Data Contract Condition Language for:
Los Angeles Family and Neighborhood Study

sorted by Category and Condition

August 23, 2014, 9:22 am

Data Use

Cannot merge new files w/o amendment

B. 7. No attempt will be made to link Restricted Data with any other dataset, except as specified in an approved Research Plan.

Data used for statistical purposes

B. 5. Restricted Data will be used only to generate statistical summary information that does not permit the identification of any individual person, family, household, employer, institution or organization or any geographic area below the Service Planning Area including ZIP code, city, tract, block group, or block. In no case should locations of individual respondents or of blocks or tracts be disclosed directly or indirectly by identifying street names or any type of geographic reference point or feature. In no case should users produce maps showing the location of respondents or sampled blocks or tracts.

No re-identification

6. No attempt will be made to use the Restricted Data to identify any individual person, family, household, employer, institution or organization. . .

No redistribution of data

B. 3. Access to Restricted Data will be limited solely to the Investigator who is signatory to this agreement, with the exception that Investigator may allow use of Restricted Data by their co-investigators and research staff, provided these persons sign a "Supplemental Agreement With Research Staff" in the form attached as Exhibit C and work under the supervision of the Investigator.

Stick to original research plan

B. 1. In consideration of RAND providing the Investigator access to the Restricted Data, the Receiving Parties agree as follows:

1. Restricted Data will be used solely for scientific and public policy statistical research as described in the Research Plan submitted to and approved by RAND and attached to this agreement as Exhibit A.

Inspections & Penalties

Penalty

E.3. The Receiving Institution has formal written policies and procedures for resolving questions of scientific integrity and misconduct, including sanctions against persons who violate those policies; and a copy of those procedures have been provided to RAND and is attached to this agreement as Exhibit H;

F. 1-3. If RAND determines that this Agreement has been breached, RAND may, at its option:

1. Prohibit any of the Receiving Parties, including any research staff who may have received Restricted Data by virtue of a Supplemental Agreement With Research Staff, from obtaining further access to any Restricted Data;

2. Report the breach(es) to the Receiving Institution's office responsible for scientific integrity and misconduct, and demand that sanctions be imposed on the person(s) responsible for the violations;

3. Utilize such other remedies as may be available to it under law, including seeking injunctive relief to prevent unauthorized disclosure of Restricted Data by the Receiving Parties.

Inspections & Penalties

Site Inspections can/will occur

E.6. The Receiving Institution agrees to allow RAND or its designated agent to conduct unannounced and unscheduled inspections of the restricted data site(s) to assess compliance with the terms of this Agreement.

Publication

Cite/acknowledge data

C.6. Each written report, conference presentation, publication, and document based on analysis of the restricted data should include the following statement:
This research uses data from the Los Angeles Family and Neighborhood Survey (L.A.FANS). Data collection for L.A.FANS was funded primarily by grants HD35944 and HD49865 from the Eunice Kennedy Shriver National Institute of Child Health and Human Development, grant AG22005 from the National Institute on Aging, and grant ES13907 from the National Institute of Environmental Health Science. Information on how to obtain the L.A.FANS data files is available on the L.A.FANS website (http://lasurvey.rand.org).

C.7. Each written report, conference presentation, publication, and document based on analysis of the restricted data should include the following citation:
Pebley, Anne R., and Narayan Sastry. 2011. The Los Angeles Family and Neighborhood Survey, Wave 1 (2000-2001) and Wave 2 (2006-2008) [machine-readable data file and documentation]. Santa Monica, CA: RAND Corporation.

Disclosure Requirements

5. Restricted Data will be used only to generate statistical summary information that does not permit the identification of any individual person, family, household, employer, institution or organization or any geographic area below the Service Planning Area including ZIP code, city, tract, block group, or block. In no case should locations of individual respondents or of blocks or tracts be disclosed directly or indirectly by identifying street names or any type of geographic reference point or feature. In no case should users produce maps showing the location of respondents or sampled blocks or tracts.

For LAFANS Restricted Data Versions 1, 2, 2.5, & 3: The Data Protection Plan must carefully describe how researchers and staff members will avoid inadvertent disclosure of respondents' geographic locations or identity in all working papers, publications, and presentations.

At minimum, researchers must agree to exclude from any type of publication or presentation, the following information:

Listing of individual cases;
Description of individual cases;
Listing, description, or identification of a tract or tracts by number, by name, or by descriptive information;
Maps with any features (such as landmarks, road networks, original tract shape or physical features) that allow tracts to be identified; and
Summary statistics or tabulations by geographic level below SPA (Service Planning Area).

Legal Details

FOIA or other legal data request

B.4. Under no circumstances will the Investigator use or disclose the Restricted Data for any purpose not stated in the Research Plan, including but not limited to any administrative or law enforcement purpose pursuant to a Certificate of Confidentiality, which is attached to this agreement as Exhibit D.

G.1. In the event that one of the Receiving Parties is served with a subpoena or other legal process that seeks disclosure of the Restricted Data, they shall promptly give written notice to RAND to enable RAND to seek a protective order. The Receiving Parties will fully cooperate with any attempt by RAND to seek such a protective order, including but not limited to withholding from production any data before RAND has had an opportunity to obtain such an order or to seek review of the denial of such an order or the issuance of an order that RAND deems insufficiently protective.

