Primary_RFP__2026-ENF-00166_Court_Reporting_Services.pdf

TABLE OF CONTENTS

REQUEST FOR PROPOSAL (RFP) - PRIMARY 1

1. INTRODUCTION 3

1.1. BACKGROUND 3

1.2. PURPOSE OF THE RFP 3

1.3. KEY ACTIVITIES AND DATES 3

1.4. TERM OF CONTRACT AND AVAILABLE FUNDING 4

1.5. AMENDMENT 4

1.6. ELIGIBLE PROPOSERS 5

1.7. QUESTIONS AND ANSWERS 5

1.8. ADDENDA 5

1.9. CONTACT INFORMATION 6

2. RESPONSE TO RFP 6

2.1. ABOUT THIS SECTION 6

2.2. PRIMARY RFP DEFINED 7

2.3. INSTRUCTIONS FOR ELECTRONIC SUBMISSIONS OF PROPOSALS 7

2.4. RFP CONTENT 7

2.4.1. ADMINISTRATIVE RESPONSES 8

2.4.2. TECHNICAL AND COST PROPOSAL RESPONSES 8

2.4.2.1. RFP TECHNICAL AND COST PROPOSAL RESPONSES 8

2.4.3. ADDITIONAL INFORMATION/PROVISIONS 12

3. ASSESSMENT PROCESS AND CRITERIA 13

3.1. ABOUT THIS SECTION 13

3.2. PROPOSAL ASSESSMENT 13

3.3. RFP REVIEW AND COMPARISON 13

3.4. ASSESSMENT STAGES 14

3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING 14

3.4.2. STAGE TWO: TECHNICAL ASSESSMENT OF PROPOSALS 15

3.4.3. STAGE THREE: COST PROPOSAL OPENING AND ASSESSMENT 19

3.4.4. TIE BREAKER 20

3.4.5. GROUNDS FOR REJECTION 20

3.4.6. NOTICE OF PROPOSED AWARD (NOPA) 21

3.4.7. PROTEST PROCEDURES 21

3.4.8. REJECTION OF AWARD BY CONTRACTOR 22

4. BUSINESS PARTICIPATION PROGRAMS (PREFERENCES/INCENTIVES) 23

4.1. REQUIRED FORMS 23

4.2. PREFERENCE PROGRAMS 23

4.2.1. DISABLED VETERAN BUSINESS ENTERPRISE (DVBE) 23

4.2.1.1. DVBE PARTICIPATION COMPLIANCE REQUIREMENT 23

4.2.1.2. DVBE DEFINITION 24

4.2.1.3. DVBE CERTIFICATION AND ELIGIBILITY 24

4.2.1.4. PRINTING/COPYING SERVICES NOT ELIGIBLE 24

4.2.1.5. COMMERCIALLY USEFUL FUNCTION (CUF) 24

4.2.1.6. INFORMATION VERIFIED 25

4.2.1.7. DVBE REPORT 25

4.2.1.8. THE OFFICE OF SMALL BUSINESS AND DVBE SERVICES (OSDS) 26

4.2.1.9. DVBE LAW 26

4.2.1.10. DVBE INCENTIVE 27

4.2.2. SMALL BUSINESS / MICROBUSINESS / NON-SMALL BUSINESS PREFERENCE 28

4.2.2.1. CERTIFICATION 28

4.2.2.2. NON-PROFIT VETERAN SERVICE AGENCY 28

4.2.2.3. DEFINITIONS 29

4.2.2.3.1. SMALL BUSINESS 29

4.2.2.3.2. MICROBUSINESS 29

4.2.2.3.3. NON-PROFIT VETERAN SERVICE AGENCY 29

4.2.2.4. COMMERCIALLY USEFUL FUNCTION 30

4.2.2.5. LATE PAYMENT OF INVOICES 30

4.2.2.6. SMALL BUSINESS / MICROBUSINESS LAW 30

4.2.2.6.1. NON-SMALL BUSINESS 30

4.2.2.6.2. CERTIFICATION 31

4.2.2.7. NON-SMALL BUSINESS LAW 31

4.2.2.8. SMALL BUSINESS PREFERENCE EXAMPLE (SINGLE AWARD): 31

4.2.2.9. CALCULATION OF MULTIPLE PREFERENCES 32

5. ADMINISTRATION 33

5.1. SOFTWARE APPLICATION DEVELOPMENT 33

5.2. DARFUR CONTRACTING ACT OF 2008 33

5.3. CALIFORNIA CIVIL RIGHTS LAW 34

5.4. EXECUTIVE ORDER N-6-22 - RUSSIA SANCTIONS 34

5.5. ADDITIONAL PROVISIONS 34

5.5.1. AGREEMENT REQUIREMENTS 34

5.5.2. NO CONTRACT UNTIL SIGNED & APPROVED 34

5.5.3. IMMATERIAL DEFECT 35

5.5.4. GENAI DISCLOSURE NOTIFICATION CLAUSE 35

ATTACHMENT 1: REQUIRED ATTACHMENT CHECKLIST 36

ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION 37

ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS 38

ATTACHMENT 4: BIDDER DECLARATION 39

ATTACHMENT 5: CONTRACTOR CERTIFICATION CLAUSE (CCC 04/2017) 40

ATTACHMENT 6: PAYEE DATA RECORD 41

ATTACHMENT 7: SMALL BUSINESS CERTIFICATION 42

ATTACHMENT 8: COVER LETTER 43

ATTACHMENT 9: PROPOSAL 44

ATTACHMENT 10: PREVIOUS WORK PROJECTS 45

ATTACHMENT 11: CLIENT REFERENCES 46

ATTACHMENT 12: RESUMES 47

ATTACHMENT 13: COST WORKSHEET 48

EXHIBIT A: SCOPE OF WORK (SOW) 49

BACKGROUND 49

1. PURPOSE OF THIS RFP 49

2. AGREEMENT CONTACTS 49

3. MINIMUM CONTRACTOR QUALIFICATIONS 50

4. SERVICE DETAILS 51

4.1. AREAS OF SERVICE 52

5. TASK AND DELIVERABLES 52

6. ADDITIONAL SERVICE DETAILS 56

7. DEFINITIONS 61

8. AMENDMENTS 64

SAMPLE STANDARD AGREEMENT 66

EXHIBIT A1: CONTRACTOR'S PROPOSAL 67

EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISION 68

1. INVOICING AND PAYMENT 68

2. BUDGET CONTINGENCY CLAUSE 69

3. PROMPT PAYMENT CLAUSE 69

4. PAYMENT DETAIL 69

EXHIBIT B1: CONTRACTOR'S RATES 70

EXHIBIT C: GENERAL PROVISIONS 71

EXHIBIT D: ADDITIONAL CONTRACT REQUIREMENTS 72

1. Special Terms and Conditions 72

2. Amendments 74

3. Insurance Requirements 75

4. General Provisions Applying to All Insurance Policies 77

EXHIBIT E: ADDITIONAL PROVISIONS 80

1. TRAVEL AND PER DIEM 80

2. PROGRESS PAYMENTS 80

3. SOLE PROPRIETOR 80

4. RFP AND PROPOSAL 80

5. RESUMES AND CONTRACT PARTICIPANTS 80

EXHIBIT F: CONFIDENTIALITY AND DATA SAFEGUARDS 81

1. DEFINITIONS 81

2. DATA PRIVACY AND CONFIDENTIALITY 81

3. DATA PROTECTION 82

4. SURVIVAL 83

REQUEST FOR PROPOSAL (RFP) -

PRIMARY

REQUEST FOR PROPOSAL - PRIMARY

Shorthand Court Reporting Services

RFP #2026-ENF-00166

