CRSB02-26_-_FINAL_RFP__06-25-26_.pdf

915 Capitol Mall Sacramento, CA 95814 p (916) 653-1744 www.treasurer.ca.gov/calsavers www.calavers.com

CALSAVERS RETIREMENT SAVINGS BOARD

Request for Proposals No. CRSB02-26 Program Fund External Auditing Services

Notice to Prospective Proposers

June 25, 2026

You are invited to review and respond to this Request for Proposals (RFP) No. CRSB02-26 for Program Fund External Auditing Services for the CalSavers Retirement Savings Program (“CalSavers” or “Program”). The RFP specifically seeks proposals from an independent certified public accountant interested in providing Program Fund External Auditing Services.

Proposals for Program Fund External Auditing Services must comply with the instructions included in the RFP. The RFP includes the Standard Agreement the selected firm will be expected to execute. The Agreement that will be entered into will include by reference the General Terms and Conditions and Contractor Certification Clauses which may be viewed and downloaded online at https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List- Folder/Standard-Contract-Language.

The General Terms and Conditions and all Exhibits that are a part of the Sample Standard Agreement are not negotiable. By submitting a proposal, your firm agrees to the terms and conditions stated in this RFP.

Proposals that do not accept all items included in the Standard Agreement will be deemed non-responsive and excluded from evaluation.

All responses to this RFP must be submitted in hard copy and electronic copy (by unprotected thumb drive or disc) and received by the Board no later than 4:00 P.M. Pacific Time on July 22, 2026. Email or faxed submissions will not be accepted. All proposals must be mailed or delivered to:

CalSavers Retirement Savings Board Attention: Edward Park, Admin. Operations Manager

915 Capitol Mall, Suite 140 Sacramento, California 95814

In the opinion of the Board, this RFP is complete and without need of explanation. However, if you have questions or should you need any clarifying information, contact staff by email at calsavers@treasurer.ca.gov. All questions must be submitted by email by 4:00 P.M. Pacific Time on July 1, 2026.

Please note that no information given will be binding upon the State unless such information is issued in writing as an official addendum to this RFP.

PLEASE CAREFULLY READ THE RFP AND FOLLOW THE INSTRUCTIONS.

http://www.treasurer.ca.gov/scib http://www.calavers.com/ https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language file://OTLAN1/USERDATA/BCAS/CSCRSIB/Communications/Letterhead/calsavers@treasurer.ca.gov

TABLE OF CONTENTS

1. PURPOSE AND DESCRIPTION OF SERVICES

1.1 Scope Overview

1.2 Background and Program Overview

1.3 Scope of Work

1.4 Term of Agreement

2. MINIMUM QUALIFICATIONS FOR PROPOSERS

3. PROPOSAL REQUIREMENTS AND INFORMATION

3.1 Schedule (Key Action Dates)

3.2 Questions and Answers

3.3 Content and Format of Proposals

3.4 Submission of Proposals

3.5 Evaluation Process

3.6 Award and Protest

3.7 Disposition of Proposals

3.8 Agreement Execution and Performance

4. PREFERENCE AND INCENTIVE PRdOGRAMS

4.1 Small Business or Microbusiness Preference (if applicable)

4.2 Non-Small Business or Microbusiness Preference (if applicable)

4.3 Disabled Veteran Business Enterprise (DVBE) Incentive Program (optional)

4.4 Target Area Contract Preference Act (TACPA) (if applicable)

5. REQUIRED ATTACHMENTS

Attachment 1 - Required Attachment Checklist Attachment 2 - Proposal/Proposer Certification Sheet Attachment 3 - Proposer References Attachment 4 - Minimum Qualifications Certification Attachment 5 - Cost Proposal Attachment 6 - Resumes of Key Personnel Attachment 7 - Payee Data Record Attachment 8 – Contractor Certification Clauses (CCC 04/2017) Attachment 9 - Darfur Contracting Act Certification Attachment 10 - California Civil Rights Laws Certification Attachment 11 - Generative Artificial Intelligence (GenAI) Notification Attachment 12 - Bidder Declaration Attachment 13 - Small Business or Microbusiness Preference (if Applicable) Attachment 14 - Non-Small Business or Microbusiness Preference (if applicable) Attachment 15 - Disabled Veteran Business Enterprise (DVBE) Program Participation Instructions (if applicable) Attachment 16 - Target Area Contract Preference Act (TACPA) (if applicable)

SAMPLE STANDARD AGREEMENT

Exhibit A – Scope of Work Exhibit A, Attachment 1 – Resumes of Key Personnel Exhibit B – Budget Detail and Payment Provisions Exhibit B, Attachment 1 – Cost Proposal Exhibit C – General Terms and Conditions – GTC 02/2025 Exhibit D - Special Terms and Conditions

CalSavers Retirement Savings Board RFP No. CRSB02-26

1. PURPOSE AND DESCRIPTION OF SERVICES

1.1 Scope Overview

The CalSavers Retirement Savings Board (Board) is the administrator of CalSavers Retirement Savings Program (“CalSavers” or “Program”) as defined in Government Code section 100000(b), and the State agency responsible for the effective and efficient administration of the California Secure Choice Retirement Savings Trust (Trust). The Trust is composed of two funds: the Administrative Fund and the Program Fund.

