EFIS90126_Exhibits.pdf

State Controller’s Office RFO Number EFIS90126

Exhibit A

SCOPE OF WORK

A. Description of Services

The State Controller’s Office (SCO) is seeking an Agreement for PeopleSoft Design, Development, and Implementation (DD&I) services provided by a minimum of five full-time Senior Technical Leads to support the SCO Financial Reporting Book of Record (RBOR) parallel validation leading up to the Annual Comprehensive Financial Report (ACFR) publication using the Financial Information System for California (FI$Cal) pursuant to the Technology, Digital, and Data Consulting (TDDC) Master Services Agreement (MSA) Information Technology (IT) Consulting Services contract #5-22-70-25-001 to 359.

The services will include:

1. Leading financial reporting parallel validation activities.

2. Maintenance and Operations (M&O) advisory services and support, including analysis, expertise, and problem resolution of Production incidents and assessment of interface processing results and corrective measures.

3. Business Process Efficiencies and Documentation including facilitating solutions to SCO business issues and gaining agreement with stakeholders on business process changes and system enhancements

4. Implementing RBOR system enhancements including participation in all phases of Agile development, including:

a. Leading the DD&I work for the SCO RBOR parallel validation in collaboration and coordination with SCO stakeholders, the Department of FI$Cal, partner agencies and impacted departments.

Including enhancement of RBOR functionalities and business processes.

b. Participating on Agile Sprint Teams, leading functional design, user story documentation and validation with stakeholders, and collaboration with SCO, FI$Cal, the Department of Finance (DOF), and other impacted subject matter resources.

c. Prepare, conduct, and document the results of functional, user acceptance, and regression testing.

d. Facilitate user acceptance testing with end users, document results, and follow up on any defects or business process changes that are required.

e. Prepare and conduct system demonstrations for end users.

f. Document process flows, identify business process efficiencies, and facilitate solutions to business issues, including gaining agreement with stakeholders on business process and system changes.

g. Participate and gain approvals of Agile epics through established SCO and FI$Cal governance processes.

h. Participate in cutover planning, task preparation and completion, and status reporting.

5. Prepare and provide knowledge transfer sessions to internal subject matter resources.

Background

The SCO RBOR includes the work effort to complete the transition of the Financial Reporting BOR to

FI$Cal. SCO is jointly responsible for the success of the overall statewide implementation of FI$Cal, along with the Department of FI$Cal and the other partner agencies, the DOF, the State Treasurer’s Office (STO), and the Department of General Services (DGS). SCO responsibilities as required by the Constitution, statutes, and other rules, regulations, etc. will not change as a result of the FI$Cal implementation; however, our supporting business processes, technology, and jobs (people) will be impacted. Therefore, it is critical that SCO is prepared to perform our statewide financial reporting control functions, by understanding the solution options, identifying impacts, re-engineering our business processes, and preparing to support our divisions, programs, and jobs as we transition the RBOR.

The contractor will assist the state in the following types of activities for parallel validation.

Crosswalks

Creation of crosswalk tools to translate SCO legacy Chartfields to FI$Cal Chartfields when State Government Reporting (SGR) and the Sprint Team validate and make entries in the FI$Cal system. These tools are needed for use in multiply areas:

Assisting with determining data entry needs, specifically for journal entries, accruals, and trial balances enter for FI$Cal and Non-FI$Cal business units in the FI$Cal System.

Used to help SCO SGR when they are doing report comparison and validation between SCO legacy data and FI$Cal data. Crosswalks make the process more effective and efficient by having Chart of Account data readily available.

Research of Variances

Research of variances for data differences will be a key activity as part of the Parallel ACFR/Budgetary Legal Basis Annual Report BLBAR (Budgetary Legal Basis Annual Report) a period when syncing up between the SCO Legacy system and Fiscal system for FY2025/2026. Due to the difficulty in keeping the FI$Cal System aligned with the SCO Legacy system at a balance and transaction level; resources are needed that understand the FI$Cal system to research variances in the following areas:

SCO Legacy ledgers vs FI$Cal Departmental ledgers, researching Chartfield errors and transaction amount differences.

Researching INFGL108 interface errors that lead to variances because of the INFGL108 process. This interface currently provides Non-FI$Cal accruals, encumbrances, and pre-closing trial balances which after the book of record transitioned should be entered directly into FI$Cal system with FI$Cal COA.

Analyzing variances discovered using OAS/Power BI dashboards in the FI$Cal system, specifically differences found in the SGR ledgers, which would require knowledge of FI$Cal Ledger architecture and dashboard logic.

Business Process Design

Included within parallel activities is the need to have SGR to be prepared for their first publication from FI$Cal. A key readiness activity will be business process design and support for SGR to be Standard Operating Procedures and job aids in FI$Cal. Having these procedures will ensure SGR will have clear instructions on use of FI$Cal tools and functionality to support effective and efficient business process execution in year one of FI$Cal. Contracted resources will assist mapping current system workflows, make recommendations for design improvements in PeopleSoft knowing the system design, focusing on providing clarity for system tools and ledger architecture, which will provide better outcomes for SGR.

Extracts and queries

Contracted resource support will be needed to support FI$Cal system extracts and queries when completing the true parallel validation for FY2025/2026. As part of the SGR integration with the FI$Cal system and the use of FI$Cal data for publication of the ACFR and BLBAR, they will need to integrate FI$Cal data with their report publishing tool. This will require the use of extracts and queries from the FI$Cal system to connect the publishing tool to help automate the report publishing timeline and create efficiencies.

