SPECIFICATION NO. TxDOT * REVISED: AUGUST 2017 CRIMINAL BACKGROUND CHECKS

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1 SPECIFICATION NO. TxDOT * REVISED: AUGUST 2017 CRIMINAL BACKGROUND CHECKS PUBLICATION This specification is a product of the Texas Department of Transportation (TxDOT). This specification may not be sold for profit or monetary gain. If this specification is altered in any way, the header, and any and all references to TxDOT must be removed. TxDOT does not assume nor accept any liability when this specification is used in the procurement process by any other entity. * This Specification Supersedes TxDOT Specification No , Revised November 2016.

2 1. SCOPE This solicitation is for services to provide criminal background checks for pre-employment screening of pre-selected final applicants at various TxDOT locations, including but not limited to, districts and divisions located throughout the state of Texas, on an as needed basis. 2. DEFINITIONS OF TERMS AND ACRONYMS 2.1. CT Central Time 2.2. FCRA Fair Credit Reporting Act 2.3. HR Human Resources 2.4. HRD Human Resources Division 2.5. ID Identification 2.6. TxDOT Texas Department of Transportation 3. APPLICABLE LAWS AND STANDARDS The vendor shall provide the specified service requirements in accordance with all applicable federal, state, and local laws, standards, and regulations necessary to perform the services, including, but not limited to: 3.1. Texas Government Code Use of Criminal History Record Information Texas Government Code Unauthorized Obtaining, Use, or Disclosure of Criminal History Record Information, Penalty Texas Government Code Access to Certain Information by Public Fair Credit Reporting Act (FCRA) 15 U.S.C 1681 et Seq. 4. BACKGROUND In accordance with TxDOT s HRD Manual, TxDOT requires criminal background checks be performed on all final applicants in specific job categories. 5. RESPONDENT QUALIFICATIONS The respondent shall: 5.1. Be a company engaged in the business of providing criminal background checks for preemployment screening services for a minimum of five years within the last seven years. Recent start-up businesses do not meet the requirements of this solicitation. 2-12

3 NOTE: A start-up business is defined as a new company that has no previous operational history or expertise in the relevant business and is not affiliated with a company that has that history or expertise. Two companies are affiliated if the two companies have a common parent company or if one is the parent or subsidiary of the other Be in good financial standing and current in payment of all taxes and fees such as state franchise fees. TxDOT reserves the right to request a copy of the respondent s audited or unaudited financial statement. TxDOT may request a statement from the president, owner or financial officer on company letterhead certifying that the company is in good financial standing and current in payment of all taxes and fees. When financial statements are requested, TxDOT will review the respondent's audited or unaudited financial statement in accordance with Texas Government Code, Title 10, Subtitle D, Section to evaluate the sufficiency of the respondent's financial resources and ability to perform the contract or provide the service required in the solicitation. TxDOT will be the sole judge in determining the sufficiency of the respondent's financial resources and ability to provide the service. Factors to be reviewed include: Balance sheets Net working capital Current asset ratio Liquidity ratio Auditor(s) notes Any notes to the financial statements 6. RESPONDENT REFERENCES The respondent should submit a minimum of three references to substantiate the qualifications and experience requirements for similar services completed for five years within the last seven years. References shall illustrate respondent s ability to provide the services outlined in the specification. References shall include name, point of contact, telephone number, and dates services were performed. The response may be disqualified if TxDOT is unable to verify qualification and experience requirements from the respondent s references. The response may be disqualified if TxDOT receives negative responses. TxDOT will be the sole judge of references (Ref. Respondent References). 7. KEY PERSONNEL QUALIFICATIONS The respondent shall provide an Account Manager with a minimum of three years experience within the last five years providing background check services. 8. VENDOR REQUIREMENTS The vendor shall: 3-12