The intent of this RFP is to select an independent certified public accounting firm to provide annual audited financial reports, for the fiscal years ending June 30, 2026, June 30, 2027, and June 30, 2028, prepared in accordance with generally accepted accounting principles, of the financial and operational status of the Program Fund within the Trust. The firm selected will be required to fulfill the auditing requirements set forth in Section 1.3 below.

1.2 Background and Program Overview

The CalSavers Program is a voluntary retirement savings program that enables employee participation through payroll contributions into a Roth or traditional IRA, with a Roth IRA as the default.

The Program is managed by the CalSavers Retirement Savings Board – a transparent, nine-member Board chaired by the State Treasurer. The Program was created by Senate Bill number 1234, which was enacted in September 2016 and took effect January 1, 2017. Following the launch of a small pilot in November 2018, the Program opened fully statewide on July 1, 2019.

The Program requires that all private sector employers with five or more employees that do not offer a payroll deduction retirement savings vehicle provide their employees access to the Program. Under the State mandate, employers are exempt from the Employee Retirement Income Security Act, enabling their employees access to an automatic payroll deduction IRA with limited administrative duties, no financial cost, and no fiduciary responsibility on the part of the employer.

Employees benefit from the Program’s simple, portable, and low-cost retirement savings options. Contributions are made directly from the employee’s payroll into an IRA, with the option to change their contributions, or opt out, at any time. The CalSavers account will follow employees wherever they go, through career and other life changes, allowing them to contribute to the same account through different participating employers.

Administrative expenditures for the Program are statutorily capped at 1% of the total Program Fund on and after six years from the date the Program is implemented, creating a low-cost mechanism for California workers to save for a secure retirement.

The financial statements are prepared in accordance with the generally accepted accounting principles applicable to fiduciary fund types, as prescribed by the Governmental Accounting Standards Board (GASB).

Staff of the California State Treasurer’s Office perform all fund accounting functions.

Ascensus College Savings Recordkeeping Services LLC performs all participant recordkeeping and program administrator services. Investments are managed by State Street Global Advisors and Newton Investment Management.

1.3 Scope of Work

The following Scope of Work details the Program’s expectations for the External Auditor.

The entire range of services include the following:

a. Contractor agrees to provide to the Program audit and examination services for the Program Fund of the CalSavers Retirement Savings Board as described herein:

(i) An audit of the CalSavers Program fund including an evaluation of systems of internal control, in accordance with generally accepted auditing standards as set forth in Statements on Auditing Standards, and published by the American Institution of Certified Public Accountants. The audit and examination will be conducted so that the Contractor may render an opinion on the financial statements taken as a whole complying with Rule 58.1 of the State Board of Accountancy in conformity with generally accepted accounting principles, as promulgated by the GASB, and applicable provisions of State law.

(ii) Coordinate with CalSavers staff to incorporate Management Discussion and Analysis Language including Investment Commentary into audit report.

(iii) Contractor will treat all information in a confidential manner with all recommendations to be stated only in the audit reports provided to the Program for appropriate release by the Program as required by law.

b. Contractor agrees to present to the Board an audit report for the Program Fund of the CalSavers Retirement Savings Board as described herein:

(i) Report shall include a statement of the scope of the audit and examination for the program fund; the period covered by the audit and examination; and a list of the financial statements included in the report.

(ii) Report shall include a statement of material audit findings and recommendations regarding the financial statements, internal control and accounting systems, and legality of actions for the program fund.

(iii) Report shall include any other material matter and information.

(iv) Draft and final versions of the audit reports will be due to Program staff pursuant to the schedule outlined in the table below:

Estimated Due Dates Audit Report

Fiscal Year Ending June 30, 2026

Fiscal Year Ending June 30, 2027

Draft Version October 23, 2026 October 23, 2027 Final Version November 20, 2026 November 20, 2027

Note: Due dates for the draft and final version of the report for fiscal year ending June 30, 2028, will be provided if the one-year option is renewed.

(v) The Contractor shall review the proposed reports with Program staff prior to finalization and presentation to the Board as necessary.

(vi) Three (3) original printed copies of each report shall be prepared and provided to Program staff. An electronic version in PDF shall also be provided to Program staff.

(vii) The Contractor shall present the report to the Board.

c. Contractor shall ensure that the quality and availability of the personnel assigned to this agreement will be maintained over the term of the agreement. Any changes in assigned personnel are at the discretion of the firm, provided that any replacements have substantially the same as or better qualifications and experience than the original personnel.

d. Contractor agrees to comply with any and all applicable accessibility requirements set forth in the Americans with Disabilities Act, Section 508 of the Rehabilitation Act of 1973, as amended, California Government Code Section 1135 and any current and future implementing regulations, policies, procedures and standards promulgated thereunder, including, without limitation, the federal accessibility standards set forth in 36 C.F.R. Section 1194.1, all as may be amended from time to time.

e. The services shall be performed at 915 Capitol Mall, Sacramento, CA 95814 or at the offices of the Contractor. The services shall be provided during normal working hours, Monday through Friday, except Holidays.

