1. ADDENDUM 1: SUMMARY OF CHANGES AS OF MAY 6, 2025

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SUMMARY OF CHANGES AS OF MAY 6, 2025 1:31PM

ADDENDUM CHANGE	NOTES
Below are changes to document "REQUEST FOR PROPOSAL - SECONDARY"	SECTION 1.4
One change to section "SECTION 1.4. TERM OF CONTRACT AND AVAILABLE FUNDING"	See strike through for language that has been removed and no longer apply.
One change to section "SECTION 1.6. ELIGIBLE PROPOSERS"	Language updated.
One change to section "SECTION 2.1. ABOUT THIS SECTION"	Language updated.
One change to section "SECTION 3.4.3. STAGE THREE: COST ASSESSMENT"	Cost points has been corrected.
Document "ATTACHMENT 16: STD 399 (FOR REFERENCE ONLY)" has been added	For reference only.
Below are changes to document "EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISION"	Bolded language.
One change to section "SECTION 1. INVOICING AND PAYMENT"	Task assignment number removed.

COVER PAGE

REQUEST FOR PROPOSAL - SECONDARY

2024-LGL-088960 Economic Impact Analysis Consulting Services

RFP #2024-LGL-088960

April 23, 2025

You are invited to review and respond to the California Department of Financial Protection and Innovation (DFPI) Request for Proposal (RFP) #2024-LGL-088960, entitled 2024-LGL-088960 Economic Impact Analysis Consulting Services. In submitting your proposal, you must comply with the instructions found herein.

All agreements with the State of California include by reference General Terms and Conditions for non-IT services and Contractor Certification Clauses, CCC 04/2017.

In submitting a response to this RFP, it is each proposer’s responsibility to monitor the Department of General Services, California State Contracts Register (CSCR) on the Cal eProcure website: www.caleprocure.ca.gov for any changes or updates. Proposers are advised to register at the website to receive notification in reference to any changes or updates to this solicitation, and to receive notification of other bidding opportunities with the State of California.

In the opinion of DFPI, this RFP is complete without need of explanation. However, if you have questions, or should you need any clarifying information, the contact person for this RFP is:

Department Contact:
Natasha Chiu
Business Operations Office
Department of Financial Protection and Innovation
Phone: +19169806224
Email: solicitation5@dfpi.ca.gov

1. INTRODUCTION

1.1. BACKGROUND

The DFPI provides protection to consumers and services to businesses engaged in financial transactions. The DFPI regulates a variety of financial services, products and professionals. The DFPI oversees the operations of state-licensed financial institutions, including banks, credit unions, money transmitters, issuers of payment instruments and travelers’ checks, and premium finance companies. Additionally, the DFPI licenses and regulates a variety of financial businesses, including securities brokers and dealers, investment advisers, deferred deposits (commonly known as payday loans) and certain fiduciaries and lenders. The DFPI also regulates the offer and sale of securities, franchises and off-exchange commodities.

1.2. PURPOSE OF THE RFP

The Department of Financial Protection and Innovation (DFPI) is seeking a contractor to provide Consulting Services for Economic Impact Analysis.

The Department requires services from an experienced vendor to prepare and help defend economic impact analyses, Economic and Fiscal Impact Statements STD Form 399, and Standardized Regulatory Impact Assessments (SRIA) on an as-needed basis for various proposed regulations under the California Administrative Procedures Act.

1.3. KEY ACTIVITIES AND DATES

Key activities, including dates and times for this RFP are presented below. An addendum will be released if the dates with asterisks change for the activities below. All dates after the final date for Proposal Submission are approximate and may be adjusted as conditions indicate, without addendum to this RFP.

EVENT	DATE AND TIME
RFP Available to Prospective Proposers	April 23, 2025
Vendor Questions Submittal Deadline*	April 30, 2025 by 4:00 PM PST
Answer to Questions Posted on Cal-eProcure	May 6, 2025
Final Date and Time for Proposal Submission*	May 13, 2025 by 4:00 PM PST
Anticipated Notice of Award	May 21, 2025
Anticipated Contract Start Date	June 23, 2025

1.4. TERM OF CONTRACT AND AVAILABLE FUNDING

Effective upon approval of Department of General Service (DGS), the term of the agreement is twenty-four (24) months, with an anticipated start date of June 23, 2025.

This agreement shall not exceed $196,521.15. The Contractor shall be paid upon the successful completion and DFPI acceptance of each task and major deliverable outlined in the SOW EXHIBIT A: SCOPE OF WORK (SOW).

DFPI reserves the right to reduce the contract amount to an amount deemed appropriate in the event the budgeted funds do not provide full funding of DFPI contracts. In this event, the Contractor and Project Representative shall meet and reach agreement on a reduced scope of work commensurate with the level of available funding.

The agreement is valid and enforceable only if sufficient funds are made available by the Budget Act of the appropriate fiscal year for the purposes of this program. The agreement is subject to any additional restriction, limitations, or conditions enacted by the Legislature, which may affect the provisions, terms, or funding of the agreement in any manner. DFPI reserves the right to reduce the contract amount to an amount deemed appropriate in the event the budgeted funds do not provide full funding of DFPI contracts. In this event, the Contractor and Project Representative shall meet and reach agreement on a reduced scope of work commensurate with the level of available funding.

1.5. AMENDMENT

The Agreement may be amended for time and/or money upon mutual written consent by both parties. Additional time shall not exceed one (1) year. Additional funds are limited to no more than 30% of the original contract. The agreement amount including amendments shall not exceed DFPI’s Delegated Purchasing Authority.

1.6. ELIGIBLE PROPOSERS

This is an open solicitation for public and private entities. Each agreement resulting from this solicitation includes terms and conditions that set forth the Contractor’s rights and responsibilities. Note that all Agreements entered with DFPI will include by reference General Terms and Conditions that may be viewed and downloaded at the internet site:

https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language

DFPI will not award an agreement agreements to entities who do not agree to the General Terms and Conditions. DFPI reserves the right to modify the terms and conditions prior to executing agreements.

The Proposer must own and operate a legitimate business. If required by law, the Proposer must be registered and in good standing with the California Secretary of State. All businesses that are required to be registered with the California Secretary of State must be registered prior to the date of the Agreement Award.

1.7. QUESTIONS AND ANSWERS

During the RFP process, questions for clarification about this RFP must be submitted via the online submission portal. All questions must be received on or before April 30, 2025 by 4:00 PM PST.

Any verbal communication with a DFPI employee concerning this RFP is not binding to the State and shall in no way alter the specification, term, or conditions of the RFP.

DFPI reserves the right to not respond to Vendor questions submitted after the submission deadline listed in SECTION 1.3. KEY ACTIVITIES AND DATES.

1.8. ADDENDA

DFPI reserves the right to amend, alter, or change the rules and conditions of this RFP. Any ambiguity, conflict, discrepancy, omission, or other error discovered in the RFP should immediately be reported to DFPI prior to the deadline for submission of written questions. DFPI will issue addenda to address such issues.

1.9. CONTACT INFORMATION

Natasha Chiu
Business Operations Office
Department of Financial Protection and Innovation
651 Bannon St., Suite 300
Sacramento, CA 95811
Phone: +19169806224
Email: solicitation5@dfpi.ca.gov

2. RESPONSE TO RFP

2.1. ABOUT THIS SECTION

This RFP contains the instructions governing the requirements for a firm quotation to be submitted by interested Proposers, the format in which the technical information is to be submitted, the material to be included, the requirements which must be met to be eligible for consideration, and Proposer responsibilities. Proposers must take the responsibility to carefully read the entire RFP, ask appropriate questions in a timely manner, submit all required responses in a complete manner by the required date and time, make sure that all procedures and requirements of the RFP are followed and appropriately addressed, and carefully reread the entire RFP before submitting a proposal

Responses to this solicitation shall be in the form of an Administrative, Technical and Cost Proposal according to the format described in this RFP.

The Administrative response shall include all required administrative documents.
The Technical Proposal shall document the Proposer’s approach, experience, qualifications, and project organization to perform the tasks and deliverables described in EXHIBIT A: SCOPE OF WORK (SOW)
The Cost Proposal shall detail the Proposer’s budget to perform such tasks and major deliverable.

2.2. RFP DEFINED

The competitive method used for this procurement of services is a Request for Proposal (RFP). A Proposal submitted in response to this RFP will be scored and ranked based on the Assessment Process and Criteria. Every Proposal must establish in writing the Proposer’s ability to perform the RFP tasks and deliverables.

2.3. INSTRUCTIONS FOR ELECTRONIC SUBMISSIONS OF PROPOSALS

Please read these submission instructions carefully. Failure to follow these instructions may result in proposals not being accepted.

All proposals can be submitted through our City Innovate online portal.
DFPI will only accept ONE proposal submission per Proposer.
Proposals must be received no later than May 13, 2025 by 4:00 PM PST. Proposals received after the specified date and time may be rejected.
It is the Proposer’s responsibility to ensure that submissions are complete and include all requested materials. The information contained therein will be the only material that will be reviewed by the evaluation team for the purpose of scoring the proposals for this RFP.
DFPI accepts no responsibility for any technical difficulties or delays associated with the electronic submission and transmission of any proposals.

If Proposers encounter any difficulties uploading proposals, they must promptly notify DFPI contract analyst Natasha Chiu via email at solicitation5@dfpi.ca.gov.

2.4. RFP CONTENT

A complete RFP proposal will consist of all the required attachments listed on the ATTACHMENT 1: REQUIRED ATTACHMENTS CHECKLIST and is detailed further in the sections below. All documents requiring a signature must bear the signature of a person authorized to bind the proposing firm.

2.4.1. ADMINISTRATIVE RESPONSES

The Proposer shall complete and submit the following documents for the offer to be considered responsive. See SECTION 4. BUSINESS PARTICIPATION PROGRAMS (PREFERENCES/INCENTIVES) and SECTION 5. ADMINISTRATION.

ATTACHMENTS:
1. ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION
2. ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS (if applicable)
3. ATTACHMENT 4: BIDDER DECLARATION
4. ATTACHMENT 5: CONTRACTOR CERTIFICATION CLAUSE (CCC 04/2017)
5. ATTACHMENT 6: PAYEE DATA RECORD
6. ATTACHMENT 7: CALIFORNIA CIVIL RIGHTS LAWS CERTIFICATION (if applicable)
7. ATTACHMENT 8: SMALL BUSINESS CERTIFICATION (if applicable)
8. ATTACHMENT 9: TARGET AREA CONTRACT PREFERENCE ACT (if applicable)

2.4.2. TECHNICAL AND COST PROPOSAL

The Proposer must complete and submit the following documents for their offer to be considered responsive:

ATTACHMENTS:

2.4.2.1. RFP TECHNICAL AND COST PROPOSAL RESPONSES

The Proposer providing the services described herein must complete and submit the following documents for their proposal to be considered responsive:

ATTACHMENT 10: COVER LETTER

The response must contain a signed cover letter on the respondent’s official business letterhead stationery. The cover letter must contain a statement that substantiates that the person who signs the letter is authorized to bind the respondent’s firm contractually. The signature on the cover letter must indicate the title or position that the signer holds in the company and the respondent’s point of contact for this response.
ATTACHMENT 11: PROPOSAL

Proposers are asked to restrict their response to the RFP to between 10-13 pages, single-spaced, Arial 11 pt. font. Pages must be numbered, and sections titled. This applies only to the narrative response to the tasks and deliverables described in the EXHIBIT A: SCOPE OF WORK (SOW). The page limitation does not apply to any samples provided.

