR** (http://webcaspar.nsf.gov/)

WebCASPAR is a database system containing information about academic
science and engineering resources and is available on the World Wide
Web. Included in the database is information from several of SRS\'s
academic surveys: the Survey of Graduate Students and Postdoctorates in
Science and Engineering, Survey of Earned Doctorates, and Survey of
Research and Development Expenditures at Universities and Colleges;
plus, information from a variety of other sources, including the
National Center for Education Statistics. The system is designed to
provide multi-year information about individual fields of science and
engineering at individual academic institutions. The system provides the
user with opportunities to select variables of interest and to specify
whether and how information should be aggregated. Information can be
output in hard copy form or in Lotus, Excel, or SAS formats for
additional manipulation by the researcher.

**Scientists and Engineers Statistics Data System (SESTAT)**
(http://www.nsf.gov/

statistics/sestat/)

SESTAT is a comprehensive and integrated system of information about the
employment, education, and demographic characteristics of scientists and
engineers in the United States and is intended for both policy analysis
and general research, having features for both the casual and more
intensive data user.

SESTAT contains data from three NSF-sponsored sample surveys: the Survey
of Doctorate Recipients, the National Survey of College Graduates, and
the National Survey of Recent College Graduates. The NSF surveys provide
compatible data, which have been merged into a single integrated data
system. For additional information about the SESTAT system and the data
it contains see *SESTAT: A Tool for Studying Scientists and Engineers in
the United States* (NSF 99-337), available through the Web at
[http://www.nsf.gov/]{#OLE_LINK2}statistics/nsf99337/start.htm.

**Microdata Files**

SRS also develops public-use files for some survey data. The individual
survey descriptions on the SRS web site (http://www.nsf.gov/statistics/)
indicate whether a public-use file is available for the survey and whom
to contact for more information.

**APPENDIX C**

**NSF/SRS LICENSE FOR RESTRICTED-USE DATA**

Note: This is a legal document and cannot be changed without prior
consultation with the

NSF's Office of General Counsel.**National Science Foundation Division
of Science Resources Statistics**

**Survey files requested:**

**LICENSE FOR RESTRICTED-USE DATA**

WHEREAS, the Science Resources Statistics Division (SRS) of the National
Science Foundation (NSF) has collected individually identifiable
information in the above named survey(s), the confidentiality of which
is protected by the Confidential Information Protection and Statistical
Efficiency Act of 2002 (CIPSEA), 44 U.S.C. 3501 et. sec.; section 14(i)
of the National Science Foundation Act of 1950, as amended, 42 U.S.C.
1873(i); and/or the Privacy Act of 1974 as amended, 5 U.S.C. 552a; and

WHEREAS, SRS wishes to make the data available for use by qualified and
capable researchers collaborating with SRS and/or other divisions of the
NSF exclusively for statistical purposes so long as the data are
appropriately used and protected in accordance with the terms and
conditions stated in this License and all prevailing laws and
regulations;

**IT IS HEREBY AGREED BETWEEN**

and

[,]{.underline}

Principal Researcher (the most senior researcher for this License
Agreement who has the authority to manage the day-to-day statistical
operations),

[,]{.underline}

Parent Institution of the Principal Researcher,

Hereinafter referred to as the "Licensees,"

and SRS that:

**I.** **[INFORMATION SUBJECT TO THIS AGREEMENT]{.underline}**

**A. **All data containing individually identifiable information
collected by or on the behalf of NSF that are provided by SRS to the
Licensees and all information derived from those data which contains
individually identifiable information or from which individual identity
could be deduced are subject to this License and are referred to in this
License as "Subject Data." (Data requirements provided under the terms
of this License are to be included as Attachment No. 1.)

