Loading...
University of Iowa Data Transfer and Use AgreementCity of Dubuque City Council Meeting Consent Items # 7. Copyrighted May 3, 2021 ITEM TITLE: University of Iowa Data Transfer and Use Agreement SUMMARY: City Manager recommending approval for the Bee Branch and Healthy Homes Program to enter into a Data Transfer and Use Agreement with the University of Iowa. RESOLUTION Approving a Data Transfer and Use Agreement with the University of Iowa for the National Disaster Resiliency Grant Review requested by the US Department of Housing and Urban Development SUGGESTED Suggested Disposition: Receive and File; Adopt Resolution(s) DISPOSITION: ATTACHMENTS: Description Type University of Iowa Data Transfer and Use Agreement- City Manager Memo MVM Memo Staff Memo Resolution Approving Agreement Agreement Staff Memo Resolutions Supporting Documentation THE CITY OF DUB E-E Masterpiece on the Mississippi TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: University of Iowa Data Transfer and Use Agreement DATE: April 27, 2021 Dubuque All -America Cily I i 2007.2012.2013 2017*2019 Housing and Community Development Director Alexis Steger recommends City Council approval for the Bee Branch and Healthy Homes Program to enter into a Data Transfer and Use Agreement with the University of Iowa. The agreement being presented allows the University of Iowa to access the data and information from the Bee Branch Healthy Homes Program. All personally identifying information will be protected as required by federal law. The University of Iowa research team will use a combination of descriptive statistics and qualitative comparative analysis. The work will also compare how the characteristics of the populations most vulnerable to floods in Dubuque compare to those nationwide. The findings from the vulnerability and cost effectiveness analysis will be provided to Dubuque in a white paper or research brief. I concur with the recommendation and respectfully request Mayor and City Council approval. Mic ael C. Van Milligen MCVM:jh Attachment cc: Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Alexis M. Steger, Housing and Community Development Director Dubuque THE CITY OF DUB E AII•Amedu eily v Masterpiece on the Mississippi � pp z°°�.Z°lZ=z° 13 2017*2019 TO: Michael C. Van Milligen, City Manager FROM: Alexis M. Steger, Housing and Community Development Director DATE: April 23, 2021 RE: University of Iowa Data Transfer and Use Agreement INTRODUCTION The purpose of this memo is to request City Council approve the Bee Branch and Healthy Homes Program to enter into a Data Transfer and Use Agreement with the University of Iowa. BACKGROUND The City of Dubuque was awarded National Disaster Recovery Competition funding to complete infrastructure improvements needed to prevent flooding in the Bee Branch Creek Watershed. This funding allowed the City of Dubuque to also improve homes that had experienced continuous damage from flooding. The goal of the grant funds was to make homes more resilient, and to do so the occupants would need to be resilient as well; therefore, a Home Advocate was assigned to each home to identify and assist with unmet needs such as health issues, social environment needs, access to childcare/employment/education and navigating systems. DISCUSSION The US Department of Housing and Urban Development awarded the University of Iowa grant funds to study the effectiveness of NDRC funding. The project addresses the Iowa Watershed Project and the new project Cost Effectiveness of CBDG-DR: Flood Mitigation and Vulnerable Populations. Both projects are fundec by the Community Development Block Grant Program of the U.S. Department of Housing and Urban Development. The IWA aims to implement flood mitigation strategies, while the effectiveness study seeks to analyze the cost effectiveness and social equity of these flood mitigation strategies and provide guidance to HUD and future grantees. This component of the cost effectiveness study is based on two research questions regarding the social vulnerabilities of residents in the Healthy Homes Program: 1. Who are the most socially vulnerable and what are their unmet social needs? 2. To what extent has dual focus on physical and social infrastructure addressed unmet social needs? To analyze the data, the University of Iowa research team will use a combination of descriptive statistics and qualitative comparative analysis (QCA). The work will also compare how the characteristics of the populations most vulnerable to floods in Dubuque compare to those nationwide. The findings from the vulnerability and cost effectiveness analysis will be provided to Dubuque in a white paper or research brief. The agreement being presented allows the University of Iowa to access the data and information from the Bee Branch Healthy Homes Program. All personally identifying information will be protected as required by federal law. RECOMMENDATION I respectfully request City Council approve the University of Iowa Data Transfer and Use Agreement. cc: Crenna Brumwell, City Attorney 2 Prepared by Alexis Steger, Housing & Community Devel., 