September 04, 2026 @ 12:00 PM

You are invited to review and respond to the California Department of Financial Protection and Innovation (DFPI) Request for Proposal (RFP) Primary #2026-ENF-00166, for attorney and messenger services In submitting your proposal, you must comply with the instructions found herein.

All agreements with the State of California include by reference General Terms and Conditions for non-IT services and Contractor Certification Clauses, CCC 04/2017.

In submitting a response to this RFP, it is each proposer’s responsibility to monitor the Department of General Services, California State Contracts Register (CSCR) on the Cal eProcure website:

www.caleprocure.ca.gov for any changes or updates. Proposers are advised to register at the website to receive notification in reference to any changes or updates to this solicitation, and to receive notification of other bidding opportunities with the State of California.

In the opinion of DFPI, this RFP is complete without need of explanation. However, if you have questions, or should you need any clarifying information, the contact person for this RFP is:

Department Contact:

Natasha Chiu Business Operations Office

Department of Financial Protection and Innovation

Phone: 916-980-6224 Email: solicitation5@dfpi.ca.gov

1. INTRODUCTION

1.1. BACKGROUND

The DFPI provides protection to consumers and services to businesses engaged in financial transactions. The DFPI regulates a variety of financial services, products and professionals. The DFPI 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 DFPI licenses and regulates a variety of financial businesses, including securities brokers and dealers, investment advisers, deferred deposits (commonly known as payday loans) and certain fiduciaries and lenders. The DFPI also regulates the offer and sale of securities, franchises and off-exchange commodities.

1.2. PURPOSE OF THE RFP

The California Department of Financial Protection and Innovation (DFPI) is soliciting proposals from certified court reporters to provide Court Reporting Services. DFPI is seeking certified shorthand reporter services on an “as needed” basis in accordance with the Scope of Work for hearings, formal and informal testimonies/ meetings, depositions/video depositions and real-time reporter services. Certified transcripts may be needed upon request.

Services are required statewide in (Alameda, Alpine, Amador, Butte, Calaveras, Colusa, Contra Costa, Del Norte, El Dorado, Fresno, Glenn, Humboldt, Imperial, Inyo, Kern, Kings, Lake, Lassen, Los Angeles, Madera, Marin, Mariposa, Mendocino, Merced, Modoc, Mono, Monterey, Napa, Nevada, Orange, Placer, Plumas, Riverside, Sacramento, San Benito, San Bernadino, San Diego, San Francisco, San Joaquin, San Luis Obispo.

San Mateo, Santa Barbara, Santa Clara, Santa Cruz, Shasta, Sierra, Siskiyou, Solano, Sonoma, Stanislaus, Sutter, Tehama, Trinity, Tulare, Tuolumne, Ventura, Yolo, and Yuba counties). Additional services may be needed outside of California.

Proposals must address all the services described in the Scope of Work.

1.3. KEY ACTIVITIES AND DATES

Key activities, including dates and times for this RFP are presented below. An addendum will be released if the dates with asterisks change for the activities below. All dates after the Final Date for Proposal Submission are approximate and may be adjusted as conditions indicate, without addendum to this RFP.

EVENT DATE AND TIME

RFP Available to Prospective Proposers September 04, 2026 @ 12:00 PM

Vendor Questions Submittal Deadline* September 10, 2026 @ 03:00 PM

Answer to Questions Posted on Cal-eProcure September 17, 2026 @ 04:00 PM

Final Date and Time for Proposal Submission September 24, 2026 @ 03:00 PM

Anticipated Date of Cost Proposal Opening September 29, 2026 @ 10:00 AM

Anticipated Notice of Award October 02, 2026

Anticipated Contract Start Date October 26, 2026

Cost opening Teams meeting details in section Section 3.4.3. STAGE THREE: COST PROPOSAL OPENING

AND ASSESSMENT.

1.4. TERM OF CONTRACT AND AVAILABLE FUNDING

Effective upon approval of Department of General Service (DGS), the term of the agreement is Twenty-four (24) months, with an anticipated start date of October 26, 2026. The contract term dates shall be from October 26, 2026 to October 25, 2028. Contractor shall not begin work until Contractor receives a formal notification by the DFPI Contract Manager.

The approved funding for this agreement is $60,000.00. The Contractor shall be paid upon the successful completion and DFPI acceptance of each deliverable.

