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February 2019
Data Transfer and Use Agreement
Agreement ID: DUA00001405
Data Transfer and Use Agreement (“Agreement”)
Provider: Maricopa County
Recipient: Arizona Board of Regents for and on
behalf of Arizona State University (“ASU”)
Provider Scientist:
Name: Chris Schopen
Email: chris.schopen@mcao.maricopa.gov
Recipient Scientist:
Name: Stacia Stolzenberg
Email: Stacia.Stolzenberg@asu.edu
Agreement Term: Start
Date: April 1, 2024
End Date: Five (5) Years after the Start Date
Project Title:
Maricopa County Attorney’s Office (“MCAO”)
Wellness
Attachment 2 Type: Personally Identifiable
Information – Common rule Only
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.
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.
February 2019
Data Transfer and Use Agreement
Agreement ID: DUA00001405
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)
February 2019
Data Transfer and Use Agreement
Agreement ID: DUA00001405
13) No modification or waiver of this Agreement shall be valid unless in writing and executed by duly
authorized representatives of both parties.
14) The parties will comply with all applicable state and federal laws, rules, regulations, and executive orders
governing equal employment opportunity, immigration, and nondiscrimination, including the Americans
with Disabilities Act. If applicable, the parties will abide by the requirements of 41 CFR §§ 60-1.4(a), 60
300.5(a) and 60 741.5(a). These regulations prohibit discrimination against qualified individuals
based on their status as protected veterans or individuals with disabilities and prohibit
discrimination against all individuals based on their race, color, religion, sex, or national origin.
Moreover, these regulations require that covered prime contractors and subcontractors take
affirmative action to employ and advance in employment individuals without regard to race, color,
religion, sex, national origin, protected veteran status or disability.
15) Notice is given that, pursuant to Arizona Revised Statute (A.R.S.) § 38-511, the parties may cancel
this Agreement without penalty or further obligation within three (3) years after execution of the
Agreement, if any person significantly involved in initiating, negotiating, securing, drafting, or creating
the Agreement on behalf of a party is at any time, while the Agreement is in effect, an employee or
agent of any other party to the Agreement in any capacity or consultant to any other party of the
Agreement with respect to the subject matter of the Agreement.
16) 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.
February 2019
Data Transfer and Use Agreement
Agreement ID: DUA00001405
By an Authorized Official of Provider:
By an Authorized Official of Recipient:
Name: __________________ Date: ___________
Name: ____________________________________
Title: Maricopa County Attorney
Authorizing Official:
Name: ___________________ Date: _________
Title: Chairman, Maricopa County Board of
Supervisors
Approved as to form:
________________________ Date: _________
Legal Counsel
Attest:
________________________ Date: _________
Clerk of the Board
Contact Information for Formal Notices:
Name: MCAO Finance; Attn.: Catherine Martin
Address: 225 W. Madison St., Phoenix, AZ 85003
Email: mcaofin@mcao.maricopa.gov
Phone: 602-506-3411
Title: _____________________________________
Contact Information for Formal Notices: Name:
ASU/ORSPA; Attn.: Kristy Macdonald
Address: P.O. Box 876011
Tempe, AZ 85276-6011
Email: asu.awards@asu.edu
Phone: 480-965-9077
February 2019
Data Transfer and Use Agreement
Agreement ID: DUA00001405
1. Description of Data:
-An assessment of the current training materials and tasks conducted by the newly appointed MCAO
Wellness Trainer; this may include examining training materials, and meeting with/interviewing the
Wellness Trainer
-Collection of survey data sent to MCAO employees about their experiences with wellness as it
relates to their job (eg. Measures of secondary trauma, burnout, job satisfaction, well-being).
-Conducting select focus groups in tandem with the MCAO Wellness Trainer (e.g., asking employees
to self-select in to participate in focus groups to discuss what their experiences are like with job place
stress and what might ameliorate some of their stress).
-Examining select employment records, deidentified by MCAO, to examine what retention efforts look
like in recent history and over the next few years; this will likely include looking at how many
employees are fired or leave MCAO willingly on a monthly basis from 2020-2028.
2. Description of Project:
The purpose of the current project is for Dr. Stolzenberg (and her graduate research assistants) to
assist the Maricopa County Attorney’s Office (MCAO) with the assessment, evaluation, and building
of their new wellness program. In doing so, Dr. Stolzenberg will work closely with the MCAO
Wellness Trainer to assess core components of the new program and evaluate the effectiveness of
these components. Dr. Stolzenberg and MCAO will work together to conduct focus groups with
employees and distribute surveys to employees to assess areas of stress for employees that might
contribute to negative outcomes such as secondary trauma and burnout. In addition, Dr. Stolzenberg
and MCAO will examine anonymized employment records over time to determine whether there is a
correlation between the new wellness program and overall MCAO retention of employees. Finally,
Dr. Stolzenberg and MCAO will work to define and describe the core components of the wellness
program to help provide such information to other offices around the country as a potential model to
emulate. Throughout the above work, Dr. Stolzenberg and MCAO will publish relevant findings (as
approved by both entities) in academic journals as well as professional outlets (e.g., attorney practice
guides, conferences for judges and attorneys, etc.).
