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
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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.