It is imperative that SCO plans, executes, and monitors RBOR implementation successfully in order to gauge effectiveness and maintain operational excellence while improving services for our end–users and customers.

Agreement Term

The term of this agreement shall be for eighteen months, with the options to extend the term for up to two optional one-year extensions, add funds, and/or increase the number of key staff at the originally agreed upon hourly rates specified in Exhibit B, Attachment 1 Cost Worksheet. The Agreement term and any amendment(s) will be in accordance with the Technology, Digital, and Data Consulting (TDDC) Master Service Agreement (MSA) 5-22-70-25-001 to 359. The rates in Exhibit B, Attachment 1, Cost Worksheet will not increase as a result of any amendment to this Agreement. This Agreement may be terminated by SCO with a 30-day written notice to the Contractor.

Contractors are cautioned that no work will begin until the Agreement has been fully executed. If work is performed prior to agreement approval, and the Agreement for any reason is not approved, all previous work performed by the Contractor is considered donated to SCO and no payment shall be made for that work.

Agreement Amount

The Contractor and SCO Contract Manager are responsible for monitoring the Agreement cost to ensure it does not exceed the maximum amount of the Agreement without an executed amendment.

B. Contractor Responsibilities:

1. SCO requires that all PeopleSoft DD&I Tasks be completed and delivered to the SCO Contract Manager in Section U.1 on or before the due dates. All completed tasks, standards, processes, plans, and applicable reference materials must be available to SCO upon request. SCO reserves the right to request an in-depth written and/or oral presentation of findings and/or recommendations put forth by the Contractor.

2. Table 1 describes the task groups and description of tasks required under the terms of this agreement.

Table 1: Task Groups and Description of Tasks

Task

Group Task Title Task Description Date Due

1 Monthly Status Reports (MSRs)

1 Monthly Status Reports Prepare and deliver written MSRs. The report period is the previous calendar month. MSRs must include the following information:

a. The background, scope, and purpose of services,

b. Activities completed during the report period,

c. Work in progress,

d. Unplanned activities,

e. Activities scheduled for the next report period,

f. Listing of tasks completed during the report period and their status,

g. Concerns and issues, and

h. A financial summary, including budgeted and actual expenses and planned monthly expenditures for this agreement and any revisions (e.g., changes to the spending plan).

The fifth State business day of each calendar month.

2 Lead financial reporting parallel validation activities

3.1 Parallel Validation Support

Conduct analysis, provide technical and process expertise, and resolve reconciling differences.

Per sprint plan, supported by submitted work planned in the MSR

3.2 Crosswalk Creation and Maintenance

Creation of crosswalk tools to translate SCO legacy Chartfields to FI$Cal Chartfields when SGR and the Sprint Team validate and make entries in the FI$Cal system.

3.3 Data Variance Research and Resolution

Research of variances for data differences will be a key activity as part of the Parallel ACFR/BLBAR period when syncing up between the SCO Legacy system and Fiscal system for FY2025/2026.

a. SCO Legacy ledgers vs FI$Cal Departmental ledgers, researching chartfield errors and transaction amount differences.

b. Researching INFGL108 interface errors that lead to variances because of the INFGL108 process.

c. Analyzing variances discovered using OAS/Power BI dashboards in the FI$Cal system, specifically differences found in the SGR ledgers

- BLBAR/GAAP/GAAPGW (Generally Accepted Accounting Principles, Government Wide), which require knowledge of FI$Cal Ledger architecture and dashboard logic.

Group

Task Title Task Description Date Due

3.4 Data Extracts and Queries

Prepare and perform FI$Cal system extracts and queries supporting completion of the parallel validation activities.

3 Maintenance and Operations advisory services and support

3.5 Production Incidents and Case Resolution

Conduct analysis, provide expertise, and resolve RBOR production incidents and cases.

Per sprint plan, supported by submitted work planned in the MSR

3.6 Interface Analysis and Corrective Measures

Assess interface processing results, provide root cause analysis, and implement corrective measures and data clean-up activities.

4 Business Process Efficiencies and Documentation

3.7 Discussion Facilitation

Facilitate discussions with key Stakeholders, Executive Management, Project Sponsor, Business Analysts, and Subject Matter Experts (SME) to gain an understanding of the goals, objectives, and constraints of current system functions and business processes, and determine the impacts of new or changed functionality or processes.

submitted work planned in the MSR

3.8 Business Process Evaluation

Evaluate SCO business processes relative to the FI$Cal system functionality to identify process reengineering opportunities and potential customization triggers, while advising on strategies to reduce the need for customization of the PeopleSoft ERP solution.

3.9 Analysis Facilitation

Facilitate analysis and gain agreement with SCO and other stakeholders on solutions to business problems and any associated change requests that produce system enhancements or business processing changes.

3.10 Business Process Development

Develop business process collateral to be used in training and implementation of new or changed business processes and technical procedures.

5 Design, Development, and

Implementation

(DD&I)

4.1 Agile Development Processes

Lead the functional activities in the Agile development process including Analysis, transition to Build, Functional, User Acceptance, and Regression Tests, and cutover and migration to Production activities.

