IFB_EUPD90425.pdf

MALIA M. COHEN

CALIFORNIA STATE CONTROLLER

August 1, 2025

INVITATION FOR BID (IFB) EUPD90425

SECURITIES BROKERAGE SERVICES

Bidders are invited to review and respond to the State Controller’s Office (SCO) Invitation for Bid (IFB) EUPD90425, Securities Brokerage Services. To submit a bid, the Bidder must comply with the instructions contained in this document as well as with the requirements stated in the Agreement, Exhibit A, Scope of Work. By submitting a bid, your firm agrees to the terms and conditions stated in this IFB.

Read the attached document carefully. The Bidder is solely responsible for ensuring that SCO receives the complete bid in accordance with the Bid requirements, prior to the date and time specified in the solicitation. Bidders should review, correct all errors, and confirm compliance with the IFB requirements. Bids received after the specified deadline will not be considered for review. SCO reserves the right to cancel this IFB without cause at any time prior to award.

Bidders are advised to check the Cal eProcure website for addendums, modifications, and updates to the Bid documents. SCO is not responsible for failure of the prospective bidder to check for any bid document updates, changes, or answers to questions posted on Cal eProcure. Failure to check the website periodically will be at the Bidder’s sole risk.

If a discrepancy occurs between the information in the advertisement appearing on the Department of General Services, California State Agreements Register (CSCR) on the Cal eProcure website:

https://caleprocure.ca.gov/pages/Events-BS3/event-search.aspx, and the information in the herein IFB, the information in the attached IFB shall take precedence.

Note that all agreements entered into with the State of California will include by reference General Terms and Conditions and Contractor Certification Clauses that may be viewed and downloaded at Internet site https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List- Folder/Standard-Agreement-Language. If you do not have internet access, a hard copy can be provided.

In the opinion of SCO, this IFB is complete and without need of explanation. However, if you have questions, or should you need any clarifying information, please send an email to SCOBids@sco.ca.gov by the Written Questions Submittal Deadline in Section C, Bid Requirements and Information, Item 1. Key Action Dates.

Please note that no verbal information given will be binding upon SCO unless such information is issued in writing as an official addendum.

https://caleprocure.ca.gov/pages/Events-BS3/event-search.aspx 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 mailto:SCOBids@sco.ca.gov

State Controller's Office IFB Number EUPD90425

Table of Contents

A. Description of Services B. Bidder Minimum Qualifications C. Bid Requirements and Information

1. Key Action Dates

2. Written Questions and Answers

3. Submission of Bid

4. Evaluation and Selection

5. Award and Protest

6. Disposition of Bids

7. Agreement Execution and Performance

D. Participation, Preference, and Incentive Programs

1. Disabled Veteran Business Enterprise (DVBE) Program

2. Disabled Veteran Business Enterprise (DVBE) Incentive

3. Small Business (SB) Preference Program

4. Non-Small Business Preference Request

E. Required Attachments Attachment 1, Required Attachment Checklist Attachment 2, Bidder Certification Sheet Attachment 3, Bidders References Attachment 4, Contractor Point of Contact Attachment 5, Payee Data Record and Supplement Attachment 6, Contractor Certification Clauses Attachment 7, Bidder Declaration Attachment 8, California Secretary of State Certification of Status Attachment 9, Disabled Veteran Business Enterprise Declaration Attachment 10, California Civil Rights Laws Certification Attachment 11, Iran Contracting Act Attachment 12, Darfur Contracting Act Certification Attachment 13, Generative Artificial Intelligence Disclosure Attachment 14, Acknlowledgement of Agreement Exhibits, Insurance, Policies Attachment 15, Bidding Preferences and Incentives Attachment 16, Contractor/Consultant Confidentiality and Non-Disclosure Acknowledgement (ISO-004b) 23 Attachment 17, Contractor/Consultant Organization Information Security Agreement (ISO-004c) Attachment 18, Cost Worksheet

Standard Agreement Exhibit A – Scope of Work Exhibit A, Samples – 1-17 Exhibit A, Attachment 1 – Small Business Subcontracting Report Exhibit B – Budget Detail and Payment Provisions Exhibit B, Attachment 1 – Cost Worksheet Exhibit C – General Terms and Conditions (GTC 02/2025)** Exhibit D – Special Terms and Conditions

*Submit only if applicable **Incorporated by reference only

A. Purpose and Description of Services

The State Controller’s Office (SCO) is seeking a contractor to provide securities brokerage services to the State Controller's Office (SCO), Unclaimed Property Division, Accounting Bureau, located at 10600 White Rock Road, Suite 141, Rancho Cordova, CA 95670.

California’s Unclaimed Property Law (Code of Civil Procedure (CCP), Section 1500 et seq.) requires corporations, businesses, associations, financial institutions, and insurance companies (referred to as “Holders”) to annually report and deliver funds, securities, or other properties to the State Controller’s Office (SCO) after there has been no activity on an account, or no contact with the owner for a period of time specified by law—generally three years. The Unclaimed Property Law was passed to protect consumers. It prevents businesses from keeping unclaimed property belonging to individuals and other businesses and using it as business income. The law provides California citizens with a single source, SCO, to check for unclaimed property that may be reported by businesses from around the nation and enables the State to return property, or the net proceeds from any legally required sale of the property, to its rightful owner or their heirs.

