HomeMy WebLinkAboutResolution - 2012-R0067 - Amendment To Contract - Texas Workforce Commission - CSBG - 02_09_2012Resolution No. 2012—ROO67
February 9, 2012
Item No. 5.17
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock BE and is hereby authorized and
directed to execute for and on behalf of the City of Lubbock, an Amendment to a Texas
Workforce Commission Information Release Contract, by and between the City of
Lubbock and Texas Workforce Commission, from the Community Service Block Grant
for access to wage information, and all related documents. Said Amendment is attached
hereto and incorporated in this resolution as if fully set forth herein and shall be included
in the minutes of the City Council.
assed by the City Council this February 9 , 2012.
TOM MARTIN, MAYOR
ATTEST:
Reb„ •c a Garza, City Secretar
APPROVED AS TO CONTENT:
-79
PhylW Brown
Interim Community Development Director
APPROVED AS TO FORM:
M
gs/ccdocs/CDBG-Amend.TexWorkforce Commjnfo Release Contract.res
2.1.12
Resolution No. 2012-RO067
TEXAS WORKFORCE COMMISSION
TWC Contract Number I 2912PEFOOI
I TITLE I INFORMATION RELEASE CONTRACT I
Name City of Lubbock Commun
Street Address 1625 I3' St.
City/State/ZipCity/State/Zip Lubbock, TX 79457
Telephone Number 806-775-2309
Contract Period
Begin Date October 1 2011 End Date September 30 2014
Funding Information
I The total amount of this Contract will not exceed the sum of 1 $600.00 1
Remarks
This Contract is contingent on Recipient's acceptance of and compliance with the terms and conditions of
this Contract and any referenced attachments.
Summary
Offline access only
Signature Authority
Each person signing this Contract hereby warrants that he or she has been fully authorized by the
respective organization to:
+ Execute this Contract on behalf of the organization, and
+ Validly and legally bind the organization to all the terms, performances, and provisions of this
Contract.
Agency: Texas Workforce Commission
G ; orge D. eador Date
D�.ector of Information Technoloav
APPROVED AS TO CONTENT:
Phyll,o Brown, Interm Com. Dev. Director
Information Release Contract: September 2011
Recipient: City of Lubbock Community
Development
e-1— ;01(-�-7 1114tic�
Tom Martin Date
Mayor February 9, 2012
ATTEST:
RebeVca Garza, City Sec (nry
`fWC Contract Number: 2912PEFOOI
APP VED A O F Page 1 of 5
Am taut y Attorney
TEXAS WORKFORCE COMMISSION
PERFORMING AGENCY CONTRACT
TABLE OF CONTENTS
General Terms and Conditions
Section l
Purpose and Legal Authority
Section 2
Term, Termination, and Amendment
Section 3
Consideration
Section 4
Protecting the Confidentiality of TWC Information
Section 5
Records and Audit
Section 6
Breach of Agreement, Default, and Remedies
Section 7
Miscellaneous
Attachment A
Statement of Work — Project Obligations
Attachment B
Safeguards for TWC Information
Attachments C, D
Intentio? ll omitted
Attachment E
Request for Texas Workforce Commission Records
Attachment F
Offline Request Specifications
Attachment G
Protection of Confidentiality - 20 C.F.R. § 603.9
Attachment H
Quarterly Self -Assessment Report
Information Release Contract: September 2011 TWC Contract Number: 2912PEF001
Page 2 of 5
TEXAS WORKFORCE COMMISSION
PERFORMING AGENCY CONTRACT
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
GENERAL TERMS AND CONDITIONS
SECTION 1 - Purpose and Legal Authority
1.1 This Contract sets forth the obligations of the Texas Workforce Commission ("Agency") and the
Recipient identified on the cover page (each a "Party" and together "the Parties") with respect to
Agency's release of confidential data to Recipient pursuant to Texas Labor Code §§ 301.061 and
302.002(c). The obligations of the Parties are set forth in detail in Attachment A.
1.2 Subject to certain limitations, the lnterlocal Cooperation Act, Texas Government Code, Chapter 791,
authorizes Recipient to enter into contracts for services with governmental entities, including state
agencies.
SECTION 2 - Term, Termination, and Amendment
2.1 This Contract is effective from the Begin Date to the End Date specified on the cover page.
2.2 Either Party may suspend or terminate this Contract at any time, on written notice to the other Party
specifying a termination date at least thirty (30) calendar days after the date of the notice. Suspension or
termination shall not relieve Recipient of the obligation to pay for all services prior to suspension or
termination at the rates provided herein.
