STATE OF CALIFORNIA

DEPARTMENT OF CONSUMER AFFAIRS

Contractors State License Board REQUEST FOR PROPOSAL (Secondary)

RFP No. CSLB-26-01 Arbitration Program

Notice to Prospective Proposers

September 30, 2026

You are invited to review and respond to this Request for Proposal (RFP), No. CSLB-26-01 entitled “Arbitration Program” In submitting your proposal, you must comply with the instructions found herein.

In submitting a proposal, Proposers agree that they have read, understood, and will comply with the instructions found herein. Failure to comply with any of the requirements may result in rejection of a Proposer’s proposal. By submitting a response, Proposers agree to the terms and conditions stated in this solicitation and any resulting agreement.

All agreements entered into with the State of California will include, by reference, the state’s General Terms and Conditions (GTC 02/2025) and Contractor Certification Clauses (CCC 04/2017) that may be viewed and downloaded at: https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List- Folder/Standard-Contract-Language#@ViewBag.JumpTo.

This solicitation is published online at the California State Contracts Register (CSCR) Cal eProcure web site at:

https://caleprocure.ca.gov/pages/index.aspx. To ensure receipt of any addenda that may be issued, and answers to any questions posed, you must register online at https://caleprocure.ca.gov/pages/. If you do not have Internet access, a hard copy can be obtained by contacting the person listed below.

In accordance with the California Government Code and Americans with Disabilities Act (ADA) requirements, this RFP can be made available in a text-only format on a compact disc as a disability-related reasonable accommodation.

In the opinion of the Department of Consumer Affairs (DCA), this RFP is complete and without need of explanation. However, if you have questions, or should you need any clarifying information, please contact:

Amanda Mays Contract Administrator amanda.mays@dca.ca.gov

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

The Disabled Veteran Business Enterprise (DVBE) participation requirement is exempt for this RFP. However, DVBE participation is highly encouraged through the use of a DVBE incentive. DVBE information can be found on page 20.

https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language#@ViewBag.JumpTo https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language#@ViewBag.JumpTo https://caleprocure.ca.gov/pages/index.aspx https://caleprocure.ca.gov/pages/ mailto:rebecca.mark@dca.ca.gov

Department of Consumer Affairs, Contractors State License Board RFP No. CSLB-26-01: Arbitration Program

Table of Contents Section Page A. Purpose and Description of Services…………………………………………………… 3

1. Purpose of Request for Proposal………………………………………………………. 3

2. Background of CSLB………………………………………………………………………3

3. Background of Arbitration Program………………………………………………………3

4. Problem Statement………………………………………………………………………...4

5. Needs and Objectives……………………………………………………………………..4

6. Term of Agreement and Availability of Funds...………………………………………...4

B. Minimum Qualifications for the Proposer C. Proposal Requirements and Information

1. Time Schedule

2. Fiscal Limits

3. Written Questions Regarding the RFP

4. Addenda

5. Reasonable Accommodations

6. Submission of Proposal

D. Evaluation Process

1. First Phase Evaluation – Intake & Compliance Review

2. Second Phase Evaluation – Proposal Evaluation

3. Second Phase Evaluation – Cost Component………………………………………...14

4. Third Phase Evaluation – Scoring………………………………………………………15

5. Final Selection and Award Process

E. Protest Procedures F. Disposition of Proposals G. Tax Delinquency Disclaimer………………………………………………………………19 H. Method of Payment I. Preference/Incentive Programs J. Darfur Contracting Act Certification K. Loss Leader Language L. GenAI …………………………………………………………………………………………23 M. Required Attachments

Attachment 1 – Required Attachment Checklist Attachment 2 – Proposal/Proposer Certification Sheet Attachment 3 – Mandatory Proposal Attachment 4 – References………………………………………………………………….28 Attachment 6 – Cost Proposal Attachment 10 – Sample Standard Agreement (STD 213)

N. Contract Exhibits…………………………………………………………………………

A. Purpose and Description of Services

1. Purpose of Request for Proposal

The Department of Consumer Affairs (DCA), Contractors State License Board (CSLB), invites proposals to provide arbitration services that are sound, innovative, and creative as outlined in this Request for Proposal (RFP).

The purpose of this RFP package is to seek proposals from agencies in the field of arbitration, to provide support to the CSLB arbitration program. The selected vendor will work with CSLB to design, develop and implement a statewide arbitration program that will provide arbitration between complainants and contractor respondents. The program approach needs to be creative utilizing proven current techniques and innovative techniques, and the agency needs to display evidence of being progressive within the field of alternative dispute resolution.

These services shall include the administrative services necessary to process arbitration cases, provide arbitrators to hear cases and render awards in compliance with Business and Professions Code 7085 et seq.

2. Background of CSLB

The CSLB was established in 1929 and is part of the Department of Consumer Affairs. It licenses and regulates more than 300,000 contractors in the building trades professions and promotes the general welfare of the public in matters relating to building construction by: ensuring that all construction is performed in a safe, competent, and professional manner; providing resolution to disputes which arise from building construction activities; and providing information so that the public can make informed choices.