Per sprint plan, supported by submitted work planned in the MSR

Task Title Task Description Date Due

4.2 Epic Maintenance, User Stories, and Functional

Designs

a. Collaborate with SCO and FI$Cal Project Managers and update the Rational Team Concert (RTC) tool with the status and details of each epic.

b. Collaborate with SCO and FI$Cal subject matter resources and document user stories for each epic.

c. Prepare for and conduct user story validation sessions.

d. Document functional designs for each epic, including user story details.

e. Work with FI$Cal Information Technology resources to transition each epic from functional to technical design.

4.3Test Plan Activities

a. Develop test plans, test cases, and scenarios, and own the documentation of results.

b. Facilitate data staging, test plan execution with appropriate stakeholders, and monitoring of results.

c. Review and validate test completion and test results with stakeholders.

d. Document and track defects to completion.

e. Improve upon testing practices as necessary to achieve quality results.

4.1 Governance Activities

Participate in FI$Cal and SCO Governance processes, such as the Change Control Review Board, and produce the required documentation necessary to gain approval for migration of functionality to the Production system. Represent SCO in required meetings. Present concepts, explain detailed functionality, and respond to questions verbally and in writing.

4.2 Post-Production Stabilization Support

a. Prepare for post-production support by ensuring

Task Title Task Description Date Due that end-to-end business processes have been documented and procedures are in place for transactional processing and reporting.

b. Provide support for analysis and resolution of defects as new functionality goes live.

c. Determine root cause analysis and collaborate with the SCO and FI$Cal on configuration and system code changes, or business process adjustments.

d. Provide assistance to Production Support staff on new processes and transaction results.

6 Knowledge Transfer

5.1 Knowledge Transfer Materials

Prepare and deliver all documents and artifacts required for SCO staff to perform BOR activities.

Include the following:

a. Knowledge Transfer Plan

b. Training Materials for SCO Staff

c. Training Sessions for SCO Staff

d. Training Assessments/Further Training of SCO Staff submitted work planned in the MSR

5.2 Knowledge Transfer Topics

Provide knowledge transfer to State staff for topics agreed to with the SCO Contract Manager, examples include:

a. Project management support activities,

b. New or changed business processes,

c. Queries and reports usage,

d. Maintenance and operations procedures, and

e. Planned system enhancements.

5.3 Knowledge Transfer Training

Conduct knowledge transfer training sessions.

7 Final Report 6.1 Final Report Develop and submit a Final Report. The report shall detail agreement activities, accomplishments, a budget summary, lessons learned, and suggestions for improvement.

Ten State business days prior to agreement term end date.

3. The Contractor shall:

a. Provide draft results and incorporate, as appropriate, comments provided by SCO Executive

Management. The Contractor should expect to conduct walkthroughs to discuss preliminary and draft results of their work.

b. Attend meetings in-person, when necessary, and support SCO end users in person at, 3301 C St., Sacramento, CA 95816 (The Park at East Sacramento) or at 2000 Evergreen Street, Sacramento, CA 95815 (FI$Cal Office). Contractor staff shall be responsible for travel arrangements and for expenses incurred to and from Sacramento at the time and date scheduled with the SCO Contract Manager. SCO shall provide up to five business days’ advance notice of a required in-person meeting.

c. Designate a contract manager to whom all communications are addressed and who has the authority to act on all aspects of the services. The Contract Manager shall review the Agreement and associated documents with the SCO Contract Manager to ensure understanding of the responsibilities of both parties.

d. Comply with all applicable SCO policies and procedures.

e. Retain independence and avoid undue influence by any internal or external entity while advising the

SCO Executive Management team.

f. Provide a physical address, if necessary, to which the laptop and RSA hard token will separately ship, as well as a phone number and an email address for the laptop recipient.

g. Contact the SCO Contract Manager listed in Section U. Contacts, 1. to verify contractor staff credentials and to enable the laptop upon receipt of the SCO laptop and RSA hard token. Be responsible for the care of the laptop and use it only for SCO-related business.

h. Connect only a Bluetooth mouse, keyboard, and other SCO-approved peripherals to the SCO laptop.

i. Not insert a Universal Serial Bus (USB), external hard drive, or any other storage devices into the

SCO laptop.

j. Return all SCO property, including security badges and computer equipment prior to the expiration date of the Agreement.

k. When applicable, contact the SCO Contract Manager listed in Section U. Contacts, 1. at least 24 hours prior to packaging the laptop for return on the SCO-determined date, ensuring the laptop has an internet connection that allows SCO to log in and wipe the laptop prior to packaging and shipping.

l. Ship – at the Contractor’s expense the laptop back to SCO at the address provided by the SCO

Contract Manager listed in Section U. Contacts, 1. Use overnight delivery with signature required and insure the package for $3,000.00.

m. Ship – at the Contractor’s expense – the RSA hard token back separately to SCO at the address provided by the SCO Contract Manager listed in Section U. Contacts, 1. using overnight delivery with signature required.

C. Contractor Tasks and Reporting Requirements

SCO requires that all reports be completed and delivered to SCO on or before the due date. Due dates will be established by mutual agreement after Agreement execution. All reports, standards, processes, plans, and applicable reference materials must be available to SCO upon request. For all tasks, SCO reserves the right to request an in-depth written and oral presentation of findings and recommendations put forth by the Contractor.

