Common use of Background Investigations Clause in Contracts

Background Investigations. Supplier agrees that before deploying any Supplier employee, subcontractor or agent (“Deployed Person”) to provide Services to Aetna, Supplier will conduct an investigation of such Deployed Person’s background”). Supplier agrees that this investigation will include the following: i. Verification of employment, salary and prior job performance as claimed by the Deployed Person for the previous five (5) years; ii. Verification of the Deployed Person’s educational attainments (highest degree earned beginning with licenses and/or professional certifications and associates degrees as claimed by the Deployed Person); iii. To the extent permitted by applicable law, review of appropriate federal, state and local records to determine if the Deployed Person has a criminal record. The investigation shall include all addresses where the Deployed Person resided in the previous ten (10) years and all employer locations where the Deployed Person was employed. When conducting a criminal records check for misdemeanor convictions, Supplier shall review records for the preceding seven (7) years, except in California which is limited to five (5) years. A criminal conviction report shall include the type of offense and whether the listed offense is a felony or misdemeanor. All felony convictions that are disclosed during the investigation must be reported regardless of when the conviction occurred. Where a comprehensive statewide search initially indicates a criminal record the details of which are not available in five (5) business days, county searches will be conducted. County searches shall be provided in all other situations where comprehensive and timely statewide searches are not available. Supplier further agrees that, without prior consultation with and approval from Aetna, it will not deploy to Aetna any Deployed Person for whom the background report indicates either a discrepancy between the criminal record, employment history, educational attainments, licenses and/or professional certifications claimed by the Deployed Person and what has been verified by Supplier. Supplier also agrees that before deploying any person whom the background report indicates has a criminal record, it will inform Aetna of the nature of the criminal record. Aetna shall have sole discretion as to whether such person is suitable for deployment. In conducting the background investigations, Supplier agrees to comply with all provisions of applicable law, including, but not limited to, the Fair Credit Reporting Act, as amended, and, to obtain the Deployed Person’s explicit written authorization to release information from the background investigation to Aetna. Supplier agrees to indemnify, defend, settle and hold Aetna harmless from and against any and all claims, damages, losses, liabilities, costs and expenses arising from background investigations required herein. In addition, Supplier represents that at all times it will comply with all state and federal laws and regulations with respect to maintaining a drug-free workforce and that it will disclose its drug testing procedures to Aetna upon request. Notwithstanding the above provisions, Supplier agrees that it will not deploy any person to provide Services to Aetna whose background investigation reveals that such person has been convicted of any criminal felony involving dishonesty or a breach of trust or that such person has been convicted of any offense under 18 U.S.C. Section 1033 of the Violent Crime Control and Law Enforcement Act of 1994, which section is captioned “Crimes by or Affecting Persons Engaged in the Business of Insurance Whose Activities Affect Interstate Commerce”. However, Supplier will not be deemed or considered to be in violation of this Section if applicable law limits access to criminal records to the preceding seven (7) years. Such offenses include, by way of illustration and not of limitation, activities by persons in the insurance industry who willfully and materially overvalue any land, property or securities; embezzlement or misappropriation of insurance premiums and other funds; the making of false entries or statements in reports with the intent to deceive another person engaged in the insurance industry; or the use of threat or force in an attempt to corrupt or obstruct administrative proceedings related to the insurance industry. Upon Aetna’s written request, Supplier shall provide to Aetna written certification that Supplier has performed the background investigations required herein. Said certification shall include, but not be limited to, Deployed Person’s name, the types of investigations performed, the time period(s) investigated, the geographic area(s) investigated (where appropriate), and the names and addresses of the agency, if any, utilized in performing the required investigations. Supplier and Aetna agree that Supplier’s failure to comply with any of the provisions of this Section 7 shall constitute a material breach of the Agreement.

