HomeMy WebLinkAboutFRANCHISE TAX BOARDSTATE OF CALIFORNIA
STANDARD AGREEMENT
STD 213 (Rev 06/03)
FJ
INSURANCE NOT REQUIRED
WORK MAY PROCEED
CLERK OF COUNCIL
DATE:
N- 2008 -060
AGREEMENT NUMBER
C0700137
REGISTRATION NUMBER
1. This Agreement is entered into between the State Agency and the Contractor named below:
ni c MVC'l y NAPAL
Franchise Tax Board
CONTRACTOR'S NAME
City of Santa Ana
2. 1 ne term of this
Agreement is: April 1, 2008 through December 31, 2008
3. The maximum amount $ 7,615.00
of this Agreement is: SEVEN THOUSAND SIX HUNDRED FIFTEE14 AND NO 100 /DOLLARS
4. The parties agree to comply with the terms and conditions of the following exhibits, which are by this reference made
a part of the Agreement.
Exhibit A — Scope of Work 1 page
Exhibit B — Budget Detail and Payment Provisions 1 page
Exhibit C" — General Terms and Conditions GTC307
Exhibit D - Special Terms and Conditions 3 pages
Exhibit E — Confidentiality Statement 1 page
Exhibit F — Record Layout 1 page
Items shown with an Asterisk (*), are hereby incorporated by reference and made part of this agreement as if attached hereto.
These documents can be viewed at www.dgs.ca.gov /contracts
IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.
CONTRACTOR California Department of General
CONTRACTOR'S NAME (if other than an individual, state whether a corporation, partnership, etc.) Services Use Only
City of Santa Ana
BY ( ized Signature) DATE SIGNED(Do not type)
(V — iJt
PRINTED NAME AND TIfhEJOF PERSON SIG ING
�.� DAVID N. REAM, City Manager
ADDRESS
P.O. Box 1988, M -30, Santa Ana, CA 92702
STATE OF CALIFORNIA
AGENCY NAME
Franchise Tax Board
BY (Auth r' d Sign ure) _ DATE SIGNED(Do not type)
PRINTt=D NAME AND TITLE OF PERSON SIGNING ® Exempt per: SCM 4.04.5.b.
Chief Financial Officer, ,��
ADDRESS
P.O. Box 2086, Rancho Cordova, CA 95741 -2086
City of Santa Ana
Agreement #C0700137
IN WITNESS WHEREOF, the parties hereto have executed this Agreement C0700137,
The date and year first above written.
ATTEST:
PATRICIA E. HEALY
Clerk of the Council
APPROVED AS TO FORM:
JOSEPH W.FLETCHER
City Attorney
By:1 r c
Laura Sheedy
Assistant City Attorney
RECOMMENDED FOR APPROVAL:
FRANCISCO GUTIERREZ
Finance & Management Services
City of Santa Ana Agreement #C0700137
EXHIBIT A
SCOPE OF WORK
This Agreement is entered into by and between the Franchise Tax Board, herein referred to as
(FTB) and the City of Santa Ana, herein after referred to as the City.
Pursuant to Revenue and Taxation Code Section 19551.1, FTB will provide to the City, per
Exhibit F, the following records obtained from the FTB Taxpayer Information (TI) System
and Business Entity Tax System (BETS) files:
a. Taxpayer name
b. Taxpayer Address
c. Taxpayer Social Security Number or Federal Employee Identification Number
d. Principal Business Activity Code
2. The records will be extracted from information in the FTB files obtained from the 2007 tax
year.
3. The records will be identified by zip codes located within the jurisdictional boundaries of the
City. The identified records will be transmitted to the City in .txt format.
4. The records will be sent to the City project coordinator on an encrypted, password
protected CD -Rom (requires WinZip 9.0 or later) or via a secure electronic connection set
up by FTB per the request of the City. The 2007 data will be sent out twice during the year.
The first will be sent in June 2008 containing the most current filings to date. A second
extract will be sent in December 2008, complete with all 2007 filings to date.
5. The project coordinators during the term of this Agreement will be:
Franchise Tax Board
Erica Gonzales
Data Resources and Services
P.O. Box 1468, MS A -181
Sacramento, CA 95812 -1468
Phone: (916) 845 -6556
Fax: (916) 855 -5695
Direct signed Agreement to:
Franchise Tax Board
Business Acquisitions Unit
Attention: Roger Fisher
P.O. Box 2086, MS A -374
Rancho Cordova, CA 95741 -2086
Phone: (916) 845 -7408
Fax: (916) 845 -9613
City of Santa Ana
Christine Duarte
Treasury Manager
P.O. Box 1964, M -14
Santa Ana, CA 92702
Phone: (714) 647 -5446
City of Santa Ana
EXHIBIT B
BUDGET DETAIL AND PAYMENT PROVISION
Agreement #C0700137
1. PAYMENT: The City agrees to pay FTB $7,615.00 for 2007 data. Upon receipt of the
executed Agreement, the FTB will invoice the City for its share of the cost for 2007 data,
which shall not exceed $7,615.00.
