EXHIBIT_A_-_SCOPE_OF_WORK_(SOW)_PM_Support.pdf

TABLE OF CONTENTS

EXHIBIT A: SCOPE OF WORK (SOW) 2

1. PURPOSE OF RFO 2

2. BACKGROUND 2

3. BUDGETS AND AMENDMENTS 2

4. RFO RESPONSE 3

5. PROJECT REPRESENTATIVES 3

6. SERVICE DETAILS 4

7. DELIVERABLES 4

8. TIMESHEET AND WORK AUTHORIZATION 8

9. CONTRACTOR'S RESPONSIBILITIES 9

10. DFPI'S RESPONSIBILITIES 10

State of California Department of Financial Protection & Innovation

RFO #2026-ITO-089449

Project Manager Support

EXHIBIT A: SCOPE OF WORK (SOW)

1. PURPOSE OF RFO

The Department of Financial Protection and Innovation (DFPI) is requesting offers for "Project Manager Support” to be performed throughout the United States. To address the needs of DFPI, we are seeking a contractor to provide Project Manager support services. More detailed information is to be found in

EXHIBIT A: SCOPE OF WORK (SOW).

The anticipated Agreement start date is 7/1/2026, however, the effective start date shall not be until a purchase order is fully executed. The term of this agreement is anticipated to be a total of twelve (12) months from date of fully executed purchase order. Any amendment must be approved and executed prior to the expiration date of the CMAS agreement or the purchase order, whichever occurs sooner.

2. BACKGROUND

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

The DFPI has five offices, located in four cities: Sacramento, San Francisco, Los Angeles, and San Diego. The Sacramento office is the headquarter office and the main Information Technology hub. The Information Technology Office (ITO) provides IT Services for DFPI. ITO is responsible for providing systems support, maintenance, enhancements, and new development.

State of California Department of Financial Protection & Innovation

3. BUDGETS AND AMENDMENTS

The term of the Agreement is anticipated to start 7/1/2026, and end 6/30/2027, or (12) months from the effective date, whichever is later. The dollar amount will be fixed at $50,000, with the options to amend to add up to two (2) additional years, and/or for additional money. The agreement amount including amendments cannot exceed DFPI’s CMAS delegated Purchasing Authority.

4. RFO RESPONSE

The RFO, CMAS (California Multiple Award Schedule), and Offeror’s offer are hereby attached to and incorporated into this contract by reference.

5. PROJECT REPRESENTATIVES

Either party may make changes to the contact names or information below by giving written notice to the other party. Said changes shall not require an amendment to this Agreement.

The Agreement representatives during the term of this Agreement will be:

Direct all contractual inquiries to:

State Agency: Department of Financial Protection and Innovation (DFPI)

Contractor: To be determined

Section/Unit: Information Technology Services Division/IT Contracts

Section/Unit:

Name: Daniela Dell'Aera Name:

Address: 651 Bannon St, Suite 300, Sacramento, CA 95811

Address:

Phone: 916-938-4058 Phone:

Email: Daniela.Dell'Aera@dfpi.ca.gov Email:

State Agency: Department of Financial Protection and Innovation (DFPI)

Contractor: To be determined

Section/Unit: Business Operations Office/ Section/Unit:

State of California Department of Financial Protection & Innovation

6. SERVICE DETAILS

The purpose of this RFO is to obtain Project Manager Consultants to provide resources at a level of expertise commensurate with a Project Manager (PM) at the Information Technology Specialist II classification.

The Project Manager(s) (PM) shall serve as the liaison between the DFPI Information Technology Service Division (ITSD) and any internal and/or external stakeholders. Under the direction of the DFPI Chief Information Officer (CIO) and/or the DFPI Project and Portfolio Management Office Manager (PPMO), the Service Provider shall provide a qualified and experienced PM who shall be responsible for the planning, execution/implementation and close out of projects. The PM shall utilize California Project Management Methodology (CA-PMM) and/or Project Management Institute (PMI) best practices for the duration of all projects.

7. DELIVERABLES

This is an IT consulting service contract requiring one or more consultants, each proposed individual should possess the following minimum skills and experience as listed below. A resume for each proposed consultant must be submitted and must include a clear indication of specific experience that meets the minimum requirements listed below.

Acquisitions Services Unit

Name: Hyunmee Peters Name:

Address: 651 Bannon St., Suite 300 Sacramento, CA 95811

Address:

Phone: 530-455-9035 Phone:

Email: Lee.Peters@dfpi.ca.gov Email:

Project Manager

Minimum Requirements Desired Requirements

Five (5) or more years service in a Project Manager or Project Director Role

Ten (10) or more years leading complex Information Technology projects using both Waterfall and Agile SDLC

Meets minimum qualifications for a resource equivalent to an IT Specialist II classification with State Service

Five (5) years broad PM experience including but not limited to: Project Manager/Director, project plans and related artifacts, scheduler, issue/risk manager, change manager, contract manager, resource manager, project librarian TFS or Agile Dev Ops experience

Five (5) years leading modernization projects upgrading legacy solutions to new platforms, and cloud service solutions.