SCO, Unclaimed Property Division, Accounting Bureau is responsible for monitoring and performing all of the safekeeping and accounting functions for securities held by SCO. SCO contracts with an outside broker to assist with these securities duties which include receiving securities escheated annually during the remit season, accurately maintaining these securities, selling securities upon eligibility, and re-registering securities back to the claimant when a claim is received prior to converting the securities to cash.

1. Securities Sale Information

a. Total annual sales could represent 5,000 – 8,000 positions with an estimated value ranging from seventy million dollars ($70,000,000) to two hundred million dollars ($200,000,000).

b. Annual sales may be distributed into multiple sales as needed and determined by SCO in order to meet CCP, Section 1563 (b) requirements which state in part “securities shall be sold by the Controller no sooner than 18 months, but no later than 20 months, after the final date for filing the report required by CCP, Section 1530.”

c. Sales may include round lots, odd lots, closely held, thinly traded, foreign securities, Depository Trust Corporation (DTC) Eligible positions, Non-DTC eligible positions, and positions held by the Contractor in book-entry form.

2. Securities Portfolio and Claim Information

a. SCO outstanding securities portfolio at June 30, 2020, contained approximately 923 million shares and 89,539 positions. When owners claim security properties from the State, they are entitled to the dividends, interest or other increments of income realized or accruing on their property from the time the property is delivered to SCO until it is liquidated. These corporate actions include, but are not limited to, cash dividends, reinvested dividends, stock splits, reverse stock splits, exchanges, mergers and acquisitions that have occurred, since the stock and mutual fund securities were received by SCO.

b. Securities are typically due and remitted annually from holders to SCO contracted brokers from June 1 through June 15. During the most recent June 2020 remit season, there was approximately 124 million shares and 6,813 positions remitted from 2,300 remit reports sent by holders.

c. If securities delivered to SCO by a holder remain in the custody of SCO, a person making a valid claim for those securities will receive the securities back from SCO. SCO contracted broker typically re-registers 3,850 claims annually back to the claimant representing approximately 2.4 million shares.

See Standard Agreement, Exhibit A, Scope of Work, for complete description of services.

Agreement Term

The term of this agreement will be for three years, with the option to amend to extend the term an additional one year and six months, as deemed necessary by SCO. The rates on Exhibit B, Attachment 18 Cost Worksheet will not change as a result of any amendment to this agreement. This agreement may be terminated by SCO with 30 days’ 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. Bidder Minimum Qualifications

In order to be responsive to this IFB, the following Mandatory Pass/Fail requirements must be met. A Bid Submission that does not meet the Bidder Minimum Qualifications will be rejected.

1. Administrative Requirements:

Bidder must complete, sign (where applicable), and return all Attachments, including any necessary supporting documentation (references, certifications, licenses, insurance acknowledgement, Secretary of State, etc.) necessary to validate the Bidder’s qualifications.

a. Complete and submit all required attachments listed on Attachment 1, Required Attachment

Checklist.

b. Attachment 2, Bidder Certification Sheet must be signed by an individual authorized to bind the business contractually and must identify the title or position that the individual holds in the business.

1) By signing Attachment 2, Bidder Certification Sheet, the Bidder certifies that the firm meets all of the qualifications listed.

2. Bidder must provide three references that attest to the Bidder’s experience providing brokerage and settlement services. References must:

a. Be provided on Attachment 3, Bidder References.

b. Have contracted with the Bidder for a minimum of five years within the last 10 years providing brokerage and settlement services.

c. Of the three required references, include at least one large corporation or a state agency other than SCO. Bidders cannot list the State Controller's Office as a reference.

3. Bidder must provide a detailed narrative that addresses the approach on how the Bidder shall ensure security on certificates received.

4. The Bidder shall be a firm that has been in business at least three years within the last five years, routinely performing the type of services as those outlined in this IFB for other public or private entities.

5. The Bidder must have at least $180,000,000 in net capital or provide a guarantee of performance from a parent company that is consistent with the requirements outlined in the “Guarantee of Performance” paragraph below.

NET CAPITAL: Net capital is defined as net capital as provided in the Securities and Exchange Commission (SEC) Rule 15c3-1. The Bidder must verify that the amount of net capital is the same as the amount reported to the SEC. The Bidder may submit a copy of the SEC Focus Report or provide a signed statement certifying the amount reported to the SEC on the Focus Report.

GUARANTEE OF PERFORMANCE: A guarantee of performance by a parent company of the Contractor must include the following: 1) a statement that shows the Contractor is a subsidiary of the parent company, 2) an audited financial statement of the parent company that shows retained earnings of at least one hundred eighty million dollars ($180,000,000) or demonstration of net capital of $180,000,000 under SEC Rule (15c3-1; and 3) a letter signed by an officer of the parent company guaranteeing the performance of the subsidiary by guaranteeing claims of the State of California should the subsidiary broker-dealer cease operations.

