Service Agreement SURE Project Workspace Applicant Information Project Name Research Organisation ABN Number Contract number of SURE Head Agreement: This is an agreement to acquire a SURE Project Workspace Service from the Sax Institute. In order to execute this Service Agreement the Research Organisation listed above must have first executed a SURE Head Agreement. If no Head Agreement is currently in place, one must be executed in conjunction with this Service Agreement. By executing this Service Agreement the Research Organisation agrees to be bound by the Project information (Part A) and Investigator information (part B) supplied by the Research Organisation in the Application Form below, the terms of the Institute s SURE Service Agreement below, and the terms of the SURE Head Agreement between the Research Organisation and the Institute in respect of the SURE Service for the Project Workspace. Executed as an agreement on: Executed on behalf of the Sax Institute Executed on behalf of the Research Organisation Name Date Name Date (print name and position) who warrants they have the authority to bind the Research Organisation. Requirements: in order to use a remote desktop the local computing environment must meet the following requirements: Citrix Receiver must be installed A digital certificate file generated by the Institute must be installed in the Internet browser of the local computing environment Other software (including a compatible browser) meeting minimum version requirements as published by the Institute from time to time. 1
SURE Project Workspace Application Form Part A: Project information Full project title Simplified project title Authorised delegate and School/Faculty if applicable) Estimated duration of SURE Project Workspace access Term (in years &/or months) From : To: Data retention period following closure of Project Workspace Data Declarations Tick relevant box if any data from the providers will be stored in the project workspace Sax Institute Curation Functions (see below) NSW Ministry of Health Cancer Institute NSW Australian Institute of Health and Welfare Standard: Inbound Review Optional: Fallback Outbound Clearance Attachments Ethics application form/s Data custodian approval/s Agreed list of approved variables 2
Sax Institute Curation Functions Curation Overview Curation involves the review of files being imported to (called inbound ), or exported from (called outbound ), a Workspace. Each Project Workspace on SURE has two gateways through which each file must pass called the Internal and External Gateways. The Internal and External Gateways have an interface to each other. In addition, the Internal Gateway has an interface to the Project Workspace on the SURE, while the External Gateway has an interface to the external world, such as the computer at which the relevant researcher is sitting. Example To transfer a file from a CD to a Project Workspace, a researcher would upload the file to the External Gateway. There the file would undergo automatic checks in accordance with the Sax Institute s uploading policies and, if it successfully passes those checks, progresses to the Internal Gateway for Inbound Review. If it passes that review it will be made accessible for download by members of the project workspace, possibly subject to other curation checks being carried out, for example, by the Research Organisation in accordance with its own curation procedures for the relevant project or by a data custodian. A similar process applies in reverse for the export of files from a Project Workspace. Curation of files entering or passing between these gateways can be conducted by different people, including the Sax Institute, the Research Organisation (eg by the Authorized Delegate or lead researcher) and a data custodian. The functions available to be performed by the Sax Institute are set out below: Curation Functions of the Sax Institute The Sax Institute will provide the curation functions checked above. The functions offered by the Sax Institute are: Inbound Review: the Sax Institute and the Research Organisation will agree a list of approved variables and attach it to this Application Form. Where: (a) a file is uploaded to SURE s external gateway for importation into a Workspace; (b) the person uploading the file declares that the file contains unit record data; and (c) the file passes automated checks and progresses to the Internal Gateway, then the Sax Institute will confirm that the name of each variable in the unit record data (ie column names) appears on the agreed list of approved variables. If all variables in the file appear on the agreed list, the Sax Institute will accept the file and the file is permitted to be downloaded from the Internal Gateway. The Sax Institute is not required to review any file unless the file is declared to contain unit record data. Fallback Outbound Clearance: where a researcher tells the Sax Institute that the Authorized Delegate for the Project Workspace (or such other person who performs the Research Organisation s curation tasks) is absent and the researcher requires a file or files to be exported on an urgent basis, the Sax Institute will permit the export of each file to pass through the Curated Gateway if the Sax Institute believes that the file does not contain unit record data. The Sax Institute may review the file when forming this belief. If this option is ticked the Sax Institute may perform Fallback Outbound Clearance. 3
Part B: Investigator information Researcher virtual computing environment establishment Investigator 1 * * * * * * on research study * For authorised delegate details, type as above. Investigator 2 4