2.3 No modification will be valid unless in writing and signed by both Parties, except for rate revisions
made under Section 3.2 of these General Terms and Conditions.
SECTION 3 - Consideration
3.1 Recipient shall pay Agency for the services described, and at the rates set forth, in Attachment A.
3.2 Notwithstanding Section 3.1 of these General Terms and Conditions, Agency may unilaterally revise
rates upon written notice to Recipient of at least thirty (30) calendar days.
SECTION 4 - Protecting the Confidentiality of TWC Information
4.1 "TWC information" means records maintained by Agency, and records obtained by Recipient from
Agency under this Contract, including (1) records and data compilations provided electronically, on
paper, or via online access or e-mail, (2) records and data compilations that Recipient has converted into
Information Release Contract: September 2011 TWC Contract Number: 2912PEF001
Page 3 of 5
TEXAS WORKFORCE COMMISSION
PERFORMING AGENCY CONTRACT
another format or medium (such as handwritten or electronic notes), and (3) records and data
compilations incorporated in any manner into Recipient's records, files or data compilations.
4.2 Recipient shall protect the confidentiality of TWC Information. Confidentiality is required by Texas
Labor Code § 301,081, the Social Security Act of 1934, and 20 Code of Federal Regulations (C.F.R.)
Part 603.
SECTION 5 — Records and Audit
Recipient shall keep and maintain complete and accurate records sufficient to allow Agency, the Texas State
Auditor's Office, the United States government, and their authorized representatives to determine Recipient's
compliance with this Contract.
SECTION 6 — Breach of Agreement, Default, and Remedies
6.1 If Recipient or any official, employee, or agent of Recipient fails to comply with any provision of this
Contract, including timely payment of Agency's invoices, Agency may suspend services to Recipient
(including any data requests being processed) until Agency is satisfied that corrective action has been
taken to assure there will be no future breach.
6.2 In the absence of prompt and satisfactory corrective action to cure default and assure future compliance
with Contract requirements, Agency shall terminate this Contract immediately and Recipient shall
surrender to Agency all TWC Information that has not previously been returned to Agency, and any
other records relevant to this Contract.
6.3 Termination of this Contract under Section 6.2 of these General Terms and Conditions will not limit
Agency from pursuing penalties under state and federal law for the unauthorized disclosure of TWC
Information.
6.4 Agency shall undertake any other action under this Contract or under any law of this State or of the
United States, to enforce this Contract and to secure satisfactory corrective action and return of TWC
Information.
6.5 Agency shall take other remedial actions permitted under state or federal law to enforce this Contract
and 20 C.F.R. Part 603 including seeking damages, penalties, and restitution for all costs incurred by
Agency in enforcing this Contract and responding to Recipient's breach.
SECTION 7 — Miscellaneous
7, Texas Labor Code § 301.085 provides that unemployment compensation records are not "public
information" for purposes of the Public Information Act, Texas Government Code, Chapter 552.
Recipient shall not release any TWC Information in response to a request made under the Public
Information Act or any other law, regulation, or ordinance addressing public access to government
records.
Information Release Contract: September 2011 TWC Contract Number: 2912PEF001
Page 4 of 5
TEXAS WORKFORCE COMMISSION
PERFORMING AGENCY CONTRACT
7.2 Recipient shall notify Agency within twenty-four (24) hours of the receipt of any subpoena, other
judicial request, or request for appearance for testimony upon any matter concerning TWC Information.
Federal regulations at 20 C.F.R. § 603.7 dictate the handling of subpoenas for TWC Information.
7.3 This Contract is made in and performed in the State of Texas, and shall be construed, interpreted, and
applied in accordance with the laws of the State of Texas, excluding its choice of law rules. Venue of
any court action brought directly or indirectly by reason of this Contract shall be in a court of competent
jurisdiction in Travis County, Texas. NOTHING IN THIS SECTION SHALL BE CONSTRUED
AS A WAIVER OF SOVEREIGN IMMUNITY BY AGENCY.
7.4 Agency's failure to enforce any provision of this Contract does not constitute a waiver of that provision
or any other.
o the extent permitted by law,
Recipient, its employees, agents, contractors, and subcontractors agree to indemnify and hold harmless
Agency, the State of Texas, and their employees and officials for any loss, damages, judgments, and
costs of liability arising from any acts or omissions or alleged acts or omissions of Recipient or its
employees, agents, contractors, and subcontractors, including the inappropriate release or use of TWC
Information.