6. The Bidder must have a current Series 7 License, which allows the Contractor to enter orders for the sale of securities on behalf of SCO. A copy of the Bidder’s current Series 7 License must be attached to, and made a part of, the Bid package.

7. The Bidder must be a member of the Medallion Guarantee Program and shall provide signature guarantee services as requested by SCO. A copy of the Bidder’s Medallion Guarantee Stamp must be attached to, and made a part of, the Bid package.

8. The Bidder must act as custodian, if requested by SCO, to hold physical securities in the vault facility to be utilized by the Contractor. The Bidder must own a securities clearing operation and shall provide documentation confirming relevant licenses or organizational memberships, including, but not limited to, registration with the U.S. Securities Exchange Commission (SEC) and/or membership with the Financial Industry Regulatory Authority (FINRA). If the Bidder is a subsidiary of, or associated with, a large brokerage firm, the Bidder must have entered into a contract with such brokerage firm to provide vault security. Such a contract must be included in the Bid response.

9. The Bidder must provide documentation demonstrating quality and earning of Money Marketing Fund and Amount of Interest Paid. Such documentation may include, but are not limited to, brochures, or other documentation detailing the investment funds, including information regarding portfolio composition and anticipated investor returns.

10. The Bidder must be in compliance with any other Federal and/or State laws governing these services and shall provide current licenses or documentation substantiating such compliance.

11. Location, Licenses, Permits, and Certifications:

a. The Bidder must provide copy of a valid California city or county business license (if applicable); or, if a corporation is located within the State of California, incorporation documents; or letter from the Secretary of State or, if not a California business, an affidavit that the business is in good standing with the state, province, or country in which business is headquartered.

b. Bidders shall obtain, at their expense, all license(s) or permits required by law for accomplishing any work required in connection with this agreement.

c. All licenses must remain valid for the term of the Agreement. In the event that any license or certification expires at any time during the term of this agreement, the Contractor agrees to provide SCO a copy of the renewed license or certification within 30 days’ following the expiration date. In the event the Contractor fails to keep in effect at all times all required licenses or certifications, SCO may, in addition to any other remedies it may have, terminate this agreement upon occurrence of such event.

C. Bid Requirements and Information

1. Key Action Dates

EVENT DATE

Release of IFB August 1, 2025 Written Questions Submittal Deadline August 11, 2025 SCO Response to Written Questions August 14, 2025 Final Date for Bid Submission** August 22, 2025 – 2:00 p.m. PT* Evaluation of Bid Submissions August 22 – August 27, 2025 Cost Opening August 28, 2025 - 2:00 p.m. PT* Proposed Award Date September 8, 2025 Estimated Agreement Start Date November 1, 2025

*Pacific Time (PT)

**Dates after Final Date for Bid Submission are estimates only and may be subject to change. SCO will adhere to the listed dates as strictly as possible but will not be held accountable for changes due to unforeseen circumstances.

2. Written Questions and Answers

a. Bidders may submit questions for clarification of the content of this IFB to SCOBids@sco.ca.gov.

b. Questions must be submitted by the date and time specified in Section C, Bid Requirements and

Information, Item 1. Key Action Dates.

c. The subject line of the email should read, IFB EUPD90425 Questions – Company Name.

d. The Bidder must reference the section and page number about which they are inquiring.

e. Written Questions and Answers will be provided without identifying the submitter. At the sole discretion of SCO, SCO may paraphrase questions for clarity.

f. Questions and Answers will be issued via an addendum to this IFB and posted to Cal eProcure.

3. Submission of Bid

a. Bidders must submit their bids in Portable Document Format (PDF) to SCOBids@sco.ca.gov by the date and time specified in Section C, Bid Requirements and Information, Item 1. Key Action Dates.

All bids must be submitted in at least two (2) separate emails. Subject line must include the IFB number, Title, and be marked Bid or Cost.

1) Email #1 (Bid) must include the Bidder’s submission in PDF format with the subject line identifying the submission as BID—Company Name. Bids must be formatted for 8 1/2” x 11” paper with all pages consecutively numbered, each required element clearly identified, and in the sequence presented in this IFB.

2) Email #2 (Attachment 18, Cost Worksheet) must include the Bidder’s cost in PDF format with the subject line identifying the submission as COST—DO NOT OPEN. The Cost email shall remain unopened and separate from the sealed bid email until the public cost opening.

3) Email Requirements:

a) Bidders shall ensure that emails do not exceed a file size of 20 megabytes.

b) Bidders shall ensure that emails do not contain scripts, executable files, password protections, or macros, which may make their emails undeliverable.

c) Do not imbed links within the PDF—all documents must be contained within the PDF. SCO cannot access links to external sources. Bids containing links to external sources will be rejected.

d) If email #1, identified as BID, should exceed acceptable file size, the Bidder shall split the email into multiple emails to ensure delivery.

e) Bid submissions that are sent from unrecognized email servers may be blocked by SCO security filters and be flagged as spam, thereby rendering them unsubmitted.

f) An automatic reply from SCObids@sco.ca.gov confirms receipt of bidders’ emails.