**B. **Subject Data under this License may be in the form of computer
tapes, diskettes, CD-ROMS, hard copy, etc. The Principal Researcher may
only use the Subject Data in a manner and for a purpose consistent with:

**(1) **the exclusively statistical purpose for which the data were
supplied, which statement of purpose is set forth in a research plan and
attached as part of this License in Attachment No. 2;

**(2) **the limitations imposed under the provisions of this License;
and,

**(3) **the Federal laws referenced in the first paragraph of Page 1 and
related NSF regulations and procedures.

**II. [LIMITATIONS ON USE AND DISCLOSURE]{.underline}**

**A. **Principal Researcher shall not use Subject Data for other than
statistical purposes. Principal Researcher shall not use Subject Data in
any manner to change the status, condition, or public perception of any
individual with regard to whom Subject Data are maintained. Principal
Researcher shall not use or disclose Subject Data for any administrative
purpose.

**B. **Principal Researcher shall not merge or match Subject Data with
any data without advance written approval of SRS.

C. Principal Researcher shall not disclose Subject Data to anyone,
including other employees of the Principal Researcher's institution,
except the Collaborating Researcher (s) listed below:

  -- --
     
     
     
     
     
  -- --

The Principal Researcher shall not disclose Subject Data to the above
named Collaborating Researchers until they have completed an Affidavit
of Nondisclosure and such Affidavit is included in Attachment No. 4.

The Principal Researcher may not disclose or allow Collaborating
Researchers to disclose any information containing or derived from
Subject Data at levels of refinement that would enable the identities of
individuals whose information is contained in Subject Data to be
deduced. The Principal Researcher shall ensure that the Collaborating
Researchers shall have the same responsibilities and observe the same
requirements respecting the Subject Data that are set forth herein as to
the Principal Researcher and Licensees.

D. The Principal Researcher may disclose Subject Data to designated SRS
employees working in the course of their employment. Such designation
will be requested of and made by the Director of SRS.

E. Principal Researcher and Collaborating Researchers shall not make any
publication or other release that lists Subject Data information
regarding specific individuals even if individual identifiers have been
removed.

F. Principal Researcher may publish the results, analysis or other
information developed as a result of any research based on Subject Data
made available under this License, but only in summary or statistical
form such that the identity of individuals contained in the Subject Data
are not revealed, nor able to be deduced. Principal Researcher and
Collaborating Researchers must apply techniques for disclosure avoidance
and submit the research for SRS disclosure review as described in
Section III.A.below.

**III. [ADMINISTRATIVE REQUIREMENTS]{.underline}**

**A. **Publications made available to SRS.

**1. **Principal Researcher shall provide SRS a copy of all or
sufficient portions of each paper, report, or other data product
containing information based on Subject Data at least forty-five (45)
days prior to its submission for publication review, publication or
other dissemination to anyone not listed in this License.

**2. **In developing information for publication or other release of
research results, if any material could raise reasonable questions
regarding disclosure of individually identifiable information contained
in the Subject Data, Principal Researcher shall provide SRS a copy of
the material intended for use before any disclosure is made, so that SRS
may advise whether the disclosure is allowed or prohibited under this
License and the laws cited in the first paragraph of this License.
Principal Researcher shall not publish or otherwise release research
results provided to SRS, if SRS advises such disclosure is not
authorized.

**3. **Principal Researcher shall cite the sources used and include the
following statement in all publications or releases of research results
using NSF restricted (or unrestricted) data.

**"The use of NSF data does not imply NSF endorsement of the research,
research methods, or conclusions contained in this report."**

**4. **Principal Researcher shall send copies of published reports to
SRS.

**B. **Principal Researcher shall notify SRS immediately upon receipt of
any legal, investigative, or other demand for disclosure of Subject
Data.

**C. **Principal Researcher shall notify SRS immediately upon
discovering any breach or suspected breach of security or any disclosure
of Subject Data to unauthorized parties or agencies.

**D. **The Licensees shall indemnify and hold harmless SRS and their
contractors, their employees and agents against any and all claims for
damages, demands, and all other actions, including any penalties imposed
as well as payment of all expenses and costs arising from any such
penalty resulting from the disclosure by the Principal Researcher or
Collaborator of the Subject Data or statistical data derived from and/or
based upon Subject Data, or resulting from the failure of the Principal
Researcher or the Collaborator to comply with any of the terms or
conditions of this License.

