REQUEST FOR PROPOSAL Student Recruitment System RFP No. 2 (FY15-3-2)
PROPOSAL DUE DATE: November 7, 2014, at 2 PM (Eastern Standard Time) SUBMITTED BY BRIDGEWATER STATE UNIVERSITY PROCUREMENT SERVICES
RFP No. 2 (FY15-3-2) Student Recruitment System
Table of Contents
RFP Schedule of Events .............................................................................................................................................. 5 Attachments............................................................................................................................................................... 5 Introduction ............................................................................................................................................................... 5 I.
INFORMATION FURNISHED TO THE PROPOSER ........................................................................................... 5
General Information .............................................................................................................................................. 6 Product Specification ............................................................................................................................................. 7 1.
General Specifications................................................................................................................................ 7
2.
Campaign Manager .................................................................................................................................... 8
3.
Communication Manager .......................................................................................................................... 8
4.
Student Management .............................................................................................................................. 10
5.
Tele-recruiting Manager .......................................................................................................................... 10
6.
Event Planning Manager .......................................................................................................................... 11
7.
Travel Manager ........................................................................................................................................ 11
8.
Social Media Tools ................................................................................................................................... 11
9.
Assessment/Reporting Features .............................................................................................................. 12
10.
Knowledgebase/FAQ Tools .................................................................................................................. 12
11.
Data Management ............................................................................................................................... 12
12.
Implementation Support...................................................................................................................... 13
Receipt and Opening of Proposals ....................................................................................................................... 13 Questions ............................................................................................................................................................. 14 Contact Information............................................................................................................................................. 14 Procurement Use ................................................................................................................................................. 14 Accept/Reject Proposal........................................................................................................................................ 15 Withdrawal of Proposal ....................................................................................................................................... 15 No University Obligation ...................................................................................................................................... 15 Authorized Signature ........................................................................................................................................... 15 Expenses .............................................................................................................................................................. 15 Terms and Conditions .......................................................................................................................................... 15 Proposal Format................................................................................................................................................... 15 Proposed Materials .............................................................................................................................................. 16 Massachusetts Public Records Law...................................................................................................................... 16 RFP Interpretation................................................................................................................................................ 16 Page 2 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System Addendum ........................................................................................................................................................... 16 Proposal Modification .......................................................................................................................................... 16 Confidentiality ...................................................................................................................................................... 16 Period of Firm Proposal ....................................................................................................................................... 17 Contract Period and Requirements ..................................................................................................................... 17 Technical Proposal Requirements ....................................................................................................................... 17 Price Proposal Requirements ............................................................................................................................... 17 Presentations ....................................................................................................................................................... 17 Pre-Award Negotiations....................................................................................................................................... 17 Contract Award .................................................................................................................................................... 18 Bidder’s Responsibility for Services Proposed ..................................................................................................... 18 Acceptance Testing .............................................................................................................................................. 18 Minimum Evaluation Criteria ............................................................................................................................... 18 Comparative Evaluation Criteria .......................................................................................................................... 18 II. PROPOSAL RESPONSE FORMAT ........................................................................................................................ 19 Technical Proposal: .............................................................................................................................................. 19 A.
Title Page.................................................................................................................................................. 19
B.
Letter of Transmittal ................................................................................................................................ 19
C.
Table of Contents ..................................................................................................................................... 20
D.
Professional Experience ........................................................................................................................... 20
E.
Proposer’s Approach ................................................................................................................................ 20
F.
Implementation ....................................................................................................................................... 21
G.
Operational Support ................................................................................................................................ 21
H.
Training Support....................................................................................................................................... 22
I.
Information Security Policies, Practices and Standards........................................................................... 22
J.
Software Maintenance and Terms........................................................................................................... 25
K.
Upgrades, Additions, and Expiration Terms ............................................................................................ 26
L.
Additional Information............................................................................................................................. 27
Pricing Proposal (Submit separate from Technical Proposal) .............................................................................. 27 Assumptions ..................................................................................................................................................... 28 Method and Rate of Payment .......................................................................................................................... 28 a)
Services .................................................................................................................................................... 28
b)
Operational Support ................................................................................................................................ 29 Page 3 of 32
III.
c)
RFP No. 2 (FY15-3-2) Student Recruitment System Training Services ...................................................................................................................................... 29
d)
Additional Professional Service Requirements ........................................................................................ 29
e)
Software Maintenance............................................................................................................................. 30
f)
Travel Costs .............................................................................................................................................. 30
g)
Other Costs .............................................................................................................................................. 30 PROPOSER REPRESENTATIONS (Submit with Technical Proposal) ............................................................ 31
Page 4 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
RFP Schedule of Events Issue RFP
October 22, 2014
Questions Due
October 31, 2014, by 12pm (Eastern Standard
to
[email protected]
Time)
Proposal Due Date
November 7, 2014, at 2pm (Eastern Standard Time)
Vendor Presentations
Week of November 17, 2014 *Date Subject to change
Evaluation of Proposals
Week of November 24, 2014 *Date Subject to change
Anticipated Contract Award
November 28, 2014 *Date Subject to change
Attachments Appendix A: Commonwealth of Massachusetts Standard Contract. To be completed by the successful vendor awarded this contract. Appendix B: Third Party Access to Personal, Student or Financial Information. To be completed by the successful vendor awarded this contract. Appendix C: Commonwealth Terms and Conditions. To be completed by the successful vendor awarded this contract. Appendix D: BSUW-9. Vendors should submit this document with their Technical Proposal. Introduction Bridgewater State University (BSU) invites qualified vendors to submit a proposal to provide a web based Student Recruitment System. The system will be used to organize, implement and manage an effective recruitment and admissions program. This system will include an automated communication plan that allows targeted communications with a variety of constituents. The system should track all student contacts and provide data that will help to determine additional communications with prospective students based on their status in the admissions process. Finally, the University prefers a system that allows for integration of future applications in support of the student lifecycle. I.
INFORMATION FURNISHED TO THE PROPOSER
Page 5 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
General Information
Bridgewater State University (BSU) seeks a contract relationship with a third-party provider to create and host a BSU branded web based Student Recruitment System that includes an integrated online application for admission to BSU. The system will be utilized for undergraduate, graduate, continuing education and online populations; therefore, requires a customized experience for users of the online application based on specified student statuses, such as freshman, transfer, or graduate (both domestic and international), and specific major and/or program of study requirements, that may require submission of supporting documentation such as, but not limited to, statement of purpose, letters of recommendation, resumes, and licenses through the application interface. BSU administrative users must be enabled to leverage user-friendly features for prospecting, recruiting, travel & event management, multiple modes of communications and campaigns, and real-time reporting and analytics. The system must be easily scalable for changing requirements. The Undergraduate Admissions office, the College of Graduate Studies and Continuing and Distance Education office will be the primary users of the system. Currently BSU uses the Banner Self Service Web application for all applications to the Undergraduate, Graduate and Continuing and Distance Education Programs. Applications are then pushed into the native Banner from the self-service web product for processing. Undergraduate Admissions receives annually 11,000 applications for admission among three admissions terms of fall, summer and spring, with the fall having the largest volume. Undergraduate Admissions recruits, holds tours, open house events and accepts inquiries through web forms for an undergraduate prospect pool that totals 19,000 annually. The College of Graduate Studies receives annually 2,805 applications across its 67 programs/certificates among the three admissions terms of fall, summer and spring. The College of Graduate Studies recruits, holds information sessions, open house events and accepts inquires through web forms for a graduate prospect pool that totals 3,600 annually. Continuing and Distance Education recruits, holds information sessions, open house events and accepts inquires through web forms for a graduate prospect pool that totals 600 annually. Page 6 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System BSU plans to implement and launch the system with integrated online application for admission for the admissions cycle of Spring 2015. Product Specification The following specifications are preferred features of the System. 1. General Specifications a. System can be deployed on-site by the University, if the University chooses a local, non-hosted system in the future. b. System has a global search capability across all data captured and search within search results is supported. c. System has the ability to synchronize data collected off-site (e.g. recruiting event). d. Import/export utilities to/from administrative databases including Ellucian’s Banner product. e. Dynamic on-line form builder. f.
Web content distribution.
g. Automated routing. h. System includes self-service portals available for targeted groups (e.g., ability to check on submission/approval of all required supplemental documents, incomplete/complete application) i.
Staff can confirm documents (validity, correct document, etc.) before updating the status of documents in the self-service portal.
j.
System has a mobile application (via IOS, Android and Windows Mobile.) If no mobile application exists, then mobile website must be a fully responsive design.
k. Constituent life-cycle tracking. l.
Ability for system to integrate with Banner Document Management System (BDMS), student information system (Banner) and learning management system (Blackboard).
m. Dynamic on-line application. n. Integration with Microsoft Office. o. Compatibility with Touch Net payment systems for web application fees and deposits. p. Decision module that includes both virtual decision letters as well as the ability for the student to confirm their decision to enroll (e.g. paying a tuition deposit fee). q. Entire application process must be online and user friendly. r.
Ability for system to automatically populate admissions application fields based on information provided by prospect.
s. Ability to inform prospects about funding opportunities. t.
Ability for prospect to apply for funding opportunities, including those that are program specific. Page 7 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System u. Program information built into system (e.g., courses, faculty, location of dept. on campus, advising schedules, degree plans, unique attributes of program, etc.). v. Ability to process payments from smart phones and tablets. w. Ability for system to collect demographic and emergency contact data. 2. Campaign Manager a. Ability to setup campaigns and specify activities in sequence, assign timeframe for activities, and track performance against those activities. b. Ability to track leads and status of leads through Enrollment. c. Ability to track leads against specific campaigns. d. Support for campaign and communications plan management, newsletters, surveys, etc. e. Ability to define process workflows; design and manage personalized dynamic, multi-step, multi-wave communications. f.
Ability to test campaigns prior to roll-out.
g. Ability to schedule campaigns in advance and automatically activate them. h. Ability to monitor campaign progress in real time and at multiple stages. i.
Ability to modify workflows based on responses or lack of response.
j.
Ability to track prospect categories.
k. Ability to measure cost per lead and ROI for all campaigns. l.
Ability to push data and information to prospects.
m. Ability to segment data to prospects. n. Ability to measure recruiter success rates. o. Assistance for automating recruiter’s daily activities. p. Ability to measure cost at each step to calculate ROI. 3. Communication Manager a. Support for both in-bound and out-bound marketing and communication activities. b. Ability to conduct mass email campaign. c. Ability to set criteria (e.g. start date) for activities to be displayed. d. Ability to establish and track campaigns. e. Ability to send rich text, HTML and plain text emails, and ability to send attachments with email. f.
Capability to produce automated or canned e-mail responses.
g. SYSTEM can automatically generate emails based on missing documents. h. E-mail auto text and auto correct capabilities. Page 8 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
i.
Ability to send personalized e-mail.
j.
Ability to track results by criteria, including recruiter, time frame (e.g. day, week), campaign.
k. Ability to track results by combinations of criteria, such as recruiter, time frame, campaign. l.
Ability to merge captured data into email, letters, etc., for follow-up to individuals.
m. An integrated calendar for activities, such that users can see a daily, weekly, etc. view. n. Ability to filter activities based on criteria, such as overdue, due within x days, etc. o. Ability to easily mark activities as completed. p. Ability to link activities to an entity (e.g. recruit, applicant, admitted student, etc.). q. Ability to setup a schedule for automated notice (e.g. email) to entities. r.
Ability to automatically create activities (e.g. follow-up call) based on a schedule relative to activities, such as a follow-up call after an inquiry.
s. Ensure that all activities (e.g. email, phone call) are logged as contact for the entity. t.
Ability to load activities, contacts, entities, etc. in batch from alternate sources.
u. Manage multi-step, multi-media communications plans. v. The system should allow for flexible letter and e-mail generation for both groups and individuals without the intervention of IT staff; support both manual and automated processes; and a communication flow (defining the frequency of communication, the trigger (audience) and the action to be taken (letter, email, etc.). w. Ability to define and use rules based on student’s activities or interest in the communication flow process for written, email and tele-counseling recruiting activities. x. Ability to track every communication and activity made with an individual including the date and time the communication and activity was made. y. Ability to capture, store and utilize multiple source codes and contact types. z. Ability to schedule and track rule based marketing campaigns that track contacts and trigger future communication. aa. Ability to identify multiple addresses, prior addresses, and incorrect address information for both mail and email. bb. Ability to control the “from” and/or “reply to” address for emails, phone calls and texts. cc. Ability to view all activities from one page. dd. Ability to establish and retain a “script” of activities for certain situations, such as a call to a prospect. ee. Ability to view all contact notes for an entity on a single page. ff. Ability to view and work with all activities related to an entity from a single page. gg. Ability to communicate via text message. hh. Ability to automatically communicate with references and ability for references to complete and submit Page 9 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
letters online.
ii. Integration with Social Media monitoring software Hootsuite or Radian 6 and to communicate with Facebook, Twitter and Instagram. 4. Student Management a. Ability to view and update prospect and student information both manually and via batch. There should be security for the administrative users which grants differing levels of access based on job/title. b. Support for capturing, tracking and routing student inquiries regardless of channel and direction (i.e. inbound versus out-bound). c. Ability to segment prospect based upon prospective student data. d. Full view of contacts including the ability to see and edit all contacts, activities, history, etc. e. Ability to automatically update contacts based upon activities (e.g. bulk email) external to the SYSTEM. f.
Ability to seamlessly interact with leads, recruits, applicants, and students using e-mail, phone, Text, Web forms, chat, fax, and Web self-service.
g. Ability to access scheduled contacts and schedule new contacts. h. Access to key data/materials for presentation/distribution to prospects; view of required materials and status of the items (received, not received). i.
Ability to automatically distribute surveys and other feedback instruments.
j.
Support for duplicate checking of students.
k. Access to complete contact history. l.
Automatic routing of e-mail to appropriate administrative users based on specified parameters.
m. Ability to maintain library of pre-built response templates. n. Ability to distribute leads across recruiters. Specify criteria available (e.g. round robin, based on current queue length for each recruiter, etc.). o. Ability to build lists of leads that can be downloaded to Excel, XML, etc. for integration with external applications. p. Ability to segregate and categorize leads based on source, status (e.g. contacted or not), etc. q. Ability to update data on a lead on a single page. r.
Ability to import leads in bulk through a well-defined interface.
5. Tele-recruiting Manager a. Ability to support a robust tele-counseling campaign, including managing, cueing, tracking and reporting features. Page 10 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System b. Ability to manage and report on caller activity, including number of calls made, calls results and record notes from conversations. c. Ability to create reference and store caller scripts. d. Ability to generate instant email follow-up upon call completion. e. Support for generating dynamic call lists using configurable parameters. f.
Ability to track preferred call date and time.
g. Ability to capture user-defined data for surveys and evaluations. 6. Event Planning Manager a. Ability to plan recruiting events and activities. b. Ability to track invitations, RSVPs, and attendance at recruiting events. c. Ability to pull registration and track attendance at event by interest, school, state or other characteristics. d. Automated e-mail notifications/confirmation of specific events. e. Ability to automatically share events via approved Social Media Channels. f. Ability to create an event calendar. 7. Travel Manager a. The software should allow end-users to generate travel itineraries that include a list of each school’s current prospective students, generate communications to schools and students announcing scholarships or activities, and provide maps and directions to the high schools, college or organization b. Plan travel itineraries. c. Ability to track visits and other contacts and activities with each school, college or organization. d. Ability to track the number of prospects, applicants or admits by high school and/or college and generate ad-hoc communication to those students. 8. Social Media Tools a. Online Chats: 1. Support for text-based, on-line chat that allows University staff to communicate with students in real time and allows for multiple simultaneous chat sessions to be in process for each staff member. 2. Ability to automatically log chat sessions and add to the contact record. 3. Support for encryption of chat session content during transmission. 4. Audit capability, supervision capability. 5. Support for collaborative browsing. Page 11 of 32
6. Support for multi-lingual interactions.
RFP No. 2 (FY15-3-2) Student Recruitment System
7. Supervisor view of queues and load levels. b. Integration with the following networks: Facebook, Twitter, YouTube, Instagram, Google+ and Snapchat, and the ability to report from the above listed networks. 9. Assessment/Reporting Features a. Dashboard interface with ability to customize most often used reports. b. Ability to track end user activity for metrics, data gathering and analysis. c. Ability to pull reports comparing point in time current and historical data. d. Ability for end user staff to create, generate and save ad-hoc reports and data on students, programs or other activities. e. Ability to automatically generate standard managerial reports, application comparisons, yield analysis, and information to determine activity or communication effectiveness. f.