Background Investigations. Supplier The Provider shall maintain a file with Department’s Contract Manager of all Provider staff background investigation reports. All Provider personnel assigned to this Project shall have a background-screening that is equivalent to a Level Two (2) screening standard specified in Section 435.04, F.S., and the Department’s Operating Procedure Number 60-25. The Department’s policies can be viewed at the following link: The Provider will cooperate with the Department in obtaining the Level Two background screenings. The Provider is responsible for the cost of obtaining the screenings. The results of the screenings shall be provided to the Department’s Contract Manager and shall be used, in part, in approving Project team members. The Department reserves the right to make final determinations on all Provider personnel assigned to this Project. The Department may disclose the results of such screenings only to state employees with a need to know (e.g., auditors, investigators, etc.) and shall use the results only for the purpose of evaluating the proposed personnel and not for any other purpose. Coordination with Other Providers/Entities The Department may undertake or award other contracts for additional or related work, and the Provider shall fully cooperate with such other providers and Department employees. The Provider shall not commit or permit any act, which shall interfere with the performance of work by any other provider or by Department employees. The Department shall include this clause in the contracts of all providers with whom the Provider shall be required to cooperate. The Department shall equitably enforce this clause as to all providers, to prevent the imposition of unreasonable burdens on any provider. Coordination with Subsequent Provider The Provider is responsible for facilitating a professional, workable transition to whoever is involved in similar scope of services upon the completion of this contract and the Department agrees that before deploying it shall facilitate such cooperation during any Supplier employee, subcontractor or agent (“Deployed Person”) to provide Services to Aetna, Supplier will conduct an investigation of such Deployed Person’s background”)transition period. Supplier agrees that this investigation will include the following: i. Verification of employment, salary and prior job performance as claimed by the Deployed Person for the previous five (5) years; ii. Verification Department Responsibilities Responsibilities of the Deployed PersonDepartment’s educational attainments (highest degree earned beginning with licenses and/or professional certifications Contract Manager The Department’s Contract Manager will have the authority to make or obtain contractual decisions on behalf of the Department. These decisions will be in writing and associates degrees as claimed by provided to the Deployed Person); iii. To the extent permitted by applicable law, review of appropriate federal, state and local records to determine if the Deployed Person has a criminal record. The investigation shall include all addresses where the Deployed Person resided in the previous Provider within ten (10) years and all employer locations where business days of receipt of the Deployed Person was employedrequest by the Department’s Contract Manager. When conducting a criminal records check for misdemeanor convictions, Supplier shall review records The Department's Contract Manager will be responsible for the preceding seven (7) yearsperformance of the following functions, except in California which is limited to five (5) years. A criminal conviction report shall include the type of offense and whether the listed offense is a felony or misdemeanor. All felony convictions that are disclosed during the investigation must be reported regardless of when the conviction occurred. Where a comprehensive statewide search initially indicates a criminal record the details some of which are not available may be delegated to other Department staff. Act as a liaison between the Department and the Provider. Provide correspondence and written approvals sent to the Provider. Receive all deliverables from the Provider and archive them. Approve or disapprove of all deliverables. Review, verify, and approve invoices from the Provider. Meet with the Provider and inform Department management on Provider contractual issues. Resolve any contractual problems. Responsibilities of the Department’s CIO (or Designee) The Department’s CIO or Designee will have the authority to make or obtain decisions related to the Project schedule, staffing, activities and deliverables at the Project level. These decisions will be in five writing and provided to the Provider within ten (510) business days, county searches days of receipt of the request by the Department’s CIO or Designee. The Department's CIO or Designee will be conductedresponsible for the performance of the following functions, some of which may be delegated to other Department staff. County searches shall be provided in Project Management Define reporting structures between various participants (Project governance). Receive, review and approve or disapprove of all deliverables at a Project