ATo the extent permitted by law,
7.6 Recipient shall be responsible and liable for any damages resulting from a breach by Recipient including
damages and losses of third parties. Recipient shall reimburse Agency for any costs incurred by Agency
in reimbursing third parties damaged by Recipient's breach and costs incurred in attempts by Agency to
limit third party losses resulting from Recipient's breach.
To the extent permitted by law,
7. Recipient agrees to accept liability for any damage to Agency's hardware, software, or TWC
Information when such damage is caused by the actions of employees, contractors or agents of
Recipient, whether authorized Users under this Contract or unauthorized employees or agents.
7.1� If any provision of this Contract is held to be unenforceable by a court, this Contract will be construed as
if such provision did not exist and the unenforceability of such provision will not render any other
provisions of this Contract unenforceable.
7.9 This Contract is the entire agreement between the Parties.
7.10 The subject headings used in this Contract are for convenience only and are not intended to expand or
limit meanings.
7.11 Attachments A through H listed in the Table of Contents are incorporated in their entirety as terms and
conditions of this Contract.
7.12 The following provisions survive the expiration or earlier termination of this Contract: Sections 4.2, 5,
6.2, 6.3, 7.1, 7.2, 7.5, 7.6, and 7.7 of these General Terms and Conditions; Sections 3.2.3, 3.2.4, and
3.2.5 of Attachment A; and Attachment B.
Remainder of Page Intentionally Left Blank
Information Release Contract: September 2011 TWC Contract Number: 2912PLF00I
Page 5 of 5
Resolution No. 2012—ROO67
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
Attachment A
TWC CONTRACT NUMBER 2912PEF001
INFORMATION RELEASE CONTRACT BETWEEN TEXAS WORKFORCE COMMISSION
AND
CITY OF LUBBOCK COMMUNITY DEVELOPMENT
STATEMENT OF WORK — PROJECT OBLIGATIONS
SECTION 1 — Project Abstract
I I Contract Purpose. The purpose of this Contract is to provide Recipient with access to confidential
Agency data, to ensure that Recipient will maintain the confidentiality of the data, and to require
Recipient to reimburse Agency for costs of providing access at the rates set out in this Contract.
1,2 Authorized Use of TWC Information. Subject to the security and confidentiality provisions of this
Contract, Recipient is authorized to use TWC Information solely for the following purpose: to assist in
analyzing outcomes for Community Services Block Grant program to determine participants'
transition out of poverty (the "Limited Purpose"). Any other use of TWC Information by Recipient is
a breach of this Contract.
1.3 References. Section references are to sections of this Attachment A unless otherwise specified.
SECTION 2 — Obligations of Agency
2.1 Offline Access.
2.2.1 Description. Agency agrees to provide current wage records (Agency screen BN75) and
unemployment compensation claim benefit data (Agency screens CMES, CTCS, and BPCS) for
SSNs submitted by Recipient, as provided in Section 3.1.1.
2.2.2 Method of transfer. Agency will transfer TWC Information to Recipient only by methods
approved in writing in advance by Agency Chief Information Security Officer or his/her
designee.
SECTION 3 — Obligations of Recipient
3.1 Offline Access.
3.1.1 Request Submission. For matches of wage records to SSNs, unemployment compensation claim
benefit data to SSNs, or employer tax records to EIDs or FEINs, to be performed by Agency
staff, Recipient shall submit a completed Requestfor Texas Workforce Commission Records,
Attachment E, with the file of SSNs, EIDs, or FEINs to be matched. Recipient shall submit the
file electronically in compliance with Of ine Request Specifications, Attachment F. Agency
shall not be responsible for the confidentiality of any information submitted by Recipient.
Information Release Contract: September 2011 TWC Contract Number: 2912PEF001
Page I of 11
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
3.1.2 Rates. Rates are calculated on a per -request basis. Recipient agrees to pay Agency for current
wage record matches at the following rates:
!Number of SSNs submitted
Rate
:s150
$ 10 for the first SSN; $2 for each additional SSN; maximum charge
$34
151-599
$35 per 150 SSNs
600-1,499
$85
>1,500
$110 per 1,500 SSNs
Recipient agrees to pay Agency for current unemployment compensation claim benefit data
matches and current employer tax record matches at the following rates:
Rate
First SSN/EID/FEIN submitted $10
Additional SSNs/E1DsTEINs submitted $2 each
3.1.3 Payment. Recipient's payment is due within thirty (30) calendar days of receipt of invoice.
3.2 Additional Requirements.
3.2.1 Security Safeguards. Recipient shall establish, maintain, and comply with security safeguards
and procedures to protect the confidentiality of all TWC Information. Recipient shall comply
with the requirements in Safeguards for TWC Information, Attachment B, and in Protection of
Confidentiality - 20 C.F.R. § 603.9, Attachment G. Failure to comply with any requirement of
Attachment B or Attachment G is a breach of this Contract.
