ESBD_493477_1775146185904_Addendum#4_EXHIBIT H Criminal Conviction.pdf

EXHIBIT H

CRIMINAL CONVICTION CERTIFICATION

This Criminal Conviction Certification Form is incorporated as part of Respondent’s proposal and any resulting contract for all purposes.

Respondent represents and warrants that it shall comply with all of the following requirements:

Respondent must take appropriate steps and perform due diligence –- at a minimum, as described in this Exhibit H -- to become informed as to each assigned employee’s felony criminal convictions, if any, and must promptly inform Comptroller’s Contract Administrator of any such felony criminal convictions for any assigned employee. At a minimum, Respondent must take these appropriate steps and perform due diligence at each of these three (3) intervals: (1) within the seven (7) business days immediately prior to submission of Respondent’s proposal; (2) within the seven (7) business days prior to the proposed effective date of any renewal or extension of this Contract; and (3) within the seven (7) business days prior to requesting approval for assignment of a new employee (such as a substitute employee). Respondent must inform Comptroller in writing within three (3) business days of Respondent’s receipt of any information on any felony convictions of assigned employees obtained from any of these steps at any of these intervals.

At each of the above three (3) intervals, Respondent must take minimum steps to review and perform due diligence of every assigned employee’s criminal history. Respondent’s minimum steps shall include, at a minimum, (1) Respondent’s compliance with Respondent’s published employee policies and procedures for background and criminal checks of Respondent’s employees and (2)

Respondent’s comprehensive search of the public information portion of an online criminal conviction database, such as the DPS criminal conviction database at: https://publicsite.dps.texas.gov/ If such DPS criminal conviction database is not appropriate for a particular assigned employee, Respondent must submit with its proposal, its renewal or extension, or with its request for assignment, as appropriate, sufficient documentation that an equivalent or more extensive search was conducted and that the alternative is appropriate for that assigned employee.

Upon request by Comptroller’s Criminal Investigations Division, Respondent must provide to

Comptroller’s Criminal Investigations Division, no later than five (5) business days after receiving such request, the written results of these minimum steps for all assigned employees.

For purposes of this Exhibit H, “assigned employees” includes, without limitation, all employees or personnel, for example, who will or may (1) be assigned as lead or key employees or personnel under this Contract; (2) interact on site at Comptroller’s premises with any Comptroller personnel, assets, records or resources in connection with this Contract; or (3) otherwise access or interact with any assets, records or resources of Comptroller in connection with this Contract.

By signing this form and initialing the appropriate space, Respondent represents and warrants that it took the above minimum steps and performed due diligence as required by this Exhibit H to become informed as to each assigned employee’s felony convictions. If one or more proposed individuals have felony convictions, Respondent must describe the nature and timing of each conviction in a separate letter as part of Respondent’s proposal (and in its renewal or extension, request for assignment, etc., as appropriate).

If Comptroller becomes aware that the completed certification form is false, or if Respondent fails to promptly advise Comptroller of a felony criminal conviction occurring after the certification becomes effective, Respondent shall be in breach of this Contract and Comptroller shall have the option to terminate https://publicsite.dps.texas.gov/ the Contract without further obligation to Respondent and may pursue all other remedies and rights available to Comptroller under this Contract, at law, or in equity.

Respondent must have an authorized company representative initial and sign this document in the blanks provided below and must return the initialed and signed form along with the other required paperwork with its proposal (and as appropriate, its renewal or extension, or with its request for assignment).

Respondent shall indicate, by initialing in the space provided to the left of Items 1-2 below, its intent to comply with these provisions. Respondent shall initial below EITHER Item 1 or Item 2 as applicable.

DO NOT INITIAL BOTH ITEMS. Additionally, Respondent shall sign, date, and provide the title of the person executing this Criminal Conviction Certification on its behalf in the space provided below at the end of this document.

1._____Respondent represents and warrants that it performed all minimum steps and due diligence described in this Exhibit H and that all currently assigned employees and all employees proposed for assignment have no felony criminal convictions. (If Respondent cannot make this unqualified representation and warranty, Respondent must initial Item 2 below and provide detailed information requested in Item 2 as a separate attachment to this Exhibit H, detailing and explaining any such convictions.) Further, Respondent represents and warrants that it shall notify Comptroller’s Contract

Administrator in writing if any future proposed employee (for example, a substitute or other newly assigned employee) has any felony criminal conviction or if any information for any previously assigned employee has changed, no later than three (3) business days prior to such proposed employee’s proposed assignment starting date or no later than three (3) business days after Respondent’s receipt of such changed information, whichever is applicable.

OR

2._____Respondent represents and warrants that the attached detailed information describes the nature and timing of each felony conviction for each employee listed. Respondent represents and warrants that it shall notify Comptroller’s Contract Administrator in writing of any changes or updates to the information provided with this Exhibit H or subsequently provided no later than three (3) business days after

Respondent’s receipt of such changed or updated information. Respondent represents and warrants that it provided with this Exhibit H a separate attached document detailing and explaining these convictions.

Further, Respondent represents and warrants that it shall notify Comptroller’s Contract Administrator in writing if any future proposed employee (for example, a substitute or other newly assigned employee) has any felony criminal conviction or if any information for any previously assigned employee has changed, no later than three (3) business days prior to such proposed employee’s proposed assignment starting date or no later than three (3) business days after Respondent’s receipt of such changed information, whichever is applicable.

Signature of Authorized Representative Date Signed

Printed Name of Authorized Representative Title of Authorized Representative