350 W. 6t" St., Suite 312, (563) 690-6072 Return to Adrienne N. Breitfelder, City Clerk, 50 W. 13tt' St., Dubuque, IA 52001, (563) 589-4100 RESOLUTION NO. 136-21 APPROVING A DATA TRANSFER AND USE AGREEMENT WITH THE UNIVERSITY OF IOWA FOR THE NATIONAL DISASTER RESILIENCY GRANT REVIEW REQUESTED BY THE US DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT WHEREAS, the City of Dubuque Competition grant funds to improve the flood them; and, was award National Disaster Resiliency resiliency of homes and persons residing in WHEREAS, the U.S. Department of Housing and Urban Development (HUD) commissioned a grant opportunity to study the effectiveness of National Disaster Resiliency Grantees ability to meet outcomes stated; and, WHEREAS, the University of Iowa was awarded the grant opportunity by HUD and requires the use of the City's Bee Branch Healthy Homes data to meet HUDs stated goals of the grant. NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA, AS FOLLOWS: Section 1. The City Council approves the Data Transfer and Use Agreement with the University of Iowa. Section 2. The City Council authorizes the City Manager or the City Manager's designee to manage the agreement and act in accordance with the terms of the agreement. Passed, approved and adopted this 3rd day of May, 2021. Roy D. B I, Mayor Attest: a,�l /�, A&ML Adrienne Breitfelder, City Oerk February 2019 FDP Data Transfer and Use Agreement Agreement ID: 264-20210503 FDP Data Transfer and Use Agreement ("Agreement") Provider: City of Dubuque, Iowa Recipient: The University of Iowa Provider Scientist Recipient Scientist Name: Alexis Steger Email: Asteger@cityofdubuque.org Name: Eric Tate Email: eric-tate@uiowa.edu Agreement Term Project Title: Cost Effectiveness of CBDG-DR: Start Date: Date of last signature below Flood Mitigation and Vulnerable End Date: Three (3) Years after the Start Date Attachment 2 Type: Other - See Attachment 2 Terms and Conditions 1) Provider shall provide the data set described in Attachment 1 (the "Data") to Recipient for the research purpose set forth in Attachment 1 (the "Project"). Provider shall retain ownership of any rights it may have in the Data, and Recipient does not obtain any rights in the Data other than as set forth herein. 2) If applicable, reimbursement of any costs associated with the preparation, compilation, and transfer of the Data to the Recipient will be addressed in Attachment 1. 3) Recipient shall not use the Data except as authorized under this Agreement. The Data will be used solely to conduct the Project and solely by Recipient Scientist and Recipient's faculty, employees, fellows, students, and agents ("Recipient Personnel") and Collaborator Personnel (as defined in Attachment 3) that have a need to use, or provide a service in respect of, the Data in connection with the Project and whose obligations of use are consistent with the terms of this Agreement (collectively, "Authorized Persons"). 4) Except as authorized under this Agreement or otherwise required by law, Recipient agrees to retain control over the Data and shall not disclose, release, sell, rent, lease, loan, or otherwise grant access to the Data to any third party, except Authorized Persons, without the prior written consent of Provider. Recipient agrees to establish appropriate administrative, technical, and physical safeguards to prevent unauthorized use of or access to the Data and comply with any other special requirements relating to safeguarding of the Data as may be set forth in Attachment 2. 5) Recipient agrees to use the Data in compliance with all applicable laws, rules, and regulations, as well as all professional standards applicable to such research. 6) Recipient is encouraged to make publicly available the results of the Project. Before Recipient submits a paper or abstract for publication or otherwise intends to publicly disclose information about the results of the Project, the Provider will have thirty (30) days from receipt to review proposed manuscripts and ten (10) days from receipt to review proposed abstracts to ensure that the Data is appropriately protected. Provider may request in writing that the proposed publication or other disclosure be delayed for up to thirty (30) additional days as necessary to protect proprietary information. February 2019 FDP Data Transfer and Use Agreement Agreement ID: 264-20210503 7) Recipient agrees to recognize the contribution of the Provider as the source of the Data in all written, visual, or oral public disclosures concerning Recipient's research using the Data, as appropriate in accordance with scholarly standards and any specific format that has been indicated in Attachment 1. 8) Unless terminated earlier in accordance with this section or extended via a modification in accordance with Section 13, this Agreement shall expire as of the End Date set forth above. Either party may terminate this Agreement with thirty (30) days written notice to the other party's Authorized Official as set forth below. Upon expiration or early termination of this Agreement, Recipient shall follow the disposition instructions provided in Attachment 1, provided, however, that Recipient may retain one (1) copy of the Data to the extent necessary to comply with the records retention requirements under any law, and for the purposes of research integrity and verification. 