In responding to this RFP, proposers must describe their approach in a detailed work plan and explain what capacities and experiences uniquely set them apart to be successful in executing 2024-LGL-088960 Economic Impact Analysis Consulting Services. The detailed work plan should include a description of how the tasks and deliverables described below will be accomplished, including a proposed progress schedule. Proposals will be evaluated based on the narrative response to how tasks are executed. Contractors are encouraged to outline their experience and expertise in analyzing whether regulations constitute “major regulations” as defined in California Code of Regulations, title 1, section 2000(g). Proposals are also encouraged to detail experience helping State departments put dollar figures to narrative stakeholder claims about the cost of proposed regulations. Include in your proposal an executive summary and demonstration of understanding the project.

Proposers are encouraged to review the Assessment section of this RFP to understand how responses will be scored.

It is important to note that proposals submitted are not considered “confidential” under the Public Records Act after the Proposals are opened by DFPI. Any offer to the RFP marked confidential or containing stipulations restricting public access to its contents shall not be accepted.
1. Approach to Tasks and Deliverables in the Scope of Work
  
  As part of the proposal, the contractor shall identify each major task, and describe how each task will be accomplished. Proposers are strongly encouraged to be as specific as possible when describing their proposed approach and methods.
  
  The proposer should provide a description of their capabilities in being able to fulfill each task, and their capacity to fulfill each task.
  
  Proposers must identify subcontractors (if any) who may be used to fulfill tasks and deliverables. Subcontractor’s relevant experience must also be provided. Be specific regarding the tasks Subcontractors may be used for and include examples of past collaboration with your company, if available.
2. Organizational Structure
  - Describe the organizational structure of the Proposer, including providing an organizational chart of the entire contract team.
  - Provide a short description of each firm and key members of the team. Describe the relationship between the Contractor and Subcontractors (if any) on your team.
  - Identify the location of the Proposer and Subcontractor’s (if any) headquarters and satellite office(s) and proposed methods of minimizing costs to the State.
  - Describe the organization, composition, and functions to be performed by staff members of the Proposer and any Subcontractors (if any) and how the staff pertains to this contract.
3. Relevant Experience and Qualifications
  - Document the project team’s qualifications as they apply to performing the tasks and deliverables described in the Scope of Work. Describe recently completed work as it relates to this Scope of Work.
  - Identify and list all Proposer’s staff and Subcontractors (if any) (all team members) who will be committed to the tasks and describe their roles.
ATTACHMENT 12: RESUMES

Provide a resume for each identified member AND subcontracting (if any) member of the contract team detailing experience meeting the RFP requirements. Resume entries should clearly demonstrate the experience and/or training requirements described in the EXHIBIT A: SCOPE OF WORK. An acceptable resume must include the individual’s experience and education, any applicable credentials and certifications, current work history.
ATTACHMENT 13: PREVIOUS WORK PROJECTS

Each Proposer shall provide at least one copy of a verifiable written work that is similar in nature to the proposed project. If subcontractors will be providing technical support in a task area, each Subcontractor shall also submit one example work that demonstrates experience in services requested described in this RFP.
ATTACHMENT 14: COST WORKSHEET

Complete and submit the Cost Worksheet. This form cannot be modified. Modification of this form or submission of additional cost information may result in an offer being deemed non-responsive.
1. The Proposer must submit information on all pages of the Cost Worksheet and this will be deemed the equivalent of a formal Cost Proposal.
2. Detailed instructions for completing forms are included in the Cost Worksheet.
3. Classifications, rates and personnel on the Cost Worksheet must reflect classifications, rates and personnel the contractor would charge. Proposer must include all individuals anticipated who will provide service on the Agreement.
4. The salaries, rates, and other costs entered on these forms become a part of the final agreement. The entire term of the agreement and projected rate increases must be considered when preparing the Cost Worksheet. The rates for the bids are considered capped for the term of the agreement and shall not change during the term of this Agreement.
5. The Cost Worksheet will be used for the contract prepared with the awarded Proposer.
NOTE: The information provided in the Cost Worksheet will not be kept confidential.
ATTACHMENT 15: CLIENT REFERENCES

Provide three (3) customer references using the Client References attachment. DFPI cannot be the customer reference. The reference information for the company must include the following:
- Name of customer organization
- Name of the project
- Company’s role or the project
- Types of services provided
- Customer’s point of contact, including email address and phone number

2.4.3. ADDITIONAL INFORMATION/PROVISIONS

ERRORS

If a Proposer discovers any ambiguity, conflict, discrepancy, omission, or other error in the RFP, the Proposer shall immediately notify DFPI of such error in writing and request modification or clarification of the document. Modifications or clarifications will be given by written notice to all parties who requested the RFP, without divulging the source of the request for clarification. DFPI shall not be responsible for failure to correct errors.
COST OF DEVELOPING PROPOSAL

Costs incurred for developing proposals and in anticipation of award of the agreement are entirely the responsibility of the proposer and shall not be charged to the State of California.
PRINTING SERVICES

Per Management Memo 07-06, State Agencies must procure printing services through the Office of State Publishing (OSP). Proposers shall not include printing services in their proposals.
MODIFICATION OR WITHDRAWAL OF PROPOSAL

A Proposal submitted prior to the submittal deadline can be withdrawn or modified by the submitting proposer. The proposer must:
• Provide a written request
• Identify the requesting individual and their association with the Proposer

Proposals cannot be changed after the submittal deadline. A Proposal cannot be “timed” to expire on a specific date. For example, a statement such as “This proposal and the cost estimate are valid for 60 days,” is non-responsive to the RFP. A Proposal cannot be withdrawn after the submittal deadline has passed.
CANCELATION AND AMENDMENTS TO THE RFP

DFPI reserves the right to do any of the following:
•    Cancel this RFP;
•    Amend this RFP, as needed; or
•    Reject any or all Proposals received in response to this RFP in accordance with applicable law.

If the RFP is amended, DFPI will post the addendum to the RFP on the CaleProcure website where the event is posted and email a link to all Proposers’ expressing interest prior to RFP submission due date.

3. ASSESSMENT PROCESS AND CRITERIA

3.1. ABOUT THIS SECTION

This section explains how the proposals will be assessed. Assessment Process and Criteria describes the assessment stages, preference points, and scoring of all proposals.

3.2. PROPOSALS ASSESSMENT

A Proposal will be evaluated and scored based on their response to the information requested in this Agreement. The entire assessment process is confidential. To assess all Proposals, DFPI will organize an Assessment Team. They will review all Proposals that have passed SECTION 3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING. The identity of the assessors will be kept confidential during the selection process. A multi-stage assessment process will be used to review and score the Proposal. The DFPI will reject any Proposal that is found to be nonresponsive at any stage of the assessment.

3.3. RFP REVIEW AND COMPARISON

At the time Proposals are reviewed, each Proposal shall be checked for the presence or absence of required information in conformance with the submission requirements.

DFPI shall then review Proposals which meet the submission requirements to determine its responsiveness to the EXHIBIT A: SCOPE OF WORK (SOW) , and ATTACHMENT 14: COST WORKSHEET. If a response is missing information required in either Attachment, it may be deemed not responsive. Further review is subject to DFPI’s discretion.

Award of a contract if made from this RFP will be to the highest scored responsible proposal. Cost is included as a factor in scoring. Comparison criteria will include:

Does the proposal comprehensively address the requirements identified in the +SCOPE OF WORK?
Are references from previous projects similar in nature to the work identified in the +SCOPE OF WORK?
Do assumptions used in developing the offer correlate with the +SCOPE OF WORK, and are they reasonable?
Do resumes for proposed staff identify adequate experience / knowledge to support the +SCOPE OF WORK?
Is the cost competitive?

3.4. ASSESSMENT STAGES

The proposals will be assessed in the following stages.

3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING

After the deadline for receipt of Proposals, each Proposal received prior to the time and date set for receipt of Proposals, is reviewed by the Acquisitions Services Unit for compliance with administrative requirements and completeness. Proposals that fail SECTION 3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING shall be disqualified and eliminated from further assessment.

The Proposer must submit all required documents listed on ATTACHMENT 1: REQUIRED ATTACHMENTS CHECKLIST to be responsive.

If a Proposal is not rejected for reasons stated in SECTION 3.4.5. GROUNDS FOR REJECTION, it may still be rejected if it does not meet the Proposal requirements.

Proposals that meet the basic format requirements, initial qualification requirement, and contain the required documentation, as evidenced by passing SECTION 3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING review, will be submitted to the Assessment Team.

3.4.2. STAGE TWO: TECHNICAL ASSESSMENT OF PROPOSALS

Proposals passing Stage One will be submitted to the Assessment Team to review and score based on the Assessment Criteria in this solicitation. The Assessment Team will assess and score Proposals that pass SECTION 3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING based on the Assessment Criteria. The Assessment Team may, at its discretion, seek clarification at any point on the written technical and cost Proposal through a conference call, email, or interview with the affected Proposer.

The total score for each Proposal will be the average of the combined scores of all Assessment Team members.

After SECTION 3.4.2. STAGE TWO: TECHNICAL ASSESSMENT OF PROPOSALS scoring is complete, Proposers not attaining a score of 70% percent of the total possible points will be eliminated from further competition.

A ten (10) point scale will be used to score the Proposer’s responses to this Agreement. Proposers will be awarded points based on the point assignment criteria described below.

Point Range	Interpretation	General Basis For Point Assignment
0	Inadequate	The Proposal does not address the criteria, provides an unclear or confusing description of how the criteria will be met, or otherwise contains fatal flaws or omissions.
1 to 4	Barely Adequate	The Proposal addresses the core component of the criteria, but contains substantial flaws or omissions, or is vague.
5 to 7	Adequate	The Proposal addresses the core component of the criteria and does so in a manner that is clear and fully meets expectations. Any flaws or omissions are inconsequential.
8 to 10	Excellent	The Proposal fully addresses the criteria in a clear and concise manner. The Proposal describes one or more methods that will enable performance to exceed expectations.

Proposers will be awarded points based on the point assignment criteria described below.

	Points Possible
1) Total Score – Executive Summary	30
The Proposer demonstrates the tangible results that it expects to achieve.	10
The Proposer expresses the capacity to perform this work in an efficient and timely manner.	10
The Proposer expresses, in its own words, its understanding of DFPI needs and the importance of this project.	10
2) Total Score – General Competency Criteria	40
The Proposal clearly outlines the personnel that will be assigned to the project, including the specific roles of each. Clearly articulates how each task and sub-task will be completed.	10
The Proposal contains a cost analysis and progress schedule of when each project is requested by DFPI.	10
The Proposal demonstrates an understanding of Economic and Fiscal Impact Statement Form STD 399. Clearly articulates how each Major Deliverable will be completed.	10
The Proposal demonstrates an understanding of the Standardized Regulatory Impact Assessments (SRIA). Clearly articulates how each Major Deliverable will be completed.	10
3) Total Score – Detailed Work Plan	40
The Proposal articulates a clear understanding of economic analysis. The proposer articulates a clear understanding of the services being requested for Project A and Project B.	10
The Proposal articulates a clear understanding and plan for completing economic analysis for Project A (STD 399) and Project B (SRIA).	10
The Proposal establishes a clear timeline for project completion (including timelines for each step of the project) for projects requested by DFPI.	10
The Proposal articulates a clear plan for tracking and reporting progress to DFPI for each project requested. Proposer articulates a clear plan on how each project will be completed.	10
4) Total Score – Proposer’s Experience	50
Proposer’s experience (as an entity) delivering same or similar services to large employers (over 500 employees).	10
Proposer’s experience delivering the same or similar services to public employers.	10
Individual consultants’ (Proposer’s assigned employees) experience delivering the same or similar services contemplated by project A & B.	10
Experience working for government agencies in completing economic analysis.	10
Experience completing economic analysis.	10

Total Technical Assessment Scores	Points Possible
Executive Summary	30
General Competency	40
Detailed Work Plan	40
Proposer’s Experience	50
Maximum Points for Stage 2	160
Minimum Points Required to go on to Stage 3	112

3.4.3. STAGE THREE: COST ASSESSMENT

The proposer’s costs will be scored relative to other proposals received. The Proposer with the lowest cost will be awarded 69 points. The following formula will be used to assign scores to Proposers’ costs. The formula below is based on the Grand Total Cost in Cost Table in ATTACHMENT 14: COST WORKSHEET.