3. Provider Support and Data Transmission:
Provider shall transmit the Data to Recipient: (select one)
electronically or
by mail to:
Name:
Stacia Stolzenberg
Address: 411 N Central Ave., Suite 600
Phoenix, AZ 85004
Email:
Stacia.Stolzenberg@asu.edu
Phone:
714-418-8177
Attachment 1
Data Transfer and Use Agreement
Project Specific Information
February 2019
Data Transfer and Use Agreement
Agreement ID: DUA00001405
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.
Recipient Scientist will work closely with Provider Scientist (Schopen) at MCAO to ensure
that the data is shared from MCAO to ASU. Schopen will share her training materials
(PDFs, PowerPoint slides, etc.). The ASU research team will conduct Zoom or in-person
interviews with Schopen at the start of the project to ensure the perimeters are clear for
data collection. Together, they will then design and distribute surveys to employees.
Schopen will then share the anonymized data in Excel format. For the focus groups,
Schopen will coordinate the participant sign-ups. The ASU research team will assist
Schopen in developing focus group frameworks (e.g., questions, length, recording
mechanisms). ASU and MCAO will then work together to conduct the focus groups. For
retention and employment data, Schopen will share the data in an anonymized format for
the ASU research team, via an emailed Excel file and/or a Dropbox file.
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:
Upon expiration of the project, ASU will maintain only anonymized summary statistics
analyses on password protected servers that only the research team can access. Given some
standards for publishing, analyzed datasets may need to be shared publicly on forums (such
as ICPSR or OSF). However, these will only be datasets that include anonymized summary
data, and nothing identifiable. Any data with identifiable information will be permanently
deleted at the conclusion of the project period.
Notwithstanding the foregoing, the receiving Party may retain an archival copy of confidential
information for use in the event of a dispute, which use shall be solely in connection with
defense and resolution of the dispute, and the receiving Party shall not be required to destroy
or delete copies that have become embedded in its electronic storage systems through
routine backup processes.
February 2019
FOP Data Transfer and Use Agreement
Agreement ID: DUA00001405
Attachment 2
Data Transfer and Use Agreement
Data-specific Terms and Conditions:
Personally Identifiable Information - Common Rule Only
Additional Terms and Conditions:
1. The Data is Personally Identifiable Information, as that is defined in 0MB Memorandum M-07-16, and not
covered under HIPAA, FERPA, or similar laws or regulations governing personal information that require
the addition of special terms beyond those included in this Attachment 2.
□ If checked, the Data is subject to the Federal Privacy Act of 1974, as amended, at 5 U.S.C. § 552a.
□ If checked, the Data is covered under a Certificate of Confidentiality, which must be asserted
against compulsory legal demands, such as court orders and subpoenas for identifying information or
characteristics of a research participant. See https://grants.nih.gov/grants/guide/notice-files/NOT-OD-
17-109.html for further information.
2. Notwithstanding any statement herein to the contrary, Provider represents that it has full authority to share
the Data with the Recipient and has confirmed that the Project is consistent with such consents as
Provider may have obtained from individuals who are the subjects of the Data.
3. Unless otherwise required by law or legal process, Recipient shall not use or further disclose the Data
other than as permitted by this Agreement. If Recipient believes it is required by law or legal process to
use or disclose the Data, it will promptly notify Provider, to the extent allowed by law, prior to such use or
disclosure and will disclose the least possible amount of Data necessary to fulfill its legal obligations.
4. In the event Recipient becomes aware of any use or disclosure of the Data not provided for by this
Agreement, Recipient shall take any appropriate steps to minimize the impact of such unauthorized use or
disclosure as soon as practicable and shall notify Provider of such use or disclosure as soon as possible,
but no later than 5 business days after discovery of the unauthorized use or disclosure. Recipient shall
cooperate with Provider to investigate, correct, and/or mitigate such unauthorized use or disclosure.
Recipient acknowledges that Provider may have an obligation to make further notifications under
applicable state law and shall cooperate with the Provider to the extent necessary to enable Provider to
meet all such obligations.
5. Recipient will not use the Data, either alone or in concert with any other information, to make any effort to
contact individuals who are the subjects of the Data without appropriate Institutional Review Board (IRB)
approval, specific written approval from Provider, and informed consent from the individual, if required.
6. Recipient agrees to store Data with security controls adequate to protect Personally Identifiable
Information, to ensure that only Authorized Persons have access to the Data, and to maintain appropriate
control over the Data at all times.
7. Recipient agrees to remove and securely destroy or return, as directed by the Provider in Attachment 1,
the part or parts of the Data that identifies the individual who is the subject of the Data at the earliest time
at which removal and destruction or return can be accomplished, consistent with the purpose of the
Project.
By signing this Agreement, Recipient provides assurance that its relevant institutional policies and
applicable federal, state, or local laws and regulations (if any) have been followed, including the
completion of any IRB review or approval that may be required prior to Recipient's use of the Data. Upon
Provider's written request to the Recipient's Contact for Formal Notices identified in the signature block,
Recipient shall provide documentation of its IRB-Approved Protocol.
February 2019
Data Transfer and Use Agreement
Agreement ID: DUA00001405
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.
-OR-
“Collaborator Personnel” means as set forth below and agreed upon between the Parties:
Attachment 3
Data Transfer and Use Agreement
Identification of Permitted Collaborators (if any)