1. Monthly Activity Reports

Submit written monthly activity reports to the SCO Contract Manager for time spent on completed tasks and work in process. The reports shall identify the tasks associated with completed work and the hours and rate by staff, as well as an overview of research, reviews, activities, findings, and recommendations. There shall be a signed acceptance from SCO Executive Management for each Activity Report before invoices can be processed for payment.

2. Findings, Recommendations, and Work Products

Prepare reports for SCO Executive Management as needed. The Contractor must submit written reports, upon the request of SCO Executive Management, demonstrating research, reviews, activities, findings, and recommendations.

3. Final Report

At agreement completion, develop and submit a Final Report to the SCO Contract Manager. The report must detail project activities, accomplishments, budget summary, lessons learned, and suggestions for developing and/or improving ongoing activities.

4. Work with various external vendors in addition to state staff and various stakeholders.

5. Attend scheduled meetings and provide presentations as required.

6. Promptly notify the SCO Contract Manager of events or proposed changes that could affect the scope, budget, or schedule of work performed under this Agreement.

7. Perform work virtually unless otherwise agreed upon by the parties during normal business hours which are 8:00 a.m. to 5:00 p.m. Pacific Time (PT) Monday through Friday, except State holidays. For a list of holidays which SCO observes, go to the following link:

www.calhr.ca.gov/employees/pages/state-holidays.aspx .

8. Ensure all Contractor staff read and complete standard SCO documents (i.e. Policy

Acknowledgement, Technology Resources, Zero Tolerance for Discrimination, and Harassment Training) upon onboarding. These documents will be presented to the Contractor’s staff by SCO for completion and return to SCO Contract Manager within five business days.

D. General Service Requirements

1. Document Format: Unless explicitly stated otherwise in Exhibit A, all required documentation will be provided in a format compatible with SCO standard applications (Microsoft Office). For the reports identified in Section C. Contractor Tasks and Reporting Requirements, the format and content must be pre-approved by SCO Executive Management.

2. Electronic versions will be stored in an SCO-designated central repository and remain the sole property of SCO. The delivery media will be compatible with SCO storage devices.

E. Kickoff Meeting

Within 15 business days of agreement execution, the Contractor shall conduct a kickoff meeting with the SCO team to:

1. Review the details of the Scope of Work (SOW) to ensure a clear understanding of the goals and expectations.

2. Review the roles and responsibilities of the Contractor and SCO staff.

3. Review the tasks, the schedule, and coordinate a high-level review.

4. Discuss critical factors that may impact workload.

5. Review administrative and reporting requirements.

6. Discuss and agree upon the process for communicating issues, risks, and status.

7. Discuss and agree upon the approach to tracking and managing performance and results.

8. Introduce contractor staff.

F. Performance Review and Acceptance Criteria

It shall be the sole determination of SCO as to whether the Contractor’s performance has been successfully completed and is acceptable to SCO.

1. Process:

a) The Contractor shall complete assigned tasks and deliver any required documentation by the written agreed-upon date for review.

b) SCO documentation review time shall not be more than 10 business days, except when there is another written mutually agreed-upon time frame. Business days are Monday through Friday, 8:00 a.m. to 5:00 p.m. Pacific Time (PT) excluding the California state holidays listed at:

http://www.calhr.ca.gov/employees/pages/state-holidays.aspx.

c) The SCO shall provide written notification to the Contractor of any required revisions. The Contractor will review the SCO written response, make appropriate adjustments, and submit to SCO for acceptance within three business days of receiving revision requests.

d) After considering the scope of the changes, SCO may, at their discretion, allow a period longer than three business days, which shall be confirmed in writing.

e) After receipt of the revised documents, SCO review time must not be more than five business days unless another, written mutually agreed-upon time frame has been determined.

f) The Contractor shall not change a report that has been accepted by SCO without SCO Contract Manager written approval.

G. Performance Not Meeting Requirements

Should the work performed, or the work product produced by the Contractor fail to meet the minimum state requirements or other applicable standards, specifications, or guidelines, the following resolution process will be employed except as superseded by other binding processes. Project documentation that does not meet agreement requirements will be returned to the Contractor as incomplete.

1. The SCO Contract Manager must notify the Contractor in writing within 10 business days after receipt of the unsatisfactory work performed or work product produced, about any acceptance problems by identifying the specific inadequacies and/or failures in the services performed and/or the products produced by the Contractor.

2. Within five business days after initial problem notification, the Contractor shall respond to SCO

Contract Manager by submitting a detailed explanation that describes how the identified services and products actually adhere to and satisfy all applicable requirements, and/or a proposed corrective action plan to address the specific inadequacies or failures in the identified services or products.

Failure by the Contractor to respond to SCO Contract Manager’s initial problem notification within the required time limits may result in payment delays, or immediate agreement termination. In the event of such termination, SCO must pay all amounts due to the Contractor at SCO Contract Manager’s direction for all work accepted prior to termination.

3. The SCO Contract Manager shall, within five business days after receipt of the Contractor’s detailed explanation or proposed corrective action plan, notify the Contractor in writing whether they accept or reject the explanation and plan. If SCO Contract Manager rejects the explanation and plan, the Contractor will submit a revised corrective action plan within three business days of notification of rejection. Failure by the Contractor to respond to the SCO Contract Manager’s notification of rejection by submitting a revised corrective action plan within the required time limits may result in immediate agreement termination. In the event of such termination, SCO shall pay all amounts due to the Contractor at SCO Contract Manager’s direction for all work accepted prior to termination.