Automatic replies only confirm receipt of emails and do not assess bidders’ responsiveness to the IFB requirements in the email content or in any attachments therein.

g) LATE BID SUBMISSIONS WILL NOT BE ACCEPTED—NO EXCEPTIONS.

b. Bids not submitted in two separate emails and marked as indicated may be rejected.

c. If the Bid is made under a fictitious name or business title, the actual legal name of the Bidder must be provided.

d. All bids shall include the documents identified in Attachment 1, Required Attachment Checklist. Bids not including the proper required attachments may be deemed non-responsive. A non-responsive bid is one that does not meet the basic bid requirements.

e. It is the Bidder’s responsibility to provide all necessary information for SCO to evaluate the Bid, verify requested information, and determine the Bidder’s ability to perform the services defined in the Standard Agreement, Exhibit A, Scope of Work, Exhibit A through Exhibit D.

f. All documents requiring a signature must bear a signature of a person authorized to bind the bidding firm.

g. Bids must be submitted for the performance of all the services described herein. Any deviation from the work specifications will not be considered and will cause a bid to be rejected.

mailto:SCObids@sco.ca.gov

h. SCO may reject any or all bids. A bid may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind.

i. SCO may waive an immaterial deviation in a bid. SCO waiver of an immaterial deviation shall in no way modify the IFB document or excuse the Bidder from full compliance with all requirements if awarded the Agreement.

j. Costs incurred for developing bids and in anticipation of award of the Agreement are entirely the responsibility of the Bidder and shall not be charged to the State of California.

k. An individual who is authorized to bind the Bidder contractually shall sign Attachment 2, Bidder Certification Sheet. The signature should indicate the title or position that the individual holds in the firm. An unsigned bid may be rejected.

l. A bidder may modify a bid after its submission or withdraw its bid by submitting a written withdrawal request to SCO, signed by the Bidder or an authorized agent. A bidder may thereafter submit a new bid prior to the Final Date for Bid Submission. A bidder’s modification offered in any other manner, oral or written, will not be considered. Bids may not be withdrawn without cause subsequent to the Final Date for Bid Submission.

m. A bidder may withdraw its bid by submitting a written withdrawal request to SCO, signed by the

Bidder or an authorized agent. A bidder may thereafter submit a new bid prior to the Final Date for Bid Submission.

n. SCO may modify the IFB prior to the Final Date for Bid Submission by issuing an addendum that shall be posted to Cal eProcure.

o. SCO reserves the right to reject all bids. SCO is not required to award an agreement.

p. Before submitting a response to this solicitation, bidders should review, correct all errors, and confirm compliance with the IFB requirements.

q. SCO does not accept alternate agreement language from a prospective contractor. A bid with such language will be considered a counterproposal and will be rejected. The State’s General Terms and Conditions (GTC 02/2025) are not negotiable.

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

4. Evaluation and Selection

a. During Evaluation of Bids, each bid will be checked for the presence or absence of required information in conformance with the submission requirements of this IFB.

b. SCO will evaluate each bid to determine its responsiveness to the published requirements.

c. Bids that contain false or misleading statements that do not support an attribute or condition claimed by the Bidder, may be rejected.

d. The Cost Opening will occur via Microsoft Teams per IFB Section C Bid Requirements and

Information, Section 1. Key Action Dates. All bidders will be sent an invite to attend via the contacts listed on Attachment 4, Contractor Point of Contact in the Bid submission.

e. To request an invitation to the Cost Opening for anyone not bidding or listed on Attachment 4, Contractor Point of Contact, please email request to SCOBids@sco.ca.gov by Final Date for Bid Submission identified in Section C, Bid Requirements and Information, Item 1. Key Action Dates.

f. Invitations to the Cost Opening will be sent as an email meeting notice with the Microsoft Teams link the day before the Cost Opening identified in Section C, Bid Requirements and Information, Item 1. Key Action Dates.

g. Award of an agreement resulting from this IFB will be based on lowest total cost.

h. In the event of a precise tie, if Government Code (GC) Section 14838(f) does not apply to the

Bidders, a witnessed coin toss will be conducted by the Procurement Official. If a coin toss is needed, the Procurement Official will schedule and arrange for the coin toss and non-partisan witnesses, notifying the participating bidders of the outcome of the coin toss.

5. Award and Protest

a. Whenever an agreement is awarded under a procedure, which provides for competitive bidding, but the Agreement is not to be awarded to the low bidder, the low bidder shall be notified by email, overnight courier, or personal delivery five (5) working days prior to the award of the Agreement.

b. Notice of the proposed award shall be posted for five (5) working days prior to awarding the

Agreement in a public place at SCO, 300 Capitol Mall, 15th Floor, Sacramento, CA 95814, and on the Small Business and Disabled Veteran Business Enterprises Advocate and Liaison page on SCO Website under Notice of Intent to Award Agreement at:

https://www.sco.ca.gov/sco_sb_dvbe_advocate.html..

c. If any bidder, prior to the award of agreement, files a written protest with SCO and the Department of General Services (DGS), Office of Legal Services (OLS), 707 Third Street, 7th Floor, Suite 7-330, West Sacramento, CA 95605, on the grounds that the (protesting) Bidder is the lowest responsive responsible bidder, the Agreement shall not be awarded until either the protest has been withdrawn, or DGS has decided the matter. It is suggested that bidders submit any protest by certified or registered mail.

d. Within five (5) days after filing the protest, the protesting bidder shall file with DGS, OLS and SCO, a detailed written statement specifying the grounds for the protest with DGS, OLS, and SCO. The written protest must be sent to DGS, OLS, 707 Third Street, 7th Floor, Suite 7-330, West Sacramento, CA 95605. A copy of the detailed written statement must be emailed to SCO, at SCOBids@sco.ca.gov, Attention: Contracts Office.