The possible points for cost will be based on the formula in Cost assessment following.

Scoring Scale: 6965 points

Lowest Cost

Proposer Cost

X

69

=

Proposer Score

3.4.4. TOTAL SCORING SUMMARY TABLE

Total Assessment Scores	Maximum Score
Technical Assessment	160
Cost Assessment	69
Total:	229
SB Preference	5% of highest non-SB score
DVBE Incentive	1-5% of Possible available points
Grand Total:	229

The Agreement shall be awarded to the responsible Proposer meeting the requirements outlined above, who achieves the highest score.

Tie Breaker:
In the event of a precise tie between the low responsible bid of a certified small business and the low responsible bid of a certified disabled veteran owned business that is also a small business, the contract will be awarded to the disabled veteran owned small business. All other ties will be decided by coin toss.

3.4.5. GROUNDS FOR REJECTION

Failure to submit the requested written information as specified in this RFP may be grounds for rejection.

A proposal shall be rejected if:

It is received after the exact time and date set for receipt of Proposal’s pursuant to Public Contract Code section 10344.
It fails to include a properly executed ATTACHMENT 5: CONTRACTOR CERTIFICATION CLAUSE (CCC 04/2017).
It fails to include a properly executed ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION Form.
If the Proposer does not comply with SECTION 5.4. EXECUTIVE ORDER N-6-22 - RUSSIA SANCTIONS.
It fails to include a properly executed ATTACHMENT 7: CALIFORNIA CIVIL RIGHTS LAWS CERTIFICATION Form.
It contains false or intentionally misleading statements or references which do not support an attribute or condition contended by the Proposer.
The Proposal is intended to mislead the State erroneously and fallaciously in its evaluation of the Proposal and the attribute, condition, or capability is a requirement of this RFP.
There is a conflict of interest as contained in Public Contract Code sections 10410 through 10412 and/or 10365.5.
It contains confidential information, or it contains any portion marked confidential.
The Proposer does not agree to the terms and conditions as attached to the solicitation by stating anywhere in the Proposal that acceptance is based on modifications to those terms and conditions or separate terms and conditions.

A Proposal may be rejected if:

It is not prepared in the mandatory format described.
It is unsigned.
The firm or individual has submitted multiple proposals.
It does not comply, or contains caveats, that conflict with the RFP and the variation or deviation is material, or it is otherwise non-responsive.
It fails to appropriately complete ATTACHMENT 14: COST WORKSHEET.
It is considered non-responsive to ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS participation requirements, if applicable.
It fails to include a properly executed ATTACHMENT 9: TARGET AREA CONTRACT PREFERENCE ACT Form, if applicable.
It contains revisions to the Scope of Work (Sample Contract -Exhibit A) and/or terms and conditions as set forth in the attached sample contract.

3.4.6. NOTICE OF PROPOSED AWARD (NOPA)

DFPI will post a notice of proposed award to the Cal eProcure website five (5) working days prior to the award being made. DFPI will email a copy of the NOPA to all Proposers who submitted a proposal by the due day specified in SECTION 1.3. KEY ACTIVITIES AND DATES.

On SECTION 3.4.6. NOTICE OF PROPOSED AWARD (NOPA) posting date all proposals and related material submitted in response to this RFP become a part of the property of the State and public record.

3.4.7. PROTEST PROCEDURES

A Proposer may file a protest against the proposed awarding of a contract. Once a protest has been filed, contracts will not be awarded until either the protest is withdrawn, DFPI cancels the RFP, or the Department of General Services decides the matter.

Please note the following:

Protests are limited to the grounds contained in the California Public Contract Code Section 10345.
During the five (5) working days that NOTICE OF PROPOSED AWARD (NOPA) is posted, the initial protest letter must be filed with the DGS Legal Office and DFPI Acquisition Service Unit.
Within five (5) calendar days after filing the initial protest, the protesting Bidder must file with the DGS and DFPI Acquisition Service Unit a full and complete written statement specifying the grounds for the protest.
Protests may be sent to DGS by certified mail, email, courier or personal delivery. Protestants should include their email address if they have one and advise the DGS Bid Protest Coordinator and DFPI Acquisition Service Unit if they will accept service of documents pertaining to the protest via email.
All protests must be made in writing, signed by an officer of the company or individual authorized to do so.
The initial protest letter should include the RFP number and the name of the State agency involved in the protest.
If the protest is not withdrawn or the solicitation is not canceled, DGS will decide the matter. There may be a formal hearing conducted by a DGS hearing officer or there may be briefs prepared by the Bidder and DFPI for the DGS hearing officer consideration.

Protests must be submitted to both of the following:

Department of General Services
Office of Legal Services
Attention: Bid Protest Coordinator
707 Third Street, 7th Floor, Suite 7-330
West Sacramento, CA 95605
Email: OLSProtests@dgs.ca.gov

Department of Financial Protection and Innovation
Business Operations Office
Acquisition Service Unit
651 Bannon St., Suite 300, Sacramento, CA 95811
Email: solicitation5@dfpi.ca.gov
And Email: ASU@dfpi.ca.gov

3.4.8. REJECTION OF AWARD BY CONTRACTOR

Time is of the essence. If the Proposer fails to enter into a satisfactory Agreement within thirty (30) days after the award is made, DFPI may deem that the Proposer has rejected the award. DFPI reserves the right to disqualify the awardee and award the Agreement to the next highest ranked Proposer.

If the awarded Proposer modifies the Scope of Work (Sample Contract - Exhibit A), the General Terms and Conditions for non-IT services, or the Contractor Certification Clauses (CCC 04/2017) as set forth in the attached sample contract after the Intend-To-Award Notice has been posted, DFPI reserves the right to withdraw the award.

4. BUSINESS PARTICIPATION PROGRAMS (PREFERENCES/INCENTIVES)

A Proposer may qualify for preferences/incentives as described below. Each Proposal passing SECTION 3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING will receive the applicable preference/incentive. This section describes the following business participation programs:

SECTION 4.2.1.1. DVBE PARTICIPATION COMPLIANCE REQUIREMENT
SECTION 4.2.2. SMALL BUSINESS / MICROBUSINESS / NON-SMALL BUSINESS PREFERENCE
SECTION 4.2.2.6.1. NON-SMALL BUSINESS
ATTACHMENT 9: TARGET AREA CONTRACT PREFERENCE ACT

4.1. REQUIRED FORMS

Proposers must complete ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS and ATTACHMENT 4: BIDDER DECLARATION to document preference programs participation. If Proposer does not include ALL these forms, the proposal will not qualify for preference program incentive.

ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS Form
ATTACHMENT 4: BIDDER DECLARATION Form
ATTACHMENT 8: SMALL BUSINESS CERTIFICATION

4.2. PREFERENCE PROGRAMS

4.2.1. DISABLED VETERAN BUSINESS ENTERPRISE (DVBE)

4.2.1.1. DVBE PARTICIPATION COMPLIANCE REQUIREMENT

DFPI has waived this RFP from DVBE participation. Proposers are not required to include DVBEs as part of the contract team. However, if Proposers do include DVBE participation in its proposals, the DVBE Incentive will be applied.

This agreement is subject to a participation goal of three percent (3%) certified California Disabled Veteran Business Enterprises (DVBE) as set forth in Public Contract Code section 10115 et seq.

4.2.1.2. DVBE DEFINITION

For DVBE certification purposes, a "disabled veteran" is:

A veteran of the U.S. military, naval, or air service.
The veteran must have a service-connected disability of at least 10% or more; and
The veteran must be domiciled in California.

4.2.1.3. DVBE CERTIFICATION AND ELIGIBILITY

To be certified as a DVBE, your firm must meet the following requirements:

Your business must be at least 51% owned by one or more disabled veterans.
Your daily business operations must be managed and controlled by one or more disabled veterans.
The disabled veterans who exercise management and control are not required to be the same disabled veterans as the owners of the business; and
Your home office must be located in the U.S. (the home office cannot be a branch or subsidiary of a foreign corporation, foreign firm, or other foreign based business).

DVBE limited liability companies must be wholly owned by one or more disabled veterans.

Each DVBE firm listed on the ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS form and on the ATTACHMENT 4: BIDDER DECLARATION form must be formally certified as a DVBE by the Office of Small Business and DVBE Services (OSDS). The DVBE program is not a self-certification program. The Proposer must have submitted application to OSDS for DVBE certification by the proposals due date to be counted in meeting participation requirements.

4.2.1.4. PRINTING/COPYING SERVICES NOT ELIGIBLE

DVBE Subcontractors cannot provide printing/copying services. For more information, see SECTION 2. RESPONSE TO RFP, which states that printing services are not allowed in Proposals.

4.2.1.5. COMMERCIALLY USEFUL FUNCTION (CUF)

DVBEs must perform a commercially useful function relevant to this solicitation, in order to satisfy the DVBE program requirements. California Code of Regulations, title 2, section 1896.71 provides:

"A DVBE contractor, subcontractor, or supplier of goods and/or services that contributes to the fulfillment of the contract requirements, shall perform a Commercially Useful Function (CUF) for each contract.
A DVBE contractor, subcontractor, or a supplier of goods and/or of services is deemed to perform a CUF if the business does all of the following:
1. Is responsible for the execution of a distinct element of work of the contract (including the supplying of services and goods);
2. Carries out its obligation by actually performing, managing, or supervising the work involved;
3. Performs work that is normal for its business services and functions;
4. Is responsible, with respect to products, inventories, materials, and supplies required for the contract, for negotiating price, determining quality and quantity, ordering, installing, if applicable, and making payment;
5. Is not further subcontracting a portion of the work that is greater than that expected to be subcontracted by normal industry practices.
A contractor, subcontractor or supplier will not be considered to perform a commercially useful function if its role is limited to that of an extra participant in the transaction, contract or project through which funds are passed in order to obtain the appearance of DVBE participation.”

4.2.1.6. INFORMATION VERIFIED

Information submitted by the Proposer to comply with this solicitation’s DVBE requirements shall be verified. If evidence of an alleged violation is found during the verification process, the State shall initiate an investigation, in accordance with the requirements of Public Contract Code section 10115, et seq., and Military & Veterans Code section 999 et seq., and follow the investigatory procedures required by California Code of Regulations, title 2, section 1896.90 et. seq. Contractors found to be in violation of certain provisions may be subject to loss of certification, sanctions and/or contract termination.

4.2.1.7. DVBE REPORT

Upon completion of the contract for which a commitment to achieve DVBE participation was made, the Contractor that entered into a subcontract with a DVBE must certify in a report to the DFPI:

the total amount the prime Contractor received under the contract;
the name and address of the DVBE(s) that participated in the performance of the contract;
the amount each DVBE received from the prime Contractor;
that all payments under the contract have been made to the DVBE(s); and
the actual percentage of DVBE participation that was achieved. A person or entity that knowingly provides false information shall be subject to a civil penalty for each violation. Military & Veterans Code section 999.5(d).