Five (5) or more years service in a project manager role for a company or organization of 600 to 1,000 employees and public facing stakeholders

Five (5) or more years service in a project manager role for projects related to financial institutions, consumer financial protection and banking

Five (5) or more years working on projects requiring Organizational Change Management to be incorporated as part of the project

Five (5) or more years experience with State procuremt processes

Ten (10) years broad PM experience including but not limited to: project manager/director, project plans and related artifacts, scheduler, issue/risk manager, change manager, contract manager, State of California Department of Financial Protection & Innovation

Under the guidance and direction of the DFPI Project Sponsors for the Projects, the DFPI CIO and/or the DFPI PPMO Manager, the PM Consultant’s responsibilities may include, but are not limited to:

A. Project Management Initiation and Planning for DFPI Projects

1. Adhering to DFPI ITO Project Management; Release Management; Requirements and Quality Assurance Management and Development standards and processes.

2. Developing Project Management Plans and Project Charters.

3. Developing and overseeing the continuous updates to the Master Project Schedule

4. Developing, overseeing and/or monitoring all other Project Plans including but not limited to (Scope, Communication; Change; Risk Assessment & Mitigation; Budget & Resource Management; Transition to Maintenance and Operations Management Plans).

5. Serving as the Risk Manager; Communication Manager; Change Manager and Project Resource Manager.

6. Planning and directing the project’s business and/or ITO impact analysis, working with Sponsors, Steering Committee Members and Project Team Members.

7. Planning and directing the project teams’ and business/program area’s elicitation of functional and non-functional requirements and adhering to DFPI ITO’s Software Development Lifecycle;

Release Management and Project Management processes including the use of Team Foundation Server.

8. Evaluating and resolving conflicts between competing DFPI priorities and resource needs within the project based on understanding of the project’s critical path, the priorities of the work and inter-dependencies.

resource manager, project librarian TFS or Agile Dev Ops experience

Two (2) years managing Digital Financial Asset Laws

PMP Certification and/or CA-PMM Certification

State of California Department of Financial Protection & Innovation

9. Developing and overseeing the creation of a comprehensive project/product training for specified projects and ensuring the training plan is incorporated into the overall project plan including but not limited to training documentation, formal training sessions, walkthroughs and knowledge transfer.

B. Project Execution, Control, Close

1. Planning, guiding, and overseeing the day-to-day activities of project teams.

2. Ensuring the functionality of the solution is delivered to the quality standards of the project, while complying with infrastructure and support methodologies (e.g., processes, procedures, standards, templates, etc.).

3. Reviewing project deliverables for accuracy, timeliness, and completeness, and aiding the DFPI CIO and DFPI PPMO Manager to determine deliverable acceptance.

4. Facilitating meetings with the DFPI project teams and project stakeholders and producing documentation necessary for tracking and follow-up such as meeting minutes, action items, business decisions, change control, and next steps.

5. Preparing, reviewing, and submitting project status reports and other project information to the DFPI project team, project stakeholders, project sponsors and project steering committee on a regular basis or as requested

6. Monitoring project expenditures to ensure the project stays within the project’s approved budget.

7. Directing and managing review and acceptance of deliverables for the project

8. Serving as the Risk Manager for projects. Responsibilities to include:

a. Developing the Risk Management Plan.

b. Leading the effort to identify, document, manage and track risks and associated risk mitigations/contingencies for the project.

c. Scheduling regular risk identification and review sessions, following a predefined risk escalation process described in the Risk Management Plan.

d. Monitoring and assessing risk probability and severity to ensure risks are prioritized and do not adversely impact the project.

e. Maintaining a risk database, risk management tools and appropriate

State of California Department of Financial Protection & Innovation documentation.

f. Ensuring risks that materialize into issues are assigned, tracked, addressed and resolved in a timely manner.

g. Providing status reporting, including the escalation of risks/issues that cannot be resolved within the team.

8. TIMESHEET AND WORK AUTHORIZATION

Timesheet EXHIBIT A2: ITSD VENDOR TIMESHEET

On a mutually agreed basis, each Contractor staff person shall complete a DFPI provided timesheet and submit to the DFPI Contract Manager. A brief description of work performed, including total hours for each task, must be included; the information will be verified by the DFPI Project Manager or DFPI PPMO Manager. Refer to EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISIONS > Section 5.

TIMESHEETS AND REPORTING for details.