6. Disposition of Bids

a. Upon bid opening, all documents submitted in response to this IFB will become the property of the

State of California and will be regarded as public records under the California Public Records Act GC Section 6250 et seq. and subject to review by the public.

b. Bid packages may be returned only at the Bidder's expense, unless such expense is waived by the

SCO.

7. Agreement Execution and Performance

a. Service shall start on the express date set by SCO and the Contractor, after all approvals have been obtained and the Agreement is fully executed. Should the Contractor fail to commence work at mailto:SCOBids@sco.ca.gov https://www.sco.ca.gov/sco_sb_dvbe_advocate.html the agreed upon time, SCO - upon five (5) days’ written notice to the Contractor - reserves the right to terminate the Agreement. In addition, the Contractor shall be liable to SCO for the difference between contractor's bid price and the actual cost of performing work by the second lowest bidder, or by another contractor.

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

Agreement.

D. Participation, Preference, and Incentive Programs

The Preference and Incentive Programs listed below may be combined but will not exceed a combined total of 15 percent of the Bid amount or $100,000 per bid, whichever is less. No bid price will be reduced by more than $100,000, and all preference and incentive cost adjustments are for bid evaluation purposes only and do not alter the actual cost offered by the Bidder.

A Small Business (SB)/Microbusiness (MB) and a Disabled Veteran Business Enterprise (DVBE) must have current and valid certification through DGS, Office of Small Business and Disabled Veteran Business Enterprise Certification Services (OSDS). Completed certification applications and required support documents must be submitted to OSDS no later than 5:00 p.m. Pacific Time (PT) on the Final Date for Bid Submission and OSDS must be able to approve the application as submitted.

For certification and preference approval process information, contact OSDS by telephone at

(916) 375-4940 or access OSDS Internet website at. https://www.dgs.ca.gov/PD/Services/Page- Content/Procurement-Division-Services-List-Folder/Certify-or-Re-apply-as-Small-Business-Disabled- Veteran-Business-Enterprise?search=Office%20of%20Small%20business%20and%20DVBE%20Services

In compliance with GC Section 14837 and Military & Veterans Code (M&VC) Section 999, certified SB/MB and DVBE contractors must perform a commercially useful function (CUF). A Contractor, subcontractor, or supplier is not considered to perform a CUF if their role is limited to that of an extra participant through which funds are passed in order to obtain the appearance of participation.

At the SCO’s option, Bidders may be required to submit additional written clarifying information regarding CUF. Failure to submit the requested written information, as specified, may be grounds for rejection of the bid.

1. Disabled Veteran Business Enterprise (DVBE) Program

a. In accordance with Public Contract Code section 10115, et seq., and California Military and

Veterans Code section 999, et seq., every bidder must comply with the DVBE agreement participation requirements.

b. This solicitation requires a minimum three (3) percent DVBE participation percentage (goal).

Information and instructions with which each bidder must comply in order to achieve the three (3) percent participation goal are found at: https://www.dgs.ca.gov/- /media/Divisions/PD/OSDS/Certification/DVBE/DVBEProgramRequirements.pdf?la=en&hash=FBC

A257A3ED083F3DBB85ECEEB37013CBCF0545C

c. Only California certified DVBEs who perform a CUF relevant to this solicitation may be used to satisfy the DVBE program requirements. Bidders must complete and return the documentation as required in Attachment 7, Bidder Declaration (Written) (GSPD-05-105) to demonstrate compliance with the three (3) percent participation goal.

https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Certify-or-Re-apply-as-Small-Business-Disabled-Veteran-Business-Enterprise?search=Office%20of%20Small%20business%20and%20DVBE%20Services https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Certify-or-Re-apply-as-Small-Business-Disabled-Veteran-Business-Enterprise?search=Office%20of%20Small%20business%20and%20DVBE%20Services https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Certify-or-Re-apply-as-Small-Business-Disabled-Veteran-Business-Enterprise?search=Office%20of%20Small%20business%20and%20DVBE%20Services https://www.dgs.ca.gov/-/media/Divisions/PD/OSDS/Certification/DVBE/DVBEProgramRequirements.pdf?la=en&hash=FBCA257A3ED083F3DBB85ECEEB37013CBCF0545C https://www.dgs.ca.gov/-/media/Divisions/PD/OSDS/Certification/DVBE/DVBEProgramRequirements.pdf?la=en&hash=FBCA257A3ED083F3DBB85ECEEB37013CBCF0545C https://www.dgs.ca.gov/-/media/Divisions/PD/OSDS/Certification/DVBE/DVBEProgramRequirements.pdf?la=en&hash=FBCA257A3ED083F3DBB85ECEEB37013CBCF0545C

d. Failure to submit a completed Attachment 7, Bidder Declaration (Written) (GSPD-05-105) and Attachment 9, Disabled Veteran Business Enterprise Declarations (DGS PD 843), to show the Bidder’s compliance with the three (3) percent DVBE participation goal, may result in rejection of the Bid. Final determination of a bidder’s DVBE participation shall be at the sole discretion of SCO.