A fifteen-member Board appoints the CSLB’s Executive Officer/Registrar and directs administrative policy for the agency’s operations. The Registrar oversees approximately 400 employees who work out of offices in Sacramento, Norwalk and ten other locations throughout California.

The CSLB licenses and regulates contractors in the various license classifications that constitute the construction industry. CSLB investigates complaints against contractors and educates consumers and contractors about their rights and responsibilities.

For more information on CSLB, visit the CSLB website at www.cslb.ca.gov.

3. Background of Arbitration Program

Construction is one of the largest industries in California. Besides providing hundreds of thousands of jobs, construction acts as fuel for California’s economic engine, driving purchases in many related areas such as: appliances, furniture, landscape, etc. Homes are the biggest investment most Californians will make, and it is critical for both consumers and the construction industry that Californians feel confident when hiring contractors and managing the contracting process.

The arbitration program has been operating for about 21 years. Cases referred to arbitration are selected from the approximately 22,000 complaints received annually.

The “Mandatory Arbitration Program” involves cases with a financial injury up to $25,000.

Approximately 600 cases are projected per year to be referred to this program. The number of cases may be reduced by budgetary constraints. The “Voluntary Arbitration Program” involves cases having http://www.cslb.ca.gov/ a financial injury greater than $25,000 and less than $50,000, in which both parties voluntarily sign agreements to resolve the matter through arbitration. The number of cases may be reduced by budgetary constraints.

4. Problem Statement

The CSLB seeks approaches and creative ideas to provide sound, timely and unbiased arbitration to the complainant and contractor on a statewide basis. The Proposer should be prepared to evaluate and propose alternative methods of meeting CSLB’s objectives.

While all approaches must contain the processes due in arbitration, some ideas are:

• Transfer of documents over the internet/e-mail.

• Teleconferencing or videoconferencing arbitrations.

• Internet arbitrations for suppliers or subcontractor disputes.

5. Needs and Objectives

The CSLB has several objectives to be met through this agreement. The main objectives of the arbitration program are to:

1. Provide resolution to construction related complaints.

2. Resolve the complaints in a fair and impartial manner.

3. Resolve the complaints in a timely manner.

4. Issue an award/decision within 70 days from the date of receipt of the matter.

6. Term of Agreement and Availability of Funds

The CSLB anticipates that this agreement will be executed December 1, 2026, for the term of December 1, 2026, through November 30, 2029 (three years). Funding for each contract period is contingent on the continued availability of annual appropriations under the Budget Act. If the funding for this program for any fiscal year is reduced or deleted by the Budget Act, the State shall have the option to cancel this agreement with no liability occurring to the State.

B. Minimum Qualifications for the Proposer

1. Program and Contractor Requirements

The Contractors State License Board (CSLB) is soliciting a prime contractor to work with CSLB staff to design, improve, develop and implement an arbitration program. The CSLB is looking for a contractor with creative approaches that address CSLB’s objectives and the ability to build on existing and ongoing programs as well as demonstrated ability to work as a team with CSLB staff.

The selected contractor must be an experienced arbitration firm and must have a panel of experienced or principal arbitrators sufficient to handle the projected number of arbitrations within the desired timeframes. The proposer must have a minimum of five (5) years of arbitration or alternate dispute resolution experience. The project leader shall have a minimum of five (5) years’ experience in conducting and overseeing arbitration programs. In addition, all employees assigned to the project must have at least two (2) years’ arbitration experience.

The Proposer’s response must identify any staff and/or subcontractors that it proposes to use as arbitrators.

The selected contractor will assist in the development of training programs for CSLB staff and participate as instructors in a minimum of ten (10) training sessions over the duration of the contract.

It is anticipated that six (6) sessions will be in Southern California and four (4) in Northern California.

Any travel expenses or other costs incurred by the contractor shall be assumed by the contractor.

The training will be twofold. First, the training will instruct CSLB staff on how arbitrations are conducted both procedurally and administratively, including guidance on how to contact the vendor to schedule an arbitration. Second, the training will assist CSLB staff in promoting arbitration to the contractor and complainant. Additional training as requested by CSLB will be paid for out of the contract amount. All training will include written guides.

The contractor must provide an in-service toll-free telephone number during the term of the contract for the use of all CSLB arbitration program participants. The contractor must inform all CSLB program participants of the toll-free number by having the toll free number appear on all forms sent to participants.

The contractor shall have no financial interest in any business actively engaged in providing building contractor services in California. Individuals who have a financial interest in a contractor’s company or business must remove themselves from the list of personnel associated with any active California contractor’s license or must inactivate the contractor’s license during the term of the contract.