Ability to export data in a variety of formats.
g. Real time reporting and in-depth analysis on all contact information and student interactions. h. The proposed software includes a report writer enabling the creation of custom reports, without programming. i.
The proposed software’s report writer has the ability to automatically publish reports to the Web.
10. Knowledgebase/FAQ Tools a. Product includes a knowledgebase with an intuitive user interface and flexible workflow that supports individual problem-solving approaches. b. Knowledgebase includes functionality to manage Frequently Asked Questions (FAQs). c. Knowledgebase is browse-able and supports a variety of search methods, such as keyword, full text, search within search results, etc. d. Knowledge base can be easily created, updated, edited and exported by authorized users. e. Ability to track use of knowledgebase resources, response times, satisfaction levels. 11. Data Management a. Ability to track costs of interactions. b. Capability to implement workflow rules. c. Ability to create user defined fields as needed. d. Ability to identify, merge, delete or otherwise resolve potential duplicate records. Page 12 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System e. Ability to query records on a variety of data elements, such as name, ID, state, birth date, major, status, etc., or any combination of elements. f.
Ability to assign status relating to the various phases of the admission cycle: suspect, prospect, application, admit, enrolled, etc.
g. Ability to assign geo-demographic information to students, and utilize this information in customized marketing plans. h. Ability to track the level of interest in the institution, and utilize this information in marketing and communication plans. i.
Ability to record multiple types of standardized test scores, by date and type of test.
j.
Ability to import data from various standardized testing service score reports, such as ACT, SAT, GRE and MAT and to capture the extensive data on these reports, not just the score reports.
k. Ability to maintain CEEB codes and contact information about high schools and other related institutions. l.
Ability to assign multiple prior institutions (high school and college) to individuals.
m. Ability to track activities, interests, work experience, legacy, first generation college student, and other demographic information in the communication and marketing plans. n. Ability to associate, store and view system generation letters and emails. o. Ability to identify international students. p. Ability to store a variety of comments and notes at each stage of the admissions cycle. 12. Implementation Support The successful Vendor must provide technical support throughout the implementation and operations of the proposed system. Third party support is allowed, but must be identified in the vendor’s response. Receipt and Opening of Proposals Qualified vendors wishing to present Bridgewater State University with a formal proposal for a Student Recruitment System should forward five (5) hard copies of their proposal to the following address: Bridgewater State University Procurement Services Boyden Hall, Room 202 131 Summer Street Bridgewater, MA 02325 Ref No: RFP No. 2 (FY15-3-2) Student Recruitment System Page 13 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System The proposal should be time stamped by Procurement Services no later than 2PM (Eastern Standard Time) on November 7, 2014. Faxed or electronic responses will not be accepted. A public bid opening will be held at the time specified in this RFP, however, only the names of the respondents will be read at the opening. The content of all proposals shall remain confidential and shall not be disclosed to competing firms until after consideration, completion of the evaluation process and award has been made. Each proposal must contain two separately sealed envelopes clearly marked: 1. Technical Proposal for RFP No. 2 (FY15-3-2) Student Recruitment System 2. Price Proposal for RFP No. 2 (FY15-3-2) Student Recruitment System Failure to follow this format will immediately result in disqualification. Questions Bidders may submit written questions via e-mail to
[email protected] on or before 12 PM EST, on October 31, 2014. The email subject line must read: “RFP No. 2, Student Recruitment System QUESTIONS”. The University will compile all questions and respond via addendum and will email responses to all potential bidders by 5 pm EST, on November 4, 2014. No telephone calls will be entertained. Prospective bidders are prohibited from obtaining information about this bid from any University personnel. Inquiries received after the specified date and time will not be accepted. The questions and official University responses will be issued by formal addendum and sent to all prospective bidders to the bidder email addresses on record. Contact Information Except as may be noted otherwise herein, the issuing office and sole contact for the coordination and dissemination of all information regarding this RFP is: Jennifer L. Pacheco, Director of Procurement Services Bridgewater State University 131 Summer Street. Bridgewater, MA 02325 Procurement Use The award of this RFP will be for BSU only. Other Massachusetts state higher education institutions have the Page 14 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System option to utilize this competitively bid contract. BSU will have no responsibility for other agency agreements or payments. Accept/Reject Proposal The University reserves the right to reject any or all proposals, wholly or in part; to waive technicalities, irregularities, and omissions; to make the award in a manner deemed to be in the best interest of the University; and to correct any award erroneously made as a result of a clerical error on the part of the University. Withdrawal of Proposal Proposal offers may be withdrawn at any time prior to the bid receipt deadline date and time. Once the proposal receipt deadline has passed all proposals become the property of the University. No University Obligation The RFP in no manner obligates the University to the eventual purchase of any products or services described, implied , or which may be proposed, until confirmed by written agreement, and may be terminated by the University without penalty or obligation at any time prior to the signing of an agreement. Authorized Signature The bidder’s proposal shall be signed by an officer who is authorized to make such commitments for the bidder. Expenses Expenses for developing and presenting proposals shall be the entire responsibility of the Bidder and shall not be chargeable to the University. All supporting documentation and manuals submitted with this proposal will become the property of the University unless requested by the Bidder, in writing, at the time of the submission, and agreed to, in writing, by the University. Terms and Conditions The terms and conditions that will apply to the submission of proposals, to the University’s evaluation of the proposal offers, and to the award of the contract should be reviewed carefully to ensure full responsiveness to the RFP. Proposal Format All offers shall be made following the Proposal Response Format provided in Section II. All proposals shall be submitted as Best and Final Offers. Bidders will not be allowed to make material alterations to their proposal offers after the proposal opening. Each bidder shall include in their written offer all requirements, terms and conditions they may have, and shall not assume that an opportunity will exist to add such requirements, terms
Page 15 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System or conditions after the proposal opening. Bidder’s terms or conditions that are deemed unacceptable by the University will be the basis for the University’s rejection of the proposal. Proposed Materials All material submitted in response to the RFP shall become the property of the University upon submission and will be considered as part of this RFP. Massachusetts Public Records Law Access to University records is made in accordance with the Massachusetts Public Records Law, M.G.L. c. 66, s. 10. All Responses received are subject to M.G.L. c. 4, s. 7, ss. 26, and M.G.L. c. 66, s. 10 regarding public access to such documents. Statements or endorsements inconsistent with those statutes will be disregarded. The University will withhold the Responses or sections of Responses until such time that they have been opened. The University will make available the documents within those Responses only upon the finalization of those records. RFP Interpretation Interpretation of the wording of this document shall be the responsibility of the University and that interpretation shall be final. Addendum Any addendum issued to Bidders prior to the proposal opening date shall include an addendum acknowledgement section. Since all addenda shall become a part of the proposal, all addenda must be signed by an authorized Bidder representative and returned with the proposal. Failure to sign and return any and all addendum acknowledgements may be grounds for rejection of the proposal response. Proposal Modification Any exceptions/ additions/ alterations to the terms and conditions contained herein must be included in the bidder’s proposal response. Failure to provide the required data to allow for evaluation of the bidder’s response to the RFP, or failure to follow and complete the RFP proposal format and accompanying documents will be grounds for rejecting the proposal offer. The University reserves the right to reject any proposals that alter the terms specified in the RFP. Confidentiality From the date of issuance of the RFP until the opening date, the Bidder must not make available or discuss its proposal, or any part thereof, with any employee or agent of the University. The Bidder is hereby warned that any part of its proposal or any other material marked as confidential, proprietary, or trade secret, can only be protected to the extent permitted by Commonwealth of Massachusetts laws. Page 16 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
Period of Firm Proposal
All proposal offers must remain in effect for a minimum period of 120 days following the RFP opening date in order to allow for sufficient time for evaluation, approval, and issuance of award notice. The successful bidder’s offer will remain firm for the duration of any resulting award and extensions. Contract Period and Requirements The initial term of this agreement shall be three (3) fiscal years commencing upon execution of a contract, with two (2) one (1) year options to extend at the discretion of the University. The contract shall be considered fully executed upon the date and signature of the authorized University official. The firm awarded this contract will be required to execute a Commonwealth of Massachusetts Standard Contract Form (Appendix A), Third Party Access to Personal, Student or Financial Information (Appendix B), Commonwealth Terms and Conditions (Appendix C), together with any appropriate certifications of compliance to the University, including but not limited to, the Terms and Conditions listed in this contract. Technical Proposal Requirements The technical proposal is to be submitted in a separately marked envelope in accordance with directions given under all items within Section II (Proposal Response Format), Technical Proposal. Note: Proposers should provide complete responses in the format specified for both the Technical and Price Proposal requirements as the attributes will be reviewed in comparison with the Minimum and Comparative Evaluation Criteria as described below. Price Proposal Requirements The price proposal is to be submitted in a separately marked enveloped in accordance with directions given under Section I (Receipt and Opening of Proposals), Section II (Proposal Response Format), Price Proposal. Presentations After review of the technical proposal, the University will require presentations with selected proposers for the purpose of further evaluation of the proposer’s qualifications and ability to provide the required system. Vendor presentations will be scheduled the week of November 17, 2014. Pre-Award Negotiations After the proposals are opened, but prior to award, the University may elect to conduct negotiations with the highest ranked proposal respondents for purposes of: •
Resolving minor differences and information
•
Clarifying necessary details and responsibilities Page 17 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
•
Emphasizing important issues and points
•
Receiving assurances from respondents
Selection may be made without further decision, negotiations or bidder’s presentations; therefore, bidder shall offer the most favorable terms in response to this RFP. Contract Award The University will award the contract to the proposer offering the most advantageous proposal, taking into consideration all evaluation criteria as well as price. Bidder’s Responsibility for Services Proposed The response to the RFP will be considered as the Bidder’s offer to contract. Final negotiations on the offer that receives the highest evaluation by the University will be conducted to resolve any minor differences and informalities that do not materially alter the offer. Once the final negotiations have been completed, the University’s acceptance of the RFP will be issued. Acceptance Testing • Acceptance testing will be mutually agreed upon by the University and the selected vendor. • The University will have twenty (20) business days to review and accept the system once the vendor has turned over the system to the University. • Final Payment will not be made until the University accepts the system in writing. Minimum Evaluation Criteria Each proposal shall first be reviewed to ascertain whether or not the following minimum criteria have been met: •
Each proposal must be received in a sealed marked envelope by the time and date established under this RFP. The proposal shall include two (2) sealed envelopes clearly labeled: (1) Technical Proposal for Student Recruitment System RFP No. 2 (FY15-3-2) and (2) Price Proposal for Student Recruitment System RFP No. 2 (FY15-3-2).
•
The proposal includes all items listed in Section II (Proposal Response Format) to be considered a complete proposal.
•
Proposers must be in the field of providing products and services related to the product specifications of this RFP.
Comparative Evaluation Criteria Each proposal meeting the Minimum Evaluation Criteria shall be rated according to the following Comparative Evaluation Criteria in no particular order. Page 18 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
•
Quality of proposal
•
Quality of the proposers product functionality, performance, flexibility and ability to meet BSU’s requirements and timeframe
•
Quality of relevant experience and client list
•
Quality of presentation
•
Pricing
II. PROPOSAL RESPONSE FORMAT In order to simplify the evaluation process and obtain the maximum degree of comparison, the University is requiring prospective firms to submit proposals in the format and manner prescribed by this section. Each Proposal shall also include any other information the bidder feels is significant in making an informed decision relative to the proposal. Firms are cautioned that any deviation from this format may result in disqualification of their proposal. Technical Proposal: A. Title Page 1. RFP Project Title and Number 2. Name of Proposing Firm 3. Address and Telephone number of proposing firm 4. Name of contact person 5. Date of submission B. Letter of Transmittal 1. Briefly state the understanding of the product specification and implementation requirements and make a positive commitment to perform the work within the required time frame. 2. A detailed description of the bidder’s resources and experience relevant to the RFP performance requirements including specific expertise in serving specific populations and/or verification that the bidder is authorized to sell or distribute specific commodities or services. 3. A statement on the experience of staff and the total number of employees (distinguishing between administrative staff, management, principal partners or officers, field, technical and customer support).
Page 19 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System 4. The number of years the bidder has been in business and/or the number of years the bidder has been in the business identified in the RFP (which may be separate and distinctly different from their main business line). A Standard & Poor, and/or Dun & Bradstreet report is desirable. 5. The letter should be signed by an authorized signatory of the firm. C. Table of Contents 1. Include a clear identification of the material by section and page number. Such sections will be those identified below. D. Professional Experience 1. Provide a list of similar clients served within the last three (3) years. 2. List five (5) clients who may be contacted as a reference (client names, addresses, telephone numbers, and names of client officials and dates of service). Of the five (5) references at least three (3) shall be Higher Education clients with similar scope and size as BSU utilizing Banner as their student information system. E. Proposer’s Approach The Proposer must provide a Program Approach to support its Proposal to provide professional services to assist BSU personnel and facilitate the implementation of the product as outlined in the following list. 1. State the proposer understands the product and implementation services to be performed and the product as defined in Section I (Information Furnished to the Proposer), Item (Product Specification) of this RFP. 2. Submit an approach to accomplish the implementation within the required time frame. 3. List the assigned project management team. Provide résumés highlighting relevant past experience, education, training, etc. 3. Establishing environments (e.g. acquisition of hardware, installation of the software, etc.). 4. Core team training and functional product orientation. 5. Analysis and design in preparation for configuration. 6. Configuring product for usage in Global Campus. 7. Import of existing student information into product. 8. Testing of system. 9. Deployment of production service. Page 20 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System F. Implementation 1. Describe in detail what types and levels of implementation support services are available (e.g., telephone, onsite, etc.). 2. Define services explicitly not covered by implementation support services. 3. Describe the expected implementation time frame. Is implementation support restricted to some maximum period of time? 4. Describe any prerequisites that are required upon the University prior to the acquisition of implementation support (e.g., administrator training, required certifications, etc.). 5. Describe how determination is made that the products are fully and successfully implemented and that the agreement for implementation support has been entirely fulfilled. Is there established acceptance criteria used by your firm? G. Operational Support 1. Describe types and levels of operational support services available. Include response times for each level. 2. Describe the availability of telephone support; which hours on which days. 3. Describe whether after hours support is available. 4. State whether your telephone support phone number is toll-free. 5. Describe your telephone support service level agreements with your customers. What is the average response time to telephone call? What percentage of calls is closed within 1 hour, 8 hours and 5 days? 6. Describe support services available via an Internet web site. Does your Internet support service include access to a knowledgebase of customer questions and systems? Can support calls be initiated from your web site? 7. If applicable, describe your Internet support service level agreements with your customers. What is the average initial response time to a request for service initiated via your web site? 8. Describe the availability of onsite support. Under what circumstances can the University request onsite support? Under what circumstances, if any, will your company escalate a service call to onsite support? 9. What percentage of your service calls is resolved on first contact? 10. Under what circumstances are questions/problems escalated to a higher level of support? Can the University request that an incident be escalated to a higher level of support? 11. Do you sponsor a user support group? If so, please describe. Page 21 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System H. Training Support 1. Describe ability to assist with the project management and guidance of the training material development. 2. Describe availability and details of on-site training of the product (approximately 5-10 individuals). I.