1.4 Term of Agreement

The term of the Agreement pursuant to this RFP, if any, will be from August 17, 2026 (or upon approval by the Department of General Services, whichever is later) through August 16, 2028, with an option to extend one additional year. The Agreement shall not become effective until approved by the Department of General Services (DGS), no work shall begin until the effective date. The amount of this agreement will be no greater than $150,000 for the first two years, and the total amount of the agreement shall be no greater than $225,000 over the entire Agreement term, including all optional extensions.

Rates shall remain the same throughout the entire term of the Agreement.

2. MINIMUM QUALIFICATIONS

The firm shall address the minimum qualifications stated below by completing Attachment 4 of the RFP. Failure to meet the minimum qualifications will cause your proposal to be considered unresponsive and the proposal will be disqualified.

Firms are required to meet the Qualifications and Experience listed in Section 3.3 of this RFP, and they must provide the applicable Attachments outlined in Section 5. Firms must also establish the following minimum qualifications. If the proposal includes subcontractors, all subcontractors must also establish compliance with the following minimum qualifications:

a. Firm must be a professional certified public accounting firm, not in public employment, in business for at least three (3) years consecutively.

b. Firm must be qualified to do business in the State of California.

c. Firm must have an office and professional CPA staff in the State of California.

3. PROPOSAL REQUIREMENTS AND INFORMATION

3.1 Schedule (Key Action Dates)

All Proposers are hereby advised of the following schedule and are expected to adhere to the required dates and times—all times are Pacific Time (PT).

Date Action June 25, 2026 RFP Available to Prospective Proposers July 1, 2026 at 4:00 P.M. Deadline for Written Question Submission July 6, 2026 Answers to Written Questions Distributed July 22, 2026 at 4:00 P.M. Deadline for Proposal Submission July 23 - 28, 2026 Evaluation of Proposals July 29, 2026 Notice of Intent to Award August 17, 2026 Anticipated Commencement of Agreement

The Board reserves the right to change the above dates and times, and, if so, an addendum to the RFP will be issued and made available online at https://caleprocure.ca.gov/. Potential Proposers that submit contact information in accordance with Section 3.4(l) of this RFP also will be notified via email. The Board also reserves the right to reject all bids and not to award an Agreement at all.

3.2 Questions and Answers

In the opinion of the Board, this RFP is complete and needs no further explanation.

However, if you have questions, or should you need any clarifying information, you may submit written questions no later than 4:00 P.M. PT on July 1, 2026, by email to calsavers@treasurer.ca.gov.

Answers to all written questions received by 4:00 P.M. PT on July 1, 2026, will be available online at https://caleprocure.ca.gov/ on July 6, 2026.

3.3 Content and Format of Proposals

a. Proposals should provide straightforward and concise descriptions of the Proposer’s ability to satisfy the requirements of this RFP. The proposal must be complete and https://caleprocure.ca.gov/ mailto:calsavers@treasurer.ca.gov https://caleprocure.ca.gov/ accurate. Omissions, inaccuracies, or misstatements may be cause for rejection of a proposal.

b. In preparing proposals, Firms must:

(i) Include a cover letter stating:

(A) The name, address, email, and phone number of the principal contact responsible for the oversight of the engagement. Indicate the availability of this person for meetings with Board and Board staff.

(B) The name, address, email, and phone number of the project representative who will be available to the Board and its staff on a day-to-day basis during the term of the Agreement.

(C) The name, address, email, and phone number of a key contact at each partner, if a consortium, and subcontractor, and what the person would be responsible for under the Agreement.

b. Provide information related to the Firm’s Qualifications and Experience and Fees as described below. The allocation of points is defined in Section 3.5 of this RFP entitled “Evaluation Process.”

(A) Qualifications and Experience of the Firm (Maximum of thirty-five [35] points)

Provide information related to the Firm’s Qualifications and Experience and Fees as described below. The allocation of points is defined in Section 3.5 of this RFP entitled “Evaluation Process.” Qualifications and Experience of the Firm (Maximum of thirty-five [35] points)

Provide a brief description of the firm’s qualifications and experiences that demonstrate its capability as auditor with regard to State governmental agencies and ability to successfully complete the services outlined in the Scope of Work outlined in Section 1.3 of the RFP. The firm should have conducted, within the last five (5) years, at least two (2) audits of State governmental agencies. The firm must have experience in State accounting and related processes. Such experience may include a financial audit of a State department or services as an accounting consultant to a State agency.

Completion of Attachment 3 (Proposer References) is an accompanying piece in documenting the firm’s experience.

(B) Qualifications and Experience of Personnel (Maximum of thirty-five [35] points)

Identify the personnel who would be directly involved in providing the auditing services under this agreement. Provide a resume as well as a brief description of the background and experience of each individual, including the number of years and type of experience at the current firm as well as prior service. The party in charge of the Program’s account should have at least five (5) years of experience in public accounting and audits of State agencies, or services as an accounting consultant to a State agency.

(C) Cost Proposal (Maximum of thirty [30] points)

Use Attachment 5 (Cost Proposal Worksheet) to complete your Cost Proposal.