For additional information regarding the Office of Small Business and DVBE Services (OSDS), please see link: https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Certify-or-Re-apply-as-Small-Business-Disabled-Veteran-Business-Enterprise#:~:text=The%20Office%20of%20Small%20Business%20and%20DVBE%20Services,to%20helping%20small%20and%20disabled%20veteran%20businesses%20thrive.

4.2.1.8. THE OFFICE OF SMALL BUSINESS AND DVBE SERVICES (OSDS)

OSDS offers program information and may be reached at:
Department of General Services
Office of Small Business and DVBE Services
707 3rd Street, 1st Floor, Room 400
West Sacramento, CA 95605
DGS Website
Phone: (916) 375-4940
Fax: (916) 375-4950
E-mail: OSDSHelp@dgs.ca.gov

4.2.1.9. DVBE LAW

Public Contract Code section 10115 et seq.
Military & Veterans Code section 999 et. seq.
California Code of Regulations, title 2, section 1896.60 et. seq.

4.2.1.10. DVBE INCENTIVE

In accordance with section 999.5(a) of the Military and Veterans Code, an incentive will be given to Proposers who exceed the DVBE program requirement. For Assessment purposes only, the State shall apply an incentive to proposals that propose California certified DVBE participation as identified on the ATTACHMENT 4: BIDDER DECLARATION and confirmed by the State.

The following incentive award will apply. Incentive points will be applied administratively per the high score award method for incentive point application.

Confirmed DVBE Participation of:	DVBE Incentive
3% and above	5%
2% to 2.99% Inclusive	3%
1% to 1.99% Inclusive	1%

4.2.1.11. INCENTIVE APPLICATION

For awards based on high score awards: The incentive shall be between 1% and 5% of the total possible available points, not including points for socioeconomic incentives or preferences. The incentive points are included in the sum of non-cost points.

The incentive points cannot be used to achieve any applicable minimum point regulations.

*The percentage is based on the total possible available points not including preference points for small/micro business, non-small business or TACPA.

4.2.2. SMALL BUSINESS / MICROBUSINESS / NON-SMALL BUSINESS PREFERENCE

There are preferences to be applied to eligible certified small businesses, microbusinesses and non-small businesses, which subcontract with at least 25% certified small businesses.

Proposers who qualify as a State of California certified small business will receive five percent (5%) preference points based on the highest responsible proposer’s total score, if the highest scored proposal is submitted by a business other than a certified small business. Proposers qualifying for this preference must submit a copy of their Small Business Certification.

4.2.2.1. CERTIFICATION

A business must be formally certified by the Department of General Services, Office of Small Business and DVBE Services (OSDS), in order to receive the small/microbusiness preference.

4.2.2.2. NON-PROFIT VETERAN SERVICE AGENCY

Proposers that qualify as a Non-Profit Veteran Service Agency can be certified as a small business and are entitled to the same benefits as a small business.

4.2.2.3. DEFINITIONS

4.2.2.3.1. SMALL BUSINESS

A business certified by the Office of Small Business Disabled Veteran Services (OSDS) in which:

It is independently owned and operated; and
The principal office is located in California; and
The officers of the business in the case of a corporation; officers and/or managers, or in the absence of officers and/or managers, all members in the case of a limited liability company; or the owner(s) in all other cases, are domiciled in California; and
It is not dominant in its field of operation(s), and It is either:
- A business that, together with all affiliates, has 100 or fewer employees, and annual gross receipts of fifteen million dollars ($15,000,000) or less as averaged for the previous three (3) tax years, as adjusted by the Department pursuant to Government Code § 14837(d)(3); or
- A manufacturer as defined herein that, together with all affiliates, has 100 or fewer employees.

4.2.2.3.2. MICROBUSINESS

A small business certified by OSDS, which meets all the qualifying criteria as a small business, and is:

A business that, together with all affiliates, has annual gross receipts of five million dollars ($5,000,000) or less as averaged for the previous three tax years, as adjusted by the Department pursuant to Government Code §14837(d)(3); or
A manufacturer as defined herein that, together with all affiliates, has 25 or fewer employees.

4.2.2.3.3. NON-PROFIT VETERAN SERVICE AGENCY

An entity that:

Is a community-based organization,
Is a nonprofit corporation (under Section 501(c)(3) of the Internal Revenue Code), and
Provides housing, substance abuse, case management, and employment training services (as its principal purpose) for:
- low-income veterans
- disabled veterans, or
- homeless veterans and their families

4.2.2.4. COMMERCIALLY USEFUL FUNCTION

A certified small business or microbusiness shall provide goods or services that contribute to the fulfillment of the contract requirements by performing a “commercially useful function” defined as follows:

The Contractor or Subcontractor is responsible for the execution of a distinct element of the work of the contract; carrying out its obligation by actually performing, managing or supervising the work involved; and performing work that is normal for its business services and functions;
The Contractor or Subcontractor is not further subcontracting a greater portion of the work than would be expected by normal industry practices;
The Contractor or Subcontractor is responsible, with respect to materials and supplies provided on the subcontract, for negotiating price, determining quality and quantity, ordering the material, installing (when applicable), and paying for the material itself;
A Contractor or Subcontractor will not be considered as performing a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to achieve the appearance of small business participation.

4.2.2.5. LATE PAYMENT OF INVOICES

Certified small/microbusinesses are entitled to greater interest penalties paid by the state for late payment of invoices than for non-certified small business/microbusiness.

4.2.2.6. SMALL BUSINESS / MICROBUSINESS LAW

Government Code section 14835 et. seq.
California Code of Regulations, title 2, section 1896 et. seq.

4.2.2.6.1. NON-SMALL BUSINESS

The preference to a non-small business Proposer that commits to small business or microbusiness Subcontractor participation of twenty-five percent (25%) of its net bid price will receive five percent (5%) preference points based on the highest responsible bidder's total score, if the highest scored proposal is submitted by a business other than a certified small business. A non-small business that qualifies for this preference may not take an award away from a certified small business.

4.2.2.6.2. CERTIFICATION

A Subcontractor business must be formally certified by the Department of General Services, Office of Small Business and DVBE Services (OSDS), in order to receive the Non-Small Business Preference.

4.2.2.7. NON-SMALL BUSINESS LAW

Government Code section 14838 (b)
California Code of Regulations, title 2, section 1896 et. seq.

4.2.2.8. SMALL BUSINESS PREFERENCE EXAMPLE (SINGLE AWARD):

	Proposer A	Proposer B	Proposer C
Proposer Status	NSB	NSB w/ 25%	SB
Preference Applicable?		X	X
Original Score	95	89	92
Apparent Highest Score	X
Pref. Amount (5% of High Score)	0	4.75	4.75
Revised Proposal	95	93.75	96.75
Revised Highest Score Proposer			X

Explanation of Example:

The highest scored Proposer at the time of evaluation is Proposer A, which is a Non-Small Business not claiming a Small Business subcontracting preference. Since both Proposer B and Proposer C claim a Small Business Preference, five (5) percent of Proposer A’s score is added to those of Proposer B and C. In the example above, five (5) percent of 95 is 4.75. After applying these preferences, Proposer C’s revised score (96.75) is higher than the other scores, making them the new apparent high scorer.

4.2.2.9. CALCULATION OF MULTIPLE PREFERENCES

If Proposers qualify for the Small Business preferences and/or the Disabled Veteran Business Enterprise incentive, the SB preference shall be calculated first. In circumstances where DFPI will award a single contract as a result of this solicitation, the DVBE incentive will not be calculated if, after the application of the SB preference, a SB Proposer is the apparent high scorer in accordance with Government Code section 14838(f).
Example of the Calculation of Multiple Preferences:

	Proposer A	Proposer B	Proposer C	Proposer D
Proposer Status	NSB	NSB w/ 25%	DVBE	SB
SB Pref. Applicable?		X		X
Original Score	95	85	92	89
Apparent High Score	X
Pref. Amt. (5% of High Score)	0	4.75	0	4.75
Revised Scores	95	89.75	92	93.75
Revised High Proposer	X
DVBE Incentive Applicable?			X
Incentive Qualified			5%
Incent. Amt. (% of High Score)	0	0	4.75	0
Revised Scores	95	89.75	96.75	93.75
Revised High Proposer			X

4.2.3. TARGET AREA CONTRACT PREFERENCE ACT (TACPA)

This solicitation provides for the optional TACPA preference. Proposers are not required to apply for this preference. Denial of the TACPA preference request is not a basis for rejection of the Proposal.

The TACPA workplace and workforce preferences will be evaluated for this solicitation. California-based companies seeking TACPA preferences will need to complete and submit preference request forms with the bid/offer. The following webpage contains required preference request forms and an interactive map to determine if a business is located within a TACPA qualified zone: https://tacpa.dgs.ca.gov/

By submitting TACPA forms, a bidder given a TACPA preference agrees to the TACPA contract provisions required by Government Code section 4535 and provided in California Code of Regulations, title 2, section 1896.40 in addition to requirements specified on the TACPA form STD 830.

5. ADMINISTRATION

5.1. SOFTWARE APPLICATION DEVELOPMENT

If this Statement of work includes any software application development, including but not limited to databases, websites, models, or modeling tools, Contractor shall utilize the following standard Application Architecture components in compatible versions:

Microsoft ASP.NET framework (version 3.5 and up) Recommend 4.0
Microsoft Internet Information Services (IIS), (version 6 and up) Recommend 7.5
Visual Studio.NET (version 2008 and up) Recommend 2010
C# Programming Language with Presentation (UI), Business Object and Data Layers
SQL (Structured Query Language)
Microsoft SQL Server 2008, Stored Procedures Recommend 2008 R2
Microsoft SQL Reporting Services Recommend 2008 R2
XML (external interfaces)

Any exceptions to the Electronic File Format requirements above must be approved in writing by DFPI Information Technology Services Office.

5.2. DARFUR CONTRACTING ACT OF 2008

Effective January 1, 2009, all solicitations must address the requirements of the ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION. (Public Contract Code sections 10475, et seq.; Stats. 2008, Ch. 272). The Act was passed by the California Legislature and signed into law by the Governor to preclude State agencies generally from contracting with “scrutinized” companies that do business in the African nation of Sudan (of which the Darfur region is a part), for the reasons described in Public Contract Code section 10475.

A scrutinized company is a company doing business in Sudan as defined in Public Contract Code section 10476. Scrutinized companies are ineligible to, and cannot, propose on or submit a proposal for a contract with a State agency for goods or services. (Public Contract Code section 10477(a)).

Therefore, Public Contract Code section 10478 (a) requires a company that currently has (or within the previous three years has had) business activities or other operations outside of the United States to certify that it is not a “scrutinized” company when it submits a proposal to a State agency. (See # 1 on ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION)

A scrutinized company may still, however, submit a proposal for a contract with a State agency for goods or services if the company first obtains permission from the Department of General Services (DGS) according to the criteria set forth in Public Contract Code section 10477(b).

5.3. CALIFORNIA CIVIL RIGHTS LAW

Prior to submitting a proposal or executing a contract or renewal for a State of California contract for goods or services of $100,000 or more, a proposer must certify that it is in compliance with the Unruh Civil Rights Act ( Civil Code section 51) and the Fair Employment and Housing Act (Government Code section 12960). Additionally, if a vendor has an internal policy against a sovereign nation or peoples recognized by the United States government, the Contractor must certify that such policies are not used in violation of the Unruh Civil Rights Act (Civil Code section 51) or the Fair Employment and Housing Act (Government Code section 12960).