level and recommend approval or disapproval to Contract Manager. Provide correspondence and written approvals sent to the Provider. Review and approve project management deliverables and plans Review and approve schedule updates and other situations where comprehensive changes to the Project Management Plan Monitor the availability and participation of Department staff. Review and approve status reports. Review and approve the timely statewide searches are not availableresolution of escalated risks, issues, and opportunities. Supplier further agrees that, without prior consultation with Ensure the timely review and approval from Aetna, it will not deploy to Aetna any Deployed Person for whom the background report indicates either a discrepancy between the criminal record, employment history, educational attainments, licenses and/or professional certifications claimed by the Deployed Person Department of all maintenance and what has been verified by Supplierenhancement estimates. Supplier also agrees that before deploying any person whom Coordinate external reporting needs with the background report indicates has a criminal record, it will inform Aetna Provider. Coordinate with stakeholders to prepare for the implementation of the nature of the criminal recordproposed changes. Aetna shall have sole discretion as Transition Responsibilities from Incumbent Provider Facilitate access to whether such person is suitable for deployment. In conducting the background investigations, Supplier agrees to comply with all provisions of applicable law, including, but not limited to, the Fair Credit Reporting Act, as amended, and, to obtain the Deployed Person’s explicit written authorization to release information and knowledge sharing from the background investigation to Aetnaincumbent provider. Supplier agrees to indemnifyShare Departmental knowledge about processes and procedures, defendcurrent and pending work, settle and hold Aetna harmless from and against stakeholders etc. with the Provider. Document any and all claimsupdated processes and procedures for future reference Operations Facilitate identification of ACCESS Florida System related issues by various internal and external stakeholders. Coordinate with external agencies for troubleshooting security, damagesnetwork, lossesfirewall and hosting issues. Review and approve system documentation including database changes. Facilitate interaction between the Provider and COTS vendors for hardware/software upgrades and troubleshooting. Review and approve software and hardware upgrade requests. Review and approve capacity planning and performance testing metrics. Maintenance Review the release content recommended by the Provider and, liabilitiesif necessary, costs modify the incidents included based on Department priority, and expenses arising from background investigations communicate the modifications to the Provider. Department will have final say on release content. Approve effort estimates for issues or other items in the release. Approve ACCESS Florida System design changes. Perform code reviews. Conduct UAT testing. Conduct regression testing as necessary. Review and approve system documentation including database changes. Review performance testing results. Review and approve data fix process and data fixes. Communicate to stakeholders about upcoming releases. Work with federal authorities to obtain matching funding for maintenance activities as appropriate. Enhancements Review and prioritize enhancement requests based on business need. Schedule enhancements releases. Work with federal authorities to obtain matching funding for enhancement work as appropriate. Review and approve enhancement timeline and estimates. Approve ACCESS Florida System design changes. Perform code reviews. Conduct UAT testing. Conduct regression testing as necessary. Review and approve system documentation including database changes. Review performance testing results. Office Facilities, Equipment and Clerical Support for the Provider The Department shall supply the office facilities, equipment and networks to perform O&M and enhancement services under this contract. The Provider staff may use state equipment and supplies, such as telephone service, facsimile machines or copiers when working at the Department's facilities, but only for state business. The cost for any office facilities, equipment and clerical support provided by the Department to the Provider not used for official state business shall be assessed to the Provider by the Department and such assessment will be credited against the payment requested on the Provider’s next invoices. In the event the Provider will be assessed such charges, the Department’s Contract Manager will provide the Provider at least thirty (30) days written notification prior to any assessments being levied. Access to Data and Documentation for the Provider The Department will provide required information, data, documentation, and test data to facilitate the Provider’s performance of the services and to provide such additional assistance and services as is specifically set forth in this contract. Department Determinations The Department has authority over determining quality and acceptability