The contractor shall establish and operate a program within the following parameters and include the following:

a. Receive and administratively track approximately 400 - 800 cases per year with signed

Submissions to Arbitrate. CSLB is not responsible for ensuring the actual number of arbitrations.

b. Appoint an arbitrator to handle the dispute in compliance with Section 7085 et seq. of the Business and Professions (B&P) Code.

c. Assign hearing dates, times, and locations as provided in Section 7085.5 of the B&P Code.

Hearings shall be conducted at any site approved by the CSLB arbitration program manager.

d. Conduct all arbitration matters referred by CSLB in compliance with B&P Code Section 7085, 7085.2, 7085.3, 7085.4, 7085.5, 7085.6, 7085.7, 7085.9 and the California Code of Civil Procedures sections related to arbitration.

e. Ensure that all awards rendered in each case are monetary awards and are served on the parties as well as CSLB. Each award must comply with CSLB requirements for content, timeframes, and format. Additionally, the arbitrator’s reasoning for the decision should be prepared, in writing, and provided to the parties.

f. Provide a staff of arbitrators that are fully trained and experienced in the handling of construction-related disputes.

g. Pay arbitrators according to the following:

EXAMPLE COST SHEET:

REQUIRED MINIMUM PAYMENT TO ARBITRATORS

Year 1 Year 2 Year 3 Total

Amount Paid to Arbitrator

Amount Paid to Arbitrator

Amount Paid to Arbitrator

Amount Paid to Arbitrator

Approximate # of Arbitrations 500 500 500

Mandatory Arbitration Pay $1250 $1275 $1300 Subtotal $625,000 $637,500 $650,000 $1,912,500

Arbitrations 120 120 120

Voluntary Arbitration Pay $1750 $1750 $1800 Subtotal $210,000 $210,000 $216,000 $636,000

Grand Total $2,548,500

h. Each arbitrator must meet the following minimum qualifications:

16 CCR § 890 Minimum Qualification Standards for Arbitrators

For the purposes of Section 7085.5 of the Code, regardless of the method of appointment or selection, arbitrators shall possess the following minimum qualifications:

(a)(1) Five (5) years of experience in the construction industry as a licensed contractor or a professional in a construction related field, such as an architect or engineer, or

(2) Five (5) years of experience as an attorney, judge, administrative law judge, arbitrator, or a combination thereof, handling a minimum of 8 construction related matters.

(b) Completion of an arbitrator's course on construction arbitration within the last 5 years including, but not limited to, training on the process, the ethics and the laws relating to arbitration. The training on the process of arbitration may include such topics as the role of the arbitrator, the use of effective questioning techniques, and the role of an expert in an arbitration proceeding.

(c) Completion of 8 hours of continuing education on construction arbitration every 5 years, including, but not limited to, the topics set forth in subsection (b).

(d) Completion of a training program related specifically to the Board's arbitration procedures, laws and policies.

Authority cited: Sections 7008 and 7085.5(b)(3), Business and Professions Code.

Reference: Section 7085 et seq., Business and Professions Code.

C. Proposal Requirements and Information

1. Time Schedule

All Proposers are hereby advised of the following schedule and shall adhere to the required dates and times.

Event Date Time

RFP available to prospective Proposers September 30, 2026

Written Question Submittal Deadline October 9, 2026 3:00 p.m.

Response to Written Questions October 14, 2026

Final Date for Proposal Submission October 28, 2026 3:00 p.m.

Evaluation Process Phase I October 29, 2026 (Intake & Compliance Review)

Evaluation Process Phase 2 November 2, 2026 (Proposal Evaluation)

Notice of Intent to Award Posted November 2, 2026

Last Day to Protest the Award November 9, 2026

Tentative Agreement Start Date December 1, 2026 or Upon DGS Approval

*All times are Pacific Standard Time. It is the responsibility of the Proposer to ensure that their proposal is in the possession of the DCA Contracts Unit by October 28, 2026 at 3:00 pm. All dates after proposal submission are approximate and may be adjusted as conditions arise, without addendum to this RFP.

* RFP is available to prospective Bidders via the Cal eProcurement System webpage (formerly the California State Contracts Register) at https://caleprocure.ca.gov/pages/index.aspx. Proposers must register with Cal eProcure to receive addendums that may be issued, or for submittal of questions and to receive answers.

2. Fiscal Limits

The estimated dollar amount available to support this service for the three (3) year period is $2,548,500.00.

3. Written Questions Regarding the RFP

Proposers requiring clarification of the intent or content relating to RFP No. CSLB-26-01, or procedural matters regarding the competitive proposal process, may request clarification by submitting questions via email to amanda.mays@dca.ca.gov. To ensure a response, questions must be received in writing by the scheduled date(s) given in Section C.1, Time Schedule. Inquiries received after the question submittal deadline will only be addressed at DCA’s discretion. ALL

QUESTIONS MUST BE SUBMITTED IN WRITING.

https://caleprocure.ca.gov/pages/index.aspx

On or about October 14, 2026, all of these questions and their responses will be transmitted to Proposers by way of an addendum by Cal eProcure. The source of each question will not be indicated. Proposers should notify Contract Administrator immediately if they need clarification about the services being sought or have questions about the RFP. Note: it is the responsibility of the proposer to check Cal eProcure for questions and/or changes within the RFP as all questions, answers, and addendums will be posted. DCA/CSLB will not be held responsible for inaccurate proposals due to proposer’s oversight in reviewing any and all information via Cal eProcure.