**E. **The Licensees agree that representatives of NSF have the right to
make unannounced and unscheduled inspections of the Licensees'
facilities, including any associated computer center, to evaluate
compliance with the terms of this License and the requirements of 5
U.S.C. 552a.

**IV. [SECURITY REQUIREMENTS]{.underline}**

**A. **The Principal Researcher shall retain the original version of the
Subject Data at a single location and may make no copies or extracts of
the Subject Data available to anyone except as permitted by Part II,
Limitation on Use and Disclosure, of this License.

**B. **The Licensees shall maintain Subject Data including printed or
other material in a space that is limited to access by authorized
personnel.

**C. **The Licensees shall ensure that access to Subject Data maintained
in computer memory is controlled by password protection. The Licensees
shall maintain all print-outs, diskettes, personal computers with
subject data on hard disk, or other physical products containing
individually identifiable information derived from Subject Data in
locked cabinets, file drawers, or other secured locations when not in
use.

**D. **The Licensees shall ensure that all printouts, tabulations, and
reports are edited for any possible disclosures of Subject Data using
generally accepted methods.

**E. **The Licensees shall establish procedures to ensure that Subject
Data cannot be extracted from a computer mainframe, remote terminals or
separate PCs by unauthorized individuals.

**F. **The Licensees shall not permit removal of any Subject Data from
the limited access space protected under the provisions of this
Agreement as required in the attached SECURITY PLAN (Attachment No. 3),
without first notifying, and obtaining written approval from NSF.\

**V.** **[RETENTION OF SUBJECT DATA]{.underline}**

A. The Licensees shall return to NSF all Subject Data or destroy those
data under NSF supervision or by approved NSF procedures when the
research that is the subject of this agreement has been completed, or
when this License has expired, or been revoked, or terminated.

B. The Licensees shall comply with the SECURITY PLAN (Attachment No. 3)
attached to this Agreement.

**VI.** **[PENALTIES]{.underline}**[ ]{.underline}

A.  Any violation of the terms and conditions of this License may result
    in immediate revocation of the License by SRS.

B.  Any violation of this License may also be a violation of Federal
    criminal law under the Confidential Information Protection and
    Statistical Efficiency Act of 2002 (CIPSEA), 44 U.S.C. 3501, et
    sec., and section 14(i) of the National Science Foundation Act of
    1950, as amended, 42 U.S.C. 1873(i). Violation of the CIPSEA may
    result in a fine up to \$250,000, imprisonment for a period of up to
    five (5) years, or both; and for section 14(i) a fine up to
    \$10,000, imprisonment for a period of up to five (5) years, or
    both. A violation of this License may also violate the Privacy Act
    of 1974, 5 U.S.C. 552a, which carries potential criminal sanctions.

**VII.** **[TERM OF THE LICENSE]{.underline}**

**A. **This License is in effect until , unless amended, extended,
revoked, or terminated.

**B. **This License may be unilaterally revoked or terminated by the
Director of SRS at any time.

**C. **This License may be amended or extended by mutual written
agreement between the Licensees and the Director of SRS. Any amendment
must be signed by all parties to the original agreement or their
assignees and is effective on the date that all required parties have
signed the amendment.

**VIII.** **[PROCESSING OF THE LICENSE]{.underline}**

Name of Parent Institution:

**A. **The institutional signatory to this agreement must have the
authority to bind the parent institution to the terms of the License and
so signify by his/her signature below that the parent institution has
the authority to undertake the commitments set forth in this License.