4 8.1. Adhere to the TxDOT Terms and Conditions identified on the solicitation. Have the Account Manager be TxDOT s primary point of contact and provide a support person or team, knowledgeable of TxDOT s service requirements to support TxDOT when the Account Manager is not available. The Account Manager and support person or team shall: Be permanent staff employees , Be fluent in English with the ability to receive, give, and understand written and oral instructions as the primary points of contact Have the Account Manager and support person or team available between the hours of 8:00 a.m. to 5:00 p.m., CT, Monday through Friday, except on regularly observed state or federal holidays unless otherwise specified in the solicitation Respond to TxDOT within 24 hours of being contacted by TxDOT Provide non-legal guidance and interpretation regarding criminal background checks to the designated TxDOT HR representatives in various TxDOT locations, throughout the state of Texas Conform to the FCRA while performing service under the purchase order Work with the designated HRD point of contact to design and coordinate report formats BACKGROUND CHECK: Conduct background checks on all vendor permanent and temporary personnel scheduled to work on TxDOT projects prior to beginning service. Upon award, supporting documentation confirming the completion of these comprehensive background checks may be subject to review upon request by TxDOT or the TxDOT designee, or both, prior to beginning the service. Failure to produce the requested documentation may be cause for termination of the purchase order. The background checks shall include, but not be limited to, the following: 8.7.1, Social Security Number verification Statewide criminal and sex offender records for all Texas counties and out-of-state counties based on the current and previous addresses for the last seven years. 9. KEY PERSONNEL REQUIREMENTS The Account Manager s primary responsibility shall be the day-to-day operation of the service in accordance with the requirements of the purchase order. 10. SERVICE REQUIREMENTS The vendor shall: Be prepared to provide services within seven calendar days of award of the purchase order or as mutually agreed by TxDOT and vendor. 4-12

5 10.2. Provide a secure website where HR representatives submit requests for criminal background checks. The website shall use encryption and authentication standards to protect the confidentiality of web transactions. The vendor shall maintain the website throughout the term of the purchase order. The website shall include but not be limited to: Incorporating a mechanism for detecting any alterations in transit, so that eavesdropping on or tampering with web traffic is prohibited to ensure the safe transmission of confidential personal information Being user friendly, accurate, updated and maintain a 98% or better availability time in the ordering of criminal background checks and receiving detailed reports by designated TxDOT HR representatives Being available during the hours of 7:00 a.m. through 6:00 p.m. CT, throughout the term of the purchase order Allowing the designated HRD point of contact and HR representatives to create unique user ID s and generate a unique password for each user ID Requiring the new user to reset the password the first time the new user accesses the system Requiring the HR representative to select District or Division Including an auditing function that allows the designated HRD point of contact to track usage by a unique User ID TRAINING Provide on-site, web-based or WebEx and teleconference training to TxDOT HR personnel in the use of the website, as requested by the designated HRD point of contact Coordinate training dates and locations with the designated HRD point of contact BACKGROUND CHECK , Background check services shall be for seven or ten years from the date of the request and shall include in state, out of state, federal and international. Each background search shall include the following: Social security number verification All true alias names National searches, including, but not limited to state, county and federal databases and the National Sex Offender database , Utilize existing databases or search individual courthouse records in the applicable county where the applicant has lived within the last seven or ten years, as requested by the designated HRD representative. 5-12

6 10.4.3, NOTE: Only provide seven years or ten years of search information, as requested by the HR representative Perform physical searches of criminal records, as needed. Physical searches shall include, but not be limited to the state of Texas, Texas counties, out of state counties, federal and international, based on the known current and previous addresses of the final applicant for the last seven or ten years, as requested by the HR representative , International searches shall be limited to the specific country or countries that the applicant has previously resided within the last seven years. An international search requires pre-approval by the designated HRD point of contact. NOTE: TxDOT will reimburse vendor for the actual cost of pre-approved international searches as a miscellaneous fee , Submit criminal background check reports within three to five working days of receipt of written request from TxDOT for a standard background check request , Notify the HR representative, if additional time is needed to complete the background check Reports Provide summary reports to the designated HRD point of contact upon request. Information to be included in the report will be provided by the designated HRD point of contact at the time of the request. The format for the report shall be mutually agreed to by the designated TxDOT point of contact and the vendor at the time the request is submitted Submit detailed monthly summary billing reports with a copy of the invoice to the designated HRD point of contact in a format approved by TxDOT, after award of purchase order. or have access available on the website which includes, but is not limited to: Names of each county searched Name of each county with any additional costs Purchase order number Social security number verification Name of the person and all alias names National search including sex offender International search. 11. VENDOR PERFORMANCE 6-12

7 Vendor performance will be monitored on a regular basis by TxDOT An unsatisfactory performance determination includes, but is not limited to: One instance in one year where a report is not provided on the schedule established by TxDOT and the vendor (Ref. Para ) Two instances within one year of the Account Manager, support person or team not responding to TxDOT within 24 hours of being contacted by TxDOT (Ref. Para.8.4.) Two instances within one year where an invoice is incorrect. NOTE: Unsatisfactory performance may result in a negative vendor performance report or cancellation of the purchase order, or both An exceptional performance determination includes, but is not limited to: Deliverables made early upon TxDOT HR representative request Vendor commended for exceptional customer service, exceptional service provided. 12. PERSONNEL CONTINUITY AND REPLACEMENT TxDOT recognizes that events beyond the control of the vendor such as the death, physical or mental incapacity, long-term illness, or the voluntary termination of employment of the Account Manager will require the vendor propose a replacement. In the event such a replacement is necessary, vendor agrees that personnel shall not begin work on the project without prior written approval from TxDOT The Account Manager shall remain available for the entire term of the purchase order as long as that individual is employed by the vendor If TxDOT determines the Account Manager is unable to perform in accordance with the service requirements or to communicate effectively; the vendor shall immediately remove that person Proposed replacement personnel shall meet minimum qualifications and have experience comparable to the person(s) being replaced. Replacement personnel shall be provided at no additional cost to TxDOT. Resume(s) and reference(s) will be requested for the proposed replacement(s). TxDOT may reject any replacement if references or past working performance is questionable or unfavorable. TxDOT will be the sole judge of the qualifications of the proposed replacement personnel. 7-12