4. Addenda

The DCA may modify RFP No. CSLB-26-01, prior to the Intent to Award date, by the issuance of an addendum. Any modifications to the RFP will be provided in writing, via a formal addendum, and posted on the Cal eProcure website. All Proposers registered in Cal eProcure will have access to view and download the addendum. Addenda will be numbered consecutively.

5. Reasonable Accommodations

For Proposers who need assistance due to a physical impairment, a reasonable accommodation will be provided by the DCA upon request for the oral interview. The Proposer must call (916) 255-3986 no later than twenty-four (24) hours prior to the scheduled date and time of the interview to arrange for a reasonable accommodation.

6. Submission of Proposal

a) All proposals shall include the documents identified on the Attachment Checklist (Attachment 1).

Proposals not including the proper "required attachments" shall be deemed non-responsive. A non-responsive proposal is one that does not meet the basic proposal requirements.

b) The proposals must include a cover letter on the Proposer’s letterhead, which shall be considered an integral part of the proposal. The cover letter must include a statement agreeing to the requirements of the RFP and the Standard Agreement (Page 36, Exhibits A, B, C, D, and E). If the Proposer is a Certified Small Business (SB) and/or Disabled Veteran Business Enterprise (DVBE), as described on Internet web site – https://www.dgs.ca.gov/PD/Services/ it shall be indicated on the proposal cover letter and submit a copy of a current Office of Small Business and DVBE Services (OSDS) certification approval letter or have a completed application on file with the State OSDS by 3:00 p.m. on the deadline for submission of proposal, and be verified by that office as an approvable application. The Proposer should not include any limiting statements in the cover letter that would preclude the proposal from being held as an irrevocable offer until the anticipated contract start date of December 1, 2026.

The cover letter must be signed by the prospective Proposer. It may be signed by an authorized agent of the Proposer only if the agent is properly authorized by a power of attorney or equivalent document. Such authorization must be submitted with the proposal. The name of the individual signing the proposal must be typed immediately below the signature. For electronic submissions, the name typed or stamped, a digital signature, and or Digitized Image of Handwritten Signature is acceptable.

c) Table of Contents that includes a listing of any attachments, samples and appendices. The table of contents must display appropriate page numbers for each item listed.

https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Apply-for-or-Re-apply-as-Small-Business-Disabled-Veteran-Business-Enterprise

d) Executive Summary of no more than four (4) pages that summarized the following:

• Major strategies proposed in addressing the RFP objectives.

• How and when you intend to implement these strategies (provide a timeline).

• The Proposer’s and any subcontractor’s capabilities.

• Track record performing similar work.

• Titles, qualifications and number of staff, subcontractors and arbitrators that will be used.

• A plan of how you will integrate the work, described in the RFP with your current activities.

e) Capabilities and Qualifications section.

f) Management Plan and Program Strategies section.

g) Proposer References listing three (3) references for whom projects of a similar scope or nature were performed. (See Attachment 4)

h) Cost Proposal section as outlined. (See Attachment 6)

i) Other forms as listed in Section M, Required Attachments. All proposals shall include all documents identified in Section M, Attachment 1.

j) The Proposer shall complete and sign the Proposal/Proposer Certification Sheet (Attachment 2).

An unsigned proposal may be rejected.

k) Proposals must include a Cost Proposal (Attachment 6) in a separate, sealed envelope for the hourly rate for the work to be performed. This form shall not be modified.

l) Proposals should provide straightforward and concise descriptions of the Proposer’s ability to satisfy the requirements of this RFP. The proposal must be complete and accurate. Omissions, inaccuracies or misstatements will be sufficient cause for rejection of a proposal.

m) The “proposal package” should be prepared in the least complicated method. For mailed in originals, copies should be bound with binder clips or staples (no covers, no spiral binding, etc.).

All pages in the proposal must be standard 8.5” x 11” paper, except charts and diagrams, etc., which may be foldouts. If foldouts are used, the folded size must fit within the 8.5” x 11” paper format. Double-sided printing is preferred. It is recommended that proposers use tabs or some type of divider system to clearly separate out the different parts of the proposal. Page numbers much be located in the same page position throughout the proposal. It is the proposer’s responsibility to ensure that their proposal is submitted in a manner that enables the DCA to easily locate all response descriptions and exhibits for each requirement of this RFP. For electronic submissions – attachments should be clearly titled and in PDF form.

n) All proposals must be received in the DCA Contracts Unit by 3:00 p.m., October 28, 2026.