Information Security Policies, Practices and Standards
To ensure that the application hosting environment has sufficient safeguards to protect the confidentiality, integrity and availability of University information assets placed in their custody and care, respondent should provide a detailed statement of policies, practices and standards that establish the administrative, technical and physical safeguards of the respondents application hosting environment. The administrative, technical and physical safeguards must ensure that this University application meets or exceeds the requirements of all state and federal laws and regulations, including, but not limited to, information subject to the Family Educational Rights and Privacy Act (“FERPA”), the Gramm-Leach-Bliley Act (“GLBA”), and Massachusetts General Law c. 93H. The University will require the vendor awarded this contract to comply with such statement in Commonwealth of Massachusetts Standard Contract, Attachment A: Additional Terms & Conditions. The University will rely upon the respondent’s representations to evaluate respondent’s ability to achieve the necessary information security objectives. In evaluating respondent’s security capabilities, the University considerations will include, but not limited to, the following items. For each section, respondent is required to either affirm the requested action or specify limitations, if any. 1. Periodic Inspection: The University reserves the right to periodically inspect the respondent’s application and hosting infrastructure to ensure compliance with the respondent’s representations. Non-intrusive network scans (e.g. vulnerability assessments and basic port scans) may be done randomly, without prior notice. More intrusive network and physical inspections may be conducted on site with reasonable and sufficient notice. 2. Proposed Architecture: Respondent must provide a proposed architecture document that includes a full network diagram of the application and infrastructure environment, illustrating the relationship between Page 22 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System the environment and any other relevant networks, with a full data flowchart that details where the University data resides, the applications that manipulate it, and the security thereof. A physical flowchart as well as a logical flowchart is recommended. 3. Separation of functionality: Respondent must be able to demonstrate their ability to disable all or part of the functionality of the application should a security issue be identified (e.g. the databases and servers should be separated from the network by a firewall; hosted clients should be separated from each other on the servers; operations staff available for urgent response at all times (24x7); individually managed database instances.) Document the systems and procedures that support this functionality. 4. Protection of hosts and operating environments: Respondent must disclose how and to what extent the hosts and operating environments (UNIX, NT, etc.) comprising the University application infrastructure has been hardened against security threats and attacks. The respondent must document the frequency of and their practices for evaluating and applying software and security patches on hosting infrastructure components. 5. Physical security: The University may require that the network hosting the application be air-gapped from any other network or customer that respondent may have. In that case, all application, database, and middle-tier servers must reside on segregated hosts that do not also host applications, databases or middle tiers of other customers. 6. Monitoring, escalation and notification: Respondent must disclose their processes for monitoring the integrity and availability of the hosting environment, including internal and external escalation notification guidelines. Please describe any fail-over processes in the event of unexpected or planned system outages. 7. Security practices: Respondent must document security practices (e.g. password policies, usage guidelines) governing privileged access (e.g. network administrators, system administrators, database administrators) to the University application infrastructure. This includes administrators within the system itself as well as the supporting operating systems, database operating systems and hardware console managers. 8. Physical site security: The equipment hosting the application for the University must be located in a physically secure facility with restricted access. Respondent must document the physical security procedures. Page 23 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System 9. Physical equipment security: The infrastructure (hosts, network equipment, etc.) hosting the University application must be located in a locked cage-type (or equivalent) environment that ensures the University Application and/or data are hosted on physically separate and individually managed units that are separated and secured from other host environments. Respondent must document if any hardware is in shared racks or cages with other customer hardware and if so, policies and procedures in place to protect the integrity of the University-allocated hardware. 10. Personnel: Respondent must agree to disclose all personnel who will have access to the environment hosting the application upon request of the University after an agreement has been reached. Applications for access to the University application infrastructure and any other information assets will be granted by the University. The University reserves the right to deny access to any individual. Requests for access will not be unreasonably withheld. Respondent must document in this response their background check procedures and personnel selection criteria. 11. Personnel maintenance access: With the understanding that the University will not disclose internal usernames/password combinations for account generation, respondent must demonstrate how they authenticate users with maintenance accounts. University prefers CAS to our Local LDAP for all administrative users and known University constituents such as students. Respondent must document the procedures for account generation, maintenance and termination for maintenance (system administrator) accounts. Include information as to how an account is created, how account information is transmitted back to the user, and how accounts are terminated when no longer needed. Are there varying levels of administrative security? If so, please describe and indicate how the roles are managed? 12. Web security: At the University’s request, respondent must agree to disclose the specific configuration files for any web servers and associated support functions (such as search engines or databases) used to support the University environment upon execution of any agreement. 13. Quality assurance: Respondent agrees to maintain and demonstrate their process for doing securityrelated quality assurance testing for the application. Respondent must document in its response the general policies and procedures currently in place for quality assurance testing. Page 24 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System 14. Vulnerability: Respondent must maintain, and at the request of the University, demonstrate their process for web code review, including CGI, Java, etc., for the explicit purposes of finding and remediating security vulnerabilities. Respondent must document in its response the general policies and procedures currently in place for finding and remediating security vulnerabilities. 15. Cryptography: The application infrastructure providing the agreed upon services cannot utilize any "homegrown" cryptography. Any symmetric, asymmetric or hashing algorithm utilized by respondent in securing the University application infrastructure must utilize algorithms that have been published and evaluated by the general cryptographic community. State the cryptographic approaches used by the application infrastructure. 16. Right to audit: The University will be permitted, upon request, to conduct audits to: 1. Ensure integrity, confidentiality and availability of University information and resources. 2. Investigate possible security incidents and ensure conformance to University security policies. 3. Monitor user or system activity where appropriate. The right to audit covers computer and communication devices owned or operated by respondent in the provisioning of services contemplated in this agreement. When requested, and for the purpose of performing an audit, consent to the access needed to complete an audit (including, but not limited to networks and/or firewalls) will be provided to members of the University audit team. This access may include: •
User level and/or system level access to any computing or communications device
•
Access to application or infrastructure information (electronic, hardcopy, etc.) that may be produced, transmitted or stored on respondent equipment or premises
J.
•
Access to work areas (labs, offices, cubicles, storage areas, etc.)
•
Access to interactively monitor and log relevant traffic on respondent networks
Software Maintenance and Terms 1. Software Maintenance Agreement: Describe the benefits to which the University is entitled when it purchases a software maintenance agreement for your company’s products.
Page 25 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System 2. Product Updates: Describe the strategy used by your firm to update products to new versions and how updates are made available to clients. Describe the relationship of the intended frequency of major/minor upgrades based upon corporate goals. Describe the frequency at which actual updates have been released and the methods used to communicate the availability of product updates. Describe the effect of updates upon customized screens, web pages, database fields, etc. that may have been implemented by the University. 3. Terms of Maintenance Agreement: Describe the terms of software maintenance support available (University will not accept automatic renewal terms). 4. Termination of Maintenance on Products: Describe your firm's approach to terminating or discontinuing the availability of software maintenance on products. Describe the amount of notice provided to the University when maintenance will be discontinued. Describe the process by which the University will learn about software maintenance being discontinued on specific products. 5. Interruption and Expiration: Describe any consequences or fees, reinstatement or other, which may be incurred by the University in the event that the software support agreement is interrupted by expiration and the University decides to purchase another term of support. K. Upgrades, Additions, and Expiration Terms 1. Tool Upgrades: Describe the upgrade strategy used by your firm to upgrade tools and make upgrades available to clients. Explain any migration tools or migration paths that you provide. Describe the frequency at which upgrades are provided, pricing policy, and methods to communicate the availability of software upgrades. 2. New Product Release in Series: The selected vendor will provide the University with new software products as part of the contract, provided software is in a series included in the contract. Describe the process by which the University will learn about new software modules in a covered series being released for acquisition under the contract. 3. Termination of Products: Describe your firm's approach to terminating or discontinuing the availability of products. Describe the amount of notice provided to clients when products or product support will be dropped. Describe the process by which the University will learn about products or services being considered for termination by the Vendor. Page 26 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System L. Additional Information 1. Submit a list of technology partners, if applicable. 2. A statement if technology system is proprietary or dynamic. 3. Please provide any additional information, not specifically previously requested, that your firm considers necessary for fair evaluation of the proposal. 4. By signing this RFP the proposer asserts they have no conflicts with the University, its agents or employees under pains and penalties of perjury. 5. Appendix D (BSUW-9) and Section IV (Proposer Representation) must be completed in its entirety and included in the vendors Technical Proposal.
Pricing Proposal (Submit separate from Technical Proposal) This section of the RFP solicits price estimates for product and services proposed by the vendor. The vendor is expected to provide sufficient pricing details to permit the University to understand the basis for the quotation. At a minimum, the University needs to know the relative cost of the hosted service, various software product components and support services, whether any discounts are applied, and all assumptions or requirements upon which prices are contingent. Detailed guidelines designed to clarify various aspects of the vendor's price proposal are provided later in this section. A complete pricing proposal addressing all areas of consulting or other support is required. The University has the following expectations for pricing: •
Vendors should quote their price for a standard package contract that is in line with the products and services proposed in their RFP response. Pricing should minimally include any "education" discounts provided to higher education clients.
•
Include detail breakdown of costs for all components (hosting, services, software licensing, support, maintenance (if separate from support), professional services, travel and /or other). The University will assume that the price quoted will include everything necessary to implement a hosted system.
•
If sub-contracting support services, you MUST provide names and address of all sub-contractors and the expected amount of money each will receive.
•
Any cost quotes for professional services must provide an hourly rate for vendor’s staff or any subcontracted staff. Additionally, if a minimum number of on-site hours are required at the University’s facilities, the number of on-site hours must be indicated. Page 27 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
Assumptions
Any exception to these assumptions MUST be specified in your pricing response. •
Any additional hosting instances required for training, testing, demonstration, failover, disaster recovery, etc. will require no increase in cost.
•
The University has unconditional rights to use the system in any manner.
Method and Rate of Payment Indicate the annual price basis (e.g. number of staff providing customer service, number of student records, other) for a hosted and non-hosted system. Be specific about the price basis. •
Include any break points in pricing, such as price per number of application decreases as certain numbers are reached.
•
If there are multiple pricing options available, please include all options.
•
If separate or additional pricing is required for special functions, such as administrative users versus normal users, include pricing for each.
•
•
Include the cost of all necessary instances to support: o
Failover
o
Off-site disaster recovery
o
Testing (i.e. unit testing, end-to-end testing, performance testing, etc.)
o
Training
If there are pricing differentials for a fully air-gapped system and your recommended configuration, include each pricing option.
a) Services Implementation Services: Hourly rate $___________Estimated hours ____________Subtotal_____________
Page 28 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
Integration Services:
Provide cost and specify what is included to develop, implement and support integrations for your hosted system with University systems (i.e. student information system, portal, learning management system). Indicate whether integrations are batch, real-time or both. Hourly rate $___________ Estimated hours ____________Subtotal_______________
b) Operational Support Provide cost and specify what is included, (i.e. the level of support). Provide information on the cost basis for the charge. For example, is it x % of the total contract price, or a variation thereof? •
Include an option for 24 hours/day, 7 days/week support coverage.
•
Cost of annual Technical support for initial contract.
•
Define level of support being proposed in this response (if multiple options are available, define each).
•
Cost based on ________% of __________________ price.
•
Include restrictions on maintenance.
c) Training Services Provide cost and specify what is included for training (onsite, webinar, etc.). •
Hourly rate $_______Estimated hours ________Subtotal _______________
d) Additional Professional Service Requirements In the event that the University determines that additional professional services are required to complete this project, please provide pricing quote for that service (i.e. customization, conversion, noncontract support, etc.) •
Hourly rate $_______Estimated hours ________Subtotal ________________
•
Do you agree to extend these pricing offers to the University for additional service requests placed within twelve (12) months after the original order?
•
Do you agree to extend these pricing offers to the University for additional requests placed more than twelve (12) months after the original order but within twenty-four (24) months after the original order?
•
Indicate whether: Page 29 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System _________ Prices will remain firm for the option period _________ Prices may increase up to _____% for the option period _________ Prices will decrease up to _____% for the option period _________ Prices will increase/decrease in relation to the CPI at the time of the contract renewal _________ Do not offer an option e) Software Maintenance If software maintenance services are not applicable for an Open Source system, please note as not applicable. Provide cost and specify what is included, (i.e. the level of maintenance and support). Provide information on the cost basis for the charge. For example, is it x % of the total contract price, or a variation there of. Also, please address the issue of whether all upgrades are included in the maintenance fee.
f)
•
Cost of annual maintenance for initial period.
•
State length of Warranty period.
•
State level of maintenance, if applicable.
•
Cost based on ________% of __________________ price.
•
Include restrictions on maintenance.
Travel Costs Provide a description of the basis on which travel and living expenses will be calculated for any support personnel who may be assigned to this project. Based upon these expense factors, provide an estimate of the travel and overhead costs associated with the work estimates and fee quotations provided above. No allowances will be made for travel time. •
Indicate estimated sub-total travel expenses.
g) Other Costs If there are other billable expenses associated with the execution of this project, please describe these and estimate their costs. •
Indicate estimated sub-total of other costs.
Page 30 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System
III. PROPOSER REPRESENTATIONS (Submit with Technical Proposal) Each Proposer by making its proposal represents that: 1. The proposal document and requirements have been read and understood by the proposer. 2. The proposal is based upon the items described in the RFP documents and requirements without exceptions. 3. Pursuant to Massachusetts General Law, Chapter 7, Section 22 (20), I certify under penalties of perjury that this proposal is in all respects bona fide, fair, and made without collusion or fraud with any person. As used in this certification the word “person” means any natural person, joint venture, partnership, corporation or other business or legal entity. 4. The contents of the proposal have not been disclosed by the proposer nor to the best of its knowledge and belief, by any of its employees or agents, to any person not an employee or agent of the proposer, or its surety on any bond furnished herewith, and will not be disclosed to any such person prior to the opening of proposals. 5. No attempt has been made or will be made to induce any other person or firm not to submit a proposal. 6. The proposer hereby agrees to furnish the services pursuant to all requirements and specifications contained in this document. 7. The proposer further agrees that the language of this document shall govern in the event of a conflict with the proposer’s proposal. By: ____________________________________________________ Authorized Signature ______________________________________________________ Print Name ______________________________________________________ Title ______________________________________________________ Company Name Page 31 of 32
RFP No. 2 (FY15-3-2) Student Recruitment System ______________________________________________________ Social Security Number or Employer Identification Number ______________________________________________________ Street Address ______________________________________________________ City, State, Zip Code ______________________________________________________ Phone End of RFP
Page 32 of 32
Appendix A: COMMONWEALTH OF MASSACHUSETTS ~ STANDARD CONTRACT FORM This form is jointly issued and published by the Executive Office for Administration and Finance (ANF), the Office of the Comptroller (CTR) and the Operational Services Division (OSD) as the default contract for all Commonwealth Departments when another form is not prescribed by regulation or policy. Any changes to the official printed language of this form shall be void. Additional non-conflicting terms may be added by Attachment. Contractors may not require any additional agreements, engagement letters, contract forms or other additional terms as part of this Contract without prior Department approval. Click on hyperlinks for definitions, instructions and legal requirements that are incorporated by reference into this Contract. An electronic copy of this form is available at www.mass.gov/osc under Guidance For Vendors - Forms or www.mass.gov/osd under OSD Forms. CONTRACTOR LEGAL NAME:
COMMONWEALTH DEPARTMENT NAME:
(and d/b/a):
MMARS Department Code:
Legal Address: (W-9, W-4,T&C):
Business Mailing Address:
Contract Manager:
Billing Address (if different):
E-Mail:
Contract Manager:
Phone:
Fax:
E-Mail:
Contractor Vendor Code:
Phone:
Vendor Code Address ID (e.g. “AD001”): AD
.