5.4. EXECUTIVE ORDER N-6-22 - RUSSIA SANCTIONS

On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions” refers to sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as well as any sanctions imposed under state law. By submitting a proposal, Contractor represents that it is not a target of Economic Sanctions. Should the State determine Contractor is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for rejection of the Contractor’s proposal any time prior to contract execution, or, if determined after contract execution, shall be grounds for termination by the State.

5.5. ADDITIONAL PROVISIONS

5.5.1. AGREEMENT REQUIREMENTS

The content of this RFP shall be incorporated by reference into the final contract. See the SAMPLE STANDARD AGREEMENT terms and conditions included in this RFP.

5.5.2. NO CONTRACT UNTIL SIGNED & APPROVED

No agreement between DFPI and the successful Proposer is in effect until the contract is signed by the Contractor, BOO Manager (BOO Chief or SSMII), and approved by the Department of General Services.

5.5.3. IMMATERIAL DEFECT

DFPI may waive any immaterial defect or deviation that is contained in a proposal. DFPI’s waiver shall in no way modify the proposal or excuse the successful Proposer from full compliance.

5.5.4. GENAI DISCLOSURE NOTIFICATION CLAUSE

The State of California seeks to realize the potential benefits of GenAI, through the development and deployment of GenAI, while balancing the risks of these technologies.

Bidder/Offeror must notify the State in writing if it: (1) intends to provide GenAI as a deliverable to the State; or (2), intends to utilize GenAI, including GenAI from third parties, to complete all or a portion of any deliverable that materially impacts: (i) functionality of a State system, (ii) risk to the State, or (iii) Contract performance.

Failure to report GenAI to the State may result in disqualification. The State reserves its right to seek any and all relief it may be entitled to as a result of such non-disclosure.

Upon notification by a Bidder/Offeror of GenAI as required, the state reserves the right to incorporate GenAI Special Provisions into the final contract or reject bids/offers that present an unacceptable level of risk to the state.

Government Code section 11549.64 defines “Generative Artificial Intelligence (GenAI)” as an artificial intelligence system that can generate derived synthetic content, including text, images, video, and audio that emulates the structure and characteristics of the system’s training data.

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 1: REQUIRED ATTACHMENTS CHECKLIST

REQUIRED ATTACHMENT CHECKLIST

A complete RFP proposal will consist of the items identified below. Use this checklist to confirm the items in your proposal. All required attachments must be returned for your proposal to be considered responsive. This checklist is not required to be returned with your proposal.

Attachment Name/Description	Is it required?
ATTACHMENT 1: REQUIRED ATTACHMENTS CHECKLIST	NO
ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION	YES
ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS	If applicable
ATTACHMENT 4: BIDDER DECLARATION	YES
ATTACHMENT 5: CONTRACTOR CERTIFICATION CLAUSE (CCC 04/2017)	YES
ATTACHMENT 6: PAYEE DATA RECORD	YES
ATTACHMENT 7: CALIFORNIA CIVIL RIGHTS LAWS CERTIFICATION	If applicable
ATTACHMENT 8: SMALL BUSINESS CERTIFICATION	If applicable
ATTACHMENT 9: TARGET AREA CONTRACT PREFERENCE ACT	If applicable
ATTACHMENT 10: COVER LETTER	YES
ATTACHMENT 11: PROPOSAL	YES
ATTACHMENT 12: RESUMES	YES
ATTACHMENT 13: PREVIOUS WORK PROJECTS	YES
ATTACHMENT 14: COST WORKSHEET	YES
ATTACHMENT 15: CLIENT REFERENCES	YES
SAMPLE STANDARD AGREEMENT	NO

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION

DARFUR CONTRACTING ACT CERTIFICATION

The Darfur Contracting Act Certification can be found at the following link below:
https://www.documents.dgs.ca.gov/dgs/FMC/GS/PD/PD_1.pdf

DARFUR CONTRACTING ACT CERTIFICATION UPLOAD

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS

DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS

The California State certified DVBE bidder(s) must complete this declaration when submitting a proposal to this RFP, before contract award. More information and the DVBE Declarations form can be found by following this link:

https://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/pd_843.pdf

DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS UPLOAD

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 4: BIDDER DECLARATION

BIDDER DECLARATION

The California State certified DVBE or Small Business Bidder(s) or the Bidder, who is using Subcontractors, must complete this declaration when submitting a proposal to this RFP, before contract award. More information and the Bidder Declarations form (including Bidder Declaration Instructions) can be found by following this link:

https://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/gspd05-105.pdf

The Bidder, who completes the Bidder Declaration form, must sign on the bottom of the form to be considered responsive.

BIDDER DECLARATION UPLOAD

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 5: CONTRACTOR CERTIFICATION CLAUSE (CCC 04/2017)

CONTRACTOR CERTIFICATION CLAUSES (CCC 04/2017)

All Bidders must complete the CCC 04/2017 - Contractor Certification Clauses and include it with the bid response:

https://www.dgs.ca.gov/-/media/Divisions/OLS/Resources/CCC-042017.pdf?la=en&hash=4DE3E4DC414511AE378794200BA43EBF91C758EE

CONTRACTOR CERTIFICATION CLAUSES (CCC 04/2017)

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 6: PAYEE DATA RECORD

PAYEE DATA RECORD

The successful bidder as a result of this RFP will be required to sign the Payee Data Record, STD. 204, before contract award. More information and the STD 204 form can be found by following this link:

https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 7: CALIFORNIA CIVIL RIGHTS LAWS CERTIFICATION

CALIFORNIA CIVIL RIGHTS LAWS CERTIFICATION

Pursuant to Public Contract Code section 2010, if a bidder or proposer executes or renews a contract of one hundred thousand dollars ($100,000) or more on or after January 1, 2017, the bidder or proposer hereby certifies compliance with the following:

1. CALIFORNIA CIVIL RIGHTS LAWS: For contracts of one hundred thousand dollars ($100,000) or more executed or renewed after January 1, 2017, the contractor certifies compliance with the Unruh Civil Rights Act (Section 51 of the Civil Code) and the Fair Employment and Housing Act (Section 12960 of the Government Code); and

2. EMPLOYER DISCRIMINATORY POLICIES: For contracts of one hundred thousand dollars ($100,000) or more executed or renewed after January 1, 2017, if a Contractor has an internal policy against a sovereign nation or peoples recognized by the United States government, the Contractor certifies that such policies are not used in violation of the Unruh Civil Rights Act (Section 51 of the Civil Code) or the Fair Employment and Housing Act (Section 12960 of the Government Code).

The California Civil Rights Laws and its instructions are available as a fill and print PDF at:
https://www.dgs.ca.gov/-/media/Divisions/OLS/Forms/CALIFORNIA-CIVIL-RIGHTS-LAWS-ATTACHMENT.ashx

CALIFORNIA CIVIL RIGHTS LAWS CERTIFICATION UPLOAD

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 8: SMALL BUSINESS CERTIFICATION

SMALL BUSINESS CERTIFICATION

If the Bidder or a Bidder’s proposed subcontractor is a California-certified Small Business (SB), include a current copy of the prime or subcontractor’s SB certification as part of your proposal. SB certifications can be found and printed from the following link:

https://caleprocure.ca.gov/pages/PublicSearch/supplier-search.aspx

SMALL BUSINESS CERTIFICATION UPLOAD

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 9: TARGET AREA CONTRACT PREFERENCE ACT

TARGET AREA CONTRACT PREFERENCE ACT

The Target Area Contract Preference Act form (TACPA STD 830) can be found through the
following link:

https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std830.pdf

TARGET AREA CONTRACT PREFERENCE ACT UPLOAD

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 10: COVER LETTER

COVER LETTER

The proposal must contain a signed cover letter on the proposer's official business letterhead stationery. The cover letter must contain a statement that substantiates that the person who signs the letter is authorized to bind the respondent’s firm contractually. The signature on the cover letter must indicate the title or position that the signer holds in the company and proposer's point of contact for this response.

COVER LETTER

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 11: PROPOSAL

PROPOSAL

PROPOSAL

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 12: RESUMES

RESUMES

Provide a resume for each identified member AND subcontracting member of the contract team detailing experience meeting the RFP requirements. Resume entries should clearly demonstrate the experience and/or training requirements described in the EXHIBIT A: SCOPE OF WORK (SOW). An acceptable resume must include the individual’s experience and education, any applicable credentials and certifications, current work history and a summary of similar work performed. Sufficient detail must be included to confirm the experience cited, including an explicit statement regarding the total cumulative time for the similar work performed on each project.

RESUMES

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 13: PREVIOUS WORK PROJECTS

PREVIOUS WORK PROJECTS

PREVIOUS WORK PROJECTS

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 14: COST WORKSHEET

COST WORKSHEET

Contractors shall not modify the Cost Worksheet unless adding additional rows. Not fully completing this document may deem the offer nonresponsive.

COST WORKSHEET UPLOAD

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

ATTACHMENT 15: CLIENT REFERENCES

CLIENT REFERENCES

Submission of this attachment is mandatory. Failure to complete and return this attachment with your offer may cause your offer to be rejected and deemed nonresponsive.

List three (3) references for services performed within the last three (3) years, which are similar to the statement of work to be performed in this contract. Note, references cannot be from DFPI or from the Department of Business Oversight.

CLIENT REFERENCES UPLOAD

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ATTACHMENT 16: STD 399 (FOR REFERENCE ONLY)

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

SAMPLE STANDARD AGREEMENT

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State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

EXHIBIT A: SCOPE OF WORK (SOW)

INTRODUCTION

The Department of Financial Protection and Innovation (DFPI) provides protection to consumers and services to businesses engaged in financial transactions. DFPI regulates a variety of financial services, products, and professions, and oversees the operations of state-licensed financial institutions, including banks, credit unions, money transmitters, issues of payment instruments and traveler’s checks, and premium finance companies. Additionally, DFPI licenses and regulates a variety of financial businesses, including securities brokers and dealers, investment advisers, deferred deposit and certain fiduciaries and lenders, and regulates the proposal and sale of securities, franchises, and off-exchange commodities. DFPI’s Enforcement Division enforces the laws administered by DFPI.

BACKGROUND

Economic and Fiscal Impact Statement form STD 399

Pursuant to Government Code Section 11346.5, a rulemaking agency is required, prior to the issuance of an executive regulation, to include in the notice of proposed adoption, amendment, or repeal of a regulation the following:

A determination as to whether the regulation imposes a mandate on local agencies or school districts and, if so, whether the mandate requires state reimbursement pursuant to Part 7 (commencing with Section 17500) of Division 4 of the Government Code.
An estimate, prepared in accordance with instructions adopted by the Department of Finance (DOF), of the cost or savings to any state agency or local government; the cost to any local government that is required to be reimbursed under Part 7 (commencing with Section 17500) of Division 4 of the Government Code; any other nondiscretionary costs or savings including revenue changes imposed on state and local governments; and the cost or savings in federal funding to the state.
A statement of the results of the assessment of the economic impacts of a proposed regulation pursuant to Government Code sections 11346.2 and 11346.3.

Completing the Economic and Fiscal Impact Statement form STD 399 information can be found in the State Administrative Manual (SAM) section 6601. See ATTACHMENT 16: STD 399 (FOR REFERENCE ONLY).

Standardized Regulatory Impact Assessments (SRIA)

Pursuant to Government Code section 11346.36(f), a state agency promulgating a major regulation is required to send a completed Standardized Regulatory Impact Assessments (SRIA) and the form required by California Code of Regulations, Title 1, section 2002 to the Department of Finance for review and comment.