8 13. CONFIDENTIALITY CLAUSE TxDOT is governed by laws and regulations that make certain information confidential as well as specifying how public information is released. The vendor and vendor s personnel shall not divulge any information relative to TxDOT s business to a third party without the prior written approval of TxDOT. 14. BUSINESS CONTINUITY PROCEDURES AND DISASTER RECOVERY PLAN The respondent shall submit the respondent s business continuity procedures and disaster recovery plan (limit one page) which shall include procedures that shall be implemented to fulfill all requirements of the purchase order including, but not limited to: fire, theft, natural disaster, technical difficulty, workforce problems, equipment failure, or other disruption of business. NOTE: Business Continuity Procedures and a Disaster Recovery Plan for this service shall be maintained by the vendor throughout the term of the purchase order. The vendor shall be responsible for all costs of disaster recovery. 15. TRAVEL All travel and per diem shall be included in the unit price. 16. CONFLICT OF INTEREST The vendor, vendor s personnel, and vendor s subcontractor(s) shall affirm not to have, nor acquire any interest during the term of the purchase order that would conflict in any manner with the performance of the vendor s obligations in regards to services authorized. 17. INVOICING INSTRUCTIONS The vendor shall submit: ORIGINAL INVOICE: The invoice shall reference to the line item on the Purchase Order for each item charged. The original invoice shall be ed to the ed to FIN_INVOICES@txdot.gov and shall include the following: NOTE: Names of applicants and social security numbers shall not be referenced on the original invoice Complete purchase order number Vendor Federal Employer Identification Number (EIN) Invoice number Charge corresponding to the appropriate line item on the purchase order and identification of type of search, seven or ten year search. 8-12

9 International search fees Miscellaneous courthouse fees. NOTE: Invoices requiring correction shall be re-submitted with a new invoice date COPY OF INVOICE AND SUPPORTING DOCUMENTATION: A copy of the invoice, and supporting documentation that validates the invoice charges shall be ed to the designated HRD point of contact (Ref. Para ): Social security number verification (one search) Name of each county searched inside of Texas Name of each county searched outside of Texas Criminal History Texas state wide search National search including national sex offender data base Name of each county searched that incurs additional cost Miscellaneous fees and any other additional state fees including (International searches). 18. TxDOT RESPONSIBILITIES TxDOT will: Provide a HRD point of contact Provide the names, phone numbers, and addresses of all designated HR representatives in various TxDOT locations Provide each final applicant a copy of the investigative report, a summary of rights under the FCRA and a pre-adverse decision letter. If the applicant does not credibly demonstrate that the information in the report is incorrect, or if the decision remains unfavorable, even in light of new information provided by applicant, TxDOT will send the applicant an adverse decision letter and refer the applicant to the vendor for additional information. 19. RESPONSE SUBMISSION GENERAL FORMAT: The respondent shall submit one signed and dated original (marked Original, one copy of the original response on a flash drive (marked Original) and one copy of the information in Para on a flash drive (marked Copy). The submission should be in separate loose leaf binders on one sided 8-1/2 x 11 inch paper and be tab-indexed corresponding to the sections listed below. Plastic spine-bound or wire bound submittals are highly discouraged. Include only the information specified for each section. 9-12