Fax:
MMARS Doc ID(s):
(Note: The Address Id Must be set up for EFT payments.)
RFR/Procurement or Other ID Number:
___ NEW CONTRACT
___ CONTRACT AMENDMENT
PROCUREMENT OR EXCEPTION TYPE: (Check one option only) __ Statewide Contract (OSD or an OSD-designated Department) __ Collective Purchase (Attach OSD approval, scope, budget) __ Department Procurement (includes State or Federal grants 815 CMR 2.00) (Attach RFR and Response or other procurement supporting documentation) __ Emergency Contract (Attach justification for emergency, scope, budget) __ Contract Employee (Attach Employment Status Form, scope, budget) __ Legislative/Legal or Other: (Attach authorizing language/justification, scope and budget)
Enter Current Contract End Date Prior to Amendment: , 20 . Enter Amendment Amount: $ . (or “no change”) AMENDMENT TYPE: (Check one option only. Attach details of Amendment changes.) __ Amendment to Scope or Budget (Attach updated scope and budget) __ Interim Contract (Attach justification for Interim Contract and updated scope/budget) __ Contract Employee (Attach any updates to scope or budget) __ Legislative/Legal or Other: (Attach authorizing language/justification and updated scope and budget)
The following COMMONWEALTH TERMS AND CONDITIONS (T&C) has been executed, filed with CTR and is incorporated by reference into this Contract. __ Commonwealth Terms and Conditions __ Commonwealth Terms and Conditions For Human and Social Services COMPENSATION: (Check ONE option): The Department certifies that payments for authorized performance accepted in accordance with the terms of this Contract will be supported in the state accounting system by sufficient appropriations or other non-appropriated funds, subject to intercept for Commonwealth owed debts under 815 CMR 9.00. __ Rate Contract (No Maximum Obligation. Attach details of all rates, units, calculations, conditions or terms and any changes if rates or terms are being amended.) __ Maximum Obligation Contract Enter Total Maximum Obligation for total duration of this Contract (or new Total if Contract is being amended). $ . PROMPT PAYMENT DISCOUNTS (PPD): Commonwealth payments are issued through EFT 45 days from invoice receipt. Contractors requesting accelerated payments must identify a PPD as follows: Payment issued within 10 days __% PPD; Payment issued within 15 days __ % PPD; Payment issued within 20 days __ % PPD; Payment issued within 30 days __% PPD. If PPD percentages are left blank, identify reason: __agree to standard 45 day cycle __ statutory/legal or Ready Payments (G.L. c. 29, § 23A); __ only initial payment (subsequent payments scheduled to support standard EFT 45 day payment cycle. See Prompt Pay Discounts Policy.) BRIEF DESCRIPTION OF CONTRACT PERFORMANCE or REASON FOR AMENDMENT: (Enter the Contract title, purpose, fiscal year(s) and a detailed description of the scope of performance or what is being amended for a Contract Amendment. Attach all supporting documentation and justifications.)
ANTICIPATED START DATE: (Complete ONE option only) The Department and Contractor certify for this Contract, or Contract Amendment, that Contract obligations: __ 1. may be incurred as of the Effective Date (latest signature date below) and no obligations have been incurred prior to the Effective Date. __ 2. may be incurred as of , 20 , a date LATER than the Effective Date below and no obligations have been incurred prior to the Effective Date. __3. were incurred as of , 20 , a date PRIOR to the Effective Date below, and the parties agree that payments for any obligations incurred prior to the Effective Date are authorized to be made either as settlement payments or as authorized reimbursement payments, and that the details and circumstances of all obligations under this Contract are attached and incorporated into this Contract. Acceptance of payments forever releases the Commonwealth from further claims related to these obligations. CONTRACT END DATE: Contract performance shall terminate as of , 20 , with no new obligations being incurred after this date unless the Contract is properly amended, provided that the terms of this Contract and performance expectations and obligations shall survive its termination for the purpose of resolving any claim or dispute, for completing any negotiated terms and warranties, to allow any close out or transition performance, reporting, invoicing or final payments, or during any lapse between amendments. CERTIFICATIONS: Notwithstanding verbal or other representations by the parties, the “Effective Date” of this Contract or Amendment shall be the latest date that this Contract or Amendment has been executed by an authorized signatory of the Contractor, the Department, or a later Contract or Amendment Start Date specified above, subject to any required approvals. The Contractor makes all certifications required under the attached Contractor Certifications (incorporated by reference if not attached hereto) under the pains and penalties of perjury, agrees to provide any required documentation upon request to support compliance, and agrees that all terms governing performance of this Contract and doing business in Massachusetts are attached or incorporated by reference herein according to the following hierarchy of document precedence, the applicable Commonwealth Terms and Conditions, this Standard Contract Form including the Instructions and Contractor Certifications, the Request for Response (RFR) or other solicitation, the Contractor’s Response, and additional negotiated terms, provided that additional negotiated terms will take precedence over the relevant terms in the RFR and the Contractor’s Response only if made using the process outlined in 801 CMR 21.07, incorporated herein, provided that any amended RFR or Response terms result in best value, lower costs, or a more cost effective Contract. AUTHORIZING SIGNATURE FOR THE CONTRACTOR: X:
AUTHORIZING SIGNATURE FOR THE COMMONWEALTH:
. Date: . (Signature and Date Must Be Handwritten At Time of Signature)
X:
. Date: . (Signature and Date Must Be Handwritten At Time of Signature)
Print Name:
.
Print Name:
.
Print Title:
.
Print Title:
.
(Updated 3/21/2014)
Page 1 of 5
Appendix A: COMMONWEALTH OF MASSACHUSETTS ~ STANDARD CONTRACT FORM INSTRUCTIONS AND CONTRACTOR CERTIFICATIONS The following instructions and terms are incorporated by reference and apply to this Standard Contract Form. Text that appears underlined indicates a "hyperlink" to an Internet or bookmarked site and are unofficial versions of these documents and Departments and Contractors should consult with their legal counsel to ensure compliance with all legal requirements. Using the Web Toolbar will make navigation between the form and the hyperlinks easier. Please note that not all applicable laws have been cited. CONTRACTOR LEGAL NAME (AND D/B/A): Enter the Full Legal Name of the Contractor's business as it appears on the Contractor's W-9 or W-4 Form (Contract Employees only) and the applicable Commonwealth Terms and Conditions If Contractor also has a “doing business as” (d/b/a) name, BOTH the legal name and the “d/b/a” name must appear in this section. Contractor Legal Address: Enter the Legal Address of the Contractor as it appears on the Contractor's W-9 or W-4 Form (Contract Employees only) and the applicable Commonwealth Terms and Conditions, which must match the legal address on the 1099I table in MMARS (or the Legal Address in HR/CMS for Contract Employee). Contractor Contract Manager: Enter the authorized Contract Manager who will be responsible for managing the Contract. The Contract Manager should be an Authorized Signatory or, at a minimum, a person designated by the Contractor to represent the Contractor, receive legal notices and negotiate ongoing Contract issues. The Contract Manager is considered “Key Personnel” and may not be changed without the prior written approval of the Department. If the Contract is posted on COMMBUYS, the name of the Contract Manager must be included in the Contract on COMMBUYS. Contractor E-Mail Address/Phone/Fax: Enter the electronic mail (e-mail) address, phone and fax number of the Contractor Contract Manager. This information must be kept current by the Contractor to ensure that the Department can contact the Contractor and provide any required legal notices. Notice received by the Contract Manager (with confirmation of actual receipt) through the listed address, fax number(s) or electronic mail address will meet any written legal notice requirements. Contractor Vendor Code: The Department must enter the MMARS Vendor Code assigned by the Commonwealth. If a Vendor Code has not yet been assigned, leave this space blank and the Department will complete this section when a Vendor Code has been assigned. The Department is responsible under the Vendor File and W-9s Policy for verifying with authorized signatories of the Contractor, as part of contract execution, that the legal name, address and Federal Tax Identification Number (TIN) in the Contract documents match the state accounting system. Vendor Code Address ID: (e.g., “AD001”) The Department must enter the MMARS Vendor Code Address Id identifying the payment remittance address for Contract payments, which MUST be set up for EFT payments PRIOR to the first payment under the Contract in accordance with the Bill Paying and Vendor File and W-9 policies. COMMONWEALTH DEPARTMENT NAME: Enter the full Department name with the authority to obligate funds encumbered for the Contract. Commonwealth MMARS Alpha Department Code: Enter the three (3) letter MMARS Code assigned to this Commonwealth Department in the state accounting system. Department Business Mailing Address: Enter the address where all formal correspondence to the Department must be sent. Unless otherwise specified in the Contract, legal notice sent or received by the Department’s Contract Manager (with confirmation of actual receipt) through the listed address, fax number(s) or electronic mail address for the Contract Manager will meet any requirements for legal notice. Department Billing Address: Enter the Billing Address or email address if invoices must be sent to a different location. Billing or confirmation of delivery of performance issues should be resolved through the listed Contract Managers. Department Contract Manager: Identify the authorized Contract Manager who will be responsible for managing the Contract, who should be an authorized signatory or an employee designated by the Department to represent the Department to receive legal notices and negotiate ongoing Contract issues. Department E-Mail Address/Phone/Fax: Enter the electronic mail (e-mail) address, phone and fax number of the Department Contract Manager. Unless otherwise specified in the Contract, legal notice sent or received by the Contract Manager (with confirmation of actual receipt) through the listed address, fax number(s) or electronic mail address will meet any requirements for written notice under the Contract. MMARS Document ID(s): Enter the MMARS 20 character encumbrance transaction number associated with this Contract which must remain the same for the life of the Contract. If multiple numbers exist for this Contract, identify all Doc Ids. RFR/Procurement or Other ID Number or Name: Enter the Request for Response (RFR) or other Procurement Reference number, Contract ID Number or other reference/tracking number for this Contract or Amendment and will be entered into the Board Award Field in the MMARS encumbrance transaction for this Contract. NEW CONTRACTS (left side of Form):
Complete this section ONLY if this Contract is brand new. (Complete the CONTRACT AMENDMENT section for any material changes to an existing or an expired Contract, and for exercising options to renew or annual contracts under a multi-year procurement or grant program.) PROCUREMENT OR EXCEPTION TYPE: Check the appropriate type of procurement or exception for this Contract. Only one option can be selected. See State Finance Law and General Requirements, Acquisition Policy and Fixed Assets, the Commodities and Services Policy and the Procurement Information Center (Department Contract Guidance) for details. Statewide Contract (OSD or an OSD-designated Department). Check this option for a Statewide Contract under OSD, or by an OSD-designated Department. Collective Purchase approved by OSD. Check this option for Contracts approved by OSD for collective purchases through federal, state, local government or other entities. Department Contract Procurement. Check this option for a Department procurement including state grants and federal sub-grants under 815 CMR 2.00 and State Grants and Federal Subgrants Policy, Departmental Master Agreements (MA). If multi-Department user Contract, identify multi-Department use is allowable in Brief Description. Emergency Contract. Check this option when the Department has determined that an unforeseen crisis or incident has arisen which requires or mandates immediate purchases to avoid substantial harm to the functioning of government or the provision of necessary or mandated services or whenever the health, welfare or safety of clients or other persons or serious damage to property is threatened. Contract Employee. Check this option when the Department requires the performance of an Individual Contractor, and when the planned Contract performance with an Individual has been classified using the Employment Status Form (prior to the Contractor's selection) as work of a Contract Employee and not that of an Independent Contractor. Legislative/Legal or Other. Check this option when legislation, an existing legal obligation, prohibition or other circumstance exempts or prohibits a Contract from being competitively procured, or identify any other procurement exception not already listed. Legislative “earmarks” exempt the Contract solely from procurement requirements, and all other Contract and state finance laws and policies apply. Supporting documentation must be attached to explain and justify the exemption. CONTRACT AMENDMENT (Right Side of Form)
Complete this section for any Contract being renewed, amended or to continue a lapsed Contract. All Contracts with available options to renew must be amended referencing the original procurement and Contract doc ids, since all continuing contracts must be maintained in the same Contract file (even if the underlying appropriation changes each fiscal year.) “See Amendments, Suspensions, and Termination Policy.) Enter Current Contract End Date: Enter the termination date of the Current Contract being amended, even if this date has already passed. (Note: Current Start Date is not requested since this date does not change and is already recorded in MMARS.) Enter Amendment Amount: Enter the amount of the Amendment increase or decrease to a Maximum Obligation Contract. Enter “no change” for Rate Contracts or if no change. AMENDMENT TYPE: Identify the type of Amendment being done. Documentation supporting the updates to performance and budget must be attached. Amendment to Scope or Budget. Check this option when renewing a Contract or executing any Amendment (“material change” in Contract terms) even if the Contract has lapsed. The parties may negotiate a change in any element of Contract performance or cost identified in the RFR or the Contractor’s response which results in lower costs, or a more costeffective or better value performance than was presented in the original selected response, provided the negotiation results in a better value within the scope of the RFR than what was proposed by the Contractor in the original selected response. Any “material” change in the Contract terms must be memorialized in a formal Amendment even if a corresponding MMARS transaction is not needed to support the change. Additional negotiated terms will take precedence over the relevant terms in the RFR and the Contractor’s Response only if made using the process outlined in 801 CMR 21.07, incorporated herein, provided that any amended RFR or Response terms result in best value, lower costs, or a more cost effective Contract. Interim Contracts. Check this option for an Interim Contract to prevent a lapse of Contract performance whenever an existing Contract is being re-procured but the new procurement has not been completed, to bridge the gap during implementation between an expiring and a new procurement, or to contract with an interim Contractor when a current Contractor is unable to complete full performance under a Contract. Contract Employee. Check this option when the Department requires a renewal or other amendment to the performance of a Contract Employee. Legislative/Legal or Other. Check this option when legislation, an existing legal obligation, prohibition or other circumstance exempts or prohibits a Contract from being competitively procured, or identify any other procurement exception not already listed. Legislative “earmarks” exempt the Contract solely from procurement requirements, and all other Contract and state finance laws and policies apply. Attach supporting documentation to explain and justify the exemption and whether Contractor selection has been publicly (Updated 3/21/2014) Page 2 of 5
Appendix A: COMMONWEALTH OF MASSACHUSETTS ~ STANDARD CONTRACT FORM posted.
CONTRACT END DATE
COMMONWEALTH TERMS AND CONDITIONS Identify which Commonwealth Terms and Conditions the Contractor has executed and is incorporated by reference into this Contract. This Form is signed only once and recorded on the Vendor Customer File (VCUST). See Vendor File and W-9s Policy. COMPENSATION
The Department must enter the date that Contract performance will terminate. If the Contract is being amended and the Contract End Date is not changing, this date must be re-entered again here. A Contract must be signed for at least the initial duration but not longer than the period of procurement listed in the RFR, or other solicitation document (if applicable). No new performance is allowable beyond the end date without an amendment, but the Department may allow a Contractor to complete minimal close out performance obligations if substantial performance has been made prior to the termination date of the Contract and prior to the end of the fiscal year in which payments are appropriated, provided that any close out performance is subject to appropriation and funding limits under state finance law, and CTR may adjust encumbrances and payments in the state accounting system to enable final close out payments. Performance dates are subject to G.L. c.4, § 9.