3.2.2 Suspension. Agency may suspend all services without notice if Agency suspects a violation of
the security provisions in Attachment B. Services will remain suspended until Agency has fully
investigated any suspected security violations and is satisfied that resumption of services will not
result in security breaches. In the event of an extended suspension of services, Agency will
notify Recipient as soon as possible.
3.2.3 Enduring Obligation. Termination or expiration of this Contract will not end Recipient's
responsibility to protect the confidentiality of TWC Information remaining in Recipient's
possession, under Recipient's control, or held by a third party subject to contract or agreement
with Recipient.
3.2.4 Audit. Recipient's security safeguards and procedures, as well as Recipient's access to and use
of TWC Information, are subject to monitoring, evaluation and audit by Agency.
3.2.5 Inspections. Recipient shall cooperate fully with any on -site inspections and monitoring
activities of Agency. So that Agency may audit Recipient's compliance with the requirements of
state and federal law and this Contract, Recipient shall permit Agency access to all sites
containing TWC Information (including sites where data is maintained electronically), and to all
workplaces used by personnel who have access to TWC Information.
Information Release Contract: September 2011 TWC Contract Number: 2912PEF00I
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TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
3.2.6 Self -Assessment Report. Recipient shall submit to Agency a fully -executed Quarterly Self -
Assessment Report, Attachment H, on the next -occurring quarterly filing date after the Begin
Date, and on each quarterly filing date for as long as this Contract is in effect. The quarterly
filing dates are January 1, April 1, July I, and October 1. Each report must have been signed
within thirty (30) days preceding submission.
3.2.7 Identity Theft Protection. In case of unauthorized disclosure of TWC Information by Recipient,
Recipient shall purchase identity theft protection service for all individuals whose information
was disclosed without authorization. The protection service shall cover each individual for a
two-year period and must include, at a minimum, automatic fraud alerts to the individual.
3.2.8 Significant Change. Recipient agrees to notify Agency in writing within ten (10) calendar days
of any significant change affecting Recipient and Recipient's identity, including but not limited
to changes in its ownership or control, name, governing board membership, authority of
governing board, officeholders, or vendor identification number.
3.2.9 Computer Resources. Recipient shall provide and maintain its own computer hardware and
software to accomplish the necessary computer communications linkages with Agency.
3.2.10 Data Source. Agency does not warrant or guarantee the accuracy of TWC Information. TWC
Information includes data provided to Agency by third parties, including employers and
employees.
SECTION 4 — Contact Persons
4.1 Designation. The Parties designate the following primary liaisons for implementation of this Contract:
Agency Contact Person
Beth Wiggins
Office of General Counsel
Texas Workforce Commission
101 E. 15'h St., Room 266
Austin, TX 78778-0001
Phone: 512-463-1607
Fax: 512-463-2990
Email: ORContracts.Mana ement(41wc.state.tx.us
Recipient Contact Person
Joe Rangel
Community Development Contract
Coordinator
City of Lubbock Community Development
1625 13`l' St.
Lubbock, TX 79457
Phone: 806-775-2309
Email: jrangel@mylubbock.us
Send invoices to:
Same as above.
4.2 Notice. Any notice required under this Contract must be given to the other Party's Contact Person.
Information Release Contract: September 2011
TWC Contract Number: 2912PEF001
Page 3 of I I
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
4.3 Notice to Alternate. If Recipient designates an alternate Contact Person, written notification by Agency to
one (l) of the Recipient Contact Persons will satisfy any notification requirement of this Contract.
4.4 Change. Recipient may request a change in Recipient Contact Person by submitting to Agency Contact
Person a written request on organizational letterhead signed by the person who signed this Contract on
behalf of Recipient, or by a successor with authority to bind Recipient contractually. The request must
include the TWC Contract Number, the name of the person being replaced, and the name of the new
Recipient Contact Person, with job title, work address, phone number, and email address. No change in
Recipient Contact Person is effective until acknowledged in writing by Agency.
4.5 Communications. Recipient shall include the TWC Contract Number in all communications with Agency.
SECTION 5 — Effect on Other Contracts
The Parties agree that this Contract supersedes and replaces all other contracts between them for information
release or data sharing, including 2909PER021.
