Fillable 2019 StateLOIV1.1 Final

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2019 StateLOIV1.1 Final

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1
2019 Tax Software Provider Registration Form
This registration application form sets forth the Minnesota-specific questions, requirements, and
standards for tax software providers. By submitting this registration form to the department, you are
agreeing to meet our standards for software provider registration, tax preparation software (DIY or
professional), and substitute forms.
This application also incorporates all of the terms, requirements, and standards set forth in the “2019
National Standards and Requirements” (NSR) maintained by the Federation of Tax Administrators.
Agreement and adherence to the NSR is required as a prerequisite to approval of this application.
All software providers creating Minnesota tax returns electronically or on paper must complete and sign
this form. The department must receive a signed copy of the completed NSR and this form by October
31, 2019. We will notify you of your application status within seven business days.
Failure to meet any of the standards or requirements set forth in the NSR or in this state-specific
agreement may result in the denial of your application or the removal of your organization from the
ranks of approved software providers. If your application is denied or the approval is withdrawn, all
electronic or paper returns submitted using your products will be rejected. The department’s decision
is final and there are no appeal rights. Reinstatement is at the sole discretion of the department.
Note: Please complete a registration form for each unique product your company offers. Your product
will not be certified until all of the component requirements in this registration are met.
Name of Company
Product Name
State Software ID
Address
Website Address/URL
Company FEIN
City
State
Zip Code
Regulatory/Compliance Contact
Phone
Email Address
Primary Individual MeF Contact
Phone
Email Address
Secondary Individual MeF Contact
Phone
Email Address
Primary Business MeF Contact*
Phone
Email Address
Secondary Business MeF Contact*
Phone
Email Address
2
Primary Leads Reporting Contact
Phone
Email Address
Secondary Leads Reporting Contact
Phone
Email Address
Test EFIN(s)
Test ETIN(s)
Production EFIN(s)
Production ETIN(s)
State Substitute Form Software ID
Primary Individual Forms Contact
Phone
Email Address
Secondary Individual Forms Contact
Phone
Email Address
Primary Business Forms Contact*
Phone
Email Address
Secondary Business Forms Contact*
Phone
Email Address
* If you have additional contacts for Business Tax Types, please list each of them on a separate sheet
and attach with your registration submission.
Rebranded Software Products
For rebranded products, the Minnesota Department of Revenue has the following requirements for
paper forms and e-file ATS approval.
• Software providers must complete a separate LOI for each rebranded product in its entirety
o Rebranding where the organization that rebrands the software has the capability to
make changes to the development of the software, uses their own ETIN, or limits the
software provider's ability to monitor the product (Including but not limited to
software updates or patches, leads reporting requirements, etc.) does pose a risk to
the tax ecosystem.
• Rebranded products are not required to complete e-file ATS and paper form approval
3
Type of Software Product (Check all that apply)
☐ DIY/Consumer (Web-Based) ☐ DIY/Consumer (Desktop)
☐ Professional/Paid Preparer (Web-Based) ☐ Professional/Paid Preparer (Desktop)
Tax Types Supported
(Check all that apply)
Forms e-file
☐ ☐ Individual Income Tax
☐ ☐ S Corporation Tax
☐ ☐ Partnership Tax
☐ ☐ Pass-Through Partnership/S Corp
Forms e-file
☐ ☐ Property Tax
☐ ☐ Corporate Franchise Tax
☐ ☐ Estate /Fiduciary Tax
☐ ☐ Insurance Premium Tax
Forms and Schedules Supported (check all that apply)
Individual Income
☐ M1
☐ M15
☐ M1529
☐ M1AR
☐ M1C
☐ M1CAT
☐ M1CD
☐ M1CMD
☐ M1CR
☐ M1ED
☐ M1HOME
☐ M1LS
☐ M1LTI
☐ M1M
☐ M1MA
☐ M1MT
☐ M1MTC
☐ M1NR
☐ M1PSC
☐ M1R
☐ M1RCR
☐ M1REF
☐ M1SA