Identify if the Contract is a Rate Contract (with no stated Maximum Obligation) or a Maximum Obligation Contract (with a stated Maximum Obligation) and identify the Maximum Obligation. If the Contract is being amended, enter the new Maximum Obligation based upon the increase or decreasing Amendment. The Total Maximum Obligation must reflect the total funding for the dates of service under the contract, including the Amendment amount if the Contract is being amended. The Maximum Obligation must match the MMARS encumbrance. Funding and allotments must be CERTIFICATIONS AND EXECUTION verified as available and encumbered prior to incurring obligations. If a Contract includes both a Maximum Obligation component and Rate Contract component, check off both, See Department Head Signature Authorization Policy and the Contractor Authorized specific Maximum Obligation amounts or amended amounts and Attachments must clearly Signatory Listing for policies on Contractor and Department signatures. outline the Contract breakdown to match the encumbrance. Authorizing Signature for Contractor/Date: The Authorized Contractor Signatory must (in their own handwriting and in ink) sign AND enter the date the Contract is signed. See PAYMENTS AND PROMPT PAY DISCOUNTS section above under “Anticipated Contract Start Date”. Acceptance of payment by the Payments are processed within a 45 day payment cycle through EFT in accordance with Contractor shall waive any right of the Contractor to claim the Contract/Amendment is not the Commonwealth Bill Paying Policy for investment and cash flow purposes. valid and the Contractor may not void the Contract. Rubber stamps, typed or other Departments may NOT negotiate accelerated payments and Payees are NOT entitled to images are not acceptable. Proof of Contractor signature authorization on a Contractor accelerated payments UNLESS a prompt payment discount (PPD) is provided to support Authorized Signatory Listing may be required by the Department if not already on file. the Commonwealth’s loss of investment earnings for this earlier payment, or unless a payments is legally mandated to be made in less than 45 days (e.g., construction Contractor Name /Title: The Contractor Authorized Signatory’s name and title must contracts, Ready Payments under G.L. c. 29, s. 23A). See Prompt Pay Discounts Policy. appear legibly as it appears on the Contractor Authorized Signatory Listing. PPD are identified as a percentage discount which will be automatically deducted when an Authorizing Signature For Commonwealth/Date: The Authorized Department Signatory accelerated payment is made. Reduced contracts rates may not be negotiated to replace a must (in their own handwriting and in ink) sign AND enter the date the Contract is signed. PPD. If PPD fields are left blank please identify that the Contractor agrees to the standard See section above under “Anticipated Start Date”. Rubber stamps, typed or other 45 day cycle; a statutory/legal exemption such as Ready Payments (G.L. c. 29, § 23A); or images are not accepted. The Authorized Signatory must be an employee within the only an initial accelerated payment for reimbursements or start up costs for a grant, with Department legally responsible for the Contract. See Department Head Signature subsequent payments scheduled to support standard EFT 45 day payment cycle. Financial Authorization. The Department must have the legislative funding appropriated for all the hardship is not a sufficient justification to accelerate cash flow for all payments under a costs of this Contract or funding allocated under an approved Interdepartmental Service Contract. Initial grant or contract payments may be accelerated for the first invoice or initial Agreement (ISA). A Department may not contract for performance to be delivered to or by grant installment, but subsequent periodic installments or invoice payments should be another state department without specific legislative authorization (unless this Contract is a scheduled to support the Payee cash flow needs and the standard 45 day EFT payment Statewide Contract). For Contracts requiring Secretariat signoff, evidence of Secretariat cycle in accordance with the Bill Paying Policy. Any accelerated payment that does not signoff must be included in the Contract file. provide for a PPD must have a legal justification in Contract file for audit purposes Department Name /Title: Enter the Authorized Signatory’s name and title legibly. explaining why accelerated payments were allowable without a PPD. CONTRACTOR CERTIFICATIONS AND LEGAL REFERENCES BRIEF DESCRIPTION OF CONTRACT PERFORMANCE Enter a brief description of the Contract performance, project name and/or other identifying information for the Contract to specifically identify the Contract performance, match the Contract with attachments, determine the appropriate expenditure code (as listed in the Expenditure Classification Handbook) or to identify or clarify important information related to the Contract such as the Fiscal Year(s) of performance (ex. “FY2012” or “FY2012-14”). Identify settlements or other exceptions and attach more detailed justification and supporting documents. Enter “Multi-Department Use” if other Departments can access procurement. For Amendments, identify the purpose and what items are being amended. Merely stating "see attached" or referencing attachments without a narrative description of performance is insufficient. ANTICIPATED START DATE The Department and Contractor must certify WHEN obligations under this Contract/Amendment may be incurred. Option 1 is the default option when performance may begin as of the Effective Date (latest signature date and any required approvals). If the parties want a new Contract or renewal to begin as of the upcoming fiscal year then list the fiscal year(s) (ex. “FY2012” or “FY2012-14”) in the Brief Description section. Performance starts and encumbrances reflect the default Effective Date (if no FY is listed) or the later FY start date (if a FY is listed). Use Option 2 only when the Contract will be signed well in advance of the start date and identify a specific future start date. Do not use Option 2 for a fiscal year start unless it is certain that the Contract will be signed prior to fiscal year. Option 3 is used in lieu of the Settlement and Release Form when the Contract/Amendment is signed late, and obligations have already been incurred by the Contractor prior to the Effective Date for which the Department has either requested, accepted or deemed legally eligible for reimbursement, and the Contract includes supporting documents justifying the performance or proof of eligibility, and approximate costs. Any obligations incurred outside the scope of the Effective Date under any Option listed, even if the incorrect Option is selected, shall be automatically deemed a settlement included under the terms of the Contract and upon payment to the Contractor will release the Commonwealth from further obligations for the identified performance. All settlement payments require justification and must be under same encumbrance and object codes as the Contract payments. Performance dates are subject to G.L. c.4, § 9.
Notwithstanding verbal or other representations by the parties, the “Effective Date” of this Contract or Amendment shall be the latest date that this Contract or Amendment has been executed by an authorized signatory of the Contractor, the Department, or a later Contract or Amendment Start Date specified, subject to any required approvals. The Contractor makes all certifications required under this Contract under the pains and penalties of perjury, and agrees to provide any required documentation upon request to support compliance, and agrees that all terms governing performance of this Contract and doing business in Massachusetts are attached or incorporated by reference herein: Commonwealth and Contractor Ownership RIghts. The Contractor certifies and agrees that the Commonwealth is entitled to ownership and possession of all “deliverables” purchased or developed with Contract funds. A Department may not relinquish Commonwealth rights to deliverables nor may Contractors sell products developed with Commonwealth resources without just compensation. The Contract should detail all Commonwealth deliverables and ownership rights and any Contractor proprietary rights. Qualifications. The Contractor certifies it is qualified and shall at all times remain qualified to perform this Contract; that performance shall be timely and meet or exceed industry standards for the performance required, including obtaining requisite licenses, registrations, permits, resources for performance, and sufficient professional, liability; and other appropriate insurance to cover the performance. If the Contractor is a business, the Contractor certifies that it is listed under the Secretary of State’s website as licensed to do business in Massachusetts, as required by law. Business Ethics and Fraud, Waste and Abuse Prevention. The Contractor certifies that performance under this Contract, in addition to meeting the terms of the Contract, will be made using ethical business standards and good stewardship of taxpayer and other public funding and resources to prevent fraud, waste and abuse. Collusion. The Contractor certifies that this Contract has been offered in good faith and without collusion, fraud or unfair trade practices with any other person, that any actions to avoid or frustrate fair and open competition are prohibited by law, and shall be grounds for rejection or disqualification of a Response or termination of this Contract. Public Records and Access The Contractor shall provide full access to records related to performance and compliance to the Department and officials listed under Executive Order 195 and G.L. c. 11, s.12 seven (7) years beginning on the first day after the final payment
(Updated 3/21/2014)
Page 3 of 5
Appendix A: COMMONWEALTH OF MASSACHUSETTS ~ STANDARD CONTRACT FORM under this Contract or such longer period necessary for the resolution of any litigation, claim, negotiation, audit or other inquiry involving this Contract. Access to view Contractor records related to any breach or allegation of fraud, waste and/or abuse may not be denied and Contractor can not claim confidentiality or trade secret protections solely for viewing but not retaining documents. Routine Contract performance compliance reports or documents related to any alleged breach or allegation of non-compliance, fraud, waste, abuse or collusion may be provided electronically and shall be provided at Contractor’s own expense. Reasonable costs for copies of non-routine Contract related records shall not exceed the rates for public records under 950 C.M.R. 32.00. Debarment. The Contractor certifies that neither it nor any of its subcontractors are currently debarred or suspended by the federal or state government under any law or regulation including, Executive Order 147; G.L. c. 29, s. 29F G.L. c.30, § 39R, G.L. c.149, § 27C, G.L. c.149, § 44C, G.L. c.149, § 148B and G.L. c. 152, s. 25C. Applicable Laws. The Contractor shall comply with all applicable state laws and regulations including but not limited to the applicable Massachusetts General Laws; the Official Code of Massachusetts Regulations; Code of Massachusetts Regulations (unofficial); 801 CMR 21.00 (Procurement of Commodity and Service Procurements, Including Human and Social Services); 815 CMR 2.00 (Grants and Subsidies); 808 CMR 1.00 (Compliance, Reporting and Auditing for Human And Social Services); AICPA Standards; confidentiality of Department records under G.L. c. 66A; and the Massachusetts Constitution Article XVIII if applicable. Invoices. The Contractor must submit invoices in accordance with the terms of the Contract and the Commonwealth Bill Paying Policy. Contractors must be able to reconcile and properly attribute concurrent payments from multiple Departments. Final invoices in any fiscal year must be submitted no later than August 15th for performance made and received (goods delivered, services completed) prior to June 30th, in order to make payment for that performance prior to the close of the fiscal year to prevent reversion of appropriated funds. Failure to submit timely invoices by August 15th or other date listed in the Contract shall authorize the Department to issue an estimated payment based upon the Department’s determination of performance delivered and accepted. The Contractor’s acceptance of this estimated payment releases the Commonwealth from further claims for these invoices. If budgetary funds revert due to the Contractor’s failure to submit timely final invoices, or for disputing an estimated payment, the Department may deduct a penalty up to 10% from any final payment in the next fiscal year for failure to submit timely invoices. Payments Subject To Appropriation. Pursuant to G.L. c. 29 § 26, § 27 and § 29, Departments are required to expend funds only for the purposes set forth by the Legislature and within the funding limits established through appropriation, allotment and subsidiary, including mandated allotment reductions triggered by G.L. c. 29, § 9C. A Department cannot authorize or accept performance in excess of an existing appropriation and allotment, or sufficient non-appropriated available funds. Any oral or written representations, commitments, or assurances made by the Department or any other Commonwealth representative are not binding. The Commonwealth has no legal obligation to compensate a Contractor for performance that is not requested and is intentionally delivered by a Contractor outside the scope of a Contract. Contractors should verify funding prior to beginning performance. Intercept. Contractors may be registered as Customers in the Vendor file if the Contractor owes a Commonwealth debt. Unresolved and undisputed debts, and overpayments of Contract payments that are not reimbursed timely shall be subject to intercept pursuant to G.L. c. 7A, s. 3 and 815 CMR 9.00. Contract overpayments will be subject to immediate intercept or payment offset. The Contractor may not penalize any state Department or assess late fees, cancel a Contract or other services if amounts are intercepted or offset due to recoupment of an overpayment, outstanding taxes, child support, other overdue debts or Contract overpayments. Tax Law Compliance. The Contractor certifies under the pains and penalties of perjury tax compliance with Federal tax laws; state tax laws including but not limited to G.L. c. 62C, G.L. c. 62C, s. 49A; compliance with all state tax laws, reporting of employees and contractors, withholding and remitting of tax withholdings and child support and is in good standing with respect to all state taxes and returns due; reporting of employees and contractors under G.L. c. 62E, withholding and remitting child support including G.L. c. 119A, s. 12; TIR 05-11; New Independent Contractor Provisions and applicable TIRs. Bankruptcy, Judgments, Potential Structural Changes, Pending Legal Matters and Conflicts. The Contractor certifies it has not been in bankruptcy and/or receivership within the last three calendar years, and the Contractor certifies that it will immediately notify the Department in writing at least 45 days prior to filing for bankruptcy and/or receivership, any potential structural change in its organization, or if there is any risk to the solvency of the Contractor that may impact the Contractor’s ability to timely fulfill the terms of this Contract or Amendment. The Contractor certifies that at any time during the period of the Contract the Contractor is required to affirmatively disclose in writing to the Department Contract Manager the details of any judgment, criminal conviction, investigation or litigation pending against the Contractor or any of its officers, directors, employees, agents, or subcontractors, including any potential conflicts of interest of which the Contractor has knowledge, or learns of during the Contract term. Law firms or Attorneys providing legal
services are required to identify any potential conflict with representation of any Department client in accordance with Massachusetts Board of Bar Overseers (BBO) rules. Federal Anti-Lobbying and Other Federal Requirements. If receiving federal funds, the Contractor certifies compliance with federal anti-lobbying requirements including 31 USC 1352; other federal requirements; Executive Order 11246; Air Pollution Act; Federal Water Pollution Control Act and Federal Employment Laws. Protection of Personal Data and Information. The Contractor certifies that all steps will be taken to ensure the security and confidentiality of all Commonwealth data for which the Contractor becomes a holder, either as part of performance or inadvertently during performance, with special attention to restricting access, use and disbursement of personal data and information under G.L. c. 93H and c. 66A and Executive Order 504. The Contractor is required to comply with G.L. c. 93I for the proper disposal of all paper and electronic media, backups or systems containing personal data and information, provided further that the Contractor is required to ensure that any personal data or information transmitted electronically or through a portable device be properly encrypted using (at a minimum) Information Technology Division (ITD) Protection of Sensitive Information, provided further that any Contractor having access to credit card or banking information of Commonwealth customers certifies that the Contractor is PCI compliant in accordance with the Payment Card Industry Council Standards and shall provide confirmation compliance during the Contract, provide further that the Contractor shall immediately notify the Department in the event of any security breach including the unauthorized access, disbursement, use or disposal of personal data or information, and in the event of a security breach, the Contractor shall cooperate fully with the Commonwealth and provide access to any information necessary for the Commonwealth to respond to the security breach and shall be fully responsible for any damages associated with the Contractor’s breach including but not limited to G.L. c. 214, s. 3B. Corporate and Business Filings and Reports. The Contractor certifies compliance with any certification, filing, reporting and service of process requirements of the Secretary of the Commonwealth, the Office of the Attorney General or other Departments as related to its conduct of business in the Commonwealth; and with its incorporating state (or foreign entity). Employer Requirements. Contractors that are employers certify compliance with applicable state and federal employment laws or regulations, including but not limited to G.L. c. 5, s. 1 (Prevailing Wages for Printing and Distribution of Public Documents); G.L. c. 7, s. 22 (Prevailing Wages for Contracts for Meat Products and Clothing and Apparel); minimum wages and prevailing wage programs and payments; unemployment insurance and contributions; workers’ compensation and insurance, child labor laws, AGO fair labor practices; G.L. c. 149 (Labor and Industries); G.L. c. 150A (Labor Relations); G.L. c. 151 and 455 CMR 2.00 (Minimum Fair Wages); G.L. c. 151A (Employment and Training); G. L. c. 151B (Unlawful Discrimination); G.L. c. 151E (Business Discrimination); G.L. c. 152 (Workers’ Compensation); G.L. c.153 (Liability for Injuries); 29 USC c. 8 (Federal Fair Labor Standards); 29 USC c. 28 and the Federal Family and Medical Leave Act. Federal And State Laws And Regulations Prohibiting Discrimination including but not limited to the Federal Equal Employment Oppurtunity (EEO) Laws the Americans with Disabilities Act,; 42 U.S.C Sec. 12,101, et seq., the Rehabilitation Act, 29 USC c. 16 s. 794; 29 USC c. 16. s. 701; 29 USC c. 14, 623; the 42 USC c. 45; (Federal Fair Housing Act); G. L. c. 151B (Unlawful Discrimination); G.L. c. 151E (Business Discrimination); the Public Accommodations Law G.L. c. 272, s. 92A; G.L. c. 272, s. 98 and 98A, Massachusetts Constitution Article CXIV and G.L. c. 93, s. 103; 47 USC c. 5, sc. II, Part II, s. 255 (Telecommunication Act; Chapter 149, Section 105D, G.L. c. 151C, G.L. c. 272, Section 92A, Section 98 and Section 98A, and G.L. c. 111, Section 199A, and Massachusetts Disability-Based Non-Discrimination Standards For Executive Branch Entities, and related Standards and Guidance, authorized under Massachusetts Executive Order or any disability-based protection arising from state or federal law or precedent. See also MCAD and MCAD links and Resources. Small Business Purchasing Program (SBPP). A Contractor may be eligible to participate in the SBPP, created pursuant to Executive Order 523, if qualified through the SBPP COMMBUYS subscription process at: www.commbuys.com and with acceptance of the terms of the SBPP participation agreement. Limitation of Liability for Information Technology Contracts (and other Contracts as Authorized). The Information Technology Mandatory Specifications and the IT Acquisition Accessibility Contract Language are incorporated by reference into Information Technology Contracts. The following language will apply to Information Technology contracts in the U01, U02, U03, U04, U05, U06, U07, U08, U09, U10, U75, U98 object codes in the Expenditure Classification Handbook or other Contracts as approved by CTR or OSD. Pursuant to Section 11. Indemnification of the Commonwealth Terms and Conditions, the term “other damages” shall include, but shall not be limited to, the reasonable costs the Commonwealth incurs to repair, return, replace or seek cover (purchase of comparable substitute commodities and services) under a Contract. “Other damages” shall not include damages to the Commonwealth as a result of third party claims, provided, however, that the foregoing in no way limits the Commonwealth’s right of recovery for personal injury or property damages or patent and copyright infringement under Section 11 nor the