4. The SCO Contract Manager shall notify the Contractor in writing whether the revised corrective action plan proposed by the Contractor is accepted or rejected, within five business days of receiving the revised plan. Rejection of the revised corrective action plan may result in immediate agreement termination. In the event of such termination, SCO must pay all amounts due to the Contractor at SCO Contract Manager’s direction for all work accepted prior to termination.

H. Contractor Staff Changes

1. The Contractor must commit to the continuing availability and participation of the qualified staff filling staff responsibilities, to the extent of the Contractor’s control for the duration of the agreement.

Contractor shall not request the State’s mutual agreement for Contractor staff changes for a period of 12 months after the Effective Date of this agreement.

2. SCO recognizes that the Contractor’s staff may be unavailable due to circumstances beyond the Contractor’s control such as illness, an extended leave of absence, death, termination, resignation, or other factors beyond the Contractor’s control. However, the Contractor shall make its best efforts to ensure staff continuity throughout the term of the Agreement.

3. In the event that contractor staff are unable to perform his or her duties due to illness, resignation, or other factors beyond the Contractor’s control, the Contractor shall make every effort to provide suitable replacement staff with equivalent knowledge, skill set and experience.

4. Contractor shall remove any staff or subcontractors who, in the opinion of the State, have engaged in improper conduct.

5. In the event either party identifies a performance issue with a contractor staff, the identifying party must contact the other party within two business days.

6. The identifying party must document the performance issues, discuss the issues with the other party, and together, they shall determine the best approach for resolving the issues.

7. Replacement or additional Contractor staff must be the same classifications identified in this agreement.

8. Contractor Staff Replacement

a. The SCO Contract Manager shall approve any changes to the Contractor's staff before replacement of a staff member. This includes any changes that occur between the submission of the Contractor's offer and the initiation of the Agreement. The Contractor shall not reassign the staff without prior notification to the SCO Contract Manager. The Contractor shall notify SCO in writing within 14 business days of the event and provide SCO with at least one replacement candidate that meets or exceeds the experience and skill level that was presented by the Contractor, and which was scored by SCO as part of the Offer.

b. SCO will assess replacement candidates based on the criteria set forth in Request for Offer (RFO)

EFIS90126. Offered replacement staff shall meet or exceed the same qualifications as the staff that is being replaced, including passing a Live Scan background check. The Contractor shall assign SCO-selected replacement(s) to the Agreement upon SCO written approval of the Contractor’s replacement(s) after a five-to-10-day review period, which includes interviewing offered replacement staff. Under no circumstances shall the Contractor replace selected staff unless SCO agrees in writing to such replacement.

c. SCO shall not compensate the Contractor for any time or effort required to prepare the new staff member for work on the Project.

d. SCO, for cause, reserves the right to require the Contractor to replace an assigned staff member at any time. SCO will notify the Contractor in writing when exercising that right, providing the Contractor with the cause. The Contractor, within 14 business days of such notification, shall provide a replacement candidate who meets or exceeds the requirements as defined in RFO EFIS90126. The submission of Exhibit A, Attachment 2, Personnel Change Request Form, Exhibit A, Attachment 3, Personnel Change Reference Forms, a resume, the RFO Attachment 16, TDDC MSA Classification Qualifications, and interview will be required. The Contractor shall assign the replacement to the FI$Cal Project within 14 business days of SCO approval of the replacement.

e. If SCO rejects the offered staff, the Contractor shall provide another viable staff within 14 calendar days.

f. If a qualified staff is not identified within 14 calendar days of rejection, the Contractor shall be in material breach of the Agreement unless the Contractor submits a written request for an extension and SCO provides written approval before the deadline.

g. The Contractor shall propose acceptable staff replacement at the same or lower cost as the original offered staff. Substitute staff shall not automatically receive the hourly rate of the individual or positions being replaced. The parties of this agreement may negotiate the hourly rate of any substitute staff to the Agreement. The hourly rate negotiated shall be dependent, in part, upon the experience and individual skills of the offered replacement staff. The negotiated hourly rate shall not exceed the hourly rate for that position as set forth in the Agreement.

I. Contractor Staff Additions

1. SCO or the Contractor may request to add staff by mutual agreement.

2. Within 14 calendar days, the Contractor shall submit the following items to the SCO Contract Manager:

a. The offered staff’s resume that meets the qualifications identified in RFO EFIS90126 and in the

TDDC MSA classification for the added staff,

b. Exhibit A, Attachment 2, Personnel Change Request Form,

c. Exhibit A, Attachment 3, Personnel Change Reference Form,

d. TDDC MSA Classification Qualifications Form (refer to RFO EFIS90126, Attachment 16), including any required certifications or degrees,

e. Staff Mandatory Qualifications Form (refer to RFO EFIS90126, Attachment 17),

f. The offered staff’s work email and direct phone number. This information is needed for the State to schedule the Live Scan background check and SharePoint user access.

3. SCO shall have the ability to interview the offered staff prior to approval or rejection of the offered staff change.

4. If SCO rejects the offered staff, the Contractor shall provide the State with another viable staff within 30 calendar days.

