Questions regarding this solicitation must be submitted in writing via the online submission portal by December 27, 2023 at 3:00 PM PST. Verbal information will not be binding on the State unless such information is issued in writing as an addendum. 

Please note: The attached sample contract consists of a sample STD 213 and all Exhibits & Attachments.   Information displayed in orange font on the attached sample contract is for bidding purposes only and will not appear in the final contract.

Please be advised of Executive Order N-6-22 Russia Sanctions. On March 4, 2022, Governor Gavin Newsom issued Executive Order (EO) N-6-22 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, Bidder represents that it is not a target of Economic Sanctions. Should the State determine Bidder is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for rejection of the Bidder’s bid any time prior to contract execution, or, if determined after contract execution, shall be grounds for termination by the State.

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

DFPI shall then review bids which meet the submission requirements to determine its responsiveness. If a response is missing information required in either Attachments, it may be deemed not responsive.  Further review is subject to DFPI’s discretion.

The bidder with the highest points will be awarded the contract.

The Department's Legal Division is seeking to implement NetDocument's document management solution.  Tasks are further defined in the Tasks section below.

1. Contractor shall provide to the Department of Financial Protection and Innovation (DFPI) all personnel, labor, equipment, tools, supplies, materials, transportation, licenses, permits and insurance to provide NetDocument Implementation. 
    
2. Contractor's rates, specified in SECTION 2. REQUIRED DOCUMENTS shall stay in effect for the entire contract term. 

1. The primary services shall be performed remotely. However, if services need to be performed on site they shall be performed at 2101 Arena Blvd, Sacramento, CA. Consulting fees shall be charged for time on-premises.

NOTE:  The Sacramento office location may move during the term of this agreement. DFPI shall notify the Contractor of the new address for the Sacramento office as needed.

2. The services shall be provided Monday through Friday, 8:00 a.m. through 5:00 p.m. (Except state holidays), unless otherwise requested.

1. Contractor is responsible for the work described herein.
    
2. All performance under the agreement shall be completed on or before the termination date of  the agreement.
    
3. The Contractor shall not be authorized to deliver or commence performance of services until written approval has been obtained from the Contract Administrator. Any delivery of performance of service commended prior to obtaining all written approvals shall be considered voluntary and will not be compensated.

1. The Department of Financial Protection and Innovation (DFPI) provides protection to consumers and services to businesses engaged in financial transactions. The Department regulates a variety of financial services, products, and professionals.  The Department 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 Department licenses and regulates a variety of financial service providers, including securities brokers and dealers, investment advisers, deferred deposit transaction originators (commonly known as payday loans) and certain fiduciaries and lenders.  The Department also regulates the offer and sale of securities, franchises, and off exchange commodities. 
   
   The DFPI has five offices, located in four cities: Sacramento, San Francisco, Los Angeles, and San Diego.  The Sacramento office is the headquarter office and the main Information Technology hub. The Information Technology Services Division (ITSD) provides IT Services for DFPI and is responsible for providing systems support, maintenance, enhancements, and new development. 

1. DFPI reserves the right to request replacement of Contractor's personnel upon reasonable request of DFPI.
    
2. This is a consulting service contract. Each proposed individual should possess the following skills and experience as listed below. A resume for each proposed consultant must be submitted and should include a clear indication of specific experience that meets the minimum requirements listed below.

The consultants shall perform all services under this Contract remotely using DFPI provided equipment.  The Vendor shall provide the services during regular State business hours, and at all other times as required to successfully provide the services described in this SOW. The Vendor may be required to travel to other site locations at no cost to the DFPI for meetings or to perform tasks.

Travel is not expected under this contract, however, should the need arise travel costs are not included as part of this contract. For any necessary travel to one of DFPI’s offices (Sacramento, San Francisco, Los Angeles, and San Diego) the Contractor will absorb all travel and per diem costs. DFPI will not pay for any travel costs.

DFPI will provide computing devices for remote consultants based in the continental US. Consultants are forbidden from connecting non-DFPI equipment to DFPI’s networks.  Computing devices may be picked up in person at our offices in Sacramento, Los Angeles or San Francisco or can be shipped to consultant.

The contractor’s support team members must be at a sufficient level to complete the agreed upon deliverables timeline. The State recognizes that a resignation, or other such event, may cause team members to not be available for the duration of this contract. If this event should occur, the contractor must agree that DFPI reserves the right to approve or deny all replacement team members assigned to the project. Lack or shortage of personnel staff shall not relieve the contractor from meeting contract deliverables to the satisfaction of the Department of Financial Protection and Innovation and within agreed upon timelines.