Remainder of Page Intentionally Left Blank
Information Release Contract: September 2011 TWC Contract Number: 2912PEFOOI
Page 4 of 1 I
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
Attachment B
SAFEGUARDS FOR TWC INFORMATION
City of Lubbock Community Development ("Recipient" in this Contract) shall maintain sufficient safeguards over
all TWC Information to prevent unauthorized access to or disclosure of TWC Information:
"TWC Information" means records maintained by Agency (TWC), and records obtained by Recipient from
Agency under this Contract, including (1) records and data compilations provided electronically, on paper, or via
online access or e-mail, (2) records and data compilations that Recipient has converted into another format or
medium (such as handwritten or electronic notes), and (3) records and data compilations incorporated in any
manner into Recipient's records, files or data compilations.
2. Monitorine. Recipient shall monitor its Users' access to and use of TWC Information, and shall ensure that TWC
Information is used only for the following "Limited Purpose": to assist in analyzing outcomes for Community
Services Block Grant program to determine participants' transition out of poverty. Recipient shall also ensure
that TWC information is used only for purposes authorized by law and in compliance with all other provisions of this
Contract.
3. Storaee. Recipient shall store TWC Information in a place physically secure from access by unauthorized persons.
4. Protection. Recipient shall store and process TWC Information, including that maintained in electronic format, such
as magnetic tapes or discs, in such a way that unauthorized persons cannot obtain TWC Information by any means.
5. Access. Recipient shall undertake precautions to ensure that only authorized personnel are given access to TWC
Information stored in computer systems.
6. Instruction, Recipient shall instruct all personnel having access to TWC Information about all confidentiality
requirements including the requirements of 20 C.F.R. Part 603 as well as the sanctions specified in this Contract and
under state and federal law for unauthorized disclosure of TWC Information. Recipient acknowledges that all
personnel who will have access to TWC Information have been instructed as required.
7. Disposal, Recipient shall dispose of TWC Information and any copies thereof after the Limited Purpose is achieved,
except for TWC Information possessed by any court. Disposal means return of TWC Information to Agency or
destruction of TWC Information, as directed by Agency. Disposal includes deletion of personal identifiers in lieu of
destruction. In any case, Recipient shall dispose of all TWC Information within thirty (30) calendar days after the
termination, cancellation, or expiration of this Contract, or as required by Recipient's written formally -adopted
records retention requirements.
8. System. Recipient shall establish and maintain a system sufficient to allow an audit of compliance with the
requirements of this Attachment B and the other provisions of this Contract.
9. No Disclosure or Release. Recipient shall not disclose or release any TWC Information other than as permitted in
this Contract, without prior written consent of Agency.
10. Unauthorized Disclosure. It is a breach of this Contract to disclose TWC Information orally, electronically, in
written or printed form, or in any other manner without the prior written consent of Agency:
10.1 to any contract employee of Recipient or any individual not employed by Recipient;
10.2 to another government entity, including a law enforcement entity;
103 to Recipient employees who do not have a need to use TWC Information for the Limited Purpose.
Information Release Contract: September 2011 TWC Contract Number: 2912PEFOOI
Page 5 of 1 I
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
11. Authorized Disclosure. TWC Information may only be disclosed:
11.1 to employees under the direct hiring -and -firing control of Recipient who have a need to use the TWC
Information for the Limited Purpose; and
11.2 in a criminal judicial proceeding if the TWC Information is introduced in court as a sealed record with access
limited to the prosecutor, defendant, judge and jury.
12. Security Violation. Recipient shall monitor access of Users and shall notify Agency within twenty-four (24) hours if
a security violation of this Contract is detected, or if Recipient suspects that the security or integrity of TWC
Information has or may have been compromised in any way.
13. Format. TWC Information is subject to the requirements of this Contract even if the TWC Information is converted
by Recipient into another format or medium, or incorporated in any manner into Recipient's records, files, or data
compilations.
14. Access Limited. Recipient shall limit access to TWC information to its employees who need access to achieve the
Limited Purpose.
15. Mobile Device and Removal. Recipient shall not place TWC Information on mobile, remote, or portable storage
devices, or remove storage media from Recipient's facility, without the prior written authorization of Agency.
16. Public Information Act. Under Texas Labor Code § 301.085, TWC Information is not "public information" for
purposes of the Public Information Act, Texas Government Code, Chapter 552. Recipient shall not release any TWC
Information in response to a request made under the Public Information Act or under any other law, regulation, or
ordinance addressing public access to government records.