DFPI reserves the right to reduce the contract amount to an amount deemed appropriate in the event the budgeted funds do not provide full funding for DFPI contracts. In this event, the Contractor and Project Representative shall meet and reach agreement on a reduced scope of work commensurate with the level of available funding.

The agreement is valid and enforceable only if sufficient funds are made available by the Budget Act of the appropriate fiscal year for the purposes of this program. The agreement is subject to any additional restriction, limitations, or conditions enacted by the Legislature, which may affect the provisions, terms, or funding of the agreement in any manner.

1.5. AMENDMENT

The Agreement may be amended for money and/or time upon mutual written consent by both parties through a formal amendment. Additional time should not exceed one year. Additional funding should be determined by rates listed in this RFP. By submitting a proposal for this agreement, the awarded contractor agrees to adhere to rates listed in the provided cost sheet. The agreement amount, including amendments, cannot exceed DFPI’s Delegated Purchasing Authority.

1.6. ELIGIBLE PROPOSERS

This is an open solicitation for public and private entities. Each agreement resulting from this solicitation includes terms and conditions that set forth the Contractor’s rights and responsibilities. Note that all Agreements entered with DFPI will include by reference General Terms and Conditions that may be viewed and downloaded at the internet site:

https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standar d-Contract-Language

DFPI will not award agreements to entities who do not agree to the General Terms and Conditions. DFPI reserves the right to modify the terms and conditions prior to executing agreements.

The Proposer must own and operate a legitimate business. If required by law, the Proposer must be registered and in good standing with the California Secretary of State. All businesses that are required to be registered with the California Secretary of State must be registered prior to the date of the Agreement Award.

1.7. QUESTIONS AND ANSWERS

During the RFP process, questions for clarification about this RFP must be submitted via the online submission portal. All questions must be received on or before September 10, 2026 @ 03:00 PM.

Any verbal communication with a DFPI employee concerning this RFP is not binding to the State and shall in no way alter the specification, term, or conditions of the RFP.

DFPI reserves the right to not respond to Vendor questions submitted after the submission deadline listed in Section 1.3. KEY ACTIVITIES AND DATES.

1.8. ADDENDA

DFPI reserves the right to amend, alter, or change the rules and conditions of this RFP. Any ambiguity, conflict, discrepancy, omission, or other error discovered in the RFP should immediately be reported to DFPI prior to the deadline for submission of proposals. DFPI will issue addenda to address such issues.

1.9. CONTACT INFORMATION

Natasha Chiu Business Operations Office Department of Financial Protection and Innovation 651 Bannon St., Suite 300 Sacramento, CA 95811 Phone: (916) 980-6224

2. RESPONSE TO RFP

2.1. ABOUT THIS SECTION

This RFP contains the instructions governing the requirements for a firm proposal to be submitted by interested proposers, the format in which the technical information is to be submitted, the material to be included, the requirements which must be met to be eligible for consideration, and Proposer responsibilities. Proposers must take the responsibility to carefully read the entire RFP, ask appropriate questions in a timely manner, submit all required responses in a complete manner by the required date and time, and ensure all procedures and requirements of the RFP are followed and appropriately addressed.

Responses to this solicitation shall be in the form of an Administrative, Technical and Cost Proposal according to the format described in this RFP.

• The Administrative response shall include all required administrative documents which meet minimum standards and format requirements.

• The Technical Proposal shall document the Proposer’s work plan, experience, qualifications, and organizational structure demonstrating their ability to perform services outlined in EXHIBIT A: SCOPE OF WORK (SOW) > Section 4. SERVICE DETAILS.

• The Cost Proposal shall detail the Proposer’s rate to perform services outlined in EXHIBIT A: SCOPE OF WORK (SOW) > Section 4. SERVICE DETAILS ..

Proposals received after the due date and time will not be considered.

2.2. PRIMARY RFP DEFINED

The competitive method used for this procurement of services is a Request for Proposal (RFP) Primary. A proposal submitted in response to this RFP will be evaluated for format requirements and minimum standards, technical assessment for evaluation and scoring of bidders to meet minimum points, and lastly cost evaluation for lowest bid. The contract must be awarded to the lowest-cost responsible proposer.

2.3. INSTRUCTIONS FOR ELECTRONIC SUBMISSIONS OF

PROPOSALS

Please read these submission instructions carefully. Failure to follow these instructions may result in proposals not being accepted.

• All proposals can be submitted through the portal. Submissions made through DFPI’s Authorium portal shall be considered sealed, consistent with the intent of SCM Volume I, Section 5.20. Sealed cost proposals will be opened publicly via Microsoft Teams, as outlined in Section 1.3. KEY ACTIVITIES AND

DATES.

• DFPI will only accept ONE proposal submission per Proposer via our Authorium online portal.

• Proposals must be received no later than September 24, 2026 @ 03:00 PM. Proposals received after the specified date and time may be rejected.

• It is the Proposer’s responsibility to ensure that submissions are complete and include all requested materials. The information contained therein will be the only material that will be reviewed by the evaluation team for the purpose of scoring the proposals for this RFP.

• DFPI accepts no responsibility for any technical difficulties or delays associated with the electronic submission and transmission of any proposals.

If Proposers encounter any difficulties uploading proposals, they must promptly notify DFPI contract analyst Natasha Chiu via email at solicitation5@dfpi.ca.gov.

2.4. RFP CONTENT

A complete RFP proposal will consist of all the required attachments listed on the ATTACHMENT 1:

REQUIRED ATTACHMENT CHECKLIST and is detailed further in the sections below. All documents requiring a signature must bear the signature of a person authorized to bind the proposing firm.

Failure to submit ALL the documents outlined in Section 2.4.1. ADMINISTRATIVE RESPONSES and

Section 2.4.2. TECHNICAL AND COST PROPOSAL RESPONSES shall cause a proposal to be deemed non-responsive and therefore ineligible for the next steps of the RFP evaluation process.

2.4.1. ADMINISTRATIVE RESPONSES

The Proposer shall complete and submit ALL of the applicable documents for their bid to be considered responsive. See Section 4. BUSINESS PARTICIPATION PROGRAMS (PREFERENCES/INCENTIVES) and Section 5. ADMINISTRATION.