Staff changes and/or substitutions must be approved by DFPI prior to the start of work. An unsigned Consultant Change Request Worksheet must be completed and submitted to DFPI’s Contract Manager (CM) along with documents mentioned on the worksheet.  After the CM reviews the documents, if no additional information is needed the Worksheet will be sent for signatures (including to the vendor) via AdobeSign.  If additional information is needed, once received and the Worksheet is updated, the document will be sent for signatures.  DFPI reserves the right to request staff changes for staff assigned.

The term of the Agreement is anticipated to start January 25, 2024, and end January 24, 2025, or one (1) year from the effective date, whichever is later. The dollar amount will be $52,000.  DFPI reserves the option to amend the contract to add up to two (2) additional years and add up to $22,000.00.  The total amount for this contract, including amendments, shall not exceed $74,000.

Information security is defined as the preservation of the confidentiality, integrity, and availability of information.  A secure environment is required to protect confidential information. All records received, handled, or viewed by the contractor and/or consultants will be securely maintained, and they will protect the data from unauthorized access, use or disclosure. 

Additionally:

• The contractor must adhere to State Administrative Manual (SAM), Section 5300, which includes the National Institute of Standards and Technology (NIST) SP 800-53 and Federal Information Security Modernization Act (FISMA), Statewide Information Management Manual (SIMM) 5300-A, and 5300-B, Federal Information Processing Standards (FIPS) Publication 140-2 and American National Standards Institute (ANSI). 
• The Contractor is required to read and acknowledge DFPI’s Acceptable Use policy.  DFPI’s Acceptable Use Policy form must be signed and returned within 30 days of the Contract approval.
• The Contractor, if applicable, is required to complete the DFPI Security Training provided by DFPI’s Information Security Unit.
• As part of this contract, the Contractor shall be responsible for all costs incurred by the DFPI due to any and every security incident resulting from the Contractor’s failure to perform or negligent acts of its personnel, and resulting in an unauthorized disclosure, release, access, review, destruction, loss, theft, or misuse of an information asset. If the contractor experiences an actual or potential loss of data or breach of data security, the contractor shall, within two (2) hours of its discovery thereof, report the loss or security breach to the DFPI Information Security Office at security@dfpi.ca.gov. If DFPI determines that notice to the individual(s) whose data has been lost or breached is appropriate, the contractor will bear any and all costs associated with the notice or any mitigation selected by the DFPI (California Civil Code s. 1798.29(a) [agency] and California Civ. Code s. 1798.82(a) (j 1-3)[person or business]). These costs include, but are not limited to, consultant time, material costs, postage, media announcements, and other identifiable costs associated with the breach or loss of data. 
• Prior to expiration of the contract, if applicable, the contractor shall return all State property, including security badges to the DFPI ITSD Primary Contact.

All tasks, deliverables and acceptance criteria will be detailed in work authorization documents. Work authorizations may be paid on a “time and material” basis or a “deliverable” basis, as mutually agreed upon between DFPI and vendor when each work authorization is created. The tasks to be performed may include, but are not limited to the following:

Task 1: Build

1. Migration development
2.  File System/SharePoint Metadata to NetDocument mapping utilizing SQL queries to analyze and import tables from existing document repository.
3. Reporting and refinement as needed.
4. Workstation deployment support, as needed.
   1. Migration Plan
       

Deliverables

1. Data mapping documentation
2. Issues Report 
3. Documentation of provided support.
    

Task 2 :Testing and Acceptance Phase

1. Validation, Refinement
2. Perform test import of content from existing document file to NetDocuments.
3. Proof of Concept (POC) handoff meeting.
4. Validate successful test with firm and fine-tune any needed adjustments prior to go live.
    

Deliverables

1. Migration Plan
2. Issues Report 
3. Documentation of support
    

Task 3: Execute Phase

1. Export of Alpha & Delta content from existing document repository
2. Preparation for and execution of migration; review and report results
3. Import tables.
    

Deliverables

1. Migration Plan
2. Migration Issue Report (if any)
3. Import Tables Issue Report (if any)
    

Task 4: Training

1. Administrative Training to develop an understanding of the components, tools, features, capabilities, and key recurring tasks for an IT administrator
2. Training end users on the NetDocuments platform for go live
    

Deliverables

1. Training Plan
2. User Training Documentation
    

Task 5: Support

1. Support to ensure all tools, features and capabilities ordered are functioning
2. Go live support during the first week via live Microsoft Teams meetings to alleviate triage of support requests.
    

Deliverables

1. Issues Resolution log
2. System Hand-Off Documentation

1. In order to implement the statement of work, the Contractor, with consultation with the DFPI Project Manager and Contract Manager, shall prepare work authorizations further defining tasks to be completed.  Each work authorization shall be prepared in accordance with the attached sample contained in Exhibit A1, which is incorporated into this contract. 
    