17. Sub ena. Recipient shall notify Agency within twenty-four (24) hours of the receipt of any subpoena, other judicial
request, or request for appearance for testimony upon any matter concerning TWC Information. Federal regulations
dictate the handling of subpoenas for TWC Information. Recipient shall comply with the requirements of 20 C.F.R.
§ 603.7 in responding to any subpoena, other judicial request, or request for appearance for testimony upon any
matter concerning TWC Information.
18. Federal Reaulation. Recipient shall comply with all requirements of Protection of Confidentiality -
20 C ER § 603.9 (Attachment G of this Contract) relating to safeguarding TWC Information and insuring its
confidentiality.
19. Unauthorized Lookup. A User shall not access TWC Information listed under the User's SSN or the SSN of a co-
worker, family member, or friend.
20. Screening — Online Users. Recipient shall screen potential Users and seek online access only for employees that
Recipient has determined pose no threat to the security of TWC Information.
21. Screening — All Handlers. Recipient shall permit access to TWC Information only to employees that Recipient has
determined pose no threat to the security of TWC Information.
22. Internet. Recipient shall not transmit any TWC Information over the Internet unless it is encrypted using at least
128-bit encryption.
23. Scum reen Dump. Recipient's security guidelines shall ensure that any screen dump or other extraction of TWC
Information will be protected from unauthorized use or disclosure.
24. No Transfer. Recipient shall not transfer the authority or ability to access or maintain TWC Information under this
Contract to any other person or entity.
Information Release Contract: September 2011 TWC Contract Number: 2912PEF001
Page 6 of I 1
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
Attachment E
TWC Contract Number 2912PEF001
REQUEST FOR TEXAS WORKFORCE COMMISSION RECORDS
To: External Data Sharing Contracts Manager
Office of General Counsel
Texas Workforce Commission
101 E. 15'h St., Room 266
Austin, TX 78778
or via email to: ORContracts.Management@twc.state.tx.us
or via fax to: 512-463-2990
Number of pages including cover sheet:
From: City of Lubbock Community Development (Recipient)
(printed name of individual submitting request — must be
Contact Person named in contract, or person authorized in
writing, on file with TWC, to submit oftline requests)
(signature)
(email)
(phone)
REQUEST FOR RECORDS
Social Security Number, Texas Employer ID, or Federal Employer Identification Number:
Records requested:
Time period of records requested:
Check if additional page(s) attached
For questions regarding this request:
Email: ORContracts.Mana eg meni a},twc.state.tx.us;
Phone: 512-936-2134 or 512-463-1607
Fax: 512-463-2990
Information Release Contract: September 2011 TWC Contract Number: 2912PEFOOI
Page 7 of 11
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
Attachment F
OFFLINE REQUEST SPECIFICATIONS
Submitting SSNs
Filename: SSNLIST.TXT or SSNLIST.DOC, or as otherwise approved by Agency Contact Person
Format: ASCII Text; SSNs without dashes; no names or DOBs; one SSN per line, sorted in ascending
numerical order (see sample below); or as otherwise approved by Agency Contact Person
Please protect the file with a password during transmission. Mutually -agreed -upon encryption is strongly
recommended.
Submitting Texas EIDs or FEINs: follow the same pattern as for SSNs
Sample:
005722894
435352449
444442459
449704480
451415343
454674153
455312694
459254680
460824998
461554852
463662287
467915523
467952224
501606600
Send file via e-mail to: ORContracts.Manapement ,twc.state.tx.us
Or mail computer disks to:
External Data Sharing Contracts Manager
Office of General Counsel
Texas Workforce Commission
101 E. 15"' St., Room 266
Austin, TX 78778
Information Release Contract: September 2011 TWC Contract Number: 2912PEFOOI
Page 9 of I I
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
Attachment G
PROTECTION OF CONFIDENTIALITY - 20 C.F.R. § 603.9
CHAPTER V--EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR
PART 603--FEDERAL-STATE UNEMPLOYMENT COMPENSATION (UC) PROGRAM; CONFIDENTIALITY AND
DISCLOSURE OF STATE UC INFORMATION
SUBPART B--CONFIDENTIALITY AND DISCLOSURE REQUIREMENTS
20 C.F.R. § 603.9 What safeguards and security requirements apply to disclosed information?
(a) In general. For disclosures of confidential UC information under § 603.5(d)(2) (to a third party (other than an
agent) or disclosures made on an ongoing basis); § 603.5(e) (to a public official), except as provided in paragraph
(d) of this section; § 603.5(f) (to an agent or contractor of a public official); § 603.6(b)(1) through (4), (6), and
(7)(i) (as required by Federal UC law); and § 603.22 (to a requesting agency for purposes of an IEVS), a State or
State UC agency must require the recipient to safeguard the information disclosed against unauthorized access or
redisclosure, as provided in paragraphs (b) and (c) of this section, and must subject the recipient to penalties
provided by the State law for unauthorized disclosure of confidential UC information.