Inadvertent Discovery

B.6. No attempt will be made to use the Restricted Data to identify any individual person, family, household, employer, institution or organization. If an individual person, family, household, employer, institution or organization is inadvertently identified, or a technique for doing so is discovered, the Investigator who made the identification or discovery will promptly report the identification or discovery to RAND and to the Investigator's institutional IRB, but not reveal it to any other person.

Extras Administration

Administrative fee for data

Access to the LAFANS Restricted Data Version 1 data requires a contract and a processing fee of $150.
Access to the LAFANS Restricted Data versions 2, 2.5, & 3 data requires a contract and a processing fee of $650.

Annual/progress report required

C.5. The Investigator will submit to RAND an annual report every year for the duration of this contract. The annual report must include a copy of the Research Plan and the Restricted Data Protection Plan that have been reviewed and approved by the Receiving Institution's Institutional Review Board / Human Subjects Review Committee. The annual report must also include an updated list of all project team members and a list and electronic copies of all publications and documents using the restricted data including slides or posters from presentations, working papers, dissertations, theses, manuscripts, reports, book chapters, and published or forthcoming journal articles prepared since the beginning of the project or since the previous submission of these materials.

Center Director to supervise project

D.1-4. The representations by the Center Director in this Section D are required only if the Investigator is applying for Version 3 of the Restricted Data and the Investigator does not currently have a federally-funded research grant or contract and is applying under the auspices of a federally-funded research center.
The Center Director represents and warrants that:
D.1. The Center Director is currently the Principal Investigator of a federally-funded grant or contract which provides institutional support to the research center, and information on the center's federally-funded grant(s) and contracts(s) has been supplied to RAND.

D.2. The Center Director has reviewed the Research Plan (Exhibit A), the Data Protection Plan (Exhibit B), and this Restricted Data Use Agreement.

D.3. The Investigator is known to the Center Director and is affiliated with the research center that the Center Director directs.

D.4. The Center Director agrees to assume responsibility for insuring compliance with this Restricted Data Use Agreement by the Investigator and all other persons with access to the restricted data.

Certificate of Confidentiality

G.1. RAND has obtained a Certificate of Confidentiality for data gathered in L.A. FANS and has provided a copy to Receiving Institution. In the event that one of the Receiving Parties is served with a subpoena or other legal process that seeks disclosure of the Restricted Data, they shall promptly give written notice to RAND to enable RAND to seek a protective order. To the extent Rand has a valid Certificate of Confidentiality, the Receiving Parties will fully cooperate with any attempt by RAND to seek such a protective order, including but not limited to withholding from production any data before RAND has had an opportunity to obtain such an order to seek review of the denial of such an order or the issuance of an order that RAND deems insufficiently protective.

Hostage project required

C.3 FOR VERSION 3 RESTRICTED DATA ONLY: The Investigator either: (a) has a current federally-funded research grant or contract or (b) agrees to use the data under the auspices of a federally-funded research center and to abide by restrictions that the Center Director may impose to comply with the provisions of this agreement. Information about the Investigator's current federally-funded research grant or contract or the about the Center Director's federally-funded grant or contract which provides institutional support to the research center, including the title, principal investigator, grant award or contract number, funding agency, and program or contract officer name, title, and contact information, has been provided to RAND and is attached to this agreement as Exhibit E.

Investigator requirements

To apply for Versions 1, 2 and 2.5 of the L.A.FANS Restricted Data, researchers must have permanent faculty appointments or faculty-equivalent research appointments at their institution. "Permanent" is defined as full-time employment throughout the course of the proposed project. Researchers must also be employed by an organization with a current Federal Wide Assurance (FWA) Certificate.

To apply for Version 3 of the L.A.FANS Restricted Data, researchers must be the Principal Investigator (PI) of a federally-funded research project, or a researcher working in a federally-funded research center (including, but not limited to, an NIH-funded Population Research Center or Center for the Demography of Aging). The PI must also have a permanent faculty appointment (or faculty-equivalent research appointments) at an organization with a current Federal Wide Assurance (FWA) Certificate.

IRB required

E.1. The Receiving Institution has an Institutional Review Board/Human Subjects Protection Committee with a current Federalwide Assurance (FWA) Certificate, and proof of such certification and the Institution's FWA number has been provided to RAND and is attached to this agreement as Exhibit F;

E.2. The Research Plan and Restricted Data Protection Plan approved by RAND (and the portions of the Research Plan approved by RAND that deal with respondent anonymity and data security, if any) have been reviewed and approved by the Receiving Institution's Institutional Review Board/Human Subjects Review Committee in accordance with the U.S. Federal Regulations under NIH policy (5/05/00 NIH Guide for Grants and Contracts), using the standards and procedures for live human subjects, and that certification of such approval has been provided to RAND and is attached to this agreement as Exhibit G;

Removal of Personnel on contract

C.4 The Investigator will submit to RAND the names of Research Staff or co-investigators who no longer have access to the Restricted Data within one month of this change in status.

Return/destroy media

B.8. The Investigator will ensure that all originals and copies of Restricted Data, on whatever media, will be either returned to RAND, or destroyed, within 36 months of the date of the original Restricted Data is shipped to the Investigator (or such other date as is specified in the approved Research Plan), or within 5 days of a written demand from RAND; and the Investigator will certify to RAND that this return/destruction has occurred.

Signer has authority to bind university

E.5. The undersigned representative of the Receiving Institution is a person authorized to enter into contractual agreements on behalf of the Receiving Institution.