5. If a qualified staff is not identified within 30 calendar days of rejection, the Contractor shall be in material breach of the Agreement unless the Contractor submits a written request for an extension and SCO provides written approval before the deadline.

6. If the offered staff is acceptable to the State, the State representative shall sign the Exhibit A, Attachment 2, Personnel Change Request Form and submit it to the Contractor representative for signature.

7. Upon receipt of signed Exhibit A, Attachment 2, Personnel Change Request Form, the State representative will schedule a Live Scan background check as described in Section L. The offered staff must pass the Live Scan background check.

8. Upon passing Live Scan background check, the SCO representative will submit approval to the Contractor.

J. Subcontractors

1. The Contractor may, with prior written permission from SCO, enter into subcontracts with third parties for the performance of any part of Contractor’s duties and obligations.

2. The Contractor is responsible and liable for the proper performance of, and the quality of any work performed by any and all subcontractors.

3. The State reserves the right to reject or refuse admission to any contractor or subcontractor staff whose workmanship, in the reasonable judgment of SCO, is deemed substandard.

4. In no event shall the existence of a subcontract operate to release or reduce the liability of the Contractor to SCO for any breach in the performance of the Contractor’s duties.

5. In connection with a request to SCO to approve a subcontractor, the Contractor shall provide a copy of the Subcontractor’s Certificate of Good Standing issued by the California Secretary of State and a Bidder Declaration (Written) GSPD-105-05.

6. Due to privity of agreement between the State and the prime contractor, it is the complete responsibility of the prime contractor to hold their subcontractors (permitted by SCO) subject to the applicable requirements of this agreement.

7. The Contractor agrees that all subcontracts shall include a provision that the Subcontractor shall indemnify and hold harmless the State to the extent described in Information Technology (IT) – General Provisions, Non-Cloud Goods & Services, DGS PD 403-ITGP (Non-Cloud) Section 11, Indemnification and Section 12, Limitation of Liability.

8. Any agreement between the Contractor and its subcontractors shall require the Subcontractors to adhere to the same performance standards and other standards required of the Contractor as applicable to the Subcontractor’s service.

9. If the Contractor commits to subcontract with a Disabled Veteran Business Enterprise (DVBE), they are responsible to provide to SCO a Prime Contractor’s Certification – DVBE Subcontracting Report STD 817, within 60 days of agreement completion.

10. In accordance with California Government Code (GC) Section 14837(d) and California Military and

Veterans Code Section 999, all Small Business (SB) and DVBE contractors, subcontractors, and suppliers that bid on or participate in a State agreement, regardless of being an oral or written solicitation, shall perform a Commercially Useful Function (CUF).

11. The Contractor shall satisfy their Small Business (SB) Participation commitment as identified on the Bidders Declaration (Written) submitted with the Bid response. Exhibit A, Attachment 3, Prime Contractor Certification – SB Subcontractor Report shall be submitted to the SCO Contact Manager identified in Section U, Contacts, on January 31st and July 31st of each calendar year during the term of the Agreement.

K. Subcontractor Changes

1. Contractor shall provide SCO 14 business days’ advance notice of subcontractor termination. The notice shall document the change, the reason for the change and the effective date of the change.

2. The Contractor shall obtain SCO approval to any subcontractor changes prior to the termination of the existing subcontractor(s) and retention of the new subcontractor(s). This also includes any changes made between submittal of the Final Offer and actual start of the Agreement.

3. All replacement subcontractor(s) shall meet all requirements of this agreement.

4. For DVBE subcontractor changes, Contractor shall use another California (CA) certified DVBE subcontractor and shall perform a CUF.

5. For SB subcontractor changes, Contractor shall use another CA certified SB subcontractor and shall perform a CUF.

6. SCO shall not compensate the Contractor for any of the Contractor’s time or effort to educate or otherwise make the new subcontractor(s) ready to begin work on the Agreement.

L. Background Checks

1. The Contractor’s staff shall be required to complete and pass a Live Scan background check prior to starting work and receiving an SCO asset and permission to access the SCO network. This agreement requires that the offered staff performing the services of this agreement pass a Live Scan background check. SCO provides all necessary background check forms and location information for each offered staff to complete the process. If offered staff are located in the Sacramento area, they must be fingerprinted at SCO. If offered staff are located outside the Sacramento area, but in California, they may go to a Live Scan location of their choosing. If offered staff are located outside of California, they must go to a local law enforcement agency or to another entity licensed to roll fingerprints and request completion of a standard FBI applicant fingerprint card (FD-258), provided by SCO. Offered staff shall mail the completed forms and FD-258 back to SCO via the United States Postal Service (USPS).

2. Background checks must be completed and passed prior to beginning work on the Agreement. If a

Contractor’s offered staff does not pass the Live Scan background check process, the Contractor must replace the offered individual with a new candidate within seven business days that meets or exceeds all requirements stated in Section D. Staff Requirements, Item 2. Background Check of the RFO.

Contractors and the offered staff will be held to the same background check standards as SCO employees.

3. The Contractor shall ensure that each offered staff under the Agreement is made aware of, understands, and complies with the provisions of SCO Live Scan background checks. Any additional or replacement individuals added to the Agreement will be subject to the same terms.

4. SCO shall not compensate the Contractor for any time or effort required to prepare the new staff member for work on the project. The Contractor shall recover and return any state-issued identification card or equipment provided to the Contractor’s employee(s) upon their departure or termination, if applicable.