SRIA information can be found in the State Administrative Manual (SAM) section 6600.

1. PURPOSE OF THIS RFP

The Department of Financial Protection and Innovation (DFPI) is seeking a contractor to provide Consulting Services for Economic Impact Analysis.

The Department requires services from an experienced vendor to prepare and help defend economic impact analyses, Economic and Fiscal Impact Statements Form 399, and Standardized Regulatory Impact Assessments (SRIA) on an as-needed basis for various proposed regulations under the California Administrative Procedures Act.

This Agreement shall not exceed $196,521.15.

2. AGREEMENT CONTACTS

The project representatives during the term of this agreement shall be:

State Agency: Department of Financial Protection and Innovation	Contractor: To Be Determined
Name: Misty Miller	Name: TBD
Email: Misty.Miller@dfpi.ca.gov	Email: TBD
Phone: 916-664-0162	Phone: TBD

Direct all contractual inquiries to:

State Agency: Department of Financial Protection and Innovation	Contractor: To Be Determined
Section/Unit: BOO/ASU	Section/Unit: TBD
Attention: Natasha Chiu	Attention: TBD
Address: 651 Bannon St STE 300, Sacramento, CA 95811	Address: TBD
Email: natasha.chiu@dfpi.ca.gov	Email: TBD
Phone: +19169806224	Phone: TBD

3. MINIMUM CONTRACTOR QUALIFICATIONS

The selected Proposer must have management, personnel, sufficient equipment, availability and qualifications to perform the scope of work required. Firms interested in responding to this RFP must submit the following information in narrative form as outlined below. To the extent your proposal relies upon services provided by one or more subcontractor(s) hired by you or working at your direction, please include those subcontractors in your response:

Description of Firm - A description of the firm’s organization structure (e.g., Corporation, Partnership, Limited Liability Company), the jurisdiction(s) in which the firm is organized and the date of such organizations.
Authorized Representative - The name, title, address, e-mail address, telephone number and fax number of the person authorized to represent the firm with respect to all discussion or communications related to this RFP.
Relvent Experience and Work History - Description of relevant previous and/or current experience pertaining to providing economic analysis for government or private parties. Include any experience and proficiency developing economic analyses such as those required under California's Administrative Procedure Act.

4. WORK DETAILS

The proposer shall develop a sample work plan with a sample progress schedule for completion of each project and task for Project-Type A (Form 399) and Project-Type B (SRIA). The work plan will identify major tasks, necessary subtasks, and/or specific milestones by which progress can be measured.

5. TASKS AND DELIVERABLES

In responding to this RFP, Proposers must describe their approach in a detailed work plan and explain what capacities and experiences uniquely set them apart to be successful in executing 2024-LGL-088960 Economic Impact Analysis Consulting Services. The detailed work plan should include a description of how the tasks described below will be accomplished, including a proposed progress schedule. Proposals will be evaluated based on the narrative response to how tasks are executed. Contractors are encouraged to outline their experience and expertise in analyzing whether regulations constitute “major regulations” as defined in California Code of Regulations, title 1, section 2000(g). Proposals are also encouraged to detail experience helping State departments put dollar figures to narrative stakeholder claims about the cost of proposed regulations. Include in your proposal, an executive summary and demonstration of understanding the project.

Proposers are encouraged to review the Assessment section of this RFP to understand how responses will be scored. Proposals are asked to restrict their response to the RFP to between 10-13 pages, single-spaced, 11-point font. This limitation applies only to the narrative response to the tasks described below. The page limitation does not apply to any samples provided.

The DFPI is contracting for Economic impact analysis consulting services. The tasks described below encompass all the services that are required. As shown in the table below, the Department expects the majority of projects under this contract to be Project-Type A (Form 399s). However, the Department may require one or more of "Project-Type B" (SRIAs) as part of the contract.

Projects	Approximate Percentage of Budget
Type A	80%
Type B	20%
Total	100%

Project-Type A – Economic and Fiscal Impact Statement (Form STD. 399)

Task A.1: Project Design & Preliminary Feedback
- Kickoff meeting.
- Project plan (including report design and project timeline). Meet with the DFPI team to provide a status report and preliminary feedback.
Task A.2. Core Deliverables for Form 399
- Completed Economic and Fiscal Impact Statement (Form STD. 399).
- A written report detailing the forecasted economic impact of the proposed regulation, including whether and to what extent the regulation will affect the items in Government Code section 11346.3, subdivision (b)(1).
Task A.3. Follow-Up Activities
- Assist the Department with defending the economic impact analysis and Economic and Fiscal Impact Statement (Form STD. 399) and respond to questions from the Office of Administrative Law (OAL) and the Department of Finance (DOF) for up to 365 days after submission to OAL and DOF.

Project-Type B – Standardized Regulatory Impact Assessment (SRIA)

Task B1. Project Design & Preliminary Feedback
- Kickoff meeting.
- Prepare a written project plan (including project design and project timeline).
- Meet with the DFPI team to provide a status report and preliminary feedback.
Task B.2. Core Deliverables for Standardized Regulatory Impact Assessment
- Completed SRIA
- A written report detailing the forecasted economic impact of the proposed regulation, including whether and to what extent the regulation will affect the items in Government Code section 11346.3, subdivision (c)(1).
Task B.3. Follow-Up Activities
- Assist the Department with defending the economic impact analysis and SRIA and respond to questions from the Office of Administrative Law (OAL) and the Department of Finance (DOF) for up to 365 days after submission to OAL and DOF.

6. CONTRACTOR EVALUATIONS

DFPI contract manager must prepare the STD 4 within sixty (60) days of the completion of the contract.
DFPI contract manager shall document the performance of the contractor in doing the work or in delivering the services stated herein.
The evaluations shall remain on file by DFPI contract manager for a period of 36 months. If the contractor did not satisfactorily perform the work or service specified in this agreement, DFPI contract manager shall place one copy of the unsatisfactory evaluation form in the separate contract file and send one copy of the form to DFPI Acquisition Services Unit (ASU). DFPI ASU will place one copy of the form in the separate contract file and send one copy to DGS/OLS within five (5) working days of completion of the evaluation.
Upon filing an unsatisfactory evaluation with DGS/OLS, DFPI contract manager shall notify and send a copy of the evaluation to the contractor and copy to DFPI ASU within fifteen (15) days. The contractor shall have thirty (30) days to submit a written response to the evaluation to DFPI Contract Mfanager and copy to DFPI ASU. The contractor’s response shall be filed with the evaluation in the separate DFPI contract file and in DGS/OLS’s files.
The evaluation and contractor response on file with the DFPI and DGS/OLS are not public records. They should be maintained in a separate file.

7. AMENDMENTS

This Agreement may be amended for time and/or money upon mutual written consent by both parties. Additional time shall not exceed one (1) year. Additional funds may be up to 30% of the awarded agreement total.

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

EXHIBIT A1: CONTRACTOR'S PROPOSAL

CONTRACTOR'S PROPOSAL

Contractor’s Proposal (ATTACHMENT 11: PROPOSAL) is attached hereto and made a part of this agreement.

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISION

1. INVOICING AND PAYMENT

For services satisfactorily rendered, and upon receipt and approval of the invoices, the State agrees to compensate the Contractor for actual expenditures incurred in accordance with the rates specified herein, and made a part of this Agreement, identified in SECTION 4. PAYMENT DETAIL. No travel will be reimbursed.
Invoices shall include the Agreement Number, 2024-LGL-088960, and shall be submitted electronically not more frequently than monthly in arrears to:

Department of Financial Protection and Innovation
Attn: Accounting Office
AccountingAP@dfpi.ca.gov

Invoices shall include the following:
● Agreement Number 2024-LGL-088960
● Task Assignment #
● Task #
● Deliverable
● Personnel, Rate and Hours

Aligned with legislative changes of AB 230 (Brough, Chapter 676, Statutes of 2019) amending section 999.5 of the Military and Veterans Codes (MVC) and Sections 14839 and 14841 of the Government Code (GC) and the added Section 10230 to the Public Contract Code (PCC); AB 1365 ( Veterans Affairs Committee, Chapter 689, Statues of 2020) added Section 999.7 to the MVC, it is the awarded contractor’s responsibility to understand and comply with these requirements.
1. The awarded Contractor is required to submit a complete and accurate Prime Contractor’s Certification – DVBE Subcontracting Report (STD 817) Upon contract completion.
2. The STD 817 can be found here:
  Prime Contractor’s DVBE Subcontracting Report (ca.gov)
3. DFPI will withhold $10,000, or full payment if less than $10,000, from a prime Contractor’s final payment pending the receipt of a complete and accurate STD 817.
4. DFPI will review the STD 817 and determine if it is complete and accurate. The withhold will only be released once the review and determination has been completed by DFPI.
5. If the STD 817 is late or incomplete, DFPI will send the prime Contractor a cure notice allowing a minimum of 15 days, but no more than 30 days, to meet the certification requirements.
6. If the prime Contractor does not comply by the identified deadline, the withhold is permanently deducted.
7. All records shall be retained for a minimum of six (6) years.

2. BUDGET CONTINGENCY CLAUSE

It is mutually agreed that if the Budget Act of the current year and/or any subsequent years covered under this Agreement does not appropriate sufficient funds for the program, this Agreement shall be of no further force and effect. In this event, the State shall have no liability to pay any funds whatsoever to the Contractor or to furnish any other considerations under this Agreement and Contractor shall not be obligated to perform any provisions of this Agreement.
If funding for any fiscal year is reduced or deleted by the Budget Act for purposes of this program, the State shall have the option to either cancel this Agreement with no liability occurring to the State, or offer an agreement amendment to Contractor to reflect the reduced amount.

3. PROMPT PAYMENT CLAUSE

Payment will be made in accordance with, and within the time specified in, Government Code Chapter 4.5, commencing with Section 927.

4. PAYMENT DETAIL

In accordance with SECTION 1. INVOICING AND PAYMENT, A., DFPI shall pay Contractor the rate(s) identified on EXHIBIT B1: CONTRACTOR'S RATES.

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

EXHIBIT B1: CONTRACTOR'S RATES

CONTRACTOR'S RATES

Proposer’s Cost Worksheet (ATTACHMENT 14: COST WORKSHEET) will be attached hereto and made part of this agreement as EXHIBIT B1: CONTRACTOR'S RATES.

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

EXHIBIT C: GENERAL PROVISIONS

GENERAL PROVISIONS

Any agreement entered with the State of California, will have the following included by reference:

General Provisions, which can be viewed and downloaded at the following internet site: General Terms and Conditions GTC 02/2025.

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

EXHIBIT D: ADDITIONAL CONTRACT REQUIREMENTS

1. SPECIAL TERMS AND CONDITIONS

1.1. EXCISE TAX

The State of California is exempt from federal excise taxes, and no payment will be made for any taxes levied on employees' wages. The State will pay for any applicable State of California or local sales or use taxes on the services rendered or equipment or parts supplied pursuant to this Agreement. The State of California may pay any applicable sales and use tax imposed by another State.

1.2. SETTLEMENT OF DISPUTES

In the event of a dispute, Contractor shall file a "Notice of Dispute" with the Department of Financial Protection and Innovation (DFPI), Commissioner, within ten (10) days of discovery of the problem. Within ten (10) business days, the Commissioner shall meet with the Contractor and Project Manager for purposes of resolving the dispute. The decision of the Commissioner shall be final. In the event of a dispute, the language contained within this Agreement shall prevail over any other language including that of the bid proposal.