The amount of this agreement will be no greater than $150,000 for the first two years, and the total amount of the agreement shall be no greater than $225,000 over the entire contract term, including all optional extensions. The rates shall remain the same throughout the entire term of the Agreement.

The Cost Proposal shall follow the template outlined in Attachment 5 (Cost Proposal Worksheet). The Cost Proposal must identify and include an hourly rate for each level of staff who will be assigned to work on the services outlined in this RFP; subcontractor(s) cost (itemized); indirect costs (overhead and fringe benefits); travel; equipment and supplies (itemized);

and other direct costs. Review this section and the calculations in your Cost Proposal carefully. Mathematical errors may be corrected by the Program.

Proposals submitted with a Cost Proposal that fails to meet any of the specified requirements outlined above, or in a form other than as provided for in Attachment 5, will be considered non-responsive and rejected.

3.4 Submission of Proposals

a. All proposals must be submitted in hard copy and electronic copy (by unsecured thumb drive or disc) under sealed cover and received by the Board by 4:00 P.M. on July 22, 2026, unless the Board provides notice that the date has been changed.

Proposals received after this date and time will not be considered. Proposals received by fax or email will be rejected.

b. One (1) unbound original including Required Attachments as described in Section 5 of this RFP, three (3) copies of the proposal, and an electronic version of the proposal (by unsecured thumb drive or disc), shall be mailed or delivered to the Board at the following address for U.S. Postal Service or hand deliveries (UPS, Express Mail, Federal Express, etc.):

CalSavers Retirement Savings Board 915 Capitol Mall, Suite 140

Sacramento, California 95814 Attention: Edward Park, Admin. Operations Manager

c. The original proposal must be marked "ORIGINAL COPY". All documents contained in the original proposal package must have original signatures and must be signed by a person who is authorized to bind the proposing firm. All additional proposal sets may contain photocopies of the original package.

d. The proposal envelopes must be plainly marked with the RFP number and title, your firm name and address, and must be marked with “DO NOT OPEN”, as shown in the following example:

Request for Proposals No. CRSB02-26 Program Fund External Auditing Services

Firm Name Firm Address

Contact Person and Phone Number

“DO NOT OPEN “

Proposals may not be made under a fictitious name or business title. The actual legal name of Proposer must be provided.

Proposals not submitted under sealed cover and marked as indicated may be rejected.

e. Proposals that omit the Minimum Qualifications Certification that is included in Attachment 4 of Section 5 will not be considered. Proposals shall include each of the required attachments on the Required Attachment Checklist. Proposals that do not comply with the requirements of the RFP shall be deemed non-responsive. This includes not meeting the minimum qualifications outlined in Section 2 of this RFP and failure to submit all of the Required Attachments outlined in Section 5 of this RFP. A proposal deemed non-responsive will be rejected.

f. The Board reserves the right to reject all bids and not to award an Agreement.

g. A proposal may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. The Board may reject any or all proposals and may waive any immaterial deviation in a proposal. The Board’s waiver of immaterial defects shall in no way modify the RFP document or excuse the Proposer from full compliance with all requirements if awarded the Agreement.

h. The Firm is solely responsible for the costs of developing proposals and costs incurred in anticipation of award of the Agreement. Such costs shall not be charged to the Board.

i. An individual who is authorized to bind the Proposer contractually shall sign Required Attachment 2 in Section 5, the Proposal/Proposer Certification Sheet. The signature must indicate the title or position that the individual holds in the firm. An unsigned proposal may be rejected.

j. A Firm may modify a proposal after its submission by withdrawing its original proposal and resubmitting a new proposal prior to the proposal submission deadline as set forth in the Schedule (Key Action Dates) in Section 3.1 of this RFP. The submission of a new proposal must comply with the requirements in this Section.

Proposal modifications offered in any other manner, oral or written, will not be considered.

k. A Firm may withdraw its proposal by submitting a written withdrawal request to the Board, signed by the Proposer or an agent authorized in accordance with Subsection

m) immediately above. A Proposer may thereafter submit a new proposal prior to the proposal submission deadline. Proposals may not be withdrawn without cause subsequent to the proposal submission deadline.

l. The Board may modify this RFP prior to the date fixed for submission of proposals by the issuance of an addendum to all interested Proposers providing contact information, including an email address and phone number. The contact information must be submitted to calsavers@treasurer.ca.gov by 4:00 P.M. on July 6, 2026, when the Board will provide answers to any questions submitted in accordance with Section 3.2 of this RFP. The Board will also provide updates by email to all Proposers who have expressed interest and provided contact information.

m. Upon announcement and release of this RFP and until selection of the winning Firm (and Notice of Intent to Award the Agreement), Firms (or potential Proposers) are not permitted to communicate with the Board, its staff or its Program and Investment Consultants with respect to the RFP except in connection with process and procedures related to the RFP. Any communication must be submitted by email to calsavers@treasurer.ca.gov.

n. Proposers are cautioned to not rely on the Board or Staff to discover and report to the Firm any defects and errors in the submitted documents. Before submitting their proposals, Firms should carefully review them, correct all errors, and confirm compliance with all of the RFP requirements.