A. ATTACHMENTS:

1. ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION

2. ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS (if applicable)

3. ATTACHMENT 4: BIDDER DECLARATION

4. ATTACHMENT 5: CONTRACTOR CERTIFICATION CLAUSE (CCC 04/2017)

5. ATTACHMENT 6: PAYEE DATA RECORD

6. ATTACHMENT 7: SMALL BUSINESS CERTIFICATION (if applicable)

2.4.2. TECHNICAL AND COST PROPOSAL RESPONSES

The Proposer must complete and submit ALL of the following documents for their bid to be considered responsive:

A. ATTACHMENTS:

1. ATTACHMENT 8: COVER LETTER

2. ATTACHMENT 9: PROPOSAL

3. ATTACHMENT 10: PREVIOUS WORK PROJECTS

4. ATTACHMENT 11: CLIENT REFERENCES

5. ATTACHMENT 12: RESUMES

6. ATTACHMENT 13: COST WORKSHEET

2.4.2.1. RFP TECHNICAL AND COST PROPOSAL RESPONSES

The Proposer providing the services described herein must complete and submit ALL the following documents for their proposal to be considered responsive:

A. ATTACHMENT 8: COVER LETTER

The response must contain a signed cover letter on the respondent’s official business letterhead stationery.

The cover letter must contain a statement that substantiates that the person who signs the letter is authorized to bind the respondent’s firm contractually. The signature on the cover letter must indicate the title or position that the signer holds in the company and the respondent’s point of contact.

B. ATTACHMENT 9: PROPOSAL

Proposers are asked to restrict their response to the RFP to between 5-10 pages, single-spaced, Arial 11

pt. font. Pages must be numbered, and sections titled. Headers must include the RFP number and name of vendor. Documents must be submitted as a PDF file.

In responding to this RFP, Proposers must describe their detailed work plan, relevant experience, qualifications, organizational structure and explain what capacities and experiences uniquely set them apart to be the best candidate for this agreement. Proposers are encouraged to review the Assessment section of this RFP to understand how responses will be evaluated.

1. Work Plan

Describe the approach to providing services listed in the EXHIBIT A: SCOPE OF WORK (SOW), highlighting any outstanding features, qualifications, and experience. Proposers must demonstrate their ability to follow directions given by the Department of Financial Protection and Innovation (DFPI) staff when given an assignment. Proposers must show their ability to provide deliverables within prescribed or requested timeframes, and provide a clear timeline on how a service request is completed.

Proposer shall identify each service listed, and describe their approach and/or methods used to complete each service request. Proposers are strongly encouraged to be as specific as possible when describing their approach and methods to completing each service request.

The proposer must provide a description of their capabilities in being able to fulfill each service outlined in the Scope of Work, and their capacity to handle service of process and attorney messenger services in California as well as the United States when required. Express understanding of DFPI needs and the importance of these services.

Proposers must identify subcontractors who may be used to fulfill services outlined in the SOW.

Subcontractor’s relevant experience must also be provided. Be specific regarding the services Subcontractors may be used for and include examples of past collaborations with your company, if available.

2. Relevant Experience and Qualifications

• Describe your experience delivering the same or similar services, as listed in the Scope of Work, to large employers and public employers. This description must include years of experience in each category. A minimum of three years' experience performing attorney services for government agencies is preferred.

3. Organizational Structure

• Describe the organizational structure of the Proposer, including providing an organizational chart of the entire contract team.

• Provide a short description of each key member of the team. Describe the relationship between the Contractor and Subcontractors (if applicable) on your team.

• Identify the locations of the Proposer and Subcontractor’s (if applicable) headquarters and satellite office(s) and proposed methods of minimizing costs to the State. This should include locations in, or within 25 miles of, Sacramento, Los Angeles, San Diego and San Francisco.

C. ATTACHMENT 10: PREVIOUS WORK PROJECTS

Each Proposer shall provide at least one copy of a verifiable written work that is similar in nature to the proposed services needed. If subcontractors are used, each Subcontractor shall also submit one example work that demonstrates experience in potential work assignments described in this RFP. Proposers are encouraged to review the Assessment section of this RFP to understand how responses will be evaluated.

D. ATTACHMENT 11: CLIENT REFERENCES

Provide three (3) customer references using the client references attachment. DFPI or DBO cannot be the customer reference. Proposers are encouraged to review the Assessment section of this RFP to understand how responses will be evaluated. The reference information for the company must include the following:

a. Name of customer organization

b. Name of the project

c. Company’s role or the project

d. Types of services provided

e. Customer’s point of contact, including email address and phone number

E. ATTACHMENT 12: RESUMES

Resumes of Project Manager(s) and lead staff. Resume entries should clearly demonstrate the experience and/or training requirements described in the EXHIBIT A: SCOPE OF WORK (SOW).

An acceptable resume must include the individual’s experience and education, any applicable credentials and certifications, current work history and a summary of similar work performed.

Sufficient detail must be included to confirm the experience cited, including an explicit statement regarding the total cumulative time for the similar work performed on each project.

F. ATTACHMENT 13: COST WORKSHEET

Complete and submit the Cost Worksheet. This form cannot be modified. Modification of this form or submission of additional cost information may result in bidder being deemed non-responsive.

1. The Proposer must submit information on all pages of the Cost Worksheet and this will be deemed the equivalent of a formal Cost Proposal.

2. The Cost Worksheet will be used for the contract prepared with the awarded Proposer.

3. The rates provided on the Cost worksheet become part of the final agreement. The entire term of the agreement and projected rate increases must be considered when preparing the Cost Worksheet. The rates for the bids are considered capped for the term of the agreement and shall not change during the term of this Agreement.

It is important to note that offers submitted are not considered “confidential” under the Public Records Act after the proposals are opened by DFPI. Any bid to the RFP marked confidential or containing stipulations restricting public access to its contents shall not be accepted.

