ContractorsComplianceAgreement.pdf

Contractor’s Compliance Agreement

Rev. 3/11

Massachusetts

Department of

Revenue

________________________________________ (the “Contractor”) hereby acknowledges that, in connection with its performance under a Contract (the “Contract”) with the Massachusetts Department of Revenue (“DOR”), the Contractor and its Employees may acquire or have access to confidential information from DOR, including, without limitation, state and federal tax information, health insurance coverage infor-mation, wage reporting information, financial institution match information, 14-day new hire information and child support information, as well as “personal data” as defined in G.L. c. 66A and “personal information” as defined in G.L. c. 93H (collectively, the “DOR Information”). The term “Employees,” for the purpose of this Agreement, shall include all full and part-time employees, volunteers, trainees, interns, members, directors, officers, principals, partners, or agents.

In performance of this Contract, the Contractor agrees to comply with and assume responsibility for compliance by its Employees with the following requirements.

1. All work will be performed under the supervision of the Contractor or the Contractor’s authorized Employees (defined as an Employee that has a legitimate business reason to access the DOR Information under the Contract).

2. All DOR Information made available in any format shall be used only for the purpose of carrying out the provisions of the Contract. This DOR Information will be treated as confidential and will not be divulged or made known in any manner to any person except as may be necessary in the performance of the Contract. The Contractor shall protect the confidentiality of the DOR Information in accordance with DOR requirements. In this regard, the Contractor agrees to take commercially reasonable steps to ensure the confidentiality of the DOR Information. “Browsing” (defined as an unauthorized willful inspection) by or disclosure to anyone other than an authorized DOR or Con-tractor Employee is prohibited.

3. The Contractor shall abide by all applicable statutes and regulations that prohibit the unauthorized use, disclosure or browsing (defined as having no legitimate business reason to use, disclose or browse) of the DOR Information. Employees and other persons under the Con-tractor’s control or on its premises who may have access to the DOR Information shall be required by the Contractor to agree that they will also abide by such statutes and regulations. In this regard, the Contractor agrees to take commercially reasonable steps to prohibit Em-ployees or other persons under the Contractor’s control or on its premises who may have access to the DOR Information from unlawfully using, disclosing or browsing the DOR Information.

4. All DOR Information will be accounted for upon receipt and properly stored before, during, and after processing. In addition, all related output and product will be given the same level of protections as required for the source material.

5. All computer systems processing, storing, or transmitting the DOR Information must meet the requirements defined in IRS Publication 1075 (available at www.irs.gov). To meet functional and assurance requirements, the security features of the environment must provide for the managerial, operational, and technical controls. All security features must be available and activated to protect against unauthorized use of and access to the DOR Information.

6. At the end of the Contract, or upon early termination of the Contract, the Contractor certifies that the DOR Information processed during the performance of this Contract will be completely purged from all data storage components of its computer facility, and no output will be retained by the Contractor at the time the work is completed. If immediate purging of all storage components is not possible, the Contractor certifies that any DOR Information remaining in any storage component will be safeguarded to prevent unauthorized disclosures.

7. The Contractor will use commercially reasonable efforts to return to DOR any spoilage or any intermediate hard copy printout that may result during the processing of the DOR Information. When this is not possible, the Contractor will be responsible for the destruction of the spoilage or any intermediate hard copy printouts, and will provide DOR with a statement containing the date of destruction, description of material destroyed, and the method used.

8. No work involving the DOR Information furnished under the Contract will be subcontracted without prior written approval of DOR and, if applicable, the IRS. The Contractor will be responsible for its subcontractor’s compliance with applicable statutes, regulations, and DOR requirements.

9. The Contractor will maintain an up-to-date list of Employees authorized to access the DOR Information. Such list will be provided to DOR and, if applicable, to the IRS upon request

10. The Contractor agrees that during the term of the Contract it will comply with the notification requirements of G.L. c. 93H (Security Breaches) and the regulations promulgated thereunder, Executive Order 504, 201 CMR 17.00 and any subsequent related regulations.

11. DOR, and if applicable, the IRS, shall have the right to send its officers and employees into the offices and plants of the Contractor for inspection of the facilities and operations provided for the performance of any work under this Contract. On the basis of such inspection, specific measures may be required in cases where the Contractor is found to be noncompliant with Contract safeguards.

12. The Contractor also agrees to any additional terms and conditions relating to the confidentiality and security of the DOR Information as set forth in the Contract and to apply all confidentiality and security provisions in this Agreement and in the Contract to the DOR Information, even beyond the expiration or termination of the Contract.

By signing this Agreement, the Contractor affirms that all Employees, including an Employee hired after the date of this Agreement, who will perform services for it under the Contract and have access to the DOR Information will have undergone background checks satisfactory in accordance with the Contract, and will have signed the “Contractor’s Employee Compliance Agreement” (“Employee Agreement”) before they can do work on the Contract. In addition, all these Employees must attend training and view DOR’s Protecting Privacy Video. The Contractor agrees to have such Employees sign an Employee Agreement and view the Video each year. The Contractor will forward the original Employee Agreements along with a list of Employees who attended training and viewed the Video to DOR’s Contract Manager.

DOR’s Contract Manager will be responsible for forwarding these documents to DOR’s Financial Services Bureau’s Procurement Unit.

The Contractor agrees that a violation of this Agreement may result in the termination of the Contract and may prohibit the Contractor from entering into any future contract with the Commonwealth.

Name of contractor Signature of authorized official (must be on the Contractor Authorized Signatory Listing)

Print name Print title Date

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