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

Signature of the Senior Official

(Parent Institution of Principal Researcher)

Typed/Printed Name of the Senior Official

Title:

Date

Telephone

**B. **The Principal Researcher shall sign this License below to
indicate agreement to undertake the commitments set forth in this
License. The Principal Researcher is the most senior researcher for this
License Agreement who has the authority to manage the day-to-day
statistical operations. The Senior Official cannot also sign as the
Principal Researcher.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Principal Researcher

Typed/Print Name of Principal Researcher

Title:

Date

Telephone

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Confidentiality Liaison, Division of

Science Resources Statistics, National Science Foundation

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_]{.underline}

Typed/Printed Name of Confidentiality Liaison

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Director, Division of Science Resources

Statistics, National Science Foundation

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

Typed/Printed Name of Director

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

Date

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

Date

**C. The Director and the Confidentiality Liaison of the National
Science Foundation, Division of Science Resources Statistics, issue this
License. **

**REQUIRED** **LICENSE AGREEMENT ATTACHMENTS**

Attachment 1: Data Requirements (to be provided by the requestor)

Attachment 2: Research Plan (to be provided by the requestor)

Attachment 3: Security Plan (use form from Appendix D of the License
Guide)

Attachment 4: Affidavits of Nondisclosure (use form from Appendix E of
the License Guide)

**APPENDIX D**

**SECURITY PLAN FORM**

**(Attachment \# 3 to License Agreement)**

**SECURITY PLAN**

+----------------------------------+----------------------------------+
| **Name of                        |                                  |
| Institution/Organization:**      |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
| **Security Procedures for:**     | **Researcher:** New License      |
|                                  | License Amendment                |
|                                  |                                  |
|                                  | **Contractor:**                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
| **Restricted-Use Data Holder     |                                  |
| Information:**                   |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
| Name of Principal Researcher     |                                  |
| (PR):                            |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
| Mailing Address:                 |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
| Office Phone:                    |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
| Office Fax Number:               |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
| Email Address:                   |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+

**Person(s) having access to the Restricted-Use Data:**

+--------------------+--------------------+------------------+---+
| **Name**           | **Office           | **Office Phone** |   |
|                    | Location**         |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
| *Note: Access must |                    |                  |   |
| be limited ONLY to |                    |                  |   |
| those who have     |                    |                  |   |
| signed an          |                    |                  |   |
| Affidavit of       |                    |                  |   |
| Nondisclosure.*    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
| **Storage          | *Note: Whether     |                  |   |
| Information:**     | being used or not, |                  |   |
|                    | the restricted-use |                  |   |
|                    | data must be       |                  |   |
|                    | stored in this     |                  |   |
|                    | office.*           |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
| Exact Data         |                    |                  |   |
| Location:          |                    |                  |   |
|                    |                    |                  |   |
| Location of        |                    |                  |   |
| computer (include  |                    |                  |   |
| room number),      |                    |                  |   |
| where all work     |                    |                  |   |
| must be done:      |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
| Office Phone at    |                    |                  |   |
| this location:     |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+
|                    |                    |                  |   |
+--------------------+--------------------+------------------+---+

Page 1 of 4 PR Initials\_\_\_\_\_\_

**Computer Security Requirements**

+----------------------------------------------------------------------+
|                                                                      |
+----------------------------------------------------------------------+
|                                                                      |
+----------------------------------------------------------------------+
| -   Description of Computer System** ***(All work must be done on    |
|     this system.)*                                                   |
|                                                                      |
| *Note: The restricted-use data must be run on a stand-alone          |
| computer. Use of laptop computers is prohibited. All modes of        |
| communication with the computer (e.g. modem, cable, network,         |
| wireless) must be disconnected when the Restricted-Use Data are      |
| being used. The residual Restricted-Use Data must be purged from the |
| system immediately after each use and before reconnecting to a       |
| network. *                                                           |
+----------------------------------------------------------------------+
|                                                                      |
+----------------------------------------------------------------------+

Page 2 of 4

**The system security officer\* for the work site must initial below to
indicate that the following security measures are in place:**

-   Anti-Virus software installed on computer ** Initials:** \_\_\_\_

-   Limit room/area access by locking office when away from computer**
    Initials: \_\_\_\_**