Proposals will be evaluated based on Proposal, Previous Work projects, Client references, and

Cost Worksheet.

Refer to Section 3.4. ASSESSMENT STAGES of the RFP for details of how the proposal will be evaluated.

2.4.3. ADDITIONAL INFORMATION/PROVISIONS

A. ERRORS

If a Proposer discovers any ambiguity, conflict, discrepancy, omission, or other error in the RFP, the Proposer shall immediately notify DFPI of such error in writing and request modification or clarification of the document. Modifications or clarifications will be given by written notice to all parties who requested the RFP, without divulging the source of the request for clarification. DFPI shall not be responsible for failure to correct errors.

B. COST OF DEVELOPING PROPOSAL

Costs incurred for developing proposals and in anticipation of award of the agreement are entirely the responsibility of the proposer and shall not be charged to the State of California.

C. PRINTING SERVICES

Per Management Memo 07-06, State Agencies must procure printing services through the Office of State Publishing (OSP). Proposers shall not include printing services in their proposals.

D. MODIFICATION OR WITHDRAWAL OF PROPOSAL

A proposal submitted prior to the submission deadline can be withdrawn or modified by the submitting proposer. The proposer must:

• Provide a written request

• Identify the requesting individual and their association with the Proposer

Proposals cannot be changed after the submission deadline. A proposal cannot be “timed” to expire on a specific date. For example, a statement such as “This proposal and the cost estimate are valid for 60 days,” is non-responsive to the RFP. A proposal cannot be withdrawn after the submission deadline has passed.

E. CANCELLATION AND AMENDMENTS TO THE RFP

DFPI reserves the right to do any of the following:

• Cancel this RFP;

• Amend this RFP, as needed; or

• Reject any or all proposals received in response to this RFP in accordance with applicable law.

If the RFP is amended, DFPI will post the addendum to the RFP on the CaleProcure website where the event is posted and email a link to all Proposers expressing interest prior to RFP submission due date.

3. ASSESSMENT PROCESS AND CRITERIA

3.1. ABOUT THIS SECTION

This section explains how the proposals will be assessed. The assessment process and criteria describes the assessment stages and evaluation of all proposals.

3.2. PROPOSAL ASSESSMENT

Proposals will be evaluated and scored based on their response to the information requested in this RFP. The entire assessment process is confidential. To assess all proposals, DFPI will organize an Assessment Team. They will review all proposals that have passed Section 3.4.1. STAGE ONE:

ADMINISTRATIVE AND COMPLETENESS SCREENING. The identity of the assessors will be kept confidential during the selection process. A multi-stage assessment process will be used to review and score the proposal. The DFPI will reject any proposal that is found to be non-responsive at any stage of the assessment. All responsive bidders that meet the minimum score required to pass the technical assessment stage will move forward to have their cost proposal (Attachment 13) publicly opened for assessment. Award of the contract, if made from this RFP, will be to the lowest-cost responsible proposer.

3.3. RFP REVIEW AND COMPARISON

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

DFPI shall then review proposals which meet the submission requirements to determine its responsiveness to the RFP content. If a contractor's proposal submission is missing information required in either the Administrative, Technical and/or Cost Proposal responses, their proposal may be deemed not responsive.

Further review is subject to DFPI’s discretion.

The award of a contract, if made from this RFP, will be to the lowest-cost responsible proposer.

Comparison criteria will include:

• Does the offer comprehensively address the requirements identified in the EXHIBIT A: SCOPE OF WORK

(SOW)?

• Are references from previous projects similar in nature to the work identified in the EXHIBIT A: SCOPE OF

WORK (SOW)?

• Do the assumptions used in developing the offer correlate with the EXHIBIT A: SCOPE OF WORK (SOW), and are they reasonable?

• Do resumes for proposed staff identify adequate experience / knowledge to support the EXHIBIT A:

SCOPE OF WORK (SOW)?

• Is the cost competitive?

The proposals will go through 3 assessment review stages. Stage one will be the administrative & completeness screening, stage two technical assessment of proposal, and lastly stage three cost assessment.

3.4. ASSESSMENT STAGES

The proposals will be assessed in the following stages.

3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING

After the deadline for receipt of proposals, each proposal received prior to the time and date set for receipt of proposals is reviewed by the Acquisitions Services Unit (ASU) for compliance with administrative requirements and completeness. The Proposer must submit all required documents listed on ATTACHMENT 1: REQUIRED ATTACHMENT CHECKLIST to be responsive.

If a Proposal is not rejected for reasons stated in Section 3.4.5. GROUNDS FOR REJECTION, it may still be rejected if it does not meet the Proposal requirements.

A proposal that meets the basic format requirements, initial qualification requirements, and contains the required documentation is considered a responsive bidder and will move forward to the technical stage of assessment for scoring. A proposal that fail Section 3.4.1. STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING is a non-responsive proposal and will be disqualified and eliminated from further assessment.

3.4.2. STAGE TWO: TECHNICAL ASSESSMENT OF PROPOSALS

Proposals passing stage one will be submitted to the Assessment Team to review and score based on the Assessment Criteria listed in this section. The Assessment Team may, at its discretion, seek clarification at any point on the written technical Proposal through a conference call, email, or interview with the affected Proposer.

The total score for each proposal will be the average of the combined scores of all Technical Assessment Team members.

After Section 3.4.2. STAGE TWO: TECHNICAL ASSESSMENT OF PROPOSALS scoring is complete, Proposers not attaining a score of 70% percent of the technical total possible points (115 points) will be eliminated from further assessment. Proposers that attain the minimum score, will move forward to the Cost Proposal assessment.

A ten (10) scale will be used to score the Proposer’s responses to this RFP, for Criteria 1,2, and 3. A five (5) point scale will be used to score the Proposer’s responses to this RFP, for criterion 4. Proposers will be awarded points based on the point assignment criteria. Proposers will be awarded points based on the point assignment criteria described below for criteria 1,2, 3and 4.

Point Range Interpretation General Basis For Point

Assignment

0 Inadequate The Proposal does not address the criteria, provides an unclear or confusing description of the criteria, or otherwise contains fatal flaws or omissions.

