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DocuSign Envelope ID: 94D165AB-F367-4157-8526-77F15FF93CD8 • Employing or maintaining the employment of any person who has been convicted of a felony, a misdemeanor or gross misdemeanor related to the performance of services provided for in this Agreement. Notice of Breach: The written Notice of Level III Breach will be issued to the Agent in a timely manner, no later than thirty (30) calendar days after DOL's determination that the conduct constituted a Level III Breach. The notice will be delivered to the Agent in person, by mail, or via email to the current contact information for the Agent, and the Agent's Agreement Manager. Both Agent and the Agent's Agreement Manager must be provided notice of the Level III Breach; although it only needs to be provided once if the same individual serves both roles. The notice must specify that it is a Level III Breach and include the specific provision(s) of the Agreement that have been breached. Agent Response: Agent must provide a written response to DOL within five (5) calendar days from the issue date the Notice of Level III Breach. Agent's response must include an explanation of the circumstances of the breach and the action(s) taken (or to be taken) if any by the Agent in an attempt to resolve the breach if possible or lessen its impacts. If the Agent does not provide a timely written response, this Agreement may be suspended until such time that the Agent provides a written response. DOL will then provide for a Termination Meeting with the Agent, as described below. Immediate Suspension; DOL, depending on the nature and severity of the breach, may also elect to immediately suspend the Agent's ability to perform transactions under this Agreement. If DOL chooses to suspend this Agreement, DOL must include in its notice how the actions of the Agent (or its VLRs) could cause immediate harm or damage to the State of Washington, DOL, and/or the public at large. Agent must then provide notice to the public that its office is temporarily closed. 2) Level III Breach -Termination Meeting: DOL will arrange for a Termination Meeting to take place within fourteen (14) calendar days of the date of the Agent's response to the notice of the Level III Breach, unless DOL and Agent mutually agree upon another date. The Termination Meeting will take place in- person unless the parties agree to a telephonic or web -based meeting. The purpose of the Termination Meeting is to determine the following: i. Whether the Agent agrees or contests, in whole or in part, to the underlying factual elements of the breach, as presented by DOL; ii. Whether DOL needs to engage in further investigation to determine whether the breach was caused, permitted, and/or allowed by the Agent based on facts presented; iii. Whether a temporary suspension of the Agreement will be maintained or implemented during any additional period of investigation, corrective action, and/or decision making; iv. Whether additional meetings are required to determine the ongoing level of compliance; and V. Whether the Agent should be given the opportunity to cure the breach through corrective action, and/or whether the Agreement should be immediately terminated, suspended for a set period, or whether the matter should be reduced to a Level 11 Breach. Agent waives their right to a Termination Meeting by not appearing at the designated time and place of the meeting. WA State Department of Licensing Page 9 of 26 DOL Reference # K6984 Version: January 2020 Agent Agreement County Reference # V01901