-   Passwords: unique, 6-8 characters with one non-alphanumeric
    **Initials:** \_\_\_\_

-   Change password at least every 3 months **Initials:** \_\_\_\_

-   Read-only access to original data **Initials:** \_\_\_\_

-   Enable automatic \"password screensaver\" within 5 minutes of
    inactivity **Initials:** \_\_\_\_

-   No routine backups of restricted-use data **Initials:** \_\_\_\_

+----------------------------------------------------------------------+
| -   Remove data by overwriting at the end of the project             |
|     **Initials:** \_\_\_\_                                           |
|                                                                      |
| -   Notification (Warning Statement): During the login process the   |
|     following statement will appear on the screen before access is   |
|     granted. If it is not feasible to have the warning appear on the |
|     screen, it will be typed and attached to the monitor in a        |
|     prominent location. **Initials:** \_\_\_\_                       |
|                                                                      |
| W A R N I N G\                                                       |
| **Federal Restricted-Use Data**\                                     |
| **Unauthorized Access To Licensed Individually Identifiable          |
| Information Is A Violation Of Federal Law And Will Result In         |
| Prosecution.**                                                       |
|                                                                      |
| **DO YOU WISH TO CONTINUE? (Y)es or (N)o**                           |
+----------------------------------------------------------------------+
|                                                                      |
+----------------------------------------------------------------------+

\*** System Security Officer (SSO)** - The SSO is the person responsible
for maintaining the day-to-day security of the system on which the
licensed data reside. The SSO\'s assigned duties shall include the
implementation, maintenance, and periodic update of the security plan to
protect the data in strict compliance with statutory and regulatory
requirements.

Page 3 of 4 PR Initials\_\_\_\_\_\_

**Review and Approval**

I have reviewed the requirements of the license security procedures and
the contents of this security plan, which describes the protection
measures for the requested restricted-use data files. I have also
instructed the collaborating researchers on the requirements of the
security plan.

I hereby certify that this system meets all requirements of the license
security procedures and that the in-place security safeguards adequately
protect the restricted-use data.

  ------------------------------------------- ------
  Principal Researcher Signature              Date
                                              
                                              
                                              
  Principal Researcher (type/print) Name      
                                              
                                              
                                              
  System Security Officer Signature           Date
                                              
                                              
                                              
  System Security Officer (type/print) Name   
                                              
  ------------------------------------------- ------

Page 4 of 4

**APPENDIX E**

**NSF/SRS AFFIDAVIT OF NONDISCLOSURE FORM**

**(Attachment #4 to the License Agreement)**

** NSF/SRS AFFIDAVIT OF NONDISCLOSURE**

I, , do solemnly swear (or affirm) that I have read and understand the
content of the NSF/SRS LICENSE FOR RESTRICTED-USE DATA are protected
under the Confidential Information Protection and Statistical Efficiency
Act of 2002, 44 U.S.C. 3501 et. sec.; section 14(i) of the National
Science Foundation Act of 1950, as amended, 42 U.S.C. 1873(i); and/or
the Privacy Act of 1974 as amended, 5 U.S.C. 552a and when given access
to the restricted use data (hereinafter referred to as the subject file)
from the Survey of Doctorate Recipients, the Survey of Earned
Doctorates, the National Survey of Recent College Graduates and/or the
SESTAT Integrated Database:

· I will not use the data in the subject file for any purpose other than
statistical reporting and analysis. Information from the file will be
released only in statistical summaries that do not disclose information
about any individual.

· I will not release the subject file or any part of it to any other
person or organization.