2. Disabled Veteran Business Enterprise (DVBE) Incentive

a. Firms that are DVBEs or are voluntarily utilizing DVBE subcontractors can have an incentive applied based on their level of DVBE participation identified in the Bid, not to exceed five (5) percent. The DVBE Incentive is for bid computation purposes only and is only applied to responsive bids from responsible bidders proposing DVBE participation.

b. Information and instructions on the DVBE Incentive are found at: https://www.dgs.ca.gov/- /media/Divisions/PD/OSDS/Certification/DVBE/DVBEProgramRequirements.pdf?la=en&hash=FBC

A257A3ED083F3DBB85ECEEB37013CBCF0545C

c. The incentive shall be applied as follows:

Confirmed DVBE participation of: Incentive Applied 5.0% or more 5% 4.0% to 4.99% 4% 3.0% to 3.99% 3% 2.0% to 2.99% 2% 1.0% to 1.99% 1%

d. The incentive is subject to a minimum of one (1) percent and a maximum of five (5) percent. Bids with DVBE participation of more than five (5) percent will be calculated with a five (5) percent incentive.

e. The DVBE Incentive is computed from the lowest responsive and responsible bid price.

f. The required list of California certified DVBE subcontracts must be provided on Attachment 7, Bidder Declaration (Written) (GSPD-05-105) 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 bid price (as specified in the solicitation) per subcontractor.

g. The Bidder must submit Attachment 9, Disabled Veterans Business Enterprise (DVBE) Declarations

(DGS PD 843), signed by the DVBE owner/manager.

h. When the awarded contractor has a certified DVBE perform an element of work for the Agreement, the awarded contractor shall complete a Prime Contractor’s Certification - DVBE Subcontractor Report (STD 817) within 60 days of expiration of the Agreement, and submit to SCO.

3. Small Business (SB) Preference Program

a. Current law encourages state departments to first consider a SB/MB Enterprise for contracting opportunities. SCO is committed to supporting SB/MB participation in state contracting and seeks to use certified SBs/MBs whenever possible.

https://www.dgs.ca.gov/-/media/Divisions/PD/OSDS/Certification/DVBE/DVBEProgramRequirements.pdf?la=en&hash=FBCA257A3ED083F3DBB85ECEEB37013CBCF0545C https://www.dgs.ca.gov/-/media/Divisions/PD/OSDS/Certification/DVBE/DVBEProgramRequirements.pdf?la=en&hash=FBCA257A3ED083F3DBB85ECEEB37013CBCF0545C https://www.dgs.ca.gov/-/media/Divisions/PD/OSDS/Certification/DVBE/DVBEProgramRequirements.pdf?la=en&hash=FBCA257A3ED083F3DBB85ECEEB37013CBCF0545C https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std817.pdf https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std817.pdf

b. Section 14835, et seq., of the California Government Code requires that a five (5) percent preference be given to bidders who certify as a SB/MB. The rules and regulations of this law are contained in Title 2, California Code of Regulations, Section 1896, et seq. A copy of the regulation is available upon request.

c. The SB/MB Preference may not exceed $50,000 for any bid. This preference cost adjustment is for bid evaluation purposes only and does not alter the actual cost offered by the Bidder. The SB preference is computed from the lowest responsive and responsible bid price.

4. Non-Small Business Preference Request

a. A five (5) percent bid preference is available to a non-small business claiming 25 percent California certified SB subcontractor participation. If claiming the non-small business subcontractor preference, the Bid response must include a list of the small business(es) with which you commit to subcontract in an amount of at least 25 percent of the net bid price with one or more California certified SBs.

b. The required list of California certified SB subcontracts must be provided on Attachment 7, Bidder Declaration (Written) (GSPD-05-105) 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 bid price (as specified in the solicitation) per subcontractor.

c. In granting the Non-Small Business Preference, no bid price will be reduced by more than $50,000.

This preference cost adjustment is for bid evaluation purposes only and does not alter the actual cost offered by the Bidder. The Non-SB preference is computed from the lowest responsive and responsible bid price.

d. A non-small business is defined as a responsive/responsible bidder that is not certified by the DGS OSDS as a SB/MB enterprise.

e. When the awarded contractor has a certified SB perform an element of work for the Agreement, the awarded contractor shall complete and submit biannual Prime Contractor’s Certification – Small Business Subcontractor Report on SB subcontractor utilization to the Contract Analyst in the SCO Contracts and Procurement Office. At a minimum, the report includes:

E. Required Attachments

This bid package requires completion of all attachments referenced on the required Attachment 1, Required Attachment Checklist. Exclusion of any required attachments may result in bidder’s disqualification.