☐ M1SLC
☐ M1UE
☐ M1W
☐ M1WFC
☐ M1X
☐ M99
☐ Form PCR
Property
☐ CRP
☐ M1PR
☐ M1PRX
Corporation
☐ AFF
☐ AMTI
☐ AMTT
☐ DIV
☐ M15C
☐ M4 Series
☐ M4R
☐ M4X
☐ NOL
☐ REC
S Corporation
☐ M8 Series
☐ M8X
Estate/Fiduciary
☐ M706
☐ M706Q
☐ M2
☐ M2MT
☐ M2SB
☐ M2X
Partnership
☐ M3 Series
☐ M3X
K Schedules
☐ KPC
☐ KPI
☐ KS
☐ KF
Shared Forms
☐ AWC
☐ EST
☐ ETP
☐ M23
☐ RD
Vouchers
☐ Individual Income
☐ Corporation
☐ S Corporation
☐ Estate/Fiduciary
☐ Partnership
☐ Insurance
☐ UBIT
Insurance
☐ IG258
☐ IG259
☐ M11
☐ M11AR
☐ M11B
☐ M11L
UBIT
☐ M15NP
☐ M4NP
State Questions, Requirements, and Standards
This section provides Minnesota’s specific questions, requirements and standards for tax software
providers.
Standards and Requirements for Transferring Data Year Over Year
Transferring data year over year that is not initially entered accurately causes issues with processing tax
returns. Tax professionals must provide confirmation of these pre-populated data elements prior to
completing the tax return:
• State driver’s license data elements.
• State withholding account numbers.
As a Software Provider, You Agree to:
• Be approved by the IRS as an electronic transmitter.
• Review and comply with the software providers registration and standards listed on our
website
.
• Submit software test returns and corresponding PDFs for approval in the form and manner
prescribed by the agency.
• Resubmit software test returns and corresponding PDFs if correcting errors.
• Submit all returns as “linked returns” if a corresponding federal return was submitted; unless
otherwise directed by the department.
• Notify the department if any forms you support are not ready when your software is
available for use. You will need to advise customers that the forms are not available and
include a date on which the forms will be available.
• Notify the department immediately when errors in your software affect Minnesota taxpayers.
Do not submit returns with known errors. Notify your Minnesota customers and us as soon as
you have corrected the errors.
• Notify the department when you discover breaches, security incidents, or other improper
disclosures of taxpayer data. Document specifics of the situation into an incident report,
including but not limited to:
o Date and time of incident
o Date and time the incident was discovered
o How the incident was discovered
o Description of the incident and the data involved, including specific data elements if
known
o Potential number of taxpayer records involved, if known; otherwise, provide an
estimated range if possible
o Infrastructure/systems involved (for example, laptop, server, etc.)
• Provide timely updates, corrections, and technical support for software to ensure the accuracy
of Minnesota tax returns.
• Transmit taxpayer submissions on a regular basis. Notify the department and your customers if
you are holding any Minnesota returns.
• Protect taxpayer data including, but not limited to:
o Managing and protecting physical and remote access
o Managing identities and credentials for authorized devices and users
o Managing access permissions using the principles of least authority and separation of
duties
o Providing security awareness training to information users, including managers, senior
executives, and contractors
o Providing role-based security to personnel with assigned security roles and
responsibilities
o Protecting data in transit and at rest
o Protecting against data leaks
o Destroying all data in accordance to your organizations record retention policy
o Removing all data or destroying storage devices and media before they leave control of
the organization
o Improving and updating protection processes and system security plans
o Monitoring systems for anomalous activity
o Implementing cybersecurity practices as a part of human resources
o Developing and implementing risk and vulnerability management
• Contact the department to address issues, answer questions, and maintain open
communication.
• Submit for approval all forms included in your software in a PDF format using the 2017
Transmittal for Substitute Form Approval to Efile.FormApproval@state.mn.us.