Work Authorization EXHIBIT A1: WORK AUTHORIZATION

1. In order to implement the statement of work, the Contractor, with consultation with the DFPI Project Manager and Contract Manager, shall prepare work authorizations further defining tasks to be completed. Each work authorization shall be prepared in accordance with the attached sample contained in Exhibit C, which is incorporated into this contract.

a. Each Work Authorization shall consist of a detailed statement of the purpose, objective, or goals to be undertaken by the Contractor, an estimated time schedule for the provisions of these services by the Contractor, the name of the Contractor personnel to be assigned, the Contractor's estimated work hours required to accomplish the purpose, objective or goals, the Contractor's billing rates per work hour, and the Contractor's estimated total cost of the Work Authorization.

b. All Work Authorizations must be in writing prior to beginning work and signed by the Contractor and the DFPI Contract Manager.

i. If, in the performance of the work, the Contractor determines that a Work Authorization to be performed under this Contract cannot be accomplished within the estimated work hours, the

State of California Department of Financial Protection & Innovation

Contractor will immediately notify the State in writing of the Contractor's estimate of the work hours which will be required to complete the Work Authorization in full. Upon receipt of such notification, the State may:

A. Alter the Work Authorization to authorize the Contractor to expend the estimated additional work hours of service in excess of the original estimate necessary to accomplish the Work Authorization, or

B. Terminate the Work Authorization, or C. Alter the scope of the Work Authorization in order to define tasks that can be accomplished within the remaining estimated work hours.

2. It is understood and agreed by both parties to this Contract that all the terms and conditions of this

Contract shall remain in force with the inclusion of any such Work Authorization. Such Work Authorization shall in no way constitute a contract other than as provided pursuant to this Contract nor in any way amend or supersede any of the other provisions of this Contract.

3. The State has the right to require the Contractor to stop or suspend work on any Work Authorization pursuant to the “Stop Work” provision of the General Provisions.

4. Personnel resources will not be expended (at a cost to the State) on task accomplishment in excess of estimated work hours required unless the procedure below is followed:

General Acceptance Approach

For each applicable task and/or deliverable, The ITSD Project Manager (PM) will provide the contractor a written (email) response within five business days of receipt of a deliverable. This written response will indicate either acceptance or rejection of the deliverable. If the deliverable is accepted, the contractor may invoice DFPI for that deliverable in accordance with the contract. If the deliverable is rejected, the PM will provide a detailed explanation as to why the deliverable was not sufficient.

Additionally, all tasks shall be performed in close coordination and approval of DFPI Information Technology Office and Program Management. Deliverables shall be subject to testing prior to final acceptance. Details of specific acceptance criteria will be included in the Work Authorization Form.

9. CONTRACTOR'S RESPONSIBILITIES

The contractor will work under the direction of DFPI’s ITSD Primary Contact and will be accountable to the manager for performing work in accordance with scope, schedule, budget, and quality standards (solution must provide services agreed upon in the scope of work).

State of California Department of Financial Protection & Innovation

The contractor shall propose resources to perform the work and provide a resume for each proposed resource.

All work products and deliverables shall be stored on DFPI document repository (Example: SharePoint) in a format compatible with DFPI document standards. The most current version of all work products and deliverables shall be available for DFPI review at all times.

The contractor is responsible for providing the agreed upon resources with the necessary qualifications to perform the tasks and ensure the resource availability is committed for the entire term of the contract including the replacement of the resources if in a situation that the existing resource becomes unavailable thereby maintaining the time deadline for implementation.

Prior to expiration of the contract, the contractor shall return all State property, including security badges to the DFPI ITSD Primary Contact.

As part of this contract, the Contractor shall be responsible for all costs incurred by the DFPI due to any and every security incident resulting from the Contractor’s failure to perform or negligent acts of its personnel, and resulting in an unauthorized disclosure, release, access, review, destruction, loss, theft, or misuse of an information asset. If the contractor experiences an actual or potential loss of data or breach of data security, the contractor shall, within two (2) hours of its discovery thereof, report the loss or security breach to the DFPI Information Security Office at security@dfpi.ca.gov. If DFPI determines that notice to the individual(s) whose data has been lost or breached is appropriate, the contractor will bear any and all costs associated with the notice or any mitigation selected by the DFPI (California Civil Code

s. 1798.29(a) [agency] and California Civ. Code s. 1798.82(a) (j 1-3) [person or business]). These costs include, but are not limited to, consultant time, material costs, postage, media announcements, and other identifiable costs associated with the breach or loss of data.

10. DFPI'S RESPONSIBILITIES

DFPI shall provide computers for use by on-site and remote consultants. Consultants are forbidden from connecting non-DFPI equipment to DFPI’s networks.

DFPI shall provide the consultant(s) access to department subject matter experts, stakeholders, and IT staff for interviews and meetings, as needed.

RFO #2026-ITO-089449

mailto:security@dfpi.ca.gov

DFPI will review and accept or reject deliverables the Contractor produces.

DFPI ITSD will designate a Project Manager to oversee work of the Contractor.