ATTACHMENT 1

REQUIRED ATTACHMENT CHECKLIST

Bidder’s Name: ___________________________________________________ (Please print clearly or type) A complete bid or bid package will consist of the items identified below.

Complete, sign and date, and return this checklist with your bid submission to confirm the items in your bid.

Please initial in the Submitted to SCO box next to each item that you are submitting to SCO. For your bid to be responsive, all required attachments must be returned. Further review is subject to SCO discretion.

Requirement Description Submitted to SCO

Attachment 2 Bidder Certification Sheet Attachment 3 Bidders References Attachment 4 Contractor Point of Contact Attachment 5 Payee Data Record (STD 204) and Payee Data Record Supplement (STD 205*) Attachment 6 Contractor Certification Clauses (CCC 04/2017) Attachment 7 Bidder Declaration (Written) (GSPD-05-105) Attachment 8 California Secretary of State Certification of Status* Attachment 9 Disabled Veteran Business Enterprise (DVBE) Declarations (DGS PD 843) Attachment 10 California Civil Rights Laws Certification (DGS OLS 04) Attachment 11 Iran Contracting Act Verification Form (DGD PD 3) Attachment 12 Darfur Contracting Act Certification (DGS PD 1)* Attachment 13 Generative Artificial Intelligence (GenAI) Disclosure Attachment 14 Acknowledgement of Agreement Exhibits, Insurance, and Policies Attachment 15 Bidding Preferences and Incentives Attachment 16 Contractor/Consultant Confidentiality and Non-Disclosure Acknowledgement

(ISO-004b) Attachment 17 Contractor/Consultant Organization Information Security Agreement (ISO-004c) Attachment 18 Cost Worksheet (Submit in a separate email)

Additional Requirement Narrative Approach Additional Requirement A copy of current Series 7 License Additional Requirement A copy of Medallion Guarantee Program

Additional Requirement A copy of valid California Business License or copy of Secretary of State Certification.

Additional Requirement California Certified Small/Micro Business and/or DVBE Certification. (provide copy)

*Submit only if applicable.

Authorized Signature and Title Date

ATTACHMENT 2

BIDDER CERTIFICATION SHEET

Bidder’s Name: _____________________________________________________ (Please print clearly or type)

Complete and return this attachment with the bid submission. An individual authorized to bind the bidding firm contractually shall sign Attachment 2, Bidder Certification Sheet. The signature must indicate the title or position that the individual holds in the firm. An unsigned Bidder Certification Sheet may be rejected.

Bidder certifies the following:

A. Our all-inclusive cost is submitted as detailed in Attachment 18, Cost Worksheet.

B. All required attachments are included with this certification sheet.

C. I have read and understand the DVBE participation requirements and have included documentation demonstrating that I have met the participation goals.

D. The signature affixed hereon and dated certifies compliance with all the requirements of this bid document.

The signature below authorizes the verification of this certification.

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. Bidder’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 If yes, enter certification number:

b. Disabled Veteran Business Enterprise Yes No If yes, enter your certification number below:

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:

Completion Instructions for Bid/Bidder Certification Sheet

Complete the numbered items on the Bid/Bidder 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 to a partnership and corporation. The sole proprietor is solely liable for all the debts of the business.

Check if your firm is a partnership. A partnership is a voluntary agreement between two

(2) 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 (2) or more persons to carry on, as co-owners, a business for profit.

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.

7 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.

9 Complete, if applicable, by indicating the type of license and/or certification that your firm possesses and that is required 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

BIDDER’S REFERENCES

Bidder’s Name: ___________________________________________________ (Please print clearly or type)

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

List below three references of similar types of services performed within the last five years. References must be from sources other than the California State Controller's Office (SCO). Do not list SCO as one of your references.

REFERENCE 1

Name of Firm Street Address City State Zip Code Contact Person Direct Telephone Number Contact Person Email 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 Direct Telephone Number Contact Person Email Dates of Service Value or Cost of Service Brief Description of Service Provided

REFERENCE 3

Name of Firm Street Address City State Zip Code Contact Person Direct Telephone Number Contact Person Email Dates of Service Value or Cost of Service Brief Description of Service Provided

ATTACHMENT 4

CONTRACTOR POINT OF CONTACT

Bidder’s Name: ________________________________________________________ (Please print clearly or type)

The contact person regarding this IFB is:

Name & Title:

Address:

Phone Number: Fax Number:

Cell Phone Number:

(optional)

Email:

If awarded an agreement, the Project Coordinator for services will be:

Name & Title:

Address:

Phone Number: Fax Number:

Cell Phone Number:

(optional)

Email:

If awarded an agreement, direct all agreement inquiries to:

Name & Title:

Address:

Phone Number: Fax Number:

Cell Phone Number:

(optional)

Email:

If awarded an agreement, the name of the company officer authorized to sign the Agreement is:

Name & Title:

Address:

ATTACHMENT 5

PAYEE DATA RECORD (STD 204) AND PAYEE DATA RECORD SUPPLEMENT (STD 205*)

Payee Data Record (STD 204) is required and must be submitted.