on research study Investigator 3. on research study 5
Investigator 4 on research study Investigator 5 on research study 6
Investigator 6 on research study 7
Investigator 7 on research study Investigator 8 8
on research study Investigator 9 on research study 9
Investigator 10 on research study 10
Service Agreement SURE Project Workspace 1. Interpretation 1.1 In this Agreement, unless the context requires otherwise: (a) Application Form means the SURE Project Workspace Application Form submitted above by the Research Organisation with this Agreement to establish this Project Workspace as varied by modifications, additions and deletions under clause 4; (b) Authorized Delegate for the Project Workspace means the person nominated by the Research Organisation in the Application Form subject to variations in accordance with clause 3.3; (c) Commencement Date means the date this Agreement is signed by both parties; (d) Credential means a physical or electronic token or information that is used to establish authority to access a Researcher Virtual Desktop. Credentials typically consist of a username and password and a second factor of authentication, such as a YubiKey ; (e) Data Provider Agreement has the meaning given to it in clause 5.3; (f) Payment Terms means the terms in clause 9; (g) Project Workspace means the virtual workspace on the SURE Service operated by the Institute which is the subject of this Service Agreement; (h) Term means the term set out in the Application Form or, if no term is set out there, 12 months; (i) Researcher, in relation to the Project Workspace means a person in respect of whom the Research Organisation has applied for a Researcher Virtual Desktop under the Project Workspace (j) Researcher Deed means a deed in the form of Schedule 2; (k) Researcher Virtual Desktop means a virtual desktop within the Project Workspace; (l) Retention Period for the Project Workspace means the period set out as the Retention Period in the Application Form, and, if no period is set out there, means 5 years; (m) Service Start Date means the date the Research Organisation is granted access to the Project Workspace; (n) Software for a Researcher Virtual Desktop means those software products which are either: listed on the SURE Website as included on that category of desktop; or identified in the Application Form as being included on the desktop for the relevant researcher. 1.2 This Agreement means this Service Agreement for the SURE Service provided by the Institute and the SURE Head Agreement and all other documents incorporated by reference into either of them. Unless the context requires otherwise, terms defined in the SURE Head Agreement have the meaning given to them there. 2. Establishing an Account, Project Workspaces 2.1 By executing a Head Agreement, the Research Organisation establishes an account with the Institute. Once an account has been established, the Research Organisation can establish Project Workspaces under that account by submitting a completed Application Form. The provision of each Project Workspace requires a separate Service Agreement. For each Project Workspace the Research Organisation may request the Institute to establish Researcher Virtual Desktops and issue Credentials relating to those Researcher Virtual Desktops. The Research Organisation must nominate an Authorized Delegate for the Project Workspace in the relevant Application Form. 3. Authorized Delegate 3.1 The Authorized Delegate for the Project Workspace is an agent for the Research Organisation. Without limitation, the Institute may act on instructions in respect of the Project Workspace given by the Authorized Delegate as if those instructions were given directly by the Research Organisation. The Research Organisation agrees to be bound by any such instructions issued to the Institute by the Authorized Delegate. 3.2 Where the Institute gives information or material in relation to the Project Workspace to the Authorized Delegate, that information or material is treated as having been given to the Research Organisation. 3.3 The Research Organisation may change the Authorized Delegate for the Project Workspace by giving written notice to the Institute. The Research Organisation must ensure that the Project Workspace has an Authorized Delegate under this Agreement at all times while this Agreement remains current. 4. Researcher Virtual Desktops 4.1 The Research Organisation may request the Institute to modify, add or delete Researcher Virtual Desktops for the Project Workspace. The Institute may require that the Research Organisation complete forms, comply with an application procedure for modifications, additions or deletions relating to the Project Workspace or pay Fees in 11
relation to them. The Institute is not required to act on such requests except where such forms or procedures are complied with and all Fees paid by the Research Organisation. 4.2 Subject to this clause 4.2, the Research Organisation may provide Credentials issued to it under clause 2.1 to a Researcher, thus enabling that person to access a Researcher Virtual Desktop. The Research Organisation must not, for any person: establish, or request the addition of, a Researcher Virtual Desktop; or seek access rights or provide access to any Researcher Virtual Desktop unless each of the following is true of that person: (a) they are a Researcher for the relevant project identified in the Application Form for the Project Workspace or in a change request for the Project Workspace accepted by the Institute; (b) they have signed a Researcher Deed with the Institute relating to access to the Researcher Virtual Desktop, that Researcher Deed is still current and that person is not in breach of that Researcher Deed (minor or inconsequential breaches excepted); and (c) that person has successfully completed all training requirements specified by the Institute as necessary for access, including any refresher or update courses specified by the Institute. 