1-5 Barely Adequate The Proposal addresses the core component of the criteria, but contains substantial flaws or omissions, or is vague.

5-8 Adequate The Proposal addresses the core component of the criteria and does so in a manner that is clear and fully meets the expectations. Any flaws or omissions are inconsequential.

8-10 Excellent The Proposal fully addresses the criteria in a clear and concise manner. The Proposal has one or more enhanced features or methods that will enable performance to exceed expectations.

Point Range Interpretation General Basis For Point

Assignment

0 Inadequate The Proposal does not address the criteria, provides an unclear or confusing description of the criteria, or otherwise contains fatal flaws or omissions. Does not offer the services outlined.

1-2 The Proposal addresses the core component of the criteria, but contains substantial flaws or omissions, or is vague.

3-4 The Proposal addresses the core component of the criteria and does so in a manner that is clear and fully meets the expectations. Any flaws or omissions are inconsequential.

Proposers will be awarded points based on the point assignment criteria described below:

The Proposer demonstrates the tangible results that it expects to achieve.

The Proposer expresses the capacity to perform this work in an efficient and timely manner.

The Proposer expresses, in their own words, their understanding of the DFPI needs and the importance of these services.

2) Total Score - General Competency 40

Proposer demonstrates the ability to provide requested services (reporters are qualified and have requisite experience.

The Proper demonstrates capacity to provide requested services (either in-house or sub-contracted).

The Proposal contains examples of prior work product(s) that highlights the Proposer’s competency related to services required. The Proposal includes compelling and/or laudatory references from prior clients.

5 Excellent The Proposal fully addresses the criteria in a clear and concise manner. The proposal clearly identifies the services offered.

Points Possible

1) Total Score - Executive Summary 30

2) Total Score - General Competency 40

Proposer clearly identifies having an office in a preferred location (2 points each): Sacramento, Los Angeles, San Diego, San Francisco, out of State

3) Total Score – Proposer’s Experience 30

Proposer’s experience (as an entity) delivering the same or similar services to large employers.

Proposer’s experience delivering the same or similar services to public employers.

Years of experience offering Certified shorthand court reporting services: 1-3 years ; 4-6 years ; 7-9 years, more than 10 years

4) Total Score – Detailed Work Plan 15

The Proposal articulates a clear methodology for conducting services required.

Proposer demonstrates the ability to provide deliverables within prescribed or requested timeframes.

The Proposal articulates an understanding of the need to ensure the confidentiality of sensitive information gathered as part of the program.

Total Technical Assessment Scores Total Points

1 - Executive Summary 30

2 - General Competency 40

Total Technical Assessment Scores Total Points

3 - Detailed Work Plan 30

4 - Proposer's Experience 15

3.4.3. STAGE THREE: COST PROPOSAL OPENING AND ASSESSMENT

Bidders that receive the minimum points required from the technical assessment evaluation will have their Cost proposals ATTACHMENT 13: COST WORKSHEET publicly opened for assessment. At this time, the Small Business (SB) Preferences and/or DVBE Incentive Calculations will be applied as appropriate. The application of the Small Business (SB) Preference and DVBE incentives may result in the displacement of a previously lowest-cost responsible bidder.

Sealed cost proposals will be publicly opened and read via a TEAMS link. You may participate using the link provided below.

Microsoft Teams meeting

Join: https://teams.microsoft.com/meet/226518553413990?p=xpOpMIxE4mwz3t erKV Meeting ID: 226 518 553 413 990 Passcode: 3iZ7fX7p

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Dial in by phone

+1 916-409-6163,,856907568# United States, Lincoln Find a local number Phone conference ID: 856 907 568#

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Tenant key: dfpi@m.webex.com Video ID: 114 238 071 3 More info

Maximum Points for Stage 2 115

Minimum Points Required to go on to Stage 3

(70%)

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*Please note that the bid opening via TEAMS will be a presentation only with NO opportunity for questions and answers.

3.4.4. TIE BREAKER

Tie Breaker:

In the event of a precise tie between the lowest cost responsible bidder of a certified small business and the lowest cost responsible bidder of a certified disabled veteran-owned business that is also a small business, the contract will be awarded to the disabled veteran-owned small business. All other ties will be decided by coin toss.

3.4.5. GROUNDS FOR REJECTION

Failure to submit the requested written information as specified in this RFP may be grounds for rejection.

A proposal shall be rejected if:

• It is received after the exact time and date set for receipt of Proposal’s pursuant to Public Contract Code section 10344.

• It fails to include a properly executed ATTACHMENT 5: CONTRACTOR CERTIFICATION CLAUSE (CCC 04/2017)

• It fails to include a properly executed ATTACHMENT 2: DARFUR CONTRACTING ACT CERTIFICATION Form.

• If the Proposer does not comply with Section 5.4. EXECUTIVE ORDER N-6-22 - RUSSIA SANCTIONS.

• It contains false or intentionally misleading statements or references which do not support an attribute or condition contended by the Proposer.

• The proposal is intended to mislead the State erroneously and fallaciously in its evaluation of the proposal and the attribute, condition, or capability is a requirement of this RFP.

• There is a conflict of interest as contained in Public Contract Code sections 10410 through 10412 and/or

10365.5.

• It contains confidential information, or it contains any portion marked confidential.

• The Proposer does not agree to the terms and conditions as attached to the solicitation by stating anywhere in the Proposal that acceptance is based on modifications to those terms and conditions or separate terms and conditions.

A Proposal may be rejected if:

• It is not prepared in the mandatory format described.

• It is unsigned.

• The firm or individual has submitted multiple proposals.

• It does not comply, or contains caveats, that conflict with the RFP and the variation or deviation is material, or it is otherwise non-responsive.

• It fails to appropriately complete ATTACHMENT 13: COST WORKSHEET.

• It is considered non-responsive to ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE

DECLARATIONS participation requirements, if applicable.

• It contains revisions to the Scope of Work (Sample Contract — Exhibit A) and/or terms and conditions as set forth in the attached sample contract.