o. Proposals that contain false or misleading statements or provide references that do not support an attribute or condition claimed by the Firm, may be rejected. If, in the opinion of the Program, such information was intended to mislead the Board in its evaluation of the proposal, and the attribute, condition, or capability is a requirement of this RFP, it will be the basis for rejection of the proposal.

p. More than one proposal from any firm, organization, partnership, corporation or association under the same or different names, will not be considered. Reasonable grounds for believing that any Firm has submitted more than one proposal for the work contemplated herein will cause the rejection of all proposals submitted by that Firm. If there is reason for believing that collusion exists among the Firms, none of the participants in such collusion will be considered in this or future procurements.

q. No oral understanding or agreement shall be binding on either party.

file://OTLAN1/USERDATA/BCAS/CSCRSIB/Admin/RFPs%20&%20RFQs/2020%20RFPs/1.%20Trust%20Fund%20External%20Audit%20(CSCRSIB01-20)/calsavers@treasurer.ca.gov file://OTLAN1/USERDATA/BCAS/CSCRSIB/Admin/RFPs%20&%20RFQs/2020%20RFPs/1.%20Trust%20Fund%20External%20Audit%20(CSCRSIB01-20)/calsavers@treasurer.ca.gov

3.5 Evaluation Process

All proposals will be reviewed by an Evaluation Committee. The initial review of the proposals will confirm that all information has been submitted in conformity with the requirements of this RFP. The absence of required information will cause a proposal to be deemed non-responsive and may result in the proposal’s disqualification. Responsive proposals will then be scored according to criteria herein. Proposals that do not accept the Terms and Conditions contained in the Standard Agreement may be considered non-responsive and rejected by the Board.

Responsive proposals will then be scored according to criteria herein. The scored categories and the corresponding weighting of each scored category is as follows:

Scored Category Weighting Qualifications and Experience of the Firm 35 points Qualifications and Experience of Personnel 35 points Cost Proposal 30 points Total Possible Points 100 points

The evaluation committee will allot points for each scored category of the RFP, up to 100 points. The responsive and responsible Proposer earning the highest total score will be announced as the winner.

The following point scale will be used to score the responses to each scored category except with regard to fees.

Points Awarded Interpretation General Basis for Point Assignment

100% Exceptional

Category is addressed with the highest degree of confidence in the Proposer’s response. The response exceeds the Board’s needs, requirements or expectations with superior background/experience/expertise

80% Excellent

Response fully meets the Board’s needs, requirements or expectations with a high degree of confidence in the Proposer’s response. Proposer offers one or more enhancing feature, method, or approach exceeding basic expectations.

60% Good Response fully addresses category being scored.

Good degree of confidence in the Proposer’s response. Minimal weaknesses are acceptable.

40% Adequate

Response (i.e. content and/or explanation offered) is adequate to meet the Board’s needs, requirements or expectations. Any omission(s), flaw(s), or defect(s), are inconsequential and acceptable.

20% Minimally adequate

Minimally addresses the category being scored, but one or more major considerations of the category are not addressed or are addressed in such a limited way that it results in a low degree of confidence in the Proposer’s response.

0% Inadequate Fails to address any portion of the category being scored. The omission(s), flaw(s), or defect(s) are significant and unacceptable.

The following formula shall be used for the award of points in this section:

Lowest Cost Proposal, based on the Total Annual Cost from Attachment 5, is awarded the maximum cost points.

Other proposals are awarded cost points based on the following calculation:

• (Lowest Proposer’s Cost) / (Other Proposer’s Cost) = (Factor)

• Cost points for Other Proposer = (Factor) x (Maximum Points)

EXAMPLE:

• A maximum of 30 points is available for cost

• Lowest Proposer’s Cost Proposal = $56,250, Other Proposer’s Cost Proposal = $75,000

• (Lowest Cost Proposal / Other Cost Proposal) = $56,250 / $75,000 = 3/4

• Points awarded to Other Proposer = 3/4 x 30 maximum points = 22.5 points

Tiebreaker - In the event two (2) or more responsive and responsible proposers earn the highest score, the contract will be awarded to the responsive and responsible firm earning the higher score for cost. If the scores for cost are the same, the contract will be awarded to the responsive and responsible firm earning the higher score in Qualifications and Experience.

The Board is not required to award an Agreement.

3.6 Award and Protest

a. Notice of the proposed award shall be posted in a public place at the Office of the Board, 915 Capitol Mall, Suite 140, Sacramento, CA 95814 and online at www.treasurer.ca.gov/scib for five (5) working days prior to awarding the Agreement.

b. If any firm, prior to the award of the Agreement, files a protest with the Board and the DGS Office of Legal Services, 707 Third Street, 7th Floor, Suite 7-330, West Sacramento, CA 95605, on the grounds provided under Public Contract Code Section 10345(b), the Agreement shall not be awarded until either the protest has been withdrawn or DGS has decided the matter. It is suggested that any protest be submitted by contacting the Protest Coordinator at OLSProtests@dgs.ca.gov.

file://OTLAN1/USERDATA/BCAS/CSCRSIB/Admin/RFPs%20&%20RFQs/2020%20RFPs/1.%20Trust%20Fund%20External%20Audit%20(CSCRSIB01-20)/www.treasurer.ca.gov/scib mailto:OLSProtests@dgs.ca.gov

c. Within five (5) days after filing the initial protest, the protesting firm shall file with the Board and the DGS Office of Legal Services a detailed written statement specifying the grounds for the protest. It is suggested that this detailed written statement be submitted by certified or registered mail.