10 19.2. ORIGINAL RESPONSE: Failure by the respondent to submit the documentation listed below will disqualify the respondent from further consideration. The response submission shall be submitted in the following format: , Section 1 Invitation for Bid (IFB): Original signed, dated and completed solicitation. NOTE TO RESPONDENT: If addendums are generated as part of this solicitation, include the original signed and dated addendum(s) in Section , Section 2 Schedule 1 Respondent Qualifications and Experience: Complete and return detailing respondent qualifications and experience , Section 3 Schedule 2 Key Personnel Qualifications and References: Complete and return for each proposed key or respondent personnel position , Section 4 Demonstration of Capability: The respondent s approach and ability to meet the service requirements as specified in the solicitation shall be demonstrated. The response should be specific and address all requirements described in the solicitation in the order presented in Para. 10. The respondent shall submit written documentation addressing how the vendor intends to meet the following: Provide a documented example of respondent s secure internet website URL to demonstrate respondent s ability to meet the service requirements Provide examples of detailed reports and findings of the criminal background checks Describe how individual county courthouse records shall be searched Indicate the respondent s standard turnaround time to provide the results of criminal background check requests for in- state, out of state, and international Setup a test area on respondent s website to and provide the link to the portal for TxDOT to submit sample applicant information and verify websites capabilities Submit a copy of an invoice that includes multiple background searches, international fees and courthouse fees , Section 5 Business Continuity and Disaster Recovery Plan: Respondent shall submit a business continuity and disaster recovery plan detailing how the respondent proposes to meet the specifications in the event vendor service is interrupted. The plan shall detail the vendor s backup and recovery process (Ref. Para. 15.) The following should be submitted with the response. Failure by the respondent to submit the documentation listed below may disqualify the respondent from further consideration

11 19.3.1, Section 6 Financial Standing: Statement from the president, owner, or financial officer on company letterhead certifying that the company is in good financial standing, current in payment of all taxes and fees (Ref. Para. 5.2.) , Section 7 Respondent References , Copies: One copy on a flash drive (marked Copy) shall include only the following tabindexed sections: 20. RESPONSE EVALUATION Section 2 Schedule 1 Respondent Qualifications and Experience Section 3 Schedule 2_ Key Personnel Qualifications and References Section 4 Demonstration of Capability Section 5 Business Continuity and Disaster Recovery Plan STEP 1 REVIEW OF RESPONSES BY PURCHASING: Only a complete response with the listed required submittal documents and meeting minimum qualifications will be considered. Failure to meet the minimum qualifications and submit the required documents will result in a response being declared non-responsive STEP 2 INITIAL EVALUATION: A TxDOT evaluation committee will evaluate and score each response based on established criteria. Respondents shall not contact members of the evaluation team. Responses will be evaluated according to the respondent s ability to best satisfy TxDOT requirements. Respondent s submission is evaluated and scored on a weighted system to determine the best value as follows: , Respondent qualifications and experience will comprise 60% of the evaluation total , Pricing submitted for the solicitation requirements will be 40% of the evaluation total STEP 3 ORAL PRESENTATION: TxDOT may request that selected respondents, including key personnel participate in oral presentation , The TxDOT evaluation committee will evaluate and score each oral presentation. All responses will be evaluated according to the respondent s ability to best satisfy TxDOT requirements The initial selection of respondents qualifying to proceed to this step will maintain the pricing weight at 40%. The initial evaluation score of the qualifications and submission information will be replaced with the oral presentation score at 60% TxDOT will advise each respondent in writing of the location, date, and time of the scheduled oral presentation. A minimum of two weeks notice will be given to the respondent(s) selected for the oral presentation phase

12 21. AWARD TxDOT may provide the respondent with a list of proposed key personnel required to attend and participate in the meeting Respondent and proposed key personnel should be prepared to address any questions that may be asked by TxDOT evaluators , TxDOT reserves the right to continue discussions with selected respondent(s). TxDOT reserves the right to award a single purchase order to the most responsive, responsible respondent meeting the specification POST AWARD MEETING Vendor shall be required to attend a post award meeting in person or via teleconference, or via WebEx, with TxDOT within five calendar days after the award of the purchase order. The purpose of the meeting is to discuss the terms and conditions of the purchase order and to provide additional information regarding the purchase order. 23. CONTRACT ADMINISTRATION Administration of the purchase order is the responsibility of TxDOT. TxDOT Procurement Division staff will be responsible for administering the contractual business relationship with the vendor Any proposed changes to work to be performed, whether initiated by TxDOT or the vendor, must receive final written approval in the form of a Purchase Order Change Notice signed by the authorized TxDOT purchasing agent Upon issuance of purchase order, TxDOT will designate an individual to serve as the Contract Manager and point of contact between TxDOT and the vendor. The Contract Manager does not have any express or implied authority to vary the terms of the purchase order, amend the purchase order in any way, or waive strict performance of the terms or conditions of the purchase order. This individual s contract management and contract administration responsibilities include, but are not limited to: , Monitoring the vendor s progress and performance and ensuring services conform to established specification requirements , Managing the financial aspects of the contract including approval of payments , Meeting with the vendor as needed to review progress, discuss problems, and consider necessary action , Identifying a breach of contract by assessing the difference between contract performance and non-performance , Other areas as identified by the Comptroller of Public Accounts Contract Management Guide, latest edition