(Updated 3/21/2014)
Page 4 of 5
Appendix A: COMMONWEALTH OF MASSACHUSETTS ~ STANDARD CONTRACT FORM Commonwealth’s ability to join the contractor as a third party defendant. Further, the term companies contracting with the Commonwealth. A privatization contract shall “other damages” shall not include, and in no event shall the contractor be liable for, be deemed to include a specific prohibition against the hiring at any time during the term of damages for the Commonwealth’s use of contractor provided products or services, loss of Contract, and for any position in the Contractor's company, any state management Commonwealth records, or data (or other intangible property), loss of use of equipment, employee who is, was, or will be involved in the preparation of the RFP, the negotiations lost revenue, lost savings or lost profits of the Commonwealth. In no event shall “other leading to the awarding of the Contract, the decision to award the Contract, and/or the damages” exceed the greater of $100,000, or two times the value of the product or service supervision or oversight of performance under the Contract. (as defined in the Contract scope of work) that is the subject of the claim. Section 11 sets Executive Order 444. Disclosure of Family Relationships With Other State Employees. forth the contractor’s entire liability under a Contract. Nothing in this section shall limit the Each person applying for employment (including Contract work) within the Executive Commonwealth’s ability to negotiate higher limitations of liability in a particular Contract, Branch under the Governor must disclose in writing the names of all immediate family provided that any such limitation must specifically reference Section 11 of the related to immediate family by marriage who serve as employees or elected officials of the Commonwealth Terms and Conditions. In the event the limitation of liability conflicts with Commonwealth. All disclosures made by applicants hired by the Executive Branch under accounting standards which mandate that there can be no cap of damages, the limitation the Governor shall be made available for public inspection to the extent permissible by law shall be considered waived for that audit engagement. These terms may be applied to by the official with whom such disclosure has been filed. other Contracts only with prior written confirmation from the Operational Services Division Executive Order 504. Regarding the Security and Confidentiality of Personal Information. or the Office of the Comptroller. The terms in this Clarification may not be modified. For all Contracts involving the Contractor’s access to personal information, as defined in Northern Ireland Certification. Pursuant to G.L. c. 7 s. 22C for state agencies, state G.L. c. 93H, and personal data, as defined in G.L. c. 66A, owned or controlled by authorities, the House of Representatives or the state Senate, by signing this Contract the Executive Department agencies, or access to agency systems containing such information Contractor certifies that it does not employ ten or more employees in an office or other or data (herein collectively “personal information”), Contractor certifies under the pains and facility in Northern Ireland and if the Contractor employs ten or more employees in an office penalties of perjury that the Contractor (1) has read Commonwealth of Massachusetts or other facility located in Northern Ireland the Contractor certifies that it does not Executive Order 504 and agrees to protect any and all personal information; and (2) has discriminate in employment, compensation, or the terms, conditions and privileges of reviewed all of the Commonwealth Information Technology Division’s Security employment on account of religious or political belief; and it promotes religious tolerance Policies. Notwithstanding any contractual provision to the contrary, in connection with the within the work place, and the eradication of any manifestations of religious and other Contractor’s performance under this Contract, for all state agencies in the Executive illegal discrimination; and the Contractor is not engaged in the manufacture, distribution or Department, including all executive offices, boards, commissions, agencies, departments, sale of firearms, munitions, including rubber or plastic bullets, tear gas, armored vehicles or divisions, councils, bureaus, and offices, now existing and hereafter established, the military aircraft for use or deployment in any activity in Northern Ireland. Contractor shall: (1) obtain a copy, review, and comply with the contracting agency’s Pandemic, Disaster or Emergency Performance. In the event of a serious emergency, Information Security Program (ISP) and any pertinent security guidelines, standards, and pandemic or disaster outside the control of the Department, the Department may negotiate policies; (2) comply with all of the Commonwealth of Massachusetts Information emergency performance from the Contractor to address the immediate needs of the Technology Division’s “Security Policies”) (3) communicate and enforce the contracting Commonwealth even if not contemplated under the original Contract or procurement. agency’s ISP and such Security Policies against all employees (whether such employees are direct or contracted) and subcontractors; (4) implement and maintain any other Payments are subject to appropriation and other payment terms. Consultant Contractor Certifications (For Consultant Contracts “HH” and “NN” and reasonable appropriate security procedures and practices necessary to protect personal “U05” object codes subject to G.L. Chapter 29, s. 29A). Contractors must make required information to which the Contractor is given access by the contracting agency from the disclosures as part of the RFR Response or using the Consultant Contractor Mandatory unauthorized access, destruction, use, modification, disclosure or loss; (5) be responsible for the full or partial breach of any of these terms by its employees (whether such Submission Form. Attorneys. Attorneys or firms providing legal services or representing Commonwealth employees are direct or contracted) or subcontractors during or after the term of this Departments may be subject to G.L. c. 30, s. 65, and if providing litigation services must be Contract, and any breach of these terms may be regarded as a material breach of this approved by the Office of the Attorney General to appear on behalf of a Department, and Contract; (6) in the event of any unauthorized access, destruction, use, modification, shall have a continuing obligation to notify the Commonwealth of any conflicts of interest disclosure or loss of the personal information (collectively referred to as the “unauthorized use”): (a) immediately notify the contracting agency if the Contractor becomes aware of the arising under the Contract. Subcontractor Performance. The Contractor certifies full responsibility for Contract unauthorized use; (b) provide full cooperation and access to information necessary for the performance, including subcontractors, and that comparable Contract terms will be contracting agency to determine the scope of the unauthorized use; and (c) provide full included in subcontracts, and that the Department will not be required to directly or cooperation and access to information necessary for the contracting agency and the Contractor to fulfill any notification requirements. Breach of these terms may be regarded indirectly manage subcontractors or have any payment obligations to subcontractors. . as a material breach of this Contract, such that the Commonwealth may exercise any and EXECUTIVE ORDERS all contractual rights and remedies, including without limitation indemnification under For covered Executive state Departments, the Contractor certifies compliance with Section 11 of the Commonwealth’s Terms and Conditions, withholding of payments, applicable Executive Orders (see also Massachusetts Executive Orders), including but not Contract suspension, or termination. In addition, the Contractor may be subject to limited to the specific orders listed below. A breach during period of a Contract may be applicable statutory or regulatory penalties, including and without limitation, those imposed considered a material breach and subject Contractor to appropriate monetary or Contract pursuant to G.L. c. 93H and under G.L. c. 214, § 3B for violations under M.G.L c. 66A. sanctions. Executive Orders 523, 524 and 526. Executive Order 526 (Order Regarding NonExecutive Order 481. Prohibiting the Use of Undocumented Workers on State Contracts. Discrimination, Diversity, Equal Opportunity and Affirmative Action which supersedes For all state agencies in the Executive Branch, including all executive offices, boards, Executive Order 478). Executive Order 524 (Establishing the Massachusetts Supplier commissions, agencies, Departments, divisions, councils, bureaus, and offices, now Diversity Program which supersedes Executive Order 390). Executive Order 523 existing and hereafter established, by signing this Contract the Contractor certifies under (Establishing the Massachusetts Small Business Purchasing Program.) All programs, the pains and penalties of perjury that they shall not knowingly use undocumented workers activities, and services provided, performed, licensed, chartered, funded, regulated, or in connection with the performance of this Contract; that, pursuant to federal requirements, contracted for by the state shall be conducted without unlawful discrimination based on shall verify the immigration status of workers assigned to a Contract without engaging in race, color, age, gender, ethnicity, sexual orientation, gender identity or expression, unlawful discrimination; and shall not knowingly or recklessly alter, falsify, or accept altered religion, creed, ancestry, national origin, disability, veteran’s status (including Vietnam-era or falsified documents from any such worker veterans), or background. The Contractor and any subcontractors may not engage in Executive Order 130. Anti-Boycott. The Contractor warrants, represents and agrees that discriminatory employment practices; and the Contractor certifies compliance with during the time this Contract is in effect, neither it nor any affiliated company, as hereafter applicable federal and state laws, rules, and regulations governing fair labor and defined, participates in or cooperates with an international boycott (See IRC § 999(b)(3)- employment practices; and the Contractor commits to purchase supplies and services from (4), and IRS Audit Guidelines Boycotts) or engages in conduct declared to be unlawful by certified minority or women-owned businesses, small businesses, or businesses owned by G.L. c. 151E, s. 2. A breach in the warranty, representation, and agreement contained in socially or economically disadvantaged persons or persons with disabilities. These this paragraph, without limiting such other rights as it may have, the Commonwealth shall provisions shall be enforced through the contracting agency, OSD, and/or the be entitled to rescind this Contract. As used herein, an affiliated company shall be any Massachusetts Commission Against Discrimination. Any breach shall be regarded as a business entity of which at least 51% of the ownership interests are directly or indirectly material breach of the contract that may subject the contractor to appropriate sanctions. owned by the Contractor or by a person or persons or business entity or entities directly or indirectly owning at least 51% of the ownership interests of the Contractor, or which directly or indirectly owns at least 51% of the ownership interests of the Contractor. Executive Order 346. Hiring of State Employees By State Contractors Contractor certifies compliance with both the conflict of interest law G.L. c. 268A specifically s. 5 (f) and this order; and includes limitations regarding the hiring of state employees by private (Updated 3/21/2014) Page 5 of 5
APPENDIX B THIRD PARTY ACCESS TO PERSONAL, STUDENT OR FINANCIAL INFORMATION
RESTRICTION OF USE OF CONDITENTIAL INFORMATION For purposes of this attachment, “Confidential Information” is defined as any and all information whose collection, disclosure, protection, and disposition is governed by state or federal law or regulation, including, but not limited to, information subject to the Family Educational Rights and Privacy Act (“FERPA”), the Gramm-Leach-Bliley Act (“GLBA”), or Massachusetts General Laws c. 93H. This information includes, but is not limited to, Social Security Numbers, student education records, financial records regarding students (or their parents or sponsors), financial and personal information regarding University employees, and other personally identifiable information identified by law. The Contractor agrees to hold any and all Confidential Information obtained from the University, its students, faculty, staff, or other agents in the performance of this Agreement in strictest confidence, and shall not use or disclose such Confidential Information except as permitted or required by this Agreement or by law or as otherwise agreed to in writing by the University. The Contractor warrants and represents that it shall, at all times, comply with FERPA, GLBA and other applicable federal and state statutes. The contractor also warrants that, in the event of a security breach (within its control) covered by Massachusetts General Laws c. 93H, the Contractor shall bear all responsibility and expense for complying with the disclosure and notification requirements of the statute. The Contractor agrees that it will protect the Confidential Information it receives according to commercially acceptable standards and no less rigorously than it protects its own Confidential Information. Specifically, the Contractor shall implement, maintain, and use appropriate administrative, technical, and physical security measures to preserve the confidentially, integrity, and availability of all electronically managed Confidential Information. The Contractor agrees, upon termination, cancellation, expiration, or other conclusion of this Agreement, within thirty (30) days, to return to the University or if return is not feasible, destroy and not retain any copies (and furnish the University with an appropriate Certificate of Destruction) of any and all Confidential Information that is in its possession. The obligations of this Agreement shall not apply to any information which is/was: (a) already in the public domain through no breach of this Agreement, including but not limited to information available through the University’s website(s); (b) lawfully in the Contractor’s possession prior to receipt from the University, its faculty, staff or students; or (c) received by the Contractor independently from a person or entity free to lawfully disclose such information other than the University, its faculty, staff, or students. 1|P age
IN WITNESS WHEREOF, THE Parties have caused this Agreement to be executed by their respective duly authorized officers as of the date first written above. BRIDGEWATER STATE UNIVERSITY Sig:
___________________________
CONTRACTOR: Sig:
______________________________
Name: ___________________________
Name: _______________________________
Title:
Title:
___________________________
______________________________
2|P age
Appendix C: COMMONWEALTH TERMS AND CONDITIONS This Commonwealth Terms and Conditions form is jointly issued by th e Executive Office for Administration and Finance (ANF), the Office of the Comptroller (CTR) and the Operational Services Division (OSD) for use by all Commonwealth of Massachusetts (“State”) Departments and Contractors. Any changes or electronic alterations by either the Department or the Contractor to the official version of this form, as jointly published by ANF, CTR and OSD, shall be void. Upon execution of these Commonwealth Terms and Conditions by the Contractor and filing as prescribed by the Office of the Comptroller, these Commonwealth Terms and Conditions will be incorporated by reference into any Contract for Commodities and Services executed by the Contractor and any State Department, in the absence of a superseding law or regulation requiring a different Contract form. Performance shall include services rendered, obligations due, costs incurred, commodities and deliverables provided and accepted by the Department, programs provided or other commitments authorized under a Contract. A deliverable shall include any tangible product to be delivered as an element of performance under a Contract. The Commonwealth is entitled to ownership and possession of all deliverables purchased or developed with State funds. Contract shall mean the Standard Contract Form issued jointly by ANF, CTR and OSD. 1. Contract Effective Start Date. Notwithstanding verbal or other representations by the parties, or an earlier start date indicated in a Contract, the effective start date of performance under a Contract shall be the date a Contract has been executed by an authorized signatory of the Contractor, the Department, a later date specified in the Contract or the date of any approvals required by law or regulation, whichever is later. 2. Payments And Compensation. The Contractor shall only be compensated for performance delivered and accepted by the Department in accordance with the specific terms and conditions of a Contract. All Contract payments are subject to appropriation pursuant to M.G.L. C. 29, §26, or the availability of sufficient non-appropriated funds for the purposes of a Contract, and shall be subject to intercept pursuant to M.G.L. C. 7A, §3 and 815 CMR 9.00. Overpayments shall be reimbursed by the Contractor or may be offset by the Department from future payments in accordance with state finance law. Acceptance by the Contractor of any payment or partial payment, without any written objection by the Contractor, shall in each instance operate as a release and discharge of the State from all claims, liabilities or other obligations relating to the performance of a Contract. 3. Contractor Payment Mechanism. All Contractors will be paid using the Payment Voucher System unless a different payment mechanism is required. The Contractor shall timely submit invoices (Payment Vouchers - Form PV) and supporting documentation as prescribed in a Contract. The Department shall review and return rejected invoices within fifteen (15) days of receipt with a written explanation for rejection. Payments shall be made in accordance with the bill paying policy issued by the Office of the Comptroller and 815 CMR 4.00, provided that payment periods listed in a Contract of less than forty-five (45) days from the date of receipt of an invoice shall be effective only to enable a Department to take advantage of early payment incentives and shall not subject any payment made within the forty-five (45) day period to a penalty. The Contractor Payroll System, shall be used only for "Individual Contractors" who have been determined to be "Contract Employees" as a result of the Department's completion of an Internal Revenue Service SS-8 form in accordance with the Omnibus Budget Reconciliation Act (OBRA) 1990, and shall automatically process all state and federal mandated payroll, tax and retirement deductions. 4. Contract Termination Or Suspension. A Contract shall terminate on the date specified in a Contract, unless this date is properly amended in accordance with all applicable laws and regulations prior to this date, or unless terminated or suspended under this Section upon prior written notice to the Contractor. The Department may terminate a Contract without cause and without penalty, or may terminate or suspend a Contract if the Contractor breaches any material term or condition or fails to perform or fulfill any material obligation required by a Contract, or in the event of an elimination of an appropriation or availability of sufficient funds for the purposes of a Contract, or in the event of an unforeseen public emergency mandating immediate Department action. Upon immediate notification to the other party, neither the Department nor the Contractor shall be deemed to be in breach for failure or delay in performance due to Acts of God or other causes factually beyond their control and withou t their fault or negligence. Subcontractor failure to perform or price increases due to market fluctuations or product availability will not be deemed factually beyond the Contractor's control. Page 1. of 2. Sensitivity level – high (when filled in) low (when blank)