• Include the Minnesota assigned software ID number on all forms in the location stated in the
guidelines.
• Provide printer-friendly forms to your customers and include PDF printer-setting instructions
according to our specifications listed on our website
.
• Follow voucher specifications listed on our website.
• Generate only tested and approved forms from your certified software.
• Send a copy of all general communications you send to your Minnesota software customers to
EFile.DevSupport@state.mn.us.
• Authorize the department to feature your company in materials identifying you as a certified
software provider.
• Pass certification testing, substitute forms approval, and fraud leads reporting testing for each
product according to requirements.
Failure to meet any of these requirements may result in the denial of your application or
the removal of your organization from the ranks of approved software providers, and the
rejection of all electronic or paper returns submitted using your products. The department’s
decision is final and reinstatement is at the sole discretion of the department.
Minnesota Fraud Leads Reporting
Software providers must produce reports that include identifying potential fraudulent behavior or
patterns and include any tax return information provided by that person. You must report fraudulent
behavior to Minnesota on a weekly basis, identifying any person whose return you believe could be
fraudulent. In addition, if you have reason to believe an individual violated a relevant criminal law, you
must disclose the person’s tax return information to the state of Minnesota. Upon accepting you as a
software provider, you will be given details on the leads reporting schema and reporting requirements.
As part of certification testing, you will be required to submit lead reports.
State Specific Questions
1. What refund products or payment vehicles do you offer to your customers? If you partner with
an entity to provide or process refunds (for example, Amazon.com or other pre-paid cards),
please provide the names and bank routing numbers (RTNs) of each company.
2. Do you require your users/customers to download and apply product updates to continue to
electronically file or print tax returns with your software? Please explain your timeline and
process once an update is available for your product.
3. Do you receive, store, process, or transmit taxpayer data through your own private data
centers or a cloud computing environment? If you are using a cloud computing
environment, are you able to track and monitor the geographic location of taxpayer data?
4. Minnesota wants to receive Taxes Paid to Other States (TPOS) data when applicable and will
provide a cross walk for the software provider when schemas are released. Will your company
support the TPOS schema for this filing season?
Data Breach Reporting
In addition to the requirements stated above, Software Providers executing this agreement are subject
to the data breach notification laws and regulations of the State of Minnesota including, but not limited
to, Minn. Stat. § 325E.61.
Signature:
Initial
Initial
Initial
Initial
Initial
I acknowledge that all e-file ATS tests submitted during the approval process are created in and
originate from the actual software.
I acknowledge that all electronic returns received by Minnesota Department of Revenue
generated from this software will be electronically filed from the initially approved product
version, or a subsequent product update.
I acknowledge that all paper returns received by Minnesota Department of Revenue generated
from this software will be printed from the initially approved product version, or a subsequent
product update.
I acknowledge that Minnesota Department of Revenue will be notified of any incorrect and/or
missing calculation or e-file data element for any paper or electronically returns submitted to
Minnesota Department of Revenue.
As the authorized representative of the above-named organization, I affirm that my organization
agrees to abide by all of the requirements listed above. I understand the Minnesota Department
of Revenue reserves the right to revoke its approval acceptance of any person or company that
does not adhere to the above-stated requirements and may refuse to accept any additional
returns from such entity.
If accepted as an approved Software Provider, my organization agrees to provide the Minnesota
Department of Revenue with information about my company that is true, accurate, current, and
complete. I understand that if anyone from my organization knowingly or negligently provides any
information that is untrue, inaccurate, obsolete, or incomplete, the department has the right to
immediately restrict, suspend, or terminate my account.
Electronic Signature (Authorized representative) Date
Contact Number
Email Address
☐
I understand that checking this box constitutes a
legal signature that I acknowledge and agree to the
above terms of acceptance.
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2019 StateLOIV1.1 Final

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Completed 3 July 2020

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