4.3 The Institute may restrict or prevent access to any Researcher Virtual Desktop or the Project Workspace for operational purposes from time to time. Such purposes include system upgrades, scheduled maintenance, including maintenance of the underlying infrastructure, and responding to security and other compliance issues. 4.4 The Institute provides support for users between 9am 5pm (Eastern Time), Monday to Friday. This support involves the Institute making reasonable efforts to resolve issues raised by users subject to the availability of the Institute s help desk staff. The Institute has no liability for any failure to provide support or for a failure of that support to reach any particular standard. 5. Curated Gateway and Data Providers 5.1 The Institute may agree with the Research Organisation to perform certain checks on data loaded into, or being taken off the Project Workspace. Such checks must be agreed in writing and may be set out in the Application Form. 5.2 Where such checks are agreed, the Institute will use its reasonable endeavours to perform such checks. Where data sought to be loaded into or downloaded from the Project Workspace fails an agreed check, the Institute will notify the Research Organisation. 5.3 Third party data providers may, as a condition of providing access to their data or a part of it, request or require the Research Organisation to execute a deed or agreement (Data Provider Agreement) which: (a) gives that data provider or a nominated third party rights of access or review in relation to the Project Workspace; and/or (b) gives that data provider or nominated third party other rights in relation to the Project Workspace. 5.4 Where the Research Organisation executes a Data Provider Agreement, the Institute is released from its obligations to the Research Organisation in relation to the Project Workspace to the extent that the Data Provider Agreement permits another person to perform the relevant function. For example, where the Research Organisation consents to a data provider having curation functions in relation to a workspace, the Institute has no obligation to perform any checking of data under clause 5.1 or clause 5.2. 5.5 If the Research Organisation has indicated on the Application Form for the Project Workspace or has otherwise notified the Institute that data from a specific data provider may be stored in the workspace the Institute may: (a) suspend access to the Project Workspace at any time if it receives a notice requesting such suspension from the relevant data provider and, if it receives such a suspension request, the Institute may disclose to the relevant data provider: (i) the name and contact details of the Authorized Delegate for the Workspace; (ii) the name of each file in the Workspace. (b) suspend access to the Project Workspace by any person as requested by that data provider. 6. Disciplinary Proceedings 6.1 The Institute may establish policies for notifying the Institute, or the Research Organisation, of inappropriate conduct in relation to a Researcher Virtual Desktop including conduct inconsistent with the Australian Code for the Responsible Conduct of Research. The Research Organisation must comply, and must require the Researchers to comply, with such policies and the Institute may act in accordance with those policies. 7. Third Party Software 7.1 In order to access the SURE Facility, a potential user must meet the system requirements published from time to time by the Institute. Initial requirements may be set out in the Application Form. These requirements may include: the installation of third party software or specific configuration requirements for software; and those requirements listed 12
on the Application Form for the Project Workspace or for a Researcher Virtual Desktop addition. It is the Research Organisation s responsibility to ensure that these third party dependencies are properly: met, installed; configured; and licensed each as appropriate. The Institute has no liability to the Research Organisation or any other person for any inability to access or use any part of the SURE Service as a result of failing to have such requirements met, operational and properly: installed; licensed; and configured. 7.2 Except where expressly stated to the contrary, the Software is subject to licence terms provided by third parties. All use of such software is subject to those licence terms. The Institute does not guarantee that all Software will remain available within a Researcher Virtual Desktop for the entire duration of the Project Workspace or that the pricing in relation to the Software will be set for any period of time. The availability and pricing of each of the applications comprising the Software is dependent on their continued availability from the third party suppliers of that software and on the pricing imposed by such suppliers. The Institute may choose to charge separately for any Software at any time. 8. End Of Project Workspace 8.1 The Project Workspace will have an expiry date when it is established. The Institute may establish policies for the closure of Project Workspaces. Such policies will take into account the expiry date for each project, and may provide for extending the expiry date, and giving notice to the Research Organisation of the impending closure of the Project Workspace. 