3.7 Disposition of Proposals

a. Upon proposal opening, all documents submitted in response to this RFP will become the property of the Board and the State and will be regarded as public records under the California Public Records Act (Government Code Section 6250 et seq.), subject to review by the public.

b. The Board has the right to use any or all ideas or concepts presented in any proposal. Selection or rejection of the proposal does not affect this right.

c. Proposal packages may be returned only at the Proposer’s expense, unless such expense is waived by the Board.

3.8 Agreement Execution and Performance

a. Performance shall start not later than 30 days, or on the express date set by the Program and the Contractor, after all approvals have been obtained and the Agreement is fully executed. If the Contractor fails to commence work at the agreed upon time, the Board, upon five (5) days written notice to the Contractor, reserves the right to terminate the Agreement. In addition, the Contractor shall be liable to the State for the difference between Contractor's proposal price and the actual cost of performing work by another contractor.

b. All performance under the Agreement shall be completed on or before the termination date of the Agreement.

4. PREFERENCE AND INCENTIVE PROGRAMS

4.1 Small Business or Microbusiness Preference (if applicable)

(If there are any inconsistencies herein with the applicable statutes, regulations, and State Contracting Manual, the statutes, regulations, and State Contracting Manual shall supersede.)

A five percent (5%) preference will be applied to certified small businesses submitting proposals for this RFP. To obtain the preference, Proposer must either be certified as a small business and submit a copy of their certification approval letter from DGS/Office of Small Business and DVBE Services (OSDS) or submit a complete application for certification to DGS/OSDS by 5:00 P.M. PT on the proposal due date. However, the proposed winning Proposer must be a certified small business at the time of contract award. The 5% preference is used only for computation purposes to determine the winning Proposer and does not alter the amounts of the resulting contract.

Once each proposal has been scored, if the highest scored proposal is from a non-certified small business, then 5% of the highest scoring proposal is added to the total "earned" points for each proposal submitted by a certified small business. These final numbers, with the 5% included, are then used to determine the highest scoring proposal.

See Attachment 13 for additional information.

Questions regarding the small business certification or preference approval should be directed to the OSDS at (916) 375-4940 or can be found online at https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program.

4.2 Non-Small Business or Microbusiness Preference (if applicable)

(If there are any inconsistencies herein with the applicable statutes, regulations, and State Contracting Manual, the statutes, regulations, and State Contracting Manual shall supersede.)

A five percent (5%) preference is available to a non-small business claiming twenty-five percent (25%) California certified small business subcontractor participation. If claiming the non- small business subcontractor preference, the proposal must include a list of the small business(es) with which the Proposer commits to subcontract in an amount of at least 25% of the net proposal price with one or more California certified small businesses. Each listed certified small business must perform a “commercially useful function” in the performance of the contract as defined in Government Code Section 14837(d)(4).

The required list of California certified small business subcontractors must be attached to the proposal and must include the following: 1) subcontractor name, 2) address, 3) phone number, 4) a description of the work to be performed and/or products supplied, 5) and the dollar amount or percentage of the net proposal price (as specified in the solicitation) per subcontractor.

Proposers claiming the 5% preference must commit to subcontract for at least 25% of the net proposal price with one or more California certified small businesses. Completed certification applications and required support documents must be submitted to the OSDS no later than 5:00 P.M. PT on the proposal due date. Questions regarding certification should be directed to the OSDS at (916) 375-4940 or can be found online at https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program.

The preference to a non-small business firm that commits to California certified small business subcontractor participation of 25% of its net proposal price shall be 5% of the highest scoring proposal. A non-small business, which qualifies for this preference, may not take an award away from a certified small business. See Attachment 14 for additional information.

https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program

4.3 Disabled Veteran Business Enterprise (DVBE) Incentive Program (optional)

Mandatory California Disabled Veteran Business Enterprise (DVBE) Program Participation has been waived for this proposal.

This solicitation provides an incentive for DVBE participation. The Department of General Services (DGS) established a DVBE incentive pursuant to Senate Bill 115, Chaptered October 3, 2005 and the military and Veterans Code section 999.5(a). The regulations apply to all competitive solicitations for public works, services, goods, and information technology goods and services posted or released after October 9, 2007.

The DVBE incentive is required in solicitations that include DVBE program requirements and may be offered in other competitive solicitations. Department of General Services’ policy implements this program by rewarding prime proposers for increased DVBE participation: the more DVBE participation, the greater the incentive. This incentive program helps State agencies to meet their annual DVBE participation goals.

Attachment 15 links to more information regarding the DVBE Incentive Program.

Proposers seeking the DVBE incentive must submit a completed DVBE Declarations form (DGS PD 843) that demonstrates DVBE participation and qualification for a DVBE incentive, with proposal submittal. All disabled veteran owners and disabled veteran managers of the DVBE(s) must sign the form(s). The DVBE Incentive participation is optional and at the discretion of the proposing firm.