3.4.6. NOTICE OF PROPOSED AWARD (NOPA)

DFPI will post a notice of proposed award to the Cal eProcure website five (5) working days prior to the award being made. DFPI will email a copy of the NOPA to all proposers who submitted a proposal by the due day specified in Section 1.3. KEY ACTIVITIES AND DATES.

On Section 3.4.6. NOTICE OF PROPOSED AWARD (NOPA) posting date all proposals and related material submitted in response to this RFP become a part of the property of the State and public record.

3.4.7. PROTEST PROCEDURES

A Proposer may file a protest against the proposed awarding of a contract. Once a protest has been filed, contracts will not be awarded until either the protest is withdrawn, DFPI cancels the RFP, or the Department of General Services decides the matter.

Please note the following:

• Protests are limited to the grounds contained in the California Public Contract Code Section 10345.

• During the five (5) working days that Section 3.4.6. NOTICE OF PROPOSED AWARD (NOPA) is posted, the initial protest letter must be filed with the DGS Legal Office and DFPI Acquisition Service Unit.

• Within five (5) calendar days after filing the initial protest, the protesting Bidder must file with the DGS and DFPI Acquisition Service Unit a full and complete written statement specifying the grounds for the protest.

• Protests may be sent to DGS by certified mail, email, courier or personal delivery. Protestants should include their email address if they have one and advise the DGS Bid Protest Coordinator and DFPI Acquisition Service Unit if they will accept service of documents pertaining to the protest via email.

• All protests must be made in writing, signed by an officer of the company or individual authorized to do so.

• The initial protest letter should include the RFP number and the name of the State agency involved in the protest.

• If the protest is not withdrawn or the solicitation is not canceled, DGS will decide the matter. There may be a formal hearing conducted by a DGS hearing officer or there may be briefs prepared by the Bidder and DFPI for the DGS hearing officer consideration.

Protests must be submitted to both of the following:

Department of General Services Office of Legal Services Attention: Bid Protest Coordinator 707 Third Street, 7th Floor, Suite 7-330 West Sacramento, CA 95605 Email: OLSProtests@dgs.ca.gov

Department of Financial Protection and Innovation Business Operations Office Acquisition Service Unit 651 Bannon St., Suite 300, Sacramento, CA 95811

And Email: ASU@dfpi.ca.gov

3.4.8. REJECTION OF AWARD BY CONTRACTOR

Time is of the essence. If the Proposer fails to enter into a satisfactory Agreement within thirty (30) days after the award is made, DFPI may deem that the Proposer has rejected the award. DFPI reserves the right to disqualify the awardee and award the Agreement to the next lowest-cost responsible Proposer.

If the awarded Proposer modifies the Scope of Work ( SAMPLE STANDARD AGREEMENT), the General Terms and Conditions for non-IT services, or the Contractor Certification Clauses (CCC 04/2017) as set forth in the attached sample contract after the Intend-To-Award Notice has been posted, DFPI reserves the right to withdraw the award.

4. BUSINESS PARTICIPATION PROGRAMS

(PREFERENCES/INCENTIVES)

A Proposer may qualify for preferences/incentives as described below. Each Proposal passing Section 3.4.1.

STAGE ONE: ADMINISTRATIVE AND COMPLETENESS SCREENING will receive the applicable preference/ incentive. This section describes the following business participation programs:

• Section 4.2.1.1. DVBE PARTICIPATION COMPLIANCE REQUIREMENT

• Section 4.2.2. SMALL BUSINESS / MICROBUSINESS / NON-SMALL BUSINESS PREFERENCE

• Section 4.2.2.6.1. NON-SMALL BUSINESS

4.1. REQUIRED FORMS

Proposers must complete ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS and ATTACHMENT 4: BIDDER DECLARATION to document preference programs participation. If Proposer does not include ALL these forms, the proposal will not qualify for preference program incentive.

• ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS

• ATTACHMENT 4: BIDDER DECLARATION

• ATTACHMENT 7: SMALL BUSINESS CERTIFICATION

4.2. PREFERENCE PROGRAMS

4.2.1. DISABLED VETERAN BUSINESS ENTERPRISE (DVBE)

4.2.1.1. DVBE PARTICIPATION COMPLIANCE REQUIREMENT

DFPI has waived this RFP from DVBE participation. Proposers are not required to include DVBEs as part of the contract team. However, if Proposers do include DVBE participation in their proposals, the DVBE Incentive will be applied.

This agreement is subject to a participation goal of three percent (3%) certified California Disabled Veteran Business Enterprises (DVBE) as set forth in Public Contract Code section 10115 et seq.

4.2.1.2. DVBE DEFINITION

For DVBE certification purposes, a "disabled veteran" is:

• A veteran of the U.S. military, naval, or air service.

• The veteran must have a service-connected disability of at least 10% or more; and

• The veteran must be domiciled in California.

4.2.1.3. DVBE CERTIFICATION AND ELIGIBILITY

To be certified as a DVBE, your firm must meet the following requirements:

• Your business must be at least 51% owned by one or more disabled veterans.

• Your daily business operations must be managed and controlled by one or more disabled veterans.

• The disabled veterans who exercise management and control are not required to be the same disabled veterans as the owners of the business; and

• Your home office must be located in the U.S. (the home office cannot be a branch or subsidiary of a foreign corporation, foreign firm, or other foreign based business).

DVBE limited liability companies must be wholly owned by one or more disabled veterans.

Each DVBE firm listed on the ATTACHMENT 3: DISABLED VETERAN BUSINESS ENTERPRISE DECLARATIONS form and on the ATTACHMENT 4: BIDDER DECLARATION form must be formally certified as a DVBE by the Office of Small Business and DVBE Services (OSDS). The DVBE program is not a self-certification program. The Proposer must have submitted application to OSDS for DVBE certification by the proposals due date to be counted in meeting participation requirements.

4.2.1.4. PRINTING/COPYING SERVICES NOT ELIGIBLE

DVBE Subcontractors cannot provide printing/copying services. For more information, see Section 2.