1.3. AGENCY LIABILITY

The Contractor warrants by execution of this Agreement, that no person or selling agency has been employed or retained to solicit or secure this Agreement upon agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or selling agencies maintained by the Contractor for the purpose of securing business. For breach or violation of this warranty, the State shall, in addition to other remedies provided by law, have the right to annul this Agreement without liability, paying only for the value of the work performed, or otherwise recover the full amount of such commission, percentage, brokerage, or contingent fee.

1.4. POTENTIAL SUBCONTRACTORS

Nothing contained in this Agreement or otherwise, shall create any Contractual relation between the State of California and any subcontractors, and no subcontract shall relieve the Contractor of his/her responsibilities and obligations hereunder. The Contractor agrees to be as fully responsible to the State of California for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Contractor. The Contractor's obligation to pay its subcontractors is an independent obligation from the State of California obligation to make payments to the Contractor. As a result, the State of California shall have no obligation to pay or enforce the payment of any moneys to any subcontractor.

1.5. CONFIDENTIALITY OF DATA

The Software Management Policy requires that State Contractors certify they have appropriate systems and controls in place to ensure that State funds will not be used in the performance of a Contract for the acquisition, operation, or maintenance of computer software in violation of copyright laws. These requirements are incorporated as standard language in Contracts awarded by the State.

All financial, statistical, personal, technical, and other data and information relating to DFPI operations which are designated confidential by the DFPI and made available to the Contractor in order to carry out this Agreement/Contract, shall be protected by the Contractor from unauthorized use and disclosure. No reports, information, discoveries, or data obtained, assembled, or developed by the Contractor pursuant to this Contract shall be released, published, or made available to any individual/entity without prior written approval from the DFPI. The Contractor shall retain as confidential all recommendations made to the DFPI, all discussions between staff of DFPI and the Contractor and all communications, written, oral or electronic, between the Contractor and the DFPI.

The Contractor shall not be required under the provisions of this paragraph to keep confidential any data or information, which is or becomes publicly available, is already rightfully in the Contractor's possession, is independently developed by the Contractor outside the scope of this Agreement or is rightfully obtained from third parties.

1.6. EXECUTIVE ORDER N-6-22 – RUSSIA SANCTIONS

On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions” refers to sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as well as any sanctions imposed under State law. By submitting a bid or proposal, Contractor represents that it is not a target of Economic Sanctions. Should the State determine Contractor is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for rejection of the Contractor’s bid/proposal any time prior to Contract execution, or, if determined after Contract execution, shall be grounds for termination by the State.

1.7. CANCELLATION

The Department of Financial Protection and Innovation (DFPI) reserves the right to cancel the Agreement with thirty (30) days advance written notice to the Contractor. Upon cancellation or termination of the contract, the contractor shall refund all advance payments no later than 30 days after cancelation notification.

1.8. STOP WORK ORDER

The DFPI reserves the right to issue an order to stop work in the event that a dispute should arise, or in the event that State gives Contractor notice that the Agreement will be terminated. The stop-work order will be in effect until the dispute has been resolved or the Agreement has been terminated. Upon cancellation or termination of the contract, the contractor shall refund all advance payments no later than 30 days after cancellation notification.

2. AMENDMENTS

The DFPI reserves the right to amend this agreement under mutual signed agreement by both parties, and approved by DGS OLS if required. The Contract may require an amendment as a result of project review, changes and additions, changes in project scope, or availability of funding.

3. INSURANCE REQUIREMENTS

3.1. COMMERCIAL GENERAL LIABILITY

Contractor shall maintain general liability on an occurrence form with limits not less than $1,000,000 per occurrence and $2,000,000 aggregate for bodily injury and property damage liability. The policy shall include coverage for liabilities arising out of premises, operations, independent Contractors, products, completed operations, personal and advertising injury, and liability assumed under an insured Agreement. This insurance shall apply separately to each insured against which claim is made, or suit is brought subject to the Contractor’s limit of liability. The policy must name The State of California, its officers, agents, and employees as additional insured, but only with respect to work performed under the Contract.

3.2. AUTOMOBILE LIABILITY

If Contractor has commercially owned autos, Contractor shall maintain motor vehicle liability with limits not less than $1,000,000 combined single limit per accident. Such insurance shall cover liability arising out of a motor vehicle including owned, hired, and non-owned motor vehicles. The policy must name The State of California, its officers, agents, and employees as additional insured, but only with respect to work performed under the Contract.

If Contractor has personally owned autos, by signing this Agreement, the Contractor certifies that the Contractor and any employees, subcontractors or servants possess valid automobile coverage in accordance with California Vehicle Code Sections 16450 to 16457, inclusive. The State reserves the right to request proof at any time.

If auto ownership is unknown, Contractor shall maintain motor vehicle liability with limits not less than $1,000,000 combined single limit per accident. Such insurance shall cover liability arising out of a motor vehicle including owned, hired, and non-owned motor vehicles. The policy must name The State of California, its officers, agents, and employees as additional insured, but only with respect to work performed under the Contract.

If Contractor will not have any commercially owned vehicles used during the life of this Agreement, by signing this Agreement, the Contractor certifies that the Contractor and any employees, subcontractors or servants possess valid automobile coverage in accordance with California Vehicle Code Sections 16450 to 16457, inclusive. The State reserves the right to request proof at any time.

3.3. WORKERS’ COMPENSATION AND EMPLOYER’S LIABILITY

Contractor shall maintain statutory worker’s compensation and employer’s liability coverage for all its employees who will be engaged in the performance of the Contract. In addition, employer’s liability limits of $1,000,000 are required. If applicable, Contractor shall provide coverage for all its employees for any injuries or claims under the U.S. Longshoremen’s and Harbor Workers’ Compensation Act, the Jones Act or under laws, regulations, or statutes applicable to maritime employees. By signing this Contract, Contractor acknowledges compliance with these regulations. A Waiver of Subrogation or Right to Recover endorsement in favor of the State of California must be attached to the certificate.

3.4. PROFESSIONAL LIABILITY

If Contract has exposure of a professional nature, including Consultants, Doctors, Engineers, and other professions, Contractor shall maintain Professional Liability covering any damages caused by a negligent error, act, or omission with limits not less than $1,000,000 per claim and $2,000,000 policy aggregate. The Retroactive Date must be shown and must be before the date of the Contract or the beginning of Contract work. Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the Contract of work. If coverage is canceled or non-renewed,and not replaced with another claims-made policy form with a Retroactive Date prior to the Contract effective date, the Contractor must purchase “extended reporting” coverage for a minimum of five (5) years after completion of work.

3.5. MOTOR TRUCK CARGO LEGAL LIABILITY

If the Contractor will be transporting State property, Contractor shall maintain Motor Truck Cargo Legal Liability with a limit no less than the full amount of State-owned property, materials, and/or equipment being transported. The policy coverage shall be on a Special Coverage Form including loading & unloading.

3.6. BAILEE’S LEGAL LIABILITY

If Contractor will have State property in their care, custody, and/or control, including State property on their premise for storage, repair, and other conditions, Contractor shall maintain Bailee’s Legal Liability with a limit equal to the replacement value of State-owned property in Contractor’s care, custody, and control. The Contractor’s policy also must include coverage for state property, which is destroyed, including but not limited to by the following perils of fire, lightning, theft, burglary, robbery, windstorm, explosion, collision, floor, sprinkler leak, and earthquake.

4. GENERAL PROVISIONS APPLYING TO ALL INSURANCE POLICIES

4.1. COVERAGE TERM

Coverage needs to be in force for the complete term of the Contract. If insurance expires during the term of the Contract, a new certificate must be received by the State at least ten (10) days prior to the expiration of this insurance. Any new insurance must still comply with the original terms of the Contract.

4.2. POLICY CANCELLATION OR TERMINATION & NOTICE OF NON-RENEWAL

Contractor and/or Permittee is responsible to notify the State within five business days before the effective date of any cancellation, non-renewal, or material change that affects required insurance coverage. In the event Contractor and/or Permittee fails to keep in effect at all times the specified insurance coverage, the State may, in addition to any other remedies it may have, terminate this Contract upon the occurrence of such event, subject to the provisions of this Contract.

4.3. DEDUCTIBLE

Contractor and/or Permittee is responsible for any deductible or self-insured retention contained within their insurance program.

4.4. PRIMARY CLAUSE

Any required insurance contained in this Contract shall be primary,and not excess or contributory, to any other insurance carried by the State.

4.5. INSURANCE CARRIER REQUIRED RATING

All insurance companies must carry a rating acceptable to the Office of Risk and Insurance Management. If the Contractor and/or Permittee is self-insured for a portion or all its insurance, review of financial information including a letter of credit may be required.

4.6. ENDORSEMENTS

Any required endorsements requested by the State must be physically attached to all requested certificates of insurance and not substituted by referring to such coverage on the certificate of insurance.

4.7. INADEQUATE INSURANCE

Inadequate or lack of insurance does not negate the Contractor and/or Permittee’s obligations under the Contract.

4.8. SATISFYING AN SIR

All insurance required by this Contract must allow the State to pay and/or act as the Contractor’s agent in satisfying any self-insured retention (SIR). The choice to pay and/or act as the Contractor’s agent in satisfying any SIR is at the State’s discretion.

4.9. AVAILABLE COVERAGES/LIMITS

All coverage and limits available to the Contractor shall also be available and applicable to the State, regardless of the minimum limits required in SECTION 3. INSURANCE REQUIREMENTS.

4.10. SUBCONTRACTORS

In the case of Contractor and/or Permittee’s utilization of subcontractors to complete the Contracted scope of work, Contractor and/or Permittee shall include all subcontractors as insured under Contractor and/or Permittee’s insurance or supply evidence of insurance to The State equal to policies, coverages andlimits required of Contractor and/or Permittee.

4.11. PREMIUMS

The Contractor/Permittee shall be responsible for any premium, deductible or self-insured retention in connection with any Required Insurance.

4.12. REQUIRED INSURANCE

By requiring the insurance herein, the Department does not represent that the insurance coverage and limits will necessarily be adequate to protect the Contractor/Permittee and such coverage and limits shall not be deemed as a limitation on the Contractor’s/Permittee’s liability under the indemnities granted to the Department in this Contract.

4.13. INSURANCE CERTIFICATE

Contractor shall provide an insurance certificate evidencing the required insurance coverage before work commences under this Agreement.

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

EXHIBIT E: ADDITIONAL PROVISIONS

1. TRAVEL AND PER DIEM

No travel will be reimbursed under this agreement.

2. PROGRESS PAYMENTS

If progress payments are allowed for services performed under this contract, not less than ten percent (10%) of the contract amount shall be withheld pending final completion of the contract and receipt and acceptance by State Project Representative of any final reports required under the contract. However, for those contracts that consist entirely of separate and distinct tasks, any funds withheld with regard to a particular task may be paid upon completion of that particular task. Such retained amount shall be held by the State and released to the Contractor upon the State’s determination that the Contractor has satisfactorily completed all of the required services under this Agreement.

3. SOLE PROPRIETOR

If signing this Agreement as a Sole Proprietor, Contractor certifies they are not an alien that is ineligible for state and local benefits, as defined in Subtitle B of the Personal Responsibility and Work Opportunity Act (8 USC 1601, et seq.)

4. RFP AND PROPOSAL

The RFP and Bidder’s proposal are hereby attached to this contract by this reference.

5. RESUMES AND CONTRACT PARTICIPANTS

A completed resume for each contract participant who will exercise a major principal investigator role, administrative role or major policy or consultant role, as identified by the contractor, is attached hereto as a part of the agreement and identified as EXHIBIT A1: CONTRACTOR'S PROPOSAL.