2. INVOICING: FTB shall render an invoice in triplicate to:
City of Santa Ana
Attn: Christine Duarte
Treasury Manager
P.O. Box 1964, M -14
Santa Ana, CA 92702
Upon receipt of the Agreement executed by the FTB and an accompanying invoice, the City
agrees to remit payment of the amount shown on the invoice, within 30 days.
City of Santa Ana
EXHIBIT D
SPECIAL TERMS AND CONDITIONS
Agreement #C0700137
1. DATA OWNERSHIP: The confidential tax information being provided under this
Agreement remains the exclusive property of the FTB. The City shall have the right to
use and process the disclosed information for the purposes stated in this Agreement,
which right shall be revoked and terminated immediately upon completion of this
Agreement.
2. STATEMENT OF CONFIDENTIALITY: The FTB has state tax return information and
other data in its custody, which is confidential data. Unauthorized inspection or
disclosure of state tax return information or other confidential data is a misdemeanor
(Revenue and Taxation Code Section 19542 and 19542.1, and Government Code
Section 90005).
The City and each of the City's employees who may have access to the confidential data
of the FTB will be required to sign a statement, Exhibit E, attesting to the fact that he /she
is aware of the confidential data and the penalties for unauthorized disclosure thereof.
3. USE OF INFORMATION: The City agrees that the information furnished or secured
pursuant to this Agreement shall be used solely for the purposes described by this
Agreement. The information obtained shall be used exclusively to administer the city
business tax program established by the City. The City further agrees that information
obtained under this Agreement will not be reproduced, published, sold or released in
original or in any other form for any purpose other than identified in this Agreement.
4. EMPLOYEE ACCESS TO INFORMATION: The City agrees that the information
obtained will be kept in the strictest confidence and shall make information available to
its own employees only on a "need to know" basis. The "need to know" standard is met
by authorized employees who need information to perform their official duties in
connection with the uses of the information authorized by this Agreement. The parties
recognize their mutual responsibilities to protect the confidentiality of the state tax return
information as provided by law and ensures such information is disclosed only to those
individuals and of such purpose, as authorized by the Revenue and Taxation Code.
5. DISCLOSURE OF CONFIDENTIAL INFORMATION: Any unwarranted disclosure or use
of state tax return information or any willful unauthorized inspection of the return
information is an act punishable as a misdemeanor. Inspection is defined to mean any
examination of confidential information. No one other than city business license
program employees may have access, use, and view or manipulate the data being
transmitted to the City under this Agreement. The City, in recognizing the confidentiality
of state tax return information, agrees to take all appropriate precautions to protect from
unauthorized disclosure of the confidential information obtained pursuant to this
Agreement. The City will conduct oversight of its users with access to the confidential
information provided under this Agreement, and will promptly notify the FTB of any
suspected violations of security or confidentiality by its users.
City of Santa Ana
EXHIBIT D
Agreement #C0700137
SPECIAL TERMS AND CONDITIONS (continued)
6. INCIDENT REPORTING: All unauthorized or suspected unauthorized access; use
and /or disclosure (incidents) of FTB data shall be reported to the FTB Contact, Erica
Gonzales at (916) 845 -6556, immediately upon discovery of the incident. The incident
report shall contain the following: date, time, employee name, description of the incident
or circumstances, and means of discovery. Upon discovery of any such incident, FTB
will make the appropriate notification to affected California Resident(s) pursuant to the
requirements of Civil Code Section 1798.29.
7. IRS INFORMATION: This agreement does not allow for the release of any confidential
tax return information in the FTB files that may have been obtained from sources other
than the taxpayer. No confidential federal tax return information will be provided to the
City. This Agreement does not provide for the exchange of confidential federal tax return
information obtained from the Internal Revenue Service by the FTB.
8. INFORMATION SECURITY: Information security is defined as the preservation of the
confidentiality, integrity, availability, authenticity and utility of information. A secure
environment is required to protect the confidential information obtained from the FTB
pursuant to this Agreement. The City will store information so that it is physically secure
from unauthorized access. The records received by the City will be securely maintained
and accessible only by employees of the city business license program who are
committed to protect the data from unauthorized access, use or disclosure.
9. DESTRUCTION OF RECORDS: All records received by the City from FTB and any
database created, copies made, or files attributed to the records received will be
destroyed within three years of receipt. The records shall be destroyed in a manner to be
deemed unusable or readable and to the extent that an individual record can no longer
be reasonably ascertained.
10. INDEMNIFICATION: The City agrees to indemnify, defend and save harmless the FTB,
its officers, agents and employees from any and all claims and losses accruing or
resulting from any breach of confidentiality by the City and /or its employees.