Any contract awarded to a company committing to subcontract with a certified DVBE will follow requirements as provided in MVC 999.7 including compliance with the Std. 817 reporting process, and permanent withholds and deductions for non-compliance.

4.4 Target Area Contract Preference Act (TACPA) preference (if applicable)

The Target Area Contract Preference Act (TACPA) economic stimulus preference program was established to stimulate business investment in distressed areas of the state and create job opportunities for Californians for improving the economic vitality of their communities. TACPA is regulated by Government Code Sections 4530-4535.3 and California Code of Regulations 1896.30-1896.40. Any firm whose proposal is over $100,000 may apply for Target Area Contract Preference Act (TACPA) preference. Both the TACPA workplace and workforce preferences will be evaluated for this solicitation.

See Attachment 16 for additional information.

Proposers wishing to take advantage of the TACPA preference will need to review the following website and submit the appropriate response with the proposal:

(https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List- Folder/Request-a-Target-Area-Contract-Preference) https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Request-a-Target-Area-Contract-Preference https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Request-a-Target-Area-Contract-Preference

5. REQUIRED ATTACHMENTS

Refer to the following pages for additional Required Attachments.

Attachment 1 - Required Attachment Checklist

Complete this checklist to confirm the inclusion of attachments listed below. Place a check mark or “X” next to each item that you are submitting to the Board. For your proposal to be responsive, all required attachments must be included separate from the rest of the written proposal. Three (3) additional copies of these attachments must be submitted to the Board.

RETURN THIS CHECKLIST WITH YOUR PROPOSAL PACKAGE

Attachment Attachment Name/Description � Attachment 1 Required Attachment Checklist � Attachment 2 Proposal/Proposer Certification Sheet � Attachment 3 Proposer References � Attachment 4 Minimum Qualifications Certification � Attachment 5 Cost Proposal � Attachment 6 Resumes of Key Personnel � Attachment 7 Payee Data Record (STD. 204) � Attachment 8 Contractor Certification Clauses (CCC 04/2017) � Attachment 9 Darfur Contracting Act Certification � Attachment 10 California Civil Rights Laws Certification � Attachment 11 Generative Artificial Intelligence (GenAI) Notification � Attachment 12 Bidder Declaration (GSPD-05-105) � Attachment 13 Small Business or Microbusiness Preference (if applicable) * � Attachment 14 Non-Small Business or Microbusiness Preference (if applicable) * � Attachment 15 Disabled Veteran Business Enterprise (DVBE) Program

Participation Instructions (if applicable) * � Attachment 16 Target Area Contract Preference Act (TACPA) (if applicable)

* Additional information about these preference programs can be found online at https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of- Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business-Enterprise/Certification-Program

Attachment 2 - Proposal/Proposer Certification Sheet

This Proposal/Proposer Certification Sheet must be signed and returned along with all the "required attachments" as an entire package with original signatures. The proposal must be transmitted in a sealed envelope in accordance with RFP instructions.

a. Place all required attachments behind this certification sheet.

b. The signature affixed hereon and dated certifies compliance with all the requirements of this proposal document. The signature below authorizes the verification of this certification.

c. The signature below certifies to the best of your knowledge that the information provided on this document is true and complete.

An Unsigned Proposal/Proposer Certification Sheet May be Cause for Rejection

1. Company Name 2. Telephone Number 2a. Fax Number

3. Address

Indicate your organization type:

4. □ Sole Proprietorship 5. □ Partnership 6. □ Corporation

Indicate the applicable employee and/or corporation number:

7. Federal Employee ID No. (FEIN) 8. California Corporation No.

9. Indicate applicable license and/or certification information:

10. Proposer’s Name (Print)

11. Title

12. Signature 13. Date

14. Are you certified with the Department of General Services, Office of Small Business and Disabled Veteran Business Enterprise Services (OSDS) as:

a. California Small Business? □ Yes □ No b. Disabled Veteran Business Enterprise? □ Yes □ No

If yes, enter certification number:

If yes, enter service code:

NOTE: A copy of your Certification is required to be included if either of the above items is checked “Yes”.

Date application was submitted to OSDS, if an application is pending:

Instructions for Proposal/Proposer Certification Sheet can be found on the next page

Attachment 2 - Proposal/Proposer Certification Sheet

Complete the numbered items on the Proposal/Proposer Certification Sheet by following the instructions below.

Item Numbers Instructions

1, 2, 2a, 3 Must be completed. These items are self-explanatory.

Check if your firm is a sole proprietorship. A sole proprietorship is a form of business in which one person owns all the assets of the business in contrast a partnership and corporation. The sole proprietor is solely liable for all the debts of the business.

to

Check if your firm is a partnership. A partnership is a voluntary agreement between two or more competent persons to place their money, effects, labor, and skill, or some or all of them in lawful commerce or business, with the understanding that there shall be a proportional sharing of the profits and losses between them. An association of two or more persons to carry on, as c owners, a business for profit.

o-

Check if your firm is a corporation. A corporation is an artificial person or legal entity created by or under the authority of the laws of a state or nation, composed, in some rare instances, of a single person and his successors, being the incumbents of a particular office, but ordinarily consisting of an association of numerous individuals.