State of California
Department of Financial Protection & Innovation

RFP #2024-LGL-088960
2024-LGL-088960 Economic Impact Analysis Consulting Services

EXHIBIT F: OWNERSHIP OF INTELLECTUAL PROPERTY, PRODUCTS, AND COPYRIGHTS

Section 1

1. The State shall be the owner of all rights, title, and interest in any and all intellectual property or other products or materials created or developed pursuant to this Agreement, whether or not published, produced, manufactured or distributed. The copyright and other intellectual property rights to any and all products created, provided, or developed under this Agreement, whether or not published, produced, manufactured or distributed belongs to the State from the moment of creation. If the Contractor should lose its ability to service the Agreement with the State, the State shall retain the right to use said products or materials without further compensation to the Contractor.

2. The State retains all rights to use, reproduce, distribute, or display any products or materials created, provided, developed, or produced under this Agreement and any derivative products based on Agreement products or materials, as well as all other rights, privileges, and remedies granted or reserved to a copyright, patent, service mark or trademark owner under statutory and common law.

3. Contractor agrees to cooperate with State and to execute any document or documents that may be found to be necessary to give the foregoing provisions full force and effect, including but not limited to, an assignment of copyright or patent rights. Contractor, subject to reasonable availability, agrees to give testimony and take all further acts necessary to acquire, transfer, maintain, and enforce the State’s intellectual property rights and interest.

4. Contractor agrees not to incorporate into or make the works developed, dependent upon any original works of authorship or Intellectual Property Rights of third parties without first (a) obtaining State’s prior written permission, and (b) granting to or obtaining for State, without additional compensation, a nonexclusive, royalty-free, paid-up, irrevocable, perpetual, world-wide license, to use, reproduce, sell, modify, publicly and privately display and distribute, for any purpose whatsoever, any such prior works.

5. If the case of copyrighted materials, all materials distributed under the terms of this Agreement, and any reproductions or derivative works thereof, shall include a notice of copyright in a place that can be visually perceived at the direction of the State. This notice shall be placed prominently on products or materials, and set apart from other matter on the page or medium where it appears. The notice “Copyright” or “©”, the year in which the work was first created, and Department of Financial Protection & Innovation”, or other appropriate mark as directed by Department of Financial Protection & Innovation, Information Technology Section, shall be included on any such products or materials.

6. Contractor represents and warrants that:

It is free to enter into and fully perform this Agreement.
It has secured and will secure all rights and licenses necessary for its performance of this Agreement.
Neither Contractor’s performance of this Agreement, nor the exercise by either Party of the rights granted in this Agreement, nor any use, reproduction, manufacture, sale, offer to sell, import, export, modification, public and private display/performance, distribution, and disposition of the Intellectual Property made, conceived, derived from, or reduced to practice by Contractor or STATE and which result directly or indirectly from this Agreement will infringe upon or violate any Intellectual Property right, non-disclosure obligation, or other proprietary right or interest of any third-party or entity now existing under the laws of, or hereafter existing or issued by, any State, the United States, or any foreign country. There is currently no actual or threatened claim by any such third party based on an alleged violation of any such right by Contractor.
Neither Contractor’s performance nor any part of its performance will violate the right of privacy of, or constitute a libel or slander against any person or entity.
It has secured and will secure all rights and licenses necessary for Intellectual Property including, but not limited to, consents, waivers or releases from all authors of music or performances used, and talent (radio, television and motion picture talent), owners of any interest in and to real property, sites, locations, property or props that may be used or shown.
It has not granted and shall not grant to any person or entity any right that would or might derogate, encumber, or interfere with any of the rights granted to STATE in this Agreement.
It has appropriate systems and controls in place to ensure that State funds will not be used in the performance of this Agreement for the acquisition, operation or maintenance of computer software in violation of copyright laws.
It has no knowledge of any outstanding claims, licenses or other charges, liens, or encumbrances of any kind or nature whatsoever that could affect in any way Contractor’s performance of this Agreement.

7. STATE MAKES NO WARRANTY THAT THE INTELLECTUAL PROPERTY RESULTING FROM THIS AGREEMENT DOES NOT INFRINGE UPON ANY PATENT, TRADEMARK, COPYRIGHT OR THE LIKE, NOW EXISTING OR SUBSEQUENTLY ISSUED.

8. Intellectual Property Indemnity

Contractor shall indemnify, defend and hold harmless STATE and its licensees and assignees, and its officers, directors, employees, agents, representatives, successors, and users of its products, (“Indemnitees”) from and against all claims, actions, damages, losses, liabilities (or actions or proceedings with respect to any thereof), whether or not rightful, arising from any and all actions or claims by any third party or expenses related thereto (including, but not limited to, all legal expenses, court costs, and attorney’s fees incurred in investigating, preparing, serving as a witness in, or defending against, any such claim, action, or proceeding, commenced or threatened) to which any of the Indemnitees may be subject, whether or not Contractor is a party to any pending or threatened litigation, which arise out of or are related to (i) the incorrectness or breach of any of the representations, warranties, covenants or agreements of Contractor pertaining to Intellectual Property; or (ii) any Intellectual Property infringement, or any other type of actual or alleged infringement claim, arising out of STATE’s use, reproduction, manufacture, sale, offer to sell, distribution, import, export, modification, public and private performance/display, license, and disposition of the Intellectual Property made, conceived, derived from, or reduced to practice by Contractor or STATE and which result directly or indirectly from this Agreement. This indemnity obligation shall apply irrespective of whether the infringement claim is based on a patent, trademark or copyright registration that issued after the effective date of this Agreement. STATE reserves the right to participate in and/or control, at Contractor’s expense, any such infringement action brought against STATE.
Should any Intellectual Property licensed by the Contractor to STATE under this Agreement become the subject of an Intellectual Property infringement claim, Contractor will exercise its authority reasonably and in good faith to preserve STATE’s right to use the licensed Intellectual Property in accordance with this Agreement at no expense to STATE. State shall have the right to monitor and appear through its own counsel (at Contractor’s expense) in any such claim or action. In the defense or settlement of the claim, Contractor may obtain the right for STATE to continue using the licensed Intellectual Property; or, replace or modify the licensed Intellectual Property so that the replaced or modified Intellectual Property becomes non-infringing provided that such replacement or modification is functionally equivalent to the original licensed Intellectual Property. If such remedies are not reasonably available, STATE shall be entitled to a refund of all monies paid under this Agreement, without restriction or limitation of any other rights and remedies available at law or in equity.
Contractor agrees that damages alone would be inadequate to compensate STATE for breach of any term of this Intellectual Property attachment by Contractor. Contractor acknowledges STATE would suffer irreparable harm in the event of such breach and agrees STATE shall be entitled to obtain equitable relief, including without limitation an injunction, from a court of competent jurisdiction, without restriction or limitation of any other rights and remedies available at law or in equity.

2024-LGL-088960 Economic Impact Analysis Consulting Services

Submission Start and End dates

Q&A Submission Window

1. ADDENDUM 1: SUMMARY OF CHANGES AS OF MAY 6, 2025

COVER PAGE

1. INTRODUCTION

1.1. BACKGROUND

1.2. PURPOSE OF THE RFP

1.3. KEY ACTIVITIES AND DATES

1.4. TERM OF CONTRACT AND AVAILABLE FUNDING

1.5. AMENDMENT

1.6. ELIGIBLE PROPOSERS

1.7. QUESTIONS AND ANSWERS

1.8. ADDENDA

1.9. CONTACT INFORMATION

2. RESPONSE TO RFP

2.1. ABOUT THIS SECTION

2.2. RFP DEFINED

2.3. INSTRUCTIONS FOR ELECTRONIC SUBMISSIONS OF PROPOSALS

2.4. RFP CONTENT

2.4.1. ADMINISTRATIVE RESPONSES

2.4.2. TECHNICAL AND COST PROPOSAL

2.4.2.1. RFP TECHNICAL AND COST PROPOSAL RESPONSES

2.4.3. ADDITIONAL INFORMATION/PROVISIONS

3. ASSESSMENT PROCESS AND CRITERIA

3.1. ABOUT THIS SECTION

3.2. PROPOSALS ASSESSMENT

3.3. RFP REVIEW AND COMPARISON

3.4. ASSESSMENT STAGES

3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING

3.4.2. STAGE TWO: TECHNICAL ASSESSMENT OF PROPOSALS

3.4.3. STAGE THREE: COST ASSESSMENT

3.4.4. TOTAL SCORING SUMMARY TABLE

3.4.5. GROUNDS FOR REJECTION

3.4.6. NOTICE OF PROPOSED AWARD (NOPA)

3.4.7. PROTEST PROCEDURES

3.4.8. REJECTION OF AWARD BY CONTRACTOR

4. BUSINESS PARTICIPATION PROGRAMS (PREFERENCES/INCENTIVES)

4.1. REQUIRED FORMS

4.2. PREFERENCE PROGRAMS

4.2.1. DISABLED VETERAN BUSINESS ENTERPRISE (DVBE)

4.2.1.1. DVBE PARTICIPATION COMPLIANCE REQUIREMENT

4.2.1.2. DVBE DEFINITION

4.2.1.3. DVBE CERTIFICATION AND ELIGIBILITY

4.2.1.4. PRINTING/COPYING SERVICES NOT ELIGIBLE

4.2.1.5. COMMERCIALLY USEFUL FUNCTION (CUF)

4.2.1.6. INFORMATION VERIFIED

4.2.1.7. DVBE REPORT

4.2.1.8. THE OFFICE OF SMALL BUSINESS AND DVBE SERVICES (OSDS)

4.2.1.9. DVBE LAW

4.2.1.10. DVBE INCENTIVE

4.2.1.11. INCENTIVE APPLICATION

4.2.2. SMALL BUSINESS / MICROBUSINESS / NON-SMALL BUSINESS PREFERENCE

4.2.2.1. CERTIFICATION

4.2.2.2. NON-PROFIT VETERAN SERVICE AGENCY

4.2.2.3. DEFINITIONS

4.2.2.3.1. SMALL BUSINESS

4.2.2.3.2. MICROBUSINESS

4.2.2.3.3. NON-PROFIT VETERAN SERVICE AGENCY

4.2.2.4. COMMERCIALLY USEFUL FUNCTION

4.2.2.5. LATE PAYMENT OF INVOICES

4.2.2.6. SMALL BUSINESS / MICROBUSINESS LAW

4.2.2.6.1. NON-SMALL BUSINESS

4.2.2.6.2. CERTIFICATION

4.2.2.7. NON-SMALL BUSINESS LAW

4.2.2.8. SMALL BUSINESS PREFERENCE EXAMPLE (SINGLE AWARD):

4.2.2.9. CALCULATION OF MULTIPLE PREFERENCES

4.2.3. TARGET AREA CONTRACT PREFERENCE ACT (TACPA)

5. ADMINISTRATION

5.1. SOFTWARE APPLICATION DEVELOPMENT

5.2. DARFUR CONTRACTING ACT OF 2008

5.3. CALIFORNIA CIVIL RIGHTS LAW

5.4. EXECUTIVE ORDER N-6-22 - RUSSIA SANCTIONS

5.5. ADDITIONAL PROVISIONS

5.5.1. AGREEMENT REQUIREMENTS

5.5.2. NO CONTRACT UNTIL SIGNED & APPROVED

5.5.3. IMMATERIAL DEFECT

5.5.4. GENAI DISCLOSURE NOTIFICATION CLAUSE

ATTACHMENT 1: REQUIRED ATTACHMENTS CHECKLIST

REQUIRED ATTACHMENT CHECKLIST