5. Written Notice. Any notice shall be deemed delivered and received when submitted in writing in person or when delivered by any other appropriate method evidencing actual receipt by the Department or the Contractor. Any written notice of termination or suspension delivered to the Contractor shall state the effective date and period of the notice, the reasons for the termination or suspension, if applicable, any alleged breach or failure to perform, a reasonable period to cure any alleged breach or failure to perform, if applicable, and any instructions or restrictions concerning allowable activities, costs or expenditures by the Contractor during the notice period. 6. Confidentiality. The Contractor shall comply with M.G.L. C. 66A if the Contractor becomes a "holder" of "personal data". The Contractor shall also protect the physical security and restrict any access to personal or other Department data in the Contractor's possession, or used by the Contractor in the performance of a Contract, which shall include, but is not limited to the Department's public records, documents, files, software, equipment or systems. 7. Record-keeping And Retention, Inspection Of Records. The Contractor shall maintain records, books, files and other data as specified in a Contract and in such detail as shall properly substantiate claims for payment under a Contract, for a minimum retention period of s even (7) years beginning on the first day after the final payment under a Contract, or such longer period as is necessary for the resolution of any litigation, claim, negotiation, audit or other inquiry involving a Contract. The Department shall have access, as well as any parties identified under Executive Order 195, during the Contractor’s regular business hours and upon reasonable prior notice, to such records, including onsite reviews and reproduction of such records at a reasonable expense. 8. Assignment. The Contractor may not assign or delegate, in whole or in part, or otherwise transfer any liability, responsibility, obligation, duty or interest under a Contract, with the exception that the Contractor shall be authorized to assign present and prospective claims for money due to the Contractor pursuant to a Contract in accordance with M.G.L. C. 106, §9-318. The Contractor must provide sufficient notice of assignment and supporting documentation to enable the Department to verify and implement the assignment. Payments to third party assignees will be processed as if such payments were being made directly to the Contractor and these payments will be subject to intercept, offset, counter claims or any other Department rights which are available to the Department or the State against the Contractor. 9. Subcontracting By Contractor. Any subcontract entered into by the Contractor for the purposes of fulfilling the obligations under a C ontract must be in writing, authorized in advance by the Department and shall be consistent with and subject to the provisions of these Commonwealth Terms and Conditions and a Contract. Subcontracts will not relieve or discharge the Contractor from any duty, obligati on, responsibility or liability arising under a Contract. The Department is entitled to copies of all subcontracts and shall not be b ound by any provisions contained in a subcontract to which it is not a party. 10. Affirmative Action, Non-Discrimination In Hiring And Employment. The Contractor shall comply with all federal and state laws, rules and regulations promoting fair employment practices or prohibiting employment discrimination and unfair labor practices and shall not discriminate in the hiring of any applicant for employment nor shall any qualified employee be demoted, discharged or otherwise subject to discrimination in the tenure, position, promotional opportunit ies, wages, benefits or terms and conditions of their employment because of race, color, national origin, ancestry, age, sex, religion, disability, handicap, sexual orientation or for exercising any rights afforded by law. The Contractor commits to purchasing supplies and services from certified minority or women-owned businesses, small businesses or businesses owned by socially or economically disadvantaged persons or persons with disabilities. 11. Indemnification. Unless otherwise exempted by law, the Contractor shall indemnify and hold harmless the State, including the Department, its agents, officers and employees against any and all claims, liabilities and costs for any personal injury or property damages, patent or copyright infringement or other damages that the State may sustain which arise out of or in connection with the Contractor's performance of a Contract, including but not limited to the negligence, reckless or intentional conduct of the Contractor, its agents, officers, employees or subcontractors. The Contractor shall at no time be considered an agent or representative of the Department or the State. After prompt notification of a claim by the State, the Contractor shall have an opportunity to participate in the defense of such claim and any negotiated settlement agreement or judgment. The State shall not be liable for any costs incurred by the Contractor arising under this paragraph. Any indemnification of the Contractor shall be subject to appropriation and applicable law.
Appendix C: COMMONWEALTH TERMS AND CONDITIONS 12. Waivers. Forbearance or indulgence in any form or manner by a party shall not be construed as a waiver, nor in any wa y limit the legal or equitable remedies available to that party. No waiver by either party of any default or breach shall constitute a waiver of any subsequent default or breach. 13. Risk Of Loss. The Contractor shall bear the risk of loss for any Contractor materials used for a Contract and for all deliverables, Department personal or other data which is in the possession of the Contractor or used by the Contractor in the performance of a Contract until possession, ownership and full legal title to the deliverables are transferred to and accepted by the Department. 14. Forum, Choice of Law And Mediation. Any actions arising out of a Contract shall be governed by the laws of Massachusetts, and shall be brought and maintained in a State or federal court in Massachusetts which shall have exclusive jurisdiction thereof. The Department, with the approval of the Attorney General's Office, and the Contractor may agree to voluntary mediation through the Massachusetts Office of Dispute Resolution (MODR) of any Contract dispute and will share the costs of such mediation. No legal or equitable rights of the parties shall be limited by this Section. 15. Contract Boilerplate Interpretation, Severability, Conflicts With Law, Integration. Any amendment or attachment to any Contract which contains conflicting language or has the affect of a deleting, replacing or modifying any printed language of these Commonwealth Terms and Conditions, as officially published by ANF, CTR and OSD, shall be interpreted as superseded by the
official printed language. If any provision of a Contract is found to be superseded by state or federal law or regulation, in whole or in part, then both parties shall be relieved of all obligations under that provision only to the extent necessary to comply with the superseding law, provided however, that the remaining provisions of the Contract, or portions thereof, sh all be enforced to the fullest extent permitted by law. All amendments must be executed by the parties in accordance with Section 1. of these Commonwealth Terms and Conditions and filed with the original record copy of a Contract as prescribed by CTR. The printed language of the Standard Contract Form, as officially published by ANF, CTR and OSD, which incorporates by reference these Commonwealth Terms and Conditions, shall supersede any conflicting verbal or written agreements relating to the performance of a Contract, or attached thereto, including contract forms, purchase orders or invoices of the Contractor. The order of priority of documents to interpret a Contract shall be as follows: the printed language of the Commonwealth Terms and Conditions, the Standard Contract Form, the Department's Request for Response (RFR) solicitation document and the Contractor’s Response to the RFR solicitation, excluding any language stricken by a Department as unacceptable and including any negotiated terms and conditions allowable pursuant to law or regulation. IN WITNESS WHEREOF, The Contractor certify under the pains and penalties of perjury that it shall comply with these Commonwealth Terms and Conditions for any applicable Contract executed with the Commonwealth as certified by their authorized signatory below:
CONTRACTOR AUTHORIZED SIGNATORY: ________________________________________________________________________ (signature) Print Name: ____________________________________________________ Title: __________________________________________________________ Date: __________________________________________________________ (Check One):
_______ Organization
________ Individual
Full Legal Organization or Individual Name: ___________________________________________________________________________ Doing Business As: Name (If Different): _______________________________________________________________________________ Tax Identification Number: ____ ____ ____ ____ ____ ____ ____ ____ ____ Address: _______________________________________________________________________________________________________ Telephone:
_______________________________________ FAX: _______________________________________________________
INSTRUCTIONS FOR FILING THE COMMONWEALTH TERMS AND CONDITIONS A “Request for Verification of Taxation Reporting Information” form (Massachusetts Substitute W-9 Format), that contains the Contractor's correct TIN, name and legal address information, must be on file with the Office of the Comptroller. If the Contractor has not previously filed this form with the Comptroller, or if the information contained on a previously filed form has changed, please fill out a W-9 form and return it attached to the executed COMMONWEALTH TERMS AND CONDITIONS. If the Contractor is responding to a Request for Response (RFR), the COMMONWEALTH TERMS AND CONDITIONS must be submitted with the Response to RFR or as specified in the RFR. Otherwise, Departments or Contractors must timely submit the completed and properly executed COMMONWEALTH TERMS AND CONDITIONS (and the W-9 form if applicable) to the: Payee and Payments Unit, Office of the Comptroller, 9th Floor, One Ashburton Place, Boston, MA 02108 in order to record the filing of this form on the MMARS Vendor File. Contractors are required to execute and file this form only once.
Page 2. of 2. Sensitivity level – high (when filled in) low (when blank)
Appendix D: BSUW-9
BSUW-9
Give form to the Requester. Do not Send to the IRS.
Request for Taxpayer Identification Number and Certification
Form Bridgewater State Univ. Substitute W-9 Form (Sept 2010)
Name (as shown on your income tax return):
Print or Type. See Specific Instructions on page 3.
Business name, if different from above:
Check appropriate box: ____ Individual
____ Sole Proprietor
____ Limited Liability Company
____ Corporation
____ Partnership
____ Limited Liability Corporation
_____ Exempt Payee
Enter the tax classification: ___ D=disregarded entity ____C=corporation ____P=partnership ____ Other (see instructions) _________________________________________________ Legal Address (number, street, and apt. or suite no.)
Remittance Address: (if different from legal address)
City, State and Zip Code:
City, State, Zip Code
Phone No.
Requester’s name and BSU Department (optional)
Part I Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on Line 1 to avoid backup withholding. For individuals, this is your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see Part I Instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to Get a TIN on page 4.
Social Security Number __ __ or Employer Identification Number __
Note: If the account is in more than one name, see the chart on page 4 for guidelines on whose number to enter. Part II Certification Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. I am a U.S. citizen or other U.S. person (defined below). Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the Certification, but you must provide your correct TIN. See the instructions on page 4. Sign Signature of Here U.S. person: ______________________________________________________ Date: ________________ Part III
Business-type Owned (check all that apply)
______ Small Business
_____ Minority
______ Woman
______ Small Disabled
______ Small Veteran
______ Performing Entity
_____ Small Disadvantaged
______ HUB Zone
_____ Small Disabled Veteran
______Certification Type _____________________________________________ Expiration Date ________________ If you have questions on completing this form, please contact Vendor Maintenance at: 508-531-1211. Upon completion of this form, please return to the Bridgewater State University Department you are doing business with.
Bridgewater State University Substitute W-9
Form BSUW-9 (Rev. 09-2010)
General Instructions Section references are to the Internal Revenue Code unless otherwise noted.
Purpose of Form A person who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) to report, for example, income paid to you, real estate transactions, mortgage interest you paid, acquisition or abandonment of secured property, cancellation of debt, or contributions you made to an IRA. Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN to the person requesting it (the requester) and, when applicable, to: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be issued). 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership income from a U.S. trade or business is not subject to the withholding tax on foreign partners’ share of effectively connected income. Note: If a requester gives you a form other than Form W-9 to request your TIN, you must use the requester’s form if it is substantially similar to this Form W-9. Definition of a U.S. Person: For federal tax purposes, you are considered a U.S. person if you are: •
An individual who is a U.S. citizen or U.S. resident alien,
• •
A partnership, corporation, company, or association created or organized in the United State or under the laws of the United States, An estate (other than a foreign estate), or
•
A domestic trust (as defined in Regulations sec. 301.7701-7).
Special rules for partnerships: Partnerships that conduct a trade or business in the United States are generally required to pay a withholding tax on any foreign partners’ share of income from such business. Further, in certain cases where a Form W-9 has not been received, a partnership is required to presume that a partner is a foreign person, and pay the withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business in the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid withholding on your share of partnership income. The person who gives Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net income from the partnership conducting a trade or business in the United Sates is in the following cases:
If you are a U.S. resident alien who is relying on an exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types of income, you must attach a statement to Form W-9 that specifies the following five items: 1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from tax as a nonresident alien. 2. The treaty article addressing the income. 3. The article number (or location) in the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of income that qualifies for the exemption from tax. 5. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China income tax treaty allows an exemption from tax for scholarship income received by a Chinese student temporarily present in the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years. However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States. A Chinese student who qualifies for this exception (under paragraph 2 of the first protocol) and is relying on this exception to claim an exemption from tax on his or her scholarship or fellowship income would attached to Form W-9 a statement that includes this information described above to support that exemption. If you are a nonresident alien or a foreign entity not subject to backup withholding, give the requester the appropriate completed Form W-8. What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS 28% of such payments. This is called “backup withholding”. Payments that may be subject to backup withholding include interest, tax-exempt interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you receive if you give the requester your correct TIN, make the proper certifications, and report all your taxable interest and dividends on your tax return. Payments you receive will be subject to backup withholding if: 1. You do not furnish your TIN to the requester,
•
The U.S. owner of a disregarded entity and not the entity,
•
2. You do not certify your TIN when required (see the Part II instructions on page 3 for details),
The U.S. grantor or other owner of a grantor trust and not the trust, and
3. The IRS tells the requester that you furnished an incorrect TIN,
•
The U.S. trust (other than a grantor trust) and not the beneficiaries of the trust.
4. The IRS tells you that you are subject to backup withholding because you did not report all your interest and dividends on your tax return (for reportable interest and dividends only), or
Foreign person: If you are a foreign person, do not use Form W-9. Instead, use the appropriate Form W-8 (see Publication 515, Withholding of Tax on Nonresident Aliens and Foreign Entities). Nonresident alien who becomes a resident alien: Generally, only a nonresident alien individual may use the terms of a tax treaty to reduce or eliminate U.S. tax on certain types of income. However, most tax treaties contain a provision known as a “saving clause.” Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after the payee has otherwise become a U.S. resident alien for tax purposes.
5. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only). Certain payees and the payments are exempt from backup withholding. See the instructions below and the separate Instructions for the Requester of Form W-9. Also see Special rules for partnerships on page 1.
________________________________________________________________________________________________________ Bridgewater State University Substitute W-9
Form BSUW-9 (Rev. 09-2010)
Penalties Failure to furnish TIN: If you fail to furnish your correct TIN to a requester, you are subject to a penalty of $50 for each such failure unless your failure is due to reasonable cause and not to willful neglect. Civil penalty for false information with respect to withholding: If you make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $500 penalty.
3. A state, the District of Columbia, a possession of the United States, or any of their political subdivisions or instrumentalities, 4. A foreign government or any of its political subdivisions, agencies, or instrumentalities, or 5. An international organization of any of its agencies or instrumentalities. Other payees that may be exempt form backup withholding include:
Criminal penalty for falsifying information: Willfully falsifying certifications of affirmations may subject you to criminal penalties including fines and/or imprisonment.
6. A corporation,
Misuse of TINs: If the requester discloses or uses TINs in violation of federal law, the requester may be subject to civil and criminal penalties.
8. A dealer in securities or commodities required to register in the United States, the District of Columbia, or a possession of the United States,
Specific Instructions Name If you are an individual, you must generally enter the name shown on your income tax return. However, if you have changed your last name, for instance, due to marriage without informing the Social Security Administration of the name change, enter your first name, the last name shown on your social security card, and your new last name. If the account is in joint names, list first, and then circle, the name of the person or entity whose number you entered in Part ! of the form. Sole Proprietor: Enter your individual name as shown on your income tax return on the “Name” line. You may enter your business, trade, or “doing business as (DBA)” name on the “Business name” line. Limited Liability Company (LLC): Check the “Limited liability company” box only and enter the appropriate code for the tax classification (“D” for disregarded entity, “C” for corporation, “P” for partnership) in the space provided. For a single-member LLC (including a foreign LLC with a domestic owner) that is disregarded as an entity separate from its owner under Regulations section 301.7701-3, enter the owner’s name on the “Name” line. Enter the LLC’s name on the “Business name” line. For an LLC classified as a partnership or a corporation, enter the LLC’s name on the “Name” line and any business, trade, or DBA name on the “Business name” line. Other Entities: Enter your business name as shown on required federal tax documents on the “Name” line. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DBA name on the “Business name” line. Note: You are requested to check the appropriate box for your status (individual/sole proprietor, corporation, etc.).
Exempt Payee If you are exempt from backup withholding, enter your name as described above and check the appropriate box for your status, then check the “Exempt payee” box in the line following the business name, sign and date the form. Note: If you are exempt from backup withholding, you should still complete this form to avoid possible erroneous backup withholding. The following payees are exempt from backup withholding: 1. Any organization exempt from tax under section 501(a), any IRA, or custodial account under section 403(b)(7) if the Account satisfied the requirements of section 401(f)(2), 2. The United States or any of its agencies or instrumentalities,
7. A foreign central bank of issue,
9. A futures commission merchant registered with the Commodity Futures Trading Commission, 10. A real estate investment trust, 11. An entity registered at all times during the tax year under the Investment Company Act of 1940, 12. A common trust fund operated by a bank under section 584(a), 13. A financial institution, 14. A middleman known in the investment community as a nominee or custodian, or 15. A trust exempt from tax under section 664 or described in section 4947. The chart below shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed above, 1 through 15. IF the payment is for:
THEN the payment is exempt for:
Interest and dividend payments
All exempt payees except for 9
Broker Transactions
Exempt payees 1 through 13. Also, a person registered under the Investment Advisers Act of 1940 who regularly acts as a broker
Barter exchange transactions and patronage dividends
Exempt payees 1 through 5
Payments over $600 required to be reported and direct sales over$5000 (1)
Generally, exempt payees 1 through 7(2)
(1) See Form 1099-MISC, Miscellaneous Income, and its Instructions. (2) However, the following payments made to a corporation (including gross proceeds paid to an attorney under section 6045(f), even if the attorney is a corporation) and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys’ fees, and payments for services paid by a federal executive agency.
Part I. Taxpayer Identification Number (TIN) Enter you TIN in the appropriate box. If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN is your IRS individual taxpayer identification number (ITIN). Enter it in the social security number box. If you do not have an ITIN, see How to get a TIN below. If you are a sole proprietor and you have an EIN, you may enter either your SSN or EIN. However, the IRS prefers that you use your SSN. If you are a single-member LLC that is disregarded as an entity separate from its owner (see Limited liability company (LLC) on page 2), enter the owner’s SSN (or EIN, if the owner has one). Do not enter the disregarded entity’s EIN. If the LLC is classified as a corporation or partnership, enter the entity’s EIN. Note. See the chart on page 4 for further clarification of name and TIN combinations.
_______________________________________________________________________________________________________ Bridgewater State University Substitute W-9
Form BSUW-9 (Rev. 09-2010)
How to get a TIN. If you do not have a TIN, apply for one immediately. To apply for an SSN, get Form SS-5, Application for a Social Security Card, from your local Social Security Administration office or get this form online at www.ssa.gov. You may also get this form by calling 1-800-772-1213. Use Form W-7, Application for IRS Individual Taxpayer Identification Number, to apply for an ITIN, or Form SS-4, Application for Employer Identification Number, to apply for an EIN. You can apply for an EIN online by accessing the IRS website at www.irs.gov/businesses and clicking on Employer Identification Number (EIN) under Starting a Business. You can get Forms W-7 and SS-4 from the IRS by visiting www.irs.gov or by calling 1-800-TAX-FORM (1-800-829-3676).
What Name and Number To Give the Requester For this type of account:
If you are asked to complete Form W-9 but do not have a TIN, write “Applied For” in the space for the TIN, sign and date the form, and give it to the requester. For interest and dividend payments, and certain payments made with respect to readily tradable instruments, generally you will have 60 days to get a TIN and give it to the requester before you are subject to backup withholding on payments. The 60-day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester.
Part II. Certification To establish to the withholding agent that you are a U.S. person, or resident alien, sign Form W-9. You may be requested to sign by the withholding agent even it items 1, 4, and 5 below indicate otherwise. For a joint account, only the person who’s TIN is shown in Part I should sign (when required). Exempt payee, see Exempt Payee on page 2. Signature Requirements: Complete the certification as indicated in 1 through 5 below. 1. Interest, dividend, and barter exchange accounts opened before 1984 and broker accounts considered active during 1983. You must give your correct TIN, but you do not have to sign the certification. 2. Interest, dividend, broker, and barter exchange accounts opened after 1983 and broker accounts considered inactive during 1983. You must sign the certification or backup withholding will apply. If you are subject to backup withholding and you are merely providing your correct TIN to the requester, you must cross out item 2 in the certification before signing the form.
1. Individual
The individual
2. Two or more individuals (joint Account)
The actual owner of the account or, if combined funds, the first individual on the account (1)
3. Custodian account of a minor (Uniform Gift to Minors Act)
The minor (2)
4. a. The usual revocable savings trust (grantor is also trustee) b. So-called trust account that is not a legal or valid trust under state law
The grantor-trustee (1)
5. Sole proprietorship or disregarded Entity owned by an individual
The owner (3)
For this type of account:
Note. Entering “Applied For” means that you have already applied for a TIN or that you intend to apply for one soon. Caution: A disregarded domestic entity that has a foreign owner must use the appropriate Form W-8.
Give name and SSN of:
The actual owner (1)
Give name and EIN of:
6. disregarded entity not owned by an Individual
The owner
7. A valid trust, estate, or pension trust
Legal entity (4)
8. Corporate or LLC electing corporate Status on Form 8832
The corporation
9. Association, club, religious charitable, educational, or other taxexempt organization
The organization
10. Partnership or multi-member LLC
The partnership
11. A broker or registered nominee
The broker or nominee
12. Account with the Department of Agriculture in the name of a public entity (such as a state or local government, school district, or prison) that receives agricultural program payments.
The public entity
1. List first and circle the name of the person whose number you furnish. If only one person on a joint account has an SSN, that person’s number must be furnished. 2. Circle the minor’s name and furnish the minor’s SSN. 3. You must show your individual name and you may also enter your business or “DBA” name on the second name line. You may use either your SSN or EIN (if you have one), but the IRS encourages you to use your SSN. 4. List first and circle the name of the trust, estate, or pension trust. (Do not furnish the TIN of the personal representative or trustee unless the legal entity itself is not designated in the account title.) Also see Special rules for partnerships on page 1.
3. Real estate transactions. You must sign the certification. You may cross out item 2 of the certification.
Note. If no name is circled when more than one name is listed, the number will be considered to be that of the first name listed.
4. Other payments. You must give your correct TIN, but you do not have to sign the certification unless you have been notified that you have previously given an incorrect TIN. “Other Payments” include payments made in the course of the requester’s trade or business for rents, royalties, goods (other than bills for merchandise), medical and health care services (including payments to corporations), payments to a nonemployee for services, payments to certain fishing boat crew members and fishermen, and gross proceeds paid to attorneys (including payments to corporations). 5. Mortgage interest paid by you, acquisition or abandonment of secured property, cancellation of debt, qualified tuition program payments (under section 529), IRA, Coverdell ESA, Archer MSA or HSA contributions or distributions, and pension distributions. You must give your correct TIN, but you do not have to sign the certification.
Secure Your Tax Records from Identity Theft Identity theft occurs when someone uses your personal information such as your name, social security number (SSN), or other identifying information, without your permission, to commit fraud or other crimes. An identity thief may use your SSN to get a job or may file a tax return using your SSN to receive a refund. To reduce your risk: •
Protect your SSN,
•
Ensure your employer is protecting your SSN, and
•
Be careful when choosing a tax preparer.
Call the IRS at 1-800-829-1040 if you think your identity has been used inappropriately for tax purposes.
_________________________________________________________________________________________________________________________________ Bridgewater State University Substitute W-9 Form BSUW-9 (Rec. 09-2010)
Victims of identity theft who are experiencing economic harm or a system problem, or are seeking help in resolving tax problems that have not been resolved through normal channels, may be eligible for Taxpayer Advocate Service (TAS) assistance. You can reach TAS by calling the TAS toll-free case intake line at 1-877-777-4778 or TTY/TDD 1-800-829-4059. Protect yourself from suspicious emails or phishing schemes. Phishing is the creation and use of email and websites designed to mimic legitimate business emails and websites. The most common act is sending an email to a user falsely claiming to be an established legitimate enterprise in an attempt to scam the user into surrendering private information that will be used for identity theft. The IRS does not initiate contacts with taxpayers via emails. Also, the IRS does not request personal detailed information through email or ask taxpayers for the PIN numbers, passwords, or similar secret access information for their credit card, bank or other financial accounts. If you receive an unsolicited email claiming to be from the IRS, forward this message to
[email protected]. You may also report misuse of the IRS name, logo, or other IRS personal property to the Treasury Inspector General for Tax Administration at 1-800-3664484. You can forward suspicious emails to the Federal Trade Commission at:
[email protected] or contact them at www.consumer.gov/idtheft or 1-877-IDTHEFT (438-4338).
Individuals who are African Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, and Subcontinent-Asian Americans are considered historically under utilized (socially and economically disadvantaged) by the Small Business Administration: •
African Americans are U.S. citizens whose origins are in any of the Black groups of Africa, and all persons having origin in any of the original peoples of the Cape Verdean Islands.
•
Hispanic Americans are U.S. citizens whose origins are in South America, Central America, Mexico, Cuba, the Dominican Republic, Puerto Rico, or the Iberian Peninsula, including Portugal.
•
Native Americans are American Indians, Eskimos, Aleuts, and Native Hawaiians.
•
Asian-Pacific Americans are U.S. citizens whose origins are in Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territory of the Pacific Islands, (Republic of Palau), the Northern Mariana Islands, Laos, Kampuchea (Cambodia), Taiwan, Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Republic of the Marshall Islands, or the Federal States of Micronesia.
•
Subcontinent Asian-Americans are U.S. citizens who origins are in India, Pakistan, Bangladesh, Sri Lanka, Bhutan, or Nepal.
•
Woman-Owned Business: A small business which is at least 51 percent owned by one or more women; who also control and operate the business or in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and whose management and daily business operations are controlled by one or more women.
•
Performing Entity: A corporation, partnership, limited partnership, Limited Liability Company, corporate trust or other entity that employs, engages, or comprises one or more performers.
Visit the IRS website at www.irs.gov to learn more about identity theft and how to reduce your risk.
Privacy Act Notice Section 6109 of the Internal Revenue Code requires you to provide your correct TIN to persons who must file information returns with the IRS to report interest, dividends, and certain other income paid to you, mortgage interest you paid, the acquisition or abandonment of secured property, cancellation of debt, or contributions you made to an IRA, or Archer MSA or HSA. The IRS uses the numbers for identification purposes and to help verify the accuracy of your tax return. The IRS may also provide this information to the Department of Justice for civil and criminal litigation, and to cities, states, the District of Columbia, and U.S. possessions to carry out their tax laws. We may also disclose this information to other countries under a tax treaty, to federal and state agencies to enforce federal nontax criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism.
All Gross Annual payments to Performers that exceed the $5,000 threshold per calendar year are subject to 5.3% Massachusetts Tax withholding per the Department of Revenue. For additional information regarding Performer withholding standards and exemptions please visit the Massachusetts Department of Revenue web site at www.mass.gov/dor or call 1800-392-6089. •
HUB Zone-Owned Business: A business receives a HUBZone (Historically Underutilized Business Zone) certification in part by employing staff who live in a HUBZone. The company must also maintain a “principal office” in one of these specially designated areas, as described in the provisions contained in the Small Business Reauthorization Act of 1997.
•
Small Disabled-Owned Business: A small business concern that is at least 51 percent owned by an individual(s) who has a physical or mental impairment which substantially limits one or more such person’s major life activities. Individuals must be involved in the day-to-day management of the business.
•
Small Disadvantaged-Owned Business: A small business that is at least 51 percent owned by one or more socially and economically disadvantaged individuals or stockholders. One or more disadvantaged individuals must also control the management and daily operations.
•
Small Disabled Veteran-Owned Business: A small business concern that is at least 51 percent owned by an individual or individuals who has a physical or mental impairment which substantially limits one or more of such persons major life activities. The physical or mental impairment must have been sustained during active service in one of the United States armed services. Individual(s) must be involved in the day-to-day management of the business.
You must provide your TIN whether or not you are required to file a tax return. Payers must generally withhold 28% of taxable interest, dividend, and certain other payments to a payee who does not give a TIN to a payer. Certain penalties may also apply.
PART III. Business-type Owned Small Business: A business, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on government contracts, and qualifies as a small business under the criteria and size standards of the Small Business Administration regulations. Minority-Owned Business: A small business that is at least 51 percent unconditionally owned by one or more individuals who are both socially and economically disadvantaged, or a publicly owned business that has at least 51 percent of its stock unconditionally owned by one or more historically under utilized (socially and economically disadvantaged) individuals and has its management and daily business controlled by one or more such individuals. A minority owned business is also a small business that is at least 51 percent unconditionally owned by an economically disadvantaged Indian Tribe or Native Hawaiian Organization, or a publicly owned business that has at least 51 percent of its stock unconditionally owned by one of these entities, that has its management and daily business controlled by members of an historically under utilized (economically disadvantaged) Indian Tribe or Native Hawaiian Organization, and that meets the Small Business Administration regulations.
___________________________________________________________________________________________________________________________________ Bridgewater State University Substitute W-9 Form BSUW-9 (Rev. 09-2010)