RESPONSE TO RFP, which states that printing services are not allowed in Proposals.

4.2.1.5. COMMERCIALLY USEFUL FUNCTION (CUF)

DVBEs must perform a commercially useful function relevant to this solicitation, in order to satisfy the DVBE program requirements. California Code of Regulations, title 2, section 1896.71 provides:

A. "A DVBE contractor, subcontractor, or supplier of goods and/or services that contributes to the fulfillment of the contract requirements, shall perform a Commercially Useful Function (CUF) for each contract.

B. A DVBE contractor, subcontractor, or a supplier of goods and/or of services is deemed to perform a CUF if the business does all of the following:

1. Is responsible for the execution of a distinct element of work of the contract (including the supplying of services and goods);

2. Carries out its obligation by actually performing, managing, or supervising the work involved;

3. Performs work that is normal for its business services and functions;

4. Is responsible, with respect to products, inventories, materials, and supplies required for the contract, for negotiating price, determining quality and quantity, ordering, installing, if applicable, and making payment;

5. Is not further subcontracting a portion of the work that is greater than that expected to be subcontracted by normal industry practices.

C. A contractor, subcontractor or supplier will not be considered to perform a commercially useful function if its role is limited to that of an extra participant in the transaction, contract or project through which funds are passed in order to obtain the appearance of DVBE participation.”

4.2.1.6. INFORMATION VERIFIED

Information submitted by the Proposer to comply with this solicitation’s DVBE requirements shall be verified. If evidence of an alleged violation is found during the verification process, the State shall initiate an investigation, in accordance with the requirements of Public Contract Code section 10115, et seq., and Military & Veterans Code section 999 et seq., and follow the investigatory procedures required by California Code of Regulations, title 2, section 1896.90 et. seq. Contractors found to be in violation of certain provisions may be subject to loss of certification, sanctions and/or contract termination.

4.2.1.7. DVBE REPORT

Upon completion of the contract for which a commitment to achieve DVBE participation was made, the Contractor that entered into a subcontract with a DVBE must certify in a report to the DFPI:

A. the total amount the prime Contractor received under the contract;

B. the name and address of the DVBE(s) that participated in the performance of the contract;

C. the amount each DVBE received from the prime Contractor;

D. that all payments under the contract have been made to the DVBE(s); and

E. the actual percentage of DVBE participation that was achieved. A person or entity that knowingly provides false information shall be subject to a civil penalty for each violation. Military & Veterans Code section 999.5(d).

For additional information regarding the Office of Small Business and DVBE Services (OSDS), please see link:

https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Certify-or-Re-ap ply-as-Small-Business-Disabled-Veteran-Business-Enterprise#:~:text=The%20Office%20of%20Small%20Busi ness%20and%20DVBE%20Services,to%20helping%20small%20and%20disabled%20veteran%20businesse s%20thrive.

4.2.1.8. THE OFFICE OF SMALL BUSINESS AND DVBE SERVICES (OSDS)

OSDS offers program information and may be reached at:

Department of General Services Office of Small Business and DVBE Services 707 3rd Street, 1st Floor, Room 400 West Sacramento, CA 95605 DGS Website

Phone: (916) 375-4940 Fax: (916) 375-4950 E-mail: OSDSHelp@dgs.ca.gov

4.2.1.9. DVBE LAW

• Public Contract Code section 10115 et seq.

• Military & Veterans Code section 999 et. seq.

• California Code of Regulations, title 2, section 1896.60 et. seq.

4.2.1.10. DVBE INCENTIVE

In accordance with section 999.5(a) of the Military and Veterans Code, an incentive will be given to Proposers who exceed the DVBE program requirement. For assessment purposes only, the State shall apply an incentive to proposals that propose California certified DVBE participation as identified on the ATTACHMENT 4: BIDDER DECLARATION and confirmed by the State.

The DVBE Incentive amounts applied begin at one percent and will not exceed five (5%) percent. The incentive applied will be at the level of the proposed DVBE commitment.

For awards based on low price awards:

1. The minimum DVBE incentive is 1%.

2. Use of a higher incentive percentage not to exceed 5% when scored. For example, if a bidding company is a DVBE with 100% DVBE participation, they will only receive 5% for the incentive.

3. The incentive is applied by reducing the bid price by the amount of incentive as computed from the lowest responsive bid price submitted by a responsible bidder.

4. This incentive is for evaluation purposes only.

5. Application of the incentive shall not displace an award to a small business with a non-small business.

DVBE Incentive Scale:

3% and above 5%

2% to 2.99% Inclusive 3%

1% to 1.99% Inclusive 1%

Sample Incentive Application:

Confirmed DVBE Participation of: DVBE Incentive

Responsive/Responsible Yes Yes Yes

Net Proposed Price $100,000 $102,000 $103,000

Rank 1 2 3

DVBE Participation None 3% 100%

DVBE Incentive 0% 3% 5%

Incentive Amount $0.00 $3,000 $5,000

Adjusted Bid Amount $100,000 $99,000 $98,000

New Rank 3 2 1

4.2.2. SMALL BUSINESS / MICROBUSINESS / NON-SMALL BUSINESS

PREFERENCE

There are preferences to be applied to eligible certified small businesses, microbusinesses and non-small businesses, which subcontract with at least 25% of their net bid price to a certified small business (SB) and/or Microbusiness (MB).

Proposers who qualify as a State of California certified small business will receive five percent (5%) of the lowest cost offered by a non-certified small business. A certified small business receives an amount equal to 5% of the lowest cost proposal submitted by a non-certified small business reduced from its cost proposal.

Proposers qualifying for this preference must submit a copy of their Small Business Certification.

4.2.2.1. CERTIFICATION

A business must be formally certified by the Department of General Services, Office of Small Business and DVBE Services (OSDS), in order to receive the small/microbusiness preference.

4.2.2.2. NON-PROFIT VETERAN SERVICE AGENCY

Proposers that qualify as a Non-Profit Veteran Service Agency can be certified as a small business and are entitled to the same benefits as…