· I will not use the subject file to attempt to learn the identity of,
or to gain information concerning, any person included in the data set;
and

If the identity of any individual in the file should be discovered
inadvertently, then a) I will make no use of this knowledge, (b) I will
advise the Director, SRS, of the incident, (c) the information about the
individual will be safeguarded, and (d) no one else will be told of the
information discovered.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Collaborating Researcher

Typed/Printed Name of Collaborating Researcher

Date signed by Collaborating Researcher

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Principal Researcher

Typed/Printed Name of Principal Researcher

Date signed by Principal Researcher

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Notary Public/Seal/Date

VIOLATION OF THIS AGREEMENT IS PUNISHABLE UNDER THE PRIVACY ACT OF 1974
AND OTHER LAWS NAMED ABOVE, AND MAY RESULT IN THE RESEARCHER AND THE
RESEARCHER'S INSTITUTION BEING INELIGIBLE FOR FEDERAL GRANTS.

I.  **APPENDIX F**

II. **AMENDMENT FORMS TO**

III. **NSF/SRS LICENSE FOR RESTRICTED-USE DATA**

IV. **AMENDMENT TO ADD ADDITIONAL RESTRICTED-USE DATA**

    1.  **AMENDMENT TO ADD COLLABORATING RESEARCHER**

```{=html}
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```
I.  **AMENDMENT TO EXTEND LICENSE TIME PERIODNSF/SRS LICENSE FOR
    RESTRICTED-USE DATA**

II. **AMENDMENT TO ADD ADDITIONAL RESTRICTED-USE DATA**

This is an amendment to the agreement between the National Science
Foundation (NSF), Division of Science Resources Statistics (SRS),

the **Principal Researcher**, , and

, the **Parent Institution** of the Principal

Researcher granting access to the following additional restricted use
data file:

(additional data file name)

The Principal Researcher is still authorized to continue using the files
already obtained under the original license and any previous amendments
to add additional restricted data.

All stated security requirements are still in compliance as stated in
the previous License Agreement signed and dated, .

The Collaborating Researcher(s) confirm that they have read and
understand the terms of the original license and that they will abide by
such terms for the full term of the original license which shall be in
effect until .

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Principal Researcher Date

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Collaborating Researcher Date

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Senior Official from Date

Parent Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Director, NSF/SRS Date

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Chief Statistician, NSF/SRS Date

I.  **NSF/SRS LICENSE FOR RESTRICTED-USE DATA**

    1.  **AMENDMENT TO ADD COLLABORATING RESEARCHER **

This is an amendment to add a Collaborating Researcher to the License
agreement between the National Science Foundation (NSF), Division of
Science Resources Statistics (SRS),

, and

**Principal Researcher**

.

**Parent Institution of the Principal Researcher**

Approval is granted for

(**Collaborating Researcher)**

**[Date]{#Text16}**

under the direction of the Principal Researcher, to be added to the
above-mentioned License agreement for access to the restricted use data
file specified in the License agreement. All security requirements as
stated in the previous License Agreement signed,

remain in effect.

The Collaborating Researcher confirms that he/she has read and
understood the terms of the original License and will abide by such
terms for the full term of the original and any subsequent extensions.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Principal Researcher Date

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Collaborating Researcher Date

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Senior Official from Parent Date

Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Director, NSF/SRS Date

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Chief Statistician, NSF/SRS Date

**NSF/SRS LICENSE FOR RESTRICTED-USE DATA**

**AMENDMENT TO EXTEND LICENSE TIME PERIOD**

**IT IS HEREBY AGREED BETWEEN**

, and

Principal Researcher

,

Parent Institution of Principal Researcher

Hereinafter referred to as the "Licensees,"

and the National Science Foundation, Division of Science Resources
Statistics (SRS) that the License between them for the Licensees' use of
the data (file name)

specified in the License originally expiring on , is extended until
unless amended, extended, or revoked.

Name of Senior Official/Parent Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Senior Official Date

Title of Senior Official

All of the provisions of the original License, except for the
termination date, will remain in effect during the extension and the
institution shall advise the Principal Researcher and the Collaborating
Researchers of the extension and continuing terms of their nondisclosure
agreements.

Name of Principal Researcher

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Signature of Principal Researcher Date

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Signature, Director, NSF/SRS Date

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Signature, NSF/SRS Chief Statistician** **Date

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