8.2 Where: (a) the Research Organisation notifies the Institute in writing, requesting the closure of the Project Workspace; or (b) the Institute closes the Project Workspace in accordance with a policy referred to in clause 8.1, the Project Workspace is closed for the purposes of this Agreement, with that closure occurring at the time the Institute closes the Project Workspace in compliance with the Research Organisation s request or the policy as applicable. 8.3 After the closure of the Project Workspace, the Institute will prepare an archive of the data (but not any software) from each Researcher Virtual Desktop associated with the Project Workspace. That archive will be in a format determined by the Institute in its discretion. The Institute will retain each such archive for the Retention Period following the closure of the Project Workspace. The Institute may engage third party service providers to have custody of such archives. 8.4 The Institute may provide access to data archived under clause 8.3 on a basis to be agreed. The Institute may charge the Research Organisation for such access under this clause 8.4. 8.5 The Institute may destroy or delete any archive: (a) after the expiry of the Retention Period; or (b) if all of the following are true: (i) the Research Organisation has failed to pay any Fees under this Agreement by the due date for payment; (ii) the Institute has provided a notice to the Research Organisation in writing identifying the Fees outstanding and identifying this clause 8.5; and (iii) there are any Fees still outstanding 14 days after the expiry of that notice. 8.6 Except as expressly set out in clause 8.5 or in any policy by which the Institute is bound, the Institute is not required to give notice to the Research Organisation prior to such destruction or deletion. 8.7 The Research Organisation must ensure that the Institute has all rights necessary to enable the Institute to comply with clauses 8.3, 8.4 and 8.5, including a copyright licence sufficient to permit the Institute to copy the material included in the archive. The Research Organisation must indemnify the Institute against: all loss resulting from a breach of this clause 8.7; and all loss resulting from a third party claim that the performance by the Institute of an obligation under clause 8.3, 8.4 or 8.5 resulted in an infringement of any third party right. This clause 8.7 survives the expiry or termination of this Agreement. 9. Payment Terms 9.1 The Fees for the Project Workspace are set out in the Fee Schedule published from time to time by the Institute and include fees which relate to the project as a whole (Project Fees) and fees which relate to individuals participating in a project (User Fees). Unless stated otherwise, all Fees are annual fees. The Institute may invoice the Research Organisation in advance for: (a) Project Fees which must be paid by the Service Start Date and annually by the anniversary of the Service Start Date (the renewal date); (b) User Fees for each person accessing the Project Workspace, which must be paid before that person first accesses the Project Workspace and annually by the anniversary of that date. 13
9.2 Where a Prepaid Amount has been paid by the Research Organisation under the Head Agreement, the Research Organisation may allocate all or part of that amount towards payment of the Fees in accordance with the Fee Schedule. 9.3 Project Fees cover a standard install and the establishment of a project with standard facilities and standard customisation options. Additional customisation is chargeable at the Institute s time and materials rates. 9.4 User Fees are payable for all Researchers listed on the Application Form or added to the Project Workspace, including Researchers not employed by the Research Organisation and even where the person is not employed by or otherwise affiliated with the Research Organisation. Where the User Fees for a person have been paid by another organisation, they do not need to be paid again in relation to the same period of time. 9.5 Where the renewal date for the Project Fees for a project are substantially inconsistent with the actual project timetable due to extenuating circumstances outside the control of the Research Organisation or relevant researcher(s), the Institute may, in its discretion, but is not required to, extend or vary the renewal date for the Project Fees. 9.6 A User Fee must be paid for each person accessing SURE. Where the User Fee has been paid in relation to a person, that person will be allocated an account of the kind corresponding to the user type paid for. An account may be upgraded at any time by: paying the difference in User Fees between the current and desired account types pro-rataed until the next renewal; and submitting an application form, subject to acceptance by the Institute. An account may be downgraded at the next renewal date for the User by providing written notice at least 30 days prior to that date. 9.7 Further guidelines for using SURE may be provided to research organisations and individual users as part of the project registration process. 10. Term and Termination 10.1 This Agreement commences on the Commencement Date and continues for a period of time equal to the Term starting from the Service Start Date. 10.2 The Research Organisation may, not less than 30 days prior to the end of the Term, request that this Service Agreement be extended for a period of 12 months. The extension will become effective upon receiving written confirmation from the Institute. Any number of extensions under this clause 10.2 may occur and each extension term will be subject to annual fees according to the Fee Schedule current at the time of the extension. 14
Schedule 2 SURE Virtual Desktop Researcher Deed 15