M. Follow-On Agreements

The provisions of Public Contract Code (PCC) Section 10365.5 and the Information Technology (IT) – General Provisions, Non-Cloud Goods & Services, DGS PD 403-ITGP (Non-Cloud), Section 13. Follow-On Contracts will apply. The Department of General Services IT General Provisions can be viewed at:

https://www.dgs.ca.gov/-/media/Divisions/PD/Acquisitions/Solicitation-Document-Attachments/IT-General- Provisions-NonCloud-DGS-PD-403ITGP-Revised-02202025.pdf

N. Conflict of Interest

No consultant shall be paid out of State funds for developing recommendations on the acquisition of IT goods or services if that consultant is to be a source of such acquisition or would otherwise directly and/or materially benefit from the State adoption of such recommendations or the course of action recommended.

Further, no consultant shall be paid out of State funds for developing recommendations on the disposal of State surplus IT products if that consultant would directly and/or materially benefit from State adoption of such recommendations.

Contractors in response to State procurements for the development of recommendations for the acquisition of IT goods and/or services must disclose any financial interests (i.e., service contracts, OEM agreements, remarketing agreements, etc.) that may foreseeably allow the individual or organization submitting the proposal to materially benefit from the State's adoption of a course of action recommended for the acquisition recommendations.

For additional information on determining whether a conflict exists, or whether participation in this Agreement would preclude participation in future FI$Cal opportunities, refer to State Administrative Manual Management Memorandum 07-04 at: https://www.dgs.ca.gov/Resources/ManagementMemos

O. Requirement to Sign Confidentiality Statements

To preserve the integrity of the security and confidentiality measures integrated into SCO and the FI$Cal Project, each contractor and subcontractor is required to sign a Conflict of Interest and Confidentiality Statement. Similarly, any contractor and subcontractor and each of their employees engaging in services to SCO related to RFO EFIS90126 and the resulting agreement, requiring them to come into contact with confidential agency information, will be required to exercise security precautions for such data. Each of the employees of the successful Contractor and any subcontractors and their employees must sign Exhibit A, Attachment 1, Conflict of Interest and Confidentiality Statement, formal compliance agreements regarding confidentiality and non-disclosure prior to commencing work identified in this agreement.

P. Requirement for Security Training and Awareness

To preserve the integrity of the security and confidentiality measures integrated into SCO and the FI$Cal Project, each of the employees of the successful Contractor and any subcontractors and their employees utilizing SCO devices must take SCO Security Awareness and Training prior to commencing work identified in this agreement.

Q. Requirement to File a Statement of Economic Interests

In accordance with Title 22, California Code of Regulations, Section 123000, the consultant Contractor is required to complete a Statement of Economic Interests (Form 700) on an annual basis.

Upon award and prior to beginning work, the Contractor’s Contract Manager and any professional-level employees and subcontractors engaged in performing the consulting tasks described in this agreement must submit a completed Form 700 to SCO Executive Management.

On an annual basis during the term of this agreement, the Contractor and the same individual and any new professional-level personnel or subcontractors must complete and submit a new Form 700. All subsequent forms must be received before the expiration of the initial Form 700. Noncompliance may be cause for termination of this agreement.

R. SCO Responsibilities

SCO shall:

1. Coordinate with the Contractor to provide a schedule for meeting the objectives of this agreement.

2. Provide access to project documents as necessary for the Contractor to complete the activities identified in Exhibit A.

3. Provide a SCO Contract Manager who will regularly monitor the services provided to determine if the services meet the requirements of this agreement.

4. Coordinate tasks and activities in the completion of all identified tasks.

5. Provide Contractor staff with SCO laptop and software necessary to perform all tasks.

6. Provide staff knowledgeable in IT program areas.

7. Provide staff knowledgeable in business program areas.

8. Provide staff authorized to make decisions regarding state IT projects.

9. Arrange access to state documents, teams, and subject matter experts.

10. Furnish office space when at SCO locations for the duration of the Agreement to include desk, chair, telephone, personal computer, printer access, Internet connection, and a facility in which to conduct any necessary meetings.

11. Provide an SCO Contract Manager to whom all Contractor communications will be addressed and who has the authority to act on all aspects of the services—this person shall review the Agreement and associated documents with the Contractor to ensure understanding of the responsibilities of both parties.

12. Determine the return date of the laptop and communicate that with the Contractor’s Contract Manager listed in Section U. Contacts, 1.

13. Log into the laptop and wipe it clean upon receiving the 24-hour notification from the Contractor that the laptop is ready to be shipped back.

S. Travel

Travel expenses, which include parking fees, associated vehicle costs, tolls, and airfare incurred are at the expense of the Contractor and shall not be reimbursed by SCO.