11. SETTLEMENT OF DISPUTES: In the event of a dispute, the City shall file a "Notice of
Dispute" with the Assistant Executive Officer, of the Franchise Tax Board within ten (10)
days of discovery of the problem. Within ten (10) days the Assistant Executive Officer,
or his /her designee shall meet with the City and FTB Contact for purposes of resolving
the dispute. The decision of the Assistant Executive Officer shall be final.
12. SAFEGUARD QUESTIONAIRE and REVIEW: Prior to sending data to the City, the FTB
retains the right to require the City to submit a safeguard questionnaire certifying the
protection and confidentiality of FTB data. The FTB also retains the right to conduct an
on -site safeguard review of the City. The City will be provided a minimum of seven (7)
days notice prior to a safeguard review being conducted by the FTB Disclosure Office.
The safeguard review will examine the adequacy of information security controls
established by the City in compliance with the confidentiality requirements pursuant to
this Agreement. The City will take appropriate disciplinary actions against any user
determined to have violated security or confidentiality requirements.
City of Santa Ana
EXHIBIT E
CONFIDENTIALITY STATEMENT
State of California
Agreement #C0700137
Franchise Tax Board
Confidential tax return information is protected from disclosure by law, regulation, and
policy. Information security is strictly enforced. Violators may be subject to disciplinary,
civil, and /or criminal action. Protecting confidential tax return information is in the
public's interest, the state's interest, and the city's interest.
A city employee is required to protect the following types of information received from
the Franchise Tax Board:
• Taxpayer name
• Taxpayer address
• Taxpayer social security number or taxpayer identification number
• Principal business activity code
A city employee is required to protect confidential information by:
• Accessing or modifying information only for the purpose of performing official duties.
• Never accessing or inspecting information for curiosity or personal reasons.
• Never showing or discussing confidential information to or with anyone who does not
have the need to know.
• Placing confidential information only in approved locations.
• Never removing confidential information from your work site without authorization.
As a city employee, you are required to know whether information is protected. If you have any
question regarding whether particular information is confidential, check with your department's
project coordinator.
Unauthorized inspection, access, use, or disclosure of confidential tax return information
is a crime under state laws, including but not limited to Sections 19542 and 19552 of the
California Revenue and Taxation Code and Section 502 of the Penal Code. Unauthorized
access, inspection, use, or disclosure may result in either or both of the following:
State criminal action
State and /or taxpayer civil action
You are reminded that these rules are designed to protect everyone's right to privacy, including
your own.
l certify that I have read the confidentiality statement printed above. I further certify and
understand that unauthorized access, inspection, use, or disclosure of confidential
information may be punishable as a crime and may result in disciplinary and /or civil
action being taken against me.
Name
Chris�e C. Duarte, TreasuA[ Man
Date
,/3 /a,'
City of Santa Ana
EXHIBIT D
Agreement #C0700137
SPECIAL TERMS AND CONDITIONS (continued)
13. LIMITED WARRANTY: The FTB does not warrant or represent the accuracy or content
of the material available though this Agreement, and expressly disclaims any express or
implied warranty, including any implied warranty of fitness for a specific purpose.
14. CANCELLATION: The FTB may terminate this Agreement, in writing, upon thirty days
(30) prior written notice. In the event of a voluntary termination,
the City agrees it will not
be entitled to a refund. This Agreement may be terminated by either party in the event
of any breach of the terms of this Agreement. The City agrees that in the event of its
breach to the terms of this Agreement it shall destroy all records received by the City
from FTB and any database created, copies made, or files attributed to the records
received immediately upon written notification by FTB. The records shall be destructed
in a manner to be beeea reasonably ascertained. a t individual
Upon destruct on ofthe reords, the
record can no longer
City will notify FTB of the completed destruction.
City of Santa Ana
EXHIBIT F
Agreement #C0700137
Field Name
Length
Starting Position
Description
Entity Type
1
1
"P" — personal income tax record;
SSN or FEIN
9
2
"B" — business tax record
For P records, primary taxpayers
social security number; For B
records, federal employer
Last Name
40
11
identification number
For P records, the primary
taxpayer's last name; For B records,
First Name
11
51
business name
Middle Initial
1
62
For P records ONLY
Spouse SSN
9
63
For P records ONLY
Spouse
For P records filed with a joint return
Last Name
17
72
For P records filed with a joint return
Spouse First Name
11
89
Spouse Middle Initial
1
100
PBA Code
6
101
For P records, principal business
Address Number
10
107
activit PBA code
Default is "N" —:No; if City
Pre - Directional lndicator
2
117
Street Name
28
119
Street Suffix
4
147
Post-Directional Indicator
151
Street Suff
153
A artment/
157
Cit
167
State
180
Zi Code
182
Zi Code Sux
4
187
CBT Match
1
191
participates in City Business Tax
(CBT) program, submitting data to
FTB and data matches, "Y" - Yes