9) Except as provided below or prohibited by law, any Data delivered pursuant to this Agreement is understood to be provided "AS IS." PROVIDER MAKES NO REPRESENTATIONS AND EXTENDS NO WARRANTIES OF ANY KIND, EITHER EXPRESSED OR IMPLIED. THERE ARE NO EXPRESS OR IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, OR THAT THE USE OF THE DATA WILL NOT INFRINGE ANY PATENT, COPYRIGHT, TRADEMARK, OR OTHER PROPRIETARY RIGHTS. Notwithstanding, Provider, to the best of its knowledge and belief, has the right and authority to provide the Data to Recipient for use in the Project. 10) Except to the extent prohibited by law, the Recipient assumes all liability for damages which may arise from its use, storage, disclosure, or disposal of the Data. The Provider will not be liable to the Recipient for any loss, claim, or demand made by the Recipient, or made against the Recipient by any other party, due to or arising from the use of the Data by the Recipient, except to the extent permitted by law when caused by the gross negligence or willful misconduct of the Provider. No indemnification for any loss, claim, damage, or liability is intended or provided by either party under this Agreement. 11) Neither party shall use the other party's name, trademarks, or other logos in any publicity, advertising, or news release without the prior written approval of an authorized representative of that party. The parties agree that each party may disclose factual information regarding the existence and purpose of the relationship that is the subject of this Agreement for other purposes without written permission from the other party provided that any such statement shall accurately and appropriately describe the relationship of the parties and shall not in any manner imply endorsement by the other party whose name is being used. 12) Unless otherwise specified, this Agreement and the below listed Attachments embody the entire understanding between Provider and Recipient regarding the transfer of the Data to Recipient for the Project: I. Attachment 1: Project Specific Information II. Attachment 2: Data -specific Terms and Conditions III. Attachment 3: Identification of Permitted Collaborators (if any) 13) No modification or waiver of this Agreement shall be valid unless in writing and executed by duly - authorized representatives of both parties. February 2019 FDP Data Transfer and Use Agreement Agreement ID: 264-20210503 14) The undersigned Authorized Officials of Provider and Recipient expressly represent and affirm that the contents of any statements made herein are truthful and accurate and that they are duly authorized to sign this Agreement on behalf of their institution. By an Authorize ' Official of Provider: - I I'j d , L� - Name: Roy D Vuol Title: Mayor Contact Information for Formal Notices: Name: Alexis M. Steger Address: 350 W 6th Street Suite 312 Dubuque, IA 52001 Email: asteger@cityofdubuque.org Phone: 563-690-6072 By an Authorized Official of Recipient: 05/03/2021 Date Date Name: Title: Contact Information for Formal Notices: Name: Address: Email: Phone: February 2019 FDP Data Transfer and Use Agreement Agreement ID: 264-20210503 1. Description of Data: Attachment 1 Data Transfer and Use Agreement Project Specific Information The City of Dubuque's Healthy Homes Program is financing structural floodproofing for 300 homes in a low-income part of town that has experienced repeated flash floods. The program seeks to improve both physical and social infrastructure. Common physical renovations include foundation modifications, and mold/mildew remediation, gutter repairs, and alteration of property drainage. Social workers interview a resident from each household to understand unmet social needs (e.g., health, economic, educational, social) and address them via existing community services. The City of Dubuque will be the main source of input data, which will include tenant applicant forms, house inspection forms from repair contractors, household surveys from home advocates, house locations, itemized program expenditures, and other data identified by the City as relevant to physical and social characteristics of the repaired homes and their occupants. From these sources, the UI research team will extract input analysis parameters including household demographic variables, initial unmet social needs of program participants, end success rates of addressing unmet needs, and program economic costs. As some input data are sourced from human subjects, the research team will acquire approval from the University of Iowa Institutional Review Board (IRB) prior to data collection. We request that any human -subjects data be de -identified to conceal the names of the residents. Among other things, IRB protocols describe the data to be used, procedures for protecting privacy of human subjects, and methods of data storage, sharing, and security. 