Enter your federal employee tax identification number.

Enter your corporation number assigned by the California Secretary of State’s Office. This information is used for checking if a corporation is in good standing and qualified to conduct business in California.

Complete, if applicable, by indicating the your firm possesses and that is required type of license and/or certification that for the type of services being procured.

10, 11,12, 13 Must be completed. These items are self-explanatory.

If certified as a California Small Business, place a check in the "yes" box, and enter your certification number on the line. If certified as a Disabled Veterans Business Enterprise, place a check in the "Yes" box and enter your service code on the line. If you are not certified to one or both, place a check in the "No" box. If your certification is pending, enter the date your application was submitted to OSDS.

Attachment 3 - Proposer References

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

Firm must submit at least five (5) references (if a firm will use subcontractors, it should submit three (3) references for each subcontractor) for services performed within the last five (5) years, which are similar to the scope of work to be performed in this contract. If the firm (or any of its subcontractors) manages or otherwise is engaged by one or more state-run retirement programs, then it must provide references for each engagement. Other references should include governmental agencies, preferably State of California agencies or agencies located in California, which are charged with overseeing the investment of funds held in trust for others.

REFERENCE 1

Name of Firm:

Street Address: City: State: Zip Code:

Contact Person: Phone:

Dates of Service: Value or Cost of Service:

Brief Description of Service Provided:

REFERENCE 2

Name of Firm:

Street Address: City: State: Zip Code:

Contact Person: Phone:

REFERENCE 3

Street Address: City: State: Zip Code:

Contact Person: Phone:

REFERENCE 4

Street Address: City: State: Zip Code:

Contact Person: Phone:

REFERENCE 5

Street Address: City: State: Zip Code:

Contact Person: Phone:

SUBCONTRACTOR REFERENCES (if applicable)

REFERENCE 1

Name of Firm:

Street Address: City: State: Zip Code:

Contact Person: Phone:

REFERENCE 2

Street Address: City: State: Zip Code:

Contact Person: Phone:

REFERENCE 3

Street Address: City: State: Zip Code:

Contact Person: Phone:

Attachment 4 - Minimum Qualifications Certification

The Proposer certifies that it fulfills all the minimum qualifications outlined in Section 2 of this Request for Proposals No. CRSB02-26. By signing this attachment, the Proposer also agrees that if selected as the Consultant for the Program, it will notify the Board immediately upon its failure to continue to meet the minimum qualifications.

On behalf of ________________________________________ , I certify that said firm, including any (Firm Name) and all partners (if a consortium) and subcontractors, complies with the Minimum Qualifications set forth in Section 2 of the RFP.

(Authorized Signature of Firm) (Firm Name)

(Print Name) (Date)

(Title)

Attachment 5 - Cost Proposal

All specifications outlined in Section 3.3 of the RFP shall be met or the proposal will be considered non-responsive and rejected.

DIRECT LABOR

POSITION TITLE JOB DESCRIPTION HOURS RATE TOTAL

TOTAL DIRECT LABOR $________

INDIRECT COSTS (OVERHEAD AND FRINGE BENEFITS)

ITEM RATE TOTAL

Overhead Rate ______% $________

Fringe Benefits ______% $________

TOTAL INDIRECT COSTS $________

DIRECT COSTS (EXCEPT LABOR) AMOUNT

Travel Costs* $________

Equipment and Supplies (Itemized) $________ Other Direct Costs (Itemized) $________

TOTAL DIRECT COSTS (EXCEPT LABOR) $________

TOTAL ANNUAL COST $________

Be aware that the Program’s budgeted amount for the contract is $150,000 for the first two years, and no more than $225,000.00, including all optional extensions. Rates shall remain the same.

* Travel cost will paid based on the rates of the California Department of Human Resource (CalHR) for the comparable classes and no travel outside the State of California shall be reimbursed unless prior written authorization is obtained from the Program.

Attachment 6 - Resumes of Key Personnel

Include copies of resumes for key personnel who will be directly involved in providing the services outlined in the Scope of Work.

Attachment 7 - Payee Data Record

Attach a completed Payee Data Record (form STD 204) here. A fillable form and instructions can be found at the following link:

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

Attachment 8 – Contractor Certification Clauses (CCC 04/2017)

I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally bind the prospective Contractor to the clause(s) listed below. This certification is made under the laws of the State of California.

Contractor/Proposer Firm Name (Printed) Federal ID Number

By (Authorized Signature)

Printed Name and Title of Person Signing

Date Executed Executed in the County of

CONTRACTOR CERTIFICATION CLAUSES

1. STATEMENT OF COMPLIANCE: Contractor has, unless exempted, complied with the nondiscrimination program requirements. (Gov. Code §12990 (a-f) and CCR, Title 2, Section 11102) (Not applicable to public entities.)

2. DRUG-FREE WORKPLACE REQUIREMENTS: Contractor will comply with the requirements of the Drug-Free Workplace Act of 1990 and will provide a drug-free workplace by taking the following actions:

a. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations.

b. Establish a Drug-Free Awareness…