Proposals received after this date and time will not be considered.

o) If mailed in - The Proposer must submit a hard copy labeled “MASTER PROPOSAL.” Proposals not submitted in a sealed envelope may be rejected. This sealed envelope does not include the Cost Proposal. The Cost Proposal is provided in a separate, sealed envelope according to 6., Submission of Proposal, k) above.

p) If discrepancies between sections or other errors are found in the “MASTER PROPOSAL,” the

State may reject the proposal. However, if not so rejected, the “MASTER PROPOSAL” will provide the basis for resolving such discrepancies. No erasures shall be permitted. Errors may be crossed out and corrections printed in ink or typewritten adjacent and must be initialed in ink by the person signing the proposal.

q) Proposals not received by the date and time specified will be rejected. Incomplete or late proposals will not be considered. DCA reserves the right to refuse all proposals.

All copies of proposals must be sealed in an envelope, clearly labeled “Proposal for Arbitration Program, RFP No. CSLB-26-01, Attention: Amanda Mays – DO NOT OPEN.”

Amanda Mays, Contracts Analyst Proposals can be submitted Department of Consumer Affairs HAND DELIVERED or Business Services Office, Contracts Unit MAILED/OVERNIGHTED to: 1625 N. Market Blvd., Suite S-103

Sacramento, CA 95834

Neither the postmark on the proposal envelope nor receipt in the DCA’s mail room will constitute timely delivery. Any proposal received in the Contracts Unit after the date and time specified in the Time Schedule identified in Section C, 1. will not be considered. It is the State’s policy to make every effort to ensure that all proposals have been received and properly time stamped; however, Proposers are ultimately responsible for ensuring timely receipt of their proposal. Proposers may verify receipt of their proposal by contacting the person identified in the cover letter of this RFP.

For electronic submissions – Email Amanda Mays @ amanda.mays@dca.ca.gov

• Proposals must be submitted in PDF format.

• The Cost Proposal must be submitted as a separate attachment labeled “Cost Proposal,”

• Proposers are responsible for ensuring successful electronic transmission prior to the deadline

• DCA is not responsible for late, corrupted, or incomplete electronic submissions due to technical issues.

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

s) Costs for developing proposals and in anticipation of award of the agreement is entirely the responsibility of the Proposer and shall not be charged to the State of California.

t) The Proposer may modify a proposal after its submission by withdrawing the original proposal and resubmitting a new proposal prior to the proposal submission deadline. Proposal modifications offered in any other manner, oral or written, will not be considered.

u) The Proposer may withdraw a proposal by submitting a written withdrawal request to DCA, signed by the Proposer. The Proposer may thereafter submit a new proposal prior to the proposal submission deadline. Proposals may not be withdrawn without cause subsequent to proposal submission deadline.

v) DCA may modify the RFP prior to the date fixed for submission of proposals by the issuance of an addendum on the Cal eProcure website.

w) DCA reserves the right to reject all proposals.

mailto:amanda.mays@dca.ca.gov

x) Proposers are cautioned not to rely on DCA/CSLB during the evaluation to discover and report to the Proposer any defects and errors in the submitted documents. Before submitting their documents, Proposers should carefully proof them for errors and adherence to the RFP requirements. More than one (1) proposal from an individual, firm, partnership, corporation or association under the same or different names, will not be considered. Reasonable grounds for believing that any Proposer has submitted more than one proposal for the work contemplated herein will cause the rejection of all proposals submitted by that Proposer. If there is reason for believing that collusion exists among the Proposers, none of the participants involved will be considered in this or future procurements.

D. Evaluation Process

Upon opening, each proposal will be checked for the presence or absence of required information in conformance with the submission requirements of this RFP. DCA/CSLB will put each proposal through a process of evaluation to determine its responsiveness to CSLB's needs. Proposals that contain false or misleading statements, which do not support an attribute or condition claimed by the Proposer, may be rejected. If, in the opinion of DCA/CSLB, such information was intended to mislead DCA/CSLB in its evaluation of the proposal, and the attribute, condition, or capability is a requirement of this RFP, it will be the basis for rejection of the proposal. Those proposals meeting the RFP requirements will undergo a two-phase evaluation process. A committee made up of CSLB-selected representatives (herein after referred to as the Evaluation Committee) will evaluate the proposals and, through consensus, will arrive at a single score for each of the evaluation criteria.

1. First Phase Evaluation – Intake & Compliance Review (Pass/Fail)

A pass/fail evaluation will be completed for each proposal by CSLB staff. To pass this Phase I review, each Proposer must include the items listed on the Phase I Required Attachment Checklist (Attachment

1) and the mandatory conditions spelled out in Section C. Any material deviation from the checklist may result in a fail score and the proposal will not be evaluated for Phase II. Proposers who pass Phase I by meeting this standard shall qualify to move on to Phase II.

2. Second Phase Evaluation – Proposal Evaluation (Total Possible Score 100 Points)

All proposals passing Phase I will be submitted to the Phase II evaluation committee. The Phase II evaluation Committee of not more than five (5) members will be comprised of representatives from the CSLB. The Evaluation Committee will conduct the evaluation of the proposals and the accompanying literature. The Evaluation Committee will evaluate the following information in each proposal.