(b) Safeguards to be required of recipients.
(1) The State or State UC agency must:
(i) Require the recipient to use the disclosed information only for purposes authorized by law and
consistent with an agreement that meets the requirements of § 603.10;
(ii) Require the recipient to store the disclosed information in a place physically secure from access by
unauthorized persons;
(iii) Require the recipient to store and process disclosed information maintained in electronic format, such
as magnetic tapes or discs, in such a way that unauthorized persons cannot obtain the information by
any means;
(iv) Require the recipient to undertake precautions to ensure that only authorized personnel are given access
to disclosed information stored in computer systems;
(v) Require each recipient agency or entity to:
(A) Instruct all personnel having access to the disclosed information about confidentiality requirements,
the requirements of this subpart B, and the sanctions specified in the State law for unauthorized
disclosure of information, and
(13) Sign an acknowledgment that all personnel having access to the disclosed information have been
instructed in accordance with paragraph (b)(1)(v)(A) of this section and will adhere to the State's or
State UC agency's confidentiality requirements and procedures which are consistent with this
subpart B and the agreement required by § 603.10, and agreeing to report any infraction of these
rules to the State UC agency fully and promptly.
(vi) Require the recipient to dispose of information disclosed or obtained, and any copies thereof [Wade by
the recipient agency, entity, or contractor, after the purpose for which the information is disclosed is
served, except for disclosed information possessed by any court. Disposal means return of the
information to the disclosing State or State UC agency or destruction of the information, as directed by
the State or State UC agency. Disposal includes deletion of personal identifiers by the State or State
Information Release Contract: September 2011 TWC Contract Number: 2912PEF001
Page 9 of 1 I
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
UC agency in lieu of destruction. In any case, the information disclosed must not be retained with
personal identifiers for longer than such period of time as the State or State UC agency deems
appropriate on a case -by -case basis; and
(vii) Maintain a system sufficient to allow an audit of compliance with the requirements of this part.
(2) In the case of disclosures made under § 603.5(d)(2) (to a third party (other than an agent) or disclosures made
on an ongoing basis), the State or State UC agency must also —
(1) Periodically audit a sample of transactions accessing information disclosed under that section to assure
that the entity receiving disclosed information has on file a written release authorizing each access. The
audit must ensure that the information is not being used for any unauthorized purpose;
(ii) Ensure that all employees of entities receiving access to information disclosed under § 603.5(d)(2) are
subject to the same confidentiality requirements, and State criminal penalties for violation of those
requirements, as are employees of the State UC agency.
(c) Redisclosure of confidential UC information.
(1) A State or State UC agency may authorize any recipient of confidential UC information under paragraph (a)
of this section to redlsclose information only as follows:
(i) To the individual or employer who is the subject of the information;
(ii) To an attorney or other duly authorized agent representing the individual or employer;
(iii) In any civil or criminal proceedings for or on behalf of a recipient agency or entity;
(iv) In response to a subpoena only as provided in § 603.7;
(v) To an agent or contractor of a public official only if the person redisclosing is a public official, if tl;e
redisclosure is authorized by the State law, and if the public official retains responsibility for the uses of
the confidential UC information by the agent or contractor;
(vi) From one public official to another if the redisclosure is authorized by the State law;
(vii) When so authorized by Section 303(e)(5), SSA, (redisclosure of wage information by a State or local
child support enforcement agency to an agent under contract with such agency for purposes of carrying
out child support enforcement) and by State law; or
(viii) When specifically authorized by a written release that meets the requirements of § 603.5(d) (to a third
party with informed consent).
(2) Information redisclosed under paragraphs (c)(1)(v) and (vi) of this section must be subject to the safeguards in
paragraph (b) of this section.
(d) The requirements of this section do not apply to disclosures of UC information to a Federal agency which the
Department has determined, by notice published in the Federal Register, to have in place safeguards adequate to
satisfy the confidentiality requirement of Section 303(a)(1), SSA.