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

*Only use Payee Data Record Supplement (STD 205) to provide a remittance address if different from the mailing address for information returns, or to make subsequent changes to the remittance address https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std205.pdf

ATTACHMENT 6

CONTRACTOR CERTIFICATION CLAUSES (CCC 04/2017)

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

ATTACHMENT 7

BIDDER DECLARATION (WRITTEN) (GSPD-05-105)

All bidders must complete the Bidder Declaration (Written) GSPD-05-105 and include it with the Bid Submission. When completing the declaration, bidders must identify all subcontractors proposed for participation in the Agreement. Bidders awarded an agreement are obligated contractually to use the subcontractors for the corresponding work identified unless SCO agrees to a substitution, and it is incorporated by amendment into the Agreement.

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

ATTACHMENT 8

CALIFORNIA SECRETARY OF STATE CERTIFICATION OF STATUS*

California Secretary of State Certification of Status is required if your company is a corporation, limited liability company (LLC), or limited partnership (LP). Required document(s) may be obtained at the following website:

https://bizfileonline.sos.ca.gov/search/business

ATTACHMENT 9

DISABLED VETERAN BUSINESS ENTERPRISE (DVBE) DECLARATIONS (DGS PD 843)*

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

ATTACHMENT 10

CALIFORNIA CIVIL RIGHTS LAWS CERTIFICATION (DGS OLS 04)

http://www.documents.dgs.ca.gov/dgs/fmc/dgs/ols004.pdf

ATTACHMENT 11

IRAN CONTRACTING ACT VERIFICATION FORM (DGS PD 3)

https://www.dgs.ca.gov/-/media/A7EE965578CA4CC1A63087423C7BED0C.ashx https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std205.pdf https://www.dgs.ca.gov/-/media/Divisions/OLS/Resources/CCC-042017.pdf?la=en&hash=4DE3E4DC414511AE378794200BA43EBF91C758EE https://www.dgs.ca.gov/-/media/Divisions/OLS/Resources/CCC-042017.pdf?la=en&hash=4DE3E4DC414511AE378794200BA43EBF91C758EE http://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/gspd05-105.pdf https://bizfileonline.sos.ca.gov/search/business https://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/pd_843.pdf http://www.documents.dgs.ca.gov/dgs/fmc/dgs/ols004.pdf https://www.dgs.ca.gov/-/media/A7EE965578CA4CC1A63087423C7BED0C.ashx

ATTACHMENT 12

DARFUR CONTRACTING ACT CERTIFICATION (DGS PD 1)*

http://www.documents.dgs.ca.gov/dgs/FMC/GS/PD/PD_1.pdf

*Submit only if applicable

NOTE: The fill and print forms are available at the links provided. Please email SCOBids@sco.ca.gov if you are unable to access the links provided. Attachments 5-7 and 9-11 must be submitted with the Bid.

http://www.documents.dgs.ca.gov/dgs/FMC/GS/PD/PD_1.pdf

ATTACHMENT 13

GENERATIVE ARTIFICIAL INTELLIGENCE (GENAI) DISCLOSURE

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

Bidder/Offeror must notify the State in writing if it: (1) intends to provide GenAI as a deliverable to the State; or (2), intends to utilize GenAI, including GenAI from third parties, to complete all or a portion of any deliverable that materially impacts: (i) functionality of a State system, (ii) risk to the State, or (iii) Contract performance. For avoidance of doubt, the term "materially impacts" shall have the meaning set forth in State Administrative Manual (SAM) 4986.2.

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

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

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

Bidder / Offeror must check the appropriate box from the choices below.

☐ Generative Artificial Intelligence (GenAI) will be used while providing services during the term of this agreement and may materially impact (check all that apply):

☐ Functionality of the system ☐ Risk to the State ☐ Contract performance

☐ Generative Artificial Intelligence (GenAI) will not be used while providing services during the term of this agreement.

Name of Bidder / Offeror:

Signature and Date:

ATTACHMENT 14

ACKNOWLEDGEMENT OF AGREEMENT EXHIBITS, INSURANCE, AND POLICIES

Bidder’s Name: _____________________________________________________________ (Please print clearly or type)

Complete and return a signed copy of this attachment with the Bid.

Agreement Exhibit A, Scope of Work Exhibit A, Samples Exhibit A, Attachment 1 – Small Business Subcontracting Report Exhibit B, Budget Detail and Payment Provisions Exhibit B, Attachment 1, Cost Worksheet.

Note: Attachment 18, Cost Worksheet to be inserted upon agreement award Exhibit C, General Terms and Conditions (GTC 02/2025) version available here:

https://www.dgs.ca.gov/-/media/Divisions/OLS/Resources/GTC-Updates/GTC-225-February- 2025.pdf Exhibit D, Special Terms and Conditions

The Bidder acknowledges their ability to meet the requirements within the Agreement:

Bidder must provide insurance certificates within 10 business days of agreement award. See Exhibit D, Special Terms and Conditions, Section A. Insurance Requirements for complete requirements.

I certify that we have received, reviewed, and accepted all requirements in this IFB, Agreement, and Exhibits and can meet the insurance requirements.

Authorized Signature Date

Name of Contractor Firm

Name…