1. Proposer’s Capability and Qualifications

2. Management Plan and Program Strategies for CSLB

3. Cost Proposal

1) Capabilities and Qualifications– (0-100 Points) Maximum Possible Score

Consensus Score

a) A brief history (include the date company was established and a list of references) of the proposer’s organization and expertise in the following areas:

i. Specific examples of creativity and innovation in past strategies and materials developed. 3

ii. An explanation of how it will meet desired timeframes. 3

iii. Methods for recruiting and retaining experienced arbitrators. 3

iv. Ways to market and promote arbitration. 2

v. Workable solutions to unforeseen problems. 3

vi. Ability to provide training. 1

b) Demonstrate, if applicable, any intended subcontractor’s qualifications and experience for establishing arbitration services and their ability to perform the required function. Subcontractors may be utilized for their areas of expertise, in order to cover geographical regions or supplement staff.

c) All information to support and/or determine the Proposer’s financial solvency and revenues, such as:

i. Gross annual billings for the past two (2) years.

ii. Contracts, financial statements for the previous two (2) years.

iii. Signed statement from management asserting that these documents truly represent the firm’s financial position. 2

d) For the purposes of Section 7085.5 of the Code, regardless of the method of appointment or selection, arbitrators shall possess the following minimum qualifications:

i. (1) Five (5) years of experience in the construction industry as a licensed contractor or a professional in a construction related field, such as an architect or engineer, or

(2) Five (5) years of experience as an attorney, judge, administrative law judge, arbitrator, or a combination thereof, handling a minimum of 8 construction related matters.

ii. Completion of an arbitrator’s course on construction arbitration within the last 5 years including, but not limited to, training on the process, the ethics and the laws relating to arbitration. The training on the process of arbitration may include such topics as the role of the arbitrator, the use of effective questioning techniques, and the role of an expert in an arbitration proceeding.

e) Provide details of prior or current contracts with similar or parallel purposes as this Request for Proposal.

Highlight any experience with government, non-profit, and voluntary sectors.

0-5 Points = 1 contract example 5-10 Points = 3 contract examples 10-15 Points = 5 contract examples 15-20 Points = >5 contract examples

Proposer’s Capabilities and Qualifications Total Points:

2) Management Plan and Program Strategies for CSLB – (0-100 Points)

Maximum Possible

Score

Consensus Score

a) Work Plan and Work Schedule Requirements

i. The objective(s) to be met. Describe your understanding of CSLB’s arbitration objectives, risks and opportunities. Please note that while Proposer should be familiar with the overall objectives of the CSLB’s arbitration program and general consumer protection programs, an in-depth understanding of these programs is not required. The Proposer should describe proposed strategies and conceptual approaches for achieving program objectives in a project work plan.

ii. Proposer must provide administrative and arbitration services and must demonstrate the ability to hire, direct work and compensate arbitrators as provided in this package. The Proposer who does not possess this capability in-house, must demonstrate how they will ensure a cohesive program will be accomplished.

iii. Describe proven executive strategies and operational capabilities of project management, and ability to build on CSLB’s ongoing program.

iv. Describe how the arbitrations will be completed. Bear in mind that quantifiable measurement will be used to determine success of the project.

v. Describe how the arbitrator’s performance will be evaluated and how performance deficiencies or other problems will be resolved.

vi. Identify suggested contractor staff and, if applicable, subcontractors, who will design, develop and implement the identified arbitrations. Describe how the efforts of assigned project staff and subcontractors, if any, will be coordinated and monitored. Notwithstanding the use of any subcontractor, the Proposer will ultimately be responsible for performance of all terms and conditions of the resulting contract.

vii. Identify timeline for arbitrations. Describe what internal quality controls, schedules, internal fiscal/accounting controls and budget monitoring procedures will be employed to ensure that arbitrations are timely and that fiscal resources are managed responsibly. Describe project management plans, including strategies for meeting very tight deadlines and time frames.

Proposals should include arbitrator/subcontractors or outside resources needed and identify their specialties. Also, describe how project coordination and communication between the contractor and CSLB will be handled.

viii. Identify any alternatives or other factors that CSLB should consider in this evaluation. 5

b) Project Personnel Requirements

i. An organization chart or other information identifying company size, structure and number of employees and arbitrators.

ii. An organization chart identifying the key project staff to be assigned to this program.

iii. Resumes with qualifications and references of these staff members.

iv. A discussion of existing time commitments of staff members to be assigned this contract and how they will be handled to ensure the state’s time requirements are met.

v. Demonstrate that the contractor has either on staff, or underwritten agreement sufficient qualified arbitrators to perform the arbitrations at the numerous approved locations.

vi. Show names of arbitrators/subcontractors who will be assigned to the CSLB program, including a client list and experience of all arbitrators, who will be assigned to work on CSLB’s program.