T. Contacts

1. Project contacts during the term of the Agreement:

State Controller's Office Contractor

Name: TBD Name: TBD

Address:

Phone: Phone:

Email: Email:

2. Direct all agreement inquiries to:

State Controller's Office Contractor

Name: TBD Name: TBD

Phone: Phone:

Email: Email:

3. Contacts may be changed upon written notice to either party without need of an agreement amendment.

Exhibit A, Attachment 1

PERSONNEL CHANGE REQUEST FORM

Contractor Name Agreement Number

CFIS90126

Staff To Be Added Staff Replaced Classification Hourly Rate Effective Date

Staff to be Deleted Effective Date Reason

Description of Change

Staff Mandatory Qualifications Form and Resumes Attached? (Yes or No):

Classification Qualifications Form Attached? (Yes or No):

Staff Reference Form Attached? (Yes or No):

Approval:

Changes identified above are in accordance with the terms and condition of the agreement. By signing below, the Contractor Official has confirmed that the offered staff meets any requirements listed in the Statement of Work (SOW). The SCO Contract Manager’s signature below indicates confirmation that the offered personnel staff meets the requirements listed in the SOW.

SCO Contract Manager Approval Contractor Approval

Print Name Print Name and Title

Signature Signature

Date Date

Exhibit A, Attachment 2

PERSONNEL CHANGE REFERENCE FORM

Staff Name: Reference Contact Name:

CONTRACTOR INSTRUCTIONS:

Step 1: Contractor shall enter the staff and reference above and complete Tables 1 and 2 below.

Step 2: Contractor shall send the form to the reference listed in Table 2 for completion.

Step 3: Contractor shall compile and submit three signed reference forms for each staff.

REFERENCE INSTRUCTIONS:

Step 1: Reference shall enter a numeric rating into Table 4 from the Rating Scale in Table 3.

Step 2: Reference shall sign and date the bottom of the form.

Step 3: Reference shall return the signed form to the Offeror Contact listed in Table 1.

Table 1 – Contractor Contact:

Contractor Name: Contact Phone #:

Contractor Contact Name: Contact Email:

Table 2 – Reference, Staff Name, and Staff Experience:

Reference Contact Name and Title:

Reference Client Company Name:

Reference Phone #: Reference Email:

Staff Name:

Staff Begin/End Dates (MM/DD/YY): From: To:

Project Name and Description:

Staff’s Experience on this Project:

Table 3 – Rating Scale:

10=Excellent 8=Above Average 5=Satisfactory 2=Below Average 0=Unsatisfactory

Table 4 – Performance Ratings:

# Performance Statements Rating

1 Rate the Staff’s ability to meet deadlines.

2 Rate the Staff’s ability to communicate verbally and in writing.

3 Rate the Staff’s ability to work well with others.

4 Rate the Staff’s knowledge in the required areas of expertise.

5 Rate the Staff’s overall performance during this engagement.

By signing this Form, the Reference certifies all information provided is correct.

Signature of Reference Contact Date signed

State Controller's Office

Exhibit A, Attachment 3

Begin through End

(B)

SB

Certification Number

(C) Commitment

Percentage

(D) Commitment

Amount

(I) Variance

Comitment Percentage vs.

Actual Percentage

1 $ - #DIV/0!

2 #DIV/0!

3 #DIV/0!

4 #DIV/0!

5 #DIV/0!

6 #DIV/0!

7 #DIV/0!

8 #DIV/0!

9 #DIV/0!

10 #DIV/0!

11 #DIV/0!

12 #DIV/0!

13 #DIV/0!

14 $ -

Amount Invoiced During Contract

Term

Agreement Payment Information

Name

Reporting Period

Prime Contractor Information

Payment Information

State Controller's Office

Grand Total #DIV/0!

List all California certified Small Business (SB) firms performing services as a subcontractor for this agreement.

#DIV/0!$ -

#DIV/0!

(G) Total Paid to SB

During Agreement Term

(E) Amount Paid to SB During Current 6- Month Reporting

Period

(H) Percentage Paid to SB

During Agreement

Term

(A) SB Subcontractor(s) Name

SB Information Commitment Information

Signature:

Prime Contractor Contract Manager Print Name:

Title:

(J) Comments/Explanations

Attach copies of this page for additional lines I certify under penalty of perjury under the laws of the State of California that all information submitted is true and correct.

Date Signed:

(F) Percentage Paid to

SB During Current 6- Month Reporting

Period

Agreement Amount Invoiced During Current 6- Month Reporting

Period

Number

Amount

$ - #DIV/0!

Prime Contractor's Certification - Small Business Subcontractor Report

Report Field Report Field Description Responsible Party

Reporting Period

Identifies the current 6-month reporting period that will be either July - December (due by January 31) or January - June (due by July 31) Prime Contractor

Prime Contractor Information Name Full legal name Prime Contractor Agreement Number Executed agreement number SCO Contracts & Procurement Office Agreement Amount Total agreement amount for the agreement term SCO Contracts & Procurement Office Amount Invoiced During Current 6-Month Reporting Period

Dollar amount invoiced during the current reporting period. Prime Contractor

Amount Invoiced During Contract Term

Cumulative dollar amount invoiced by the Prime Contractor during the agreement term Prime Contractor

List of CA certified SB

A) SB Subcontractor's Name

DGS certified SB identified on the Bidder Declaration submitted with the bid response and/or approved by SCO during the term of the Agreement SCO Contracts & Procurement Office

B) SB Certification Number DGS assigned SB certification number SCO Contracts & Procurement Office

C) Deliverable Number

Refer to Exhibit A. Scope of Work for the specific deliverable number. Prime Contractor

D) Work Performed

Include the distinct element of work performed for the specific deliverable identified in Box C. Prime Contractor

E) Commitment Percentage

Percentage commitment to the SB for the agreement term…