of Service Deliverables based upon agreed-upon specific criteria and performance metrics as described herein. In addition, Supplier represents that at all times it will comply with all state Any determination shall include reference to such criteria and federal laws and regulations with respect to maintaining a drug-free workforce and that it will disclose its drug testing procedures to Aetna upon requestperformance metrics. Notwithstanding the above provisions, Supplier agrees that it will not deploy any person to provide Services to Aetna whose background investigation reveals that such person has been convicted of any criminal felony involving dishonesty or a breach of trust or that such person has been convicted of any offense under 18 U.S.C. Section 1033 Dispute Resolution Any dispute concerning performance of the Violent Crime Control contract or payment hereunder shall be decided by the Department’s Contract Manager, who shall reduce the decision to writing and Law Enforcement Act provide a copy to the Provider. The decision shall be final and conclusive unless within twenty-one (21) calendar days from the date of 1994receipt of the Contract Manager’s decision, the Provider delivers to the Contract Manager a petition for alternative dispute resolution. After receipt of a petition for alternative dispute resolution the Department and the Provider shall attempt to amicably resolve the dispute through negotiations. Timely delivery of a petition for alternative dispute resolution and completion of the negotiation process shall be a condition precedent to any legal action by the Provider concerning this Contract. After timely delivery of a petition for alternative dispute resolution, the parties may employ any dispute resolution procedures described in this SOW or other attachment or exhibit, or mutually agree to an alternative binding or nonbinding dispute resolution process, the terms of which section is captioned “Crimes shall be reduced to writing and executed by or Affecting Persons Engaged both parties. Completion of such agreed process shall be deemed to satisfy the requirement for completion of the negotiation process. This provision shall not limit the parties’ rights of termination. Dispute Resolution under this Contract shall be governed by the applicable terms contained in the Business of Insurance Whose Activities Affect Interstate Commerce”. However, Supplier will not be deemed Department’s Standard Contract and applicable Florida law or considered to be in violation of this Section if applicable law limits access to criminal records to the preceding seven (7) years. Such offenses include, by way of illustration and not of limitation, activities by persons in the insurance industry who willfully and materially overvalue any land, property or securities; embezzlement or misappropriation of insurance premiums and other funds; the making of false entries or statements in reports with the intent to deceive another person engaged in the insurance industry; or the use of threat or force in an attempt to corrupt or obstruct administrative proceedings related to the insurance industry. Upon Aetna’s written request, Supplier shall provide to Aetna written certification that Supplier has performed the background investigations required herein. Said certification shall include, but not be limited to, Deployed Person’s name, the types of investigations performed, the time period(s) investigated, the geographic area(s) investigated (where appropriate), and the names and addresses of the agency, if any, utilized in performing the required investigations. Supplier and Aetna agree that Supplier’s failure to comply with any of the provisions of this Section 7 shall constitute a material breach of the AgreementFederal regulation.

Background Investigations. Supplier agrees If Xxxxxx knows or learns of circumstances indicating that before deploying any Supplier employeea Vendor Staff member lacks honesty or integrity, subcontractor or agent (“Deployed Person”) Vendor will not allow that Vendor Staff member to provide perform Services to Aetna, Supplier will under this Agreement. Vendor shall conduct an investigation of such Deployed Person’s background”). Supplier agrees that this investigation will include the following: i. Verification of employment, salary and prior job performance as claimed by the Deployed Person for the previous five (5) years; ii. Verification of the Deployed Person’s educational attainments (highest degree earned beginning with licenses and/or professional certifications and associates degrees as claimed by the Deployed Person); iii. To the extent permitted by applicable law, review of appropriate federal, state and local records to determine if the Deployed Person has a criminal recordbackground check on all Vendor Staff prior to assigning them to perform Services. The investigation All criminal background checks will be at Vendor’s expense and shall include all addresses where the Deployed Person resided in the previous ten (10) years and all employer locations where the Deployed Person was employed. When conducting a criminal records check for misdemeanor convictions, Supplier shall review records for the preceding seven (7) years, except in California which is limited to five (5) years. A criminal conviction report shall include the type of offense and whether the listed offense is a felony or misdemeanor. All felony convictions that are disclosed during the investigation must be reported regardless of when the conviction occurred. Where a comprehensive statewide search initially indicates a criminal record the details of which are not available in five (5) business days, county searches will be conducted. County searches shall be provided in all other situations where comprehensive and timely statewide searches are not available. Supplier further agrees that, without prior consultation with and approval from Aetna, it will not deploy to Aetna any Deployed Person for whom the background report indicates either a discrepancy between the criminal record, employment history, educational attainments, licenses and/or professional certifications claimed by the Deployed Person and what has been verified by Supplier. Supplier also agrees that before deploying any person whom the background report indicates has a criminal record, it will inform Aetna of the nature of the criminal record. Aetna shall have sole discretion as to whether such person is suitable for deployment. In conducting the background investigations, Supplier agrees to comply with all provisions of applicable law, including, but not be limited to, the Fair Credit Reporting Act, as amended, and, to obtain the Deployed Person’s explicit written authorization to release information from the background investigation to Aetna. Supplier agrees to indemnify, defend, settle and hold Aetna harmless from and against any and all claims, damages, losses, liabilities, costs and expenses arising from background investigations required herein. In addition, Supplier represents that at all times it will comply with all : (a) state and federal laws felony convictions or pending adjudications; (b) state and regulations with respect to maintaining a drug-free workforce and that it will disclose its drug testing procedures to Aetna upon request. Notwithstanding the above provisions, Supplier agrees that it will not deploy federal misdemeanor convictions or pending adjudications; (c) any person to provide Services to Aetna whose background investigation reveals that such person has been convicted of any criminal felony involving dishonesty or a breach of trust or that such person has been convicted of any offense under 18 U.S.C. Section 1033 crimes in violation of the Violent Crime Control and Law Enforcement Act of 19941995 or pending adjudications; and, which section is captioned “Crimes by or Affecting Persons Engaged in the Business of Insurance Whose Activities Affect Interstate Commerce”. However, Supplier will not be deemed or considered to be in violation of this Section if applicable law limits access to criminal records to the preceding (d) a seven (7) years. Such offenses includeyear minimum timeframe, by way of illustration and not of limitation, activities by persons in the insurance industry who willfully and materially overvalue any land, property or securities; embezzlement or misappropriation of insurance premiums and other funds; the making of false entries or statements in reports with the intent to deceive another person engaged in the insurance industry; or the use of threat or force in an attempt to corrupt or obstruct administrative proceedings related extending as close as practicable to the insurance industrydate of assignment Effective 5/4/2016 – Revised 5/4/2016_ _ to perform Services. 3.7.1. Upon Aetna’s Vendor will not allow any Vendor Staff that has been convicted of, pled guilty or nolo contendere (no contest) to, or has been found guilty of a felony, regardless of whether adjudication was withheld, to perform Services. If a Vendor Staff has been convicted of, pled guilty or nolo contendere (no contest) to, or has been found guilty of a misdemeanor, regardless of whether adjudication was withheld, then such individual will be allowed to perform Services only upon disclosure to and prior written requestapproval by Citizens’ Contract Manager or designee. Any Vendor Staff whose criminal background check indicates, Supplier shall provide to Aetna written certification Citizens, conduct that Supplier has performed the background investigations required herein. Said certification shall includedemonstrates a lack of honesty or integrity, but or otherwise demonstrates an inability to safely and reliably perform Services, will not be limited to, Deployed Person’s name, the types of investigations performed, the time period(s) investigated, the geographic area(s) investigated (where appropriate), and the names and addresses allowed to perform Services. 3.7.2. Vendor will comply with all requirements of the agencyfederal Fair Credit Reporting Act, if any, utilized in performing the including providing Vendor Staff all required investigationspre-notification and post- report notices. Supplier and Aetna agree Vendor is responsible for any adverse action notices that Supplier’s failure may apply to comply with any of the provisions of this Section 7 shall constitute a material breach of the Agreementits employment decisions.