c) Facilities and Resource Requirements

i. Proposer must provide evidence that as of the RFP Submission date contractor has a fully functioning office located in California. (This is necessary due to the close working relationship CSLB and the awarded contractor will be required to maintain.) Describe the office facilities at its disposal, including office support services, such as video conferencing or teleconferencing, photocopying, computer hardware, modems, software applications, fax capability, availability of clerical support, shipping services, word processing capability, storage capacity and the availability of locations statewide to be used for arbitrations. CSLB will facilitate offering CSLB office facility locations and where possible other State locations available at no cost to contractor. Locations will be approved by CSLB and will provide statewide coverage.

ii. Proposer must demonstrate its ability to manage expenses including, but not limited to, travel organization, communication, postage/shipping, and other supplied items that the contractor anticipates during fulfillment of the contract.

iii. Proposer must show methods of regularly reporting to clients the status of arbitrations (see Page 20, Section III, K. Reports) and budget expenditures.

The CSLB has the discretion to adjust the frequency and content of required reporting over the life of the contract as needed.

Management Plan and Program Strategies for CSLB Total Points 100

Cost Component – (0-30 Points)

Proposer must submit a Cost Sheet (Attachment 6) in a separate sealed envelope that includes rates for the three-year contract period see below for an example of a completed cost sheet) Upon a signed written agreement between both parties.

The proposer must use the format shown in Attachment 6 to prepare the total cost information for each arbitration. No erasures are permitted in cost proposals. Errors, if any, must be crossed out and corrections must be typed or printed with ink. The person signing the cost proposal must initial all corrections. (Proposals not including a bid for a three-year contract period will be considered non-responsive.)

The lowest Cost for Arbitrations will be given the maximum number of 30 points. All other cost proposals will be given a prorated percentage of the points based on the proportion of their Cost for Arbitrations compared to the lowest cost bid for Cost for Arbitrations (i.e. lowest cost for arbitrations equals $1,850,000 would be awarded 30 points, the second lowest bidder $2,000,000 would be awarded ($2,000,000- $1,850,000)/$1,850,000) = 8.1% less, for 27.57 points total).

Cost Component Total Points: 30

3. Third Phase Evaluation – Final Score Calculation

All proposals that enter Phase II will have passed Phase I. If no proposals are received containing bids offering a price, which in the opinion of the awarding agency is a reasonable price, the awarding agency is not required to award an agreement (Public Contract Code 10344 (d)).

The Phase II Evaluation Committee will work collectively, to evaluate the submitted proposal packages. The Evaluation Committee will meet and discuss each rating, then the scores will be summed and averaged for a total score.

Each category of the Phase II evaluation can be scored from 0-100 points, as most accurately reflects the judgment of the evaluator. The Evaluation Committee will use the following criteria in assigning Phase II evaluation scores:

90-100 Outstanding - Superior, consistently exceed expectations

80-89 Very Good - More than adequate; often meets or exceeds expectations 70-79 Satisfactory - Adequate; usually meets expectations 0-69 Below Standard - Inadequate or insufficient; often doesn’t meet expectations

Each Evaluation Committee member will evaluate all proposals and assign scores for the criteria described below for each proposal. These scores will be multiplied by the indicated weighing factor to determine an overall score. Each Proposer’s overall scores from all Committee members will then be summed and averaged for a total. When awarded, the Proposer receiving the highest point total in Phase III (Final) Evaluation will be awarded the contract.

All proposals will be evaluated based on the following:

Proposer Capabilities and Qualifications: Evaluators will assign up to 100 points for Proposer’s capabilities and qualifications. The points will then be multiplied by the weighing factor of .35 to determine the score (i.e., score (0-100) x weighing factor (.35) = Maximum Possible Score 35 Points).

Management Plan and Program Strategies: Evaluators will assign up to 100 points for Proposers problem assessment. The points will then be multiplied by the weighing factor of .35 to determine the score. (i.e., score 0-100) x weighing factor (.35) = Maximum Possible Score 35 Points)

Cost Proposal: The Proposer should submit a breakdown of costs for each arbitration. (See Cost Proposal requirements in Section D. 3. Example A and Cost Proposal - Attachment 6).

The lowest Cost for Arbitrations will be given the maximum number of 30 points. All other cost proposals will be given a prorated percentage of the points based on the proportion of their Cost for Arbitrations compared to the lowest cost bid for Cost for Arbitrations (i.e. lowest cost for arbitrations equals $1,850,000 would be awarded 30 points, the second lowest bidder $2,000,000 would be awarded ($2,000,000-$1,850,000)/$1,850,000) = 8.1%, 27.57 points).