   1. Each Work Authorization shall consist of a detailed statement of the purpose, objective, or goals to be undertaken by the Contractor, an estimated time schedule for the provisions of these services by the Contractor, the name of the Contractor personnel to be assigned, the Contractor's estimated work hours required to accomplish the purpose, objective or goals, the Contractor's billing rates per work hour, and the Contractor's estimated total cost of the Work Authorization. 
       
   2. All Work Authorizations must be in writing prior to beginning work and signed by the Contractor and the DFPI Contract Manager. 
       
      1. If, in the performance of the work, the Contractor determines that a Work Authorization to be performed under this Contract cannot be accomplished within the estimated work hours, the Contractor will immediately notify the State in writing of the Contractor's estimate of the work hours which will be required to complete the Work Authorization in full. Upon receipt of such notification, the State may:
          
         1. Alter the Work Authorization to authorize the Contractor to expend the estimated additional work hours of service in excess of the original estimate necessary to accomplish the Work Authorization, or 
             
         2. Terminate the Work Authorization, or 
             
         3. Alter the scope of the Work Authorization in order to define tasks that can be accomplished within the remaining estimated work hours. 
             
2. It is understood and agreed by both parties to this Contract that all the terms and conditions of this Contract shall remain in force with the inclusion of any such Work Authorization. Such Work Authorization shall in no way constitute a contract other than as provided pursuant to this Contract nor in any way amend or supersede any of the other provisions of this Contract. 
    
3. The State has the right to require the Contractor to stop or suspend work on any Work Authorization pursuant to the “Stop Work” provision of the General Provisions. 
    
4. Personnel resources will not be expended (at a cost to the State) on task accomplishment in excess of estimated work hours required unless the procedure below is followed: 

For each applicable task and/or deliverable, The ITSD Project Manager (PM) will provide the contractor a written (email) response within five business days of receipt of a deliverable. This written response will indicate either acceptance or rejection of the deliverable. If the deliverable is accepted, the contractor may invoice DFPI for that deliverable in accordance with the contract. If the deliverable is rejected, the PM will provide a detailed explanation as to why the deliverable was not sufficient.  Additionally, all tasks shall be performed in close coordination and approval of DFPI Information Technology Services Division and Program Management. Deliverables shall be subject to testing prior to final acceptance.

ITSD has two Vendor Timesheets versions: 1) Vendor Timesheets Time and Materials only and 2) Vendor Timesheets Mixed (Deliverable/T&M). The version used will be dependent on Work Authorizations issued for this contract.  

ITSD Vendor timesheets shall be submitted twice per month as follows:

• Reporting period 1^st - 15^th due no later than 20^th of the reporting month.
• Reporting period 16^th - end of month due no later the 5^th of the month following the reporting period.

Timesheets must include a brief detailed description of all hours being charged.

The Contractor shall forward to the Project Manager a progress report monthly, or more frequently if requested by the Project Manager.  Each progress report will include:

• A brief narrative account of project tasks completed or partially completed since the last progress report.
• A brief discussion of problems encountered during the reporting period and how they were or are proposed to be resolved.
• A brief discussion of work planned, by project task, before the next progress report.
• If the work authorization project timeline is behind schedule, the progress report must contain an explanation of reasons and how Contractor plans to get the project back on schedule.

1. 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 Exhibit B1 Budget Detail and Payment Provisions, SECTION 4. PAYMENT DETAIL. No travel will be reimbursed. 
    

2. Invoices shall include the Agreement Number, 23-SA023, 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 23-SA023

• Task Assignment #

• Task #

• Deliverable

• Personnel, Rate and Hours

3. If Vendor is a DVBE, the following applies: 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.
    

4. The awarded Contractor is required to submit a complete and accurate Prime Contractor’s Certification – DVBE Subcontracting Report ( STD 817) Upon contract completion.
    
5. The STD 817 can be found here: Prime Contractor’s DVBE Subcontracting Report (ca.gov)
    
6.  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.
    
7. 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.
    
8. 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.
    
9. If the prime Contractor does not comply by the identified deadline, the withhold is permanently deducted.
    
10. All records shall be retained for a minimum of six (6) years.

1. 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 Contractor or to furnish any other considerations under this Agreement and Contractor shall not be obligated to perform any provisions of this Agreement.
    
2. 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.

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

In accordance with SECTION 1. INVOICING AND PAYMENT, Item 1.A. above, DFPI shall pay the Contractor in accordance with the rates identified in Exhibit B1 in SECTION 2. REQUIRED DOCUMENTS.

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