Information Release Contract: September 2011 TWC Contract Number: 2912PEFOOI
Page 10 of 11
TEXAS WORKFORCE COMMISSION
INFORMATION RELEASE CONTRACT
Attachment H
QUARTERLY SELF -ASSESSMENT REPORT
Failure to submit this report when due may result in termination of all access to TWC Information.
The entity receiving TWC information under TWC Contract ("Recipient") confirms it is in compliance with the
following requirements of the Contract and of Protection of Confidentiality - 20 C.F.R. § 603.9 (Attachment G of the
Contract):
1. Recipient uses the disclosed TWC Information only for purposes authorized by law and consistent with the Limited Purpose set
forth in Section 1.2 of Attachment A of the Contract. Yes: No:
2. Recipient stores the disclosed TWC Information in a place physically secure from access by unauthorized persons.
Yes: No:
3. Recipient stores and processes disclosed TWC Information maintained in electronic format, such as magnetic tapes or discs, in
such a way that unauthorized persons cannot obtain the TWC Information by any means. Yes: No:
4. Recipient undertakes precautions to ensure that only authorized personnel are given access to disclosed TWC Information stored in
computer systems. Yes: No:
5. Recipient has instructed all personnel having access to the disclosed TWC Information about confidentiality requirements, the
requirements of 20 C.F.R. § 603.9, and the sanctions specified in State law for unauthorized disclosure. (Each violation is a Class
A Misdemeanor, punishable by a fine of $4,000, a year in jail, or both). By your signature below you acknowledge that all
personnel having access to the disclosed TWC Information have been instructed in accordance with paragraph (bxl)(v)(A) of
20 C.F.R. § 603.9. Yes: No:
6. Recipient adheres to confidentiality requirements and procedures that are consistent with 20 C.F.R. § 603.9 and the requirements of
the TWC Contract, and reports any infraction of these requirements and procedures to TWC fully and promptly.
Yes: No:
7. Recipient disposes of disclosed TWC Information, and any copies thereof made by Recipient, after the purpose for which the TWC
Information was disclosed is served. or as required by court order. Disposal means return of the TWC Information to TWC or
destruction of the TWC Information, as directed by TWC. Disposal includes deletion of personal identifiers in lieu of destruction.
Yes: No:
8. Recipient ensures that the disclosed TWC Information is not retained with personal identifiers for longer than such period of time
as TWC deems appropriate. Yes: No:
9. Recipient maintains a system sufficient to allow an audit of compliance with the requirements of 20 C.F.R. § 603.9 and the TWC
Contract. Yes: No:
10. Attach a description of the system referred to in item 9.
By signature hereon, the Contract signatory or the entity's internal auditor certifies that: All statements and information
submitted in response to this Quarterly Self -Assessment Report are current, accurate, and complete.
Signature
Printed Name and Title
Date
TWC Contract Number 2912PEFOOI
City of Lubbock Community Development
Return this Report to: External Data Sharing Contracts Manager I Office of General Counsel
Texas Workforce Commission 1 101 East 15a` Street, Room 266 1 Austin, Texas 78778-0001
Email: ORContracts.Managementna.twc.state.tx.us Fax: 512-463-2990
Information Release Contract: September 2011 TWC Contract Number: 2912PEF001
Page 11 of 11
Resolution No. 2012-Ro057
TWC Contract - Amendment Number:
2912PEF001
CONTRACT/AMENDMENT LANGUAGE CHANGE CERTIFICATION FORM
Please check the appropriate box and sign below:
No Changes. I hereby certify that no changes have been made to documents contained in
this Contract/Amendment package.
❑ Changes to Demographic Information. I hereby certify that changes in demographic
information items only (such as contact or sig_nator) have been made to documents
contained in this Contract/Amendment package. Pen and ink corrections have been entered,
initialed and the revised areas have been flagged.
Changes to Contract/Amendment Terms and Conditions. I hereby certify that changes to
the contract/amendment terms and conditions have been proposed. The proposed changes
have been entered on all copies of the documents in pen and ink, initialed, and the revised
areas have been flagged. I understand that I am to sign and then send all copies of the
contract/amendment back to TWC for evaluation of the proposed changes. If the proposed
changes are approved by the TWC signatory, they will be initialed and my copy (and the
fiscal agent's copy, if applicable) will be returned to me. I understand that if there are any
questions or issues regarding the proposed pen and ink changes that I will be contacted by a
TWC representative to discuss them.
City of Lubbock Community Development
n
February 9, 2012
Tom Martin Date
Mayor