2. Description of Project: The project addresses the Iowa Watershed Project and the new project Cost Effectiveness of CBDG-DR: Flood Mitigation and Vulnerable Populations. Both projects are funded by the Community Development Block Grant Program of the U.S. Department of Housing and Urban Development. The IWA aims to implement flood mitigation strategies, while the effectiveness study seeks to analyze the cost effectiveness and social equity of these flood mitigation strategies and provide guidance to HUD and future grantees. This component of the cost effectiveness study is based on two research questions regarding the social vulnerabilities of residents in the Healthy Homes Program: 1. Who are the most socially vulnerable and what are their unmet social needs? 2. To what extent has dual focus on physical and social infrastructure addressed unmet social needs? To analyze the data, the UI research team will use a combination of descriptive statistics and qualitative comparative analysis (QCA). QCA is a comparative case -oriented research methodology that employs Boolean logic to identify parsimonious causal pathways between conjoint conditions and outcomes. In simpler terms, what are the simplest combinations of population and housing characteristics associated with the greatest change in addressing unmet social needs? We will explore the use demographic variables (social vulnerability) and inspection reports (physical vulnerability) as conditions, and the change in addressing unmet social and health needs as outcomes. QCA has been applied in more than 750 studies since its introduction in 1987. We will implement the QCA methodology using scripts and packages in the RStudio environment. The work will also compare how the characteristics of the populations most vulnerable to floods in Dubuque compare to those nationwide. The findings from the vulnerability and cost effectiveness analysis will be provided to Dubuque in a white paper or research brief. There are no plans to link the Dubuque data with other data sets. 3. Provider Support and Data Transmission: Provider shall transmit the Data to Recipient: (select one)z electronically orF—]by mail to: Name: Eric Tate Address: 316 Jessup Hall Iowa City, IA 52242 Email: eric-tate@uiowa.edu Phone: (319) 335-0259 February 2019 FDP Data Transfer and Use Agreement Agreement ID: 264-20210503 Upon execution of this Agreement, Provider shall send any specific instructions necessary to complete the transfer of the Data to the contact person listed above, if not already included below in this section of Attachment 1. For transfer of the data, the UI research team requests that Dubuque provide a list of transmitted datasets and a data dictionary to define the field names in any spreadsheets or databases. We also request the City to establish a point of contact in the case of subsequent questions regarding data outputs, data collection methods, data entry errors, or file corruption. 4. Reimbursement of Costs: �✓ None ❑ As governed by a separate written agreement between the parties Reimbursement Agreement Reference # (if required): ❑ As set forth herein: 5. Disposition Requirements upon the termination or expiration of the Agreement: The HUD cost effectiveness study is scheduled to be completed in October 2022, with the potential for a one year no -cost extension. At the conclusion of the project, the Dubuque data will be archived on password protected computers in continuing compliance with any IRB requirements. May 2017 FDP Data Transfer and Use Agreement Agreement ID: 264-20210503 Attachment 2 Data Transfer and Use Agreement Data -specific Terms and Conditions: Other: Additional Terms and Conditions: �✓ None. No additional terms and conditions are required. ❑ The additional terms and conditions are as set forth below and agreed upon between the Parties: 1643 0 R February 2019 FDP Data Transfer and Use Agreement Agreement ID: 264-20210503 Attachment 3 Data Transfer and Use Agreement Identification of Permitted Collaborators (if any) For all purposes of this Agreement, the definition of "Collaborator Personnel" checked below will pertain: ❑ "Collaborator Personnel" means: None. No collaborators are permitted on the Project. R( "Collaborator Personnel" means as set forth below and agreed upon between the Parties: "Collaborator Personnel" means: faculty, employees, fellows, or students of an academic and research institutions working on the IWA and/or Cost Effectiveness study, whose institutions (i) have agreed to collaborate in the Project, (ii) has faculty, employees, fellows, or students who have a need to use or provide a service in respect of the Data in connection with its collaboration in the Project, and (iii) has been made aware of the terms of this Agreement and agreed to comply, and to cause its personnel to comply, with such terms. Any collaborator personnel will be required to follow protocols from the IRB determination and have current CITI training certification (https://about.citiprogram.org/en/series/human-subjects-research-hsr/) for the use of social -behavioral data from human subjects.