PHASE III EVALUATION FORM

Name of Proposer: __________________________________________________________

Evaluator: _________________________________________________________________

TECHNICAL EVALUATION

Evaluators will assign up to 100 points for each of the areas listed below. These scores will then be multiplied by the indicated weighing factor to determine an overall score. Each Proposer’s overall score from all Committee members will then be summed and averaged for a total score

Score (0-100) Weight (0-1) Weight Score

PROPOSER’S CAPABILITIES AND QUALIFICATIONS: Weight .35 (100 Possible Points – Refer to Page 10-11)

History and expertise 30 points Financial information 10 points Qualifications 40 points Prior/current contracts 20 points

Score: ______ Weight: .35 Weight Score: ______

MANAGEMENT PLAN AND PROGRAM STRATEGIES: Weight .35 (100 Possible Points – Refer to page 11-12)

Work plan and work schedule requirements 60 points Project personnel 30 points Facilities and resources 10 points

Score: ______ Weight: .35 Weight Score: ______

COST PROPOSAL: (See example shown on page 13)

(30 POINTS MAXIMUM)

The lowest cost for Arbitrations will be given the maximum number of 30 points.

All other cost proposals will be given a prorated percentage of the points based on the proportion of their Cost for Arbitrations compared to the lowest cost bid for Cost for Arbitrations (i.e. lowest cost for arbitrations equals $1,850,000 would be awarded 30 points, the second lowest bidder $2,000,000 would be awarded ($2,000,000- $1,850,000)/$1,850,000) = 8.1%, 27.57 points.)

Score: _______

TOTAL PHASE III EVALUATION SCORE

(100 POINTS MAXIMUM)

TOTAL SCORE: _________

Note: Preference programs (i.e. Small Business Enterprise, Target Area Contract Preference Act, Local

Agency Military Base Recovery Area, Enterprise Zone Act, Disabled Veteran Business Enterprise) will affect a Proposer’s bid.

4. Final Selection and Award Process

A contract will be awarded to the Proposer who accumulates the highest final score. The DCA/CSLB reserves the right to reject any and all proposals and to waive informalities and minor irregularities in proposals received. In the event of a tie in the highest final score, a tiebreaker will be decided by a coin toss observed by witnesses. Affected Proposers will be invited to witness the coin toss. In the event of a precise tie of the final score of a certified SB or microbusiness and the final score of a certified DVBE, the contract must be awarded to the DVBE. [Government Code § 14838 (f)]

After the evaluation process has determined the Proposer who scored the highest total points, a “Notice of Intent to Award” to the proposed Contractor will be posted in the DCA First Floor Lobby at 1625 North Market Blvd., Sacramento, CA 95834 and on Cal eProcure five (5) working days prior to awarding the agreement. If no protests are received after five (5) business days, the “Notice of Award” will be posted.

E. Protest Procedures

If any Proposer, prior to the award of agreement, files a protest with the Department of General Services (DGS), Office of Legal Services, 707 Third Street, 7th Floor, Suite 7-330, West Sacramento, CA 95605, OLSProtests@dgs.ca.gov and the Department of Consumer Affairs, Business Services Office, Contracts Unit, Attention: Amanda Mays 1625 North Market Blvd., S-103, Sacramento, CA 95834 on the grounds that the protesting Proposer would have been awarded the agreement had the DCA correctly applied the evaluation standard in the RFP or followed the evaluation and scoring methods in the RFP, the agreement shall not be awarded until either the protest has been withdrawn or the DGS has decided the matter. It is suggested that any protest be submitted by certified or registered mail. All protests must be made in writing, signed by an officer of the company or individual authorized to do so and submitted within five (5) working days of the State’s posting of its intent to award.

Within five (5) calendar days after filing the initial protest, the protesting Proposer must file with the DGS, Office of Legal Services, and the DCA, a detailed written statement specifying the grounds for the protest, if the original protest did not contain the complete grounds for the protest. The protestor must provide facts and evidence to support its claim.

F. Disposition of Proposals

Upon proposal opening, all documents submitted in response to this RFP will become the property of the State of California, and will be regarded as public records under the California Public Records Act (Government Code section 6250 et seq.) and subject to review by the public. The State cannot prevent the disclosure of public documents. However, the contents of all proposals, draft proposals, correspondence, agenda, memoranda, working papers, or any other medium which discloses any aspect of a Proposer’s proposal, shall be held in the strictest confidence until the “Notice of Intent to Award” is posted. Should a proposer desire to keep any or all components of their response to this RFP confidential, the proposer would need to obtain a protective order from a court of competent jurisdiction.

mailto:OLSProtests@dgs.ca.gov

G. Tax Delinquency Disclaimer:

1. Pursuant to the Public Contract Code section 10295.4, persons or companies identified as the largest tax delinquents by the Franchise Tax Board (FTB) or the California Department of Tax and Fee Administration (CDTFA) are ineligible to enter into any agreement with the state for non-IT goods or services. Any agreement entered into in violation of section 10295.4 is void and unenforceable.

2. Prior to executing any state agreement or renewal for non-IT goods or services, the DCA/CSLB shall verify that the proposed awardee(s) is not on a prohibited list by checking both the FTB and CDTFA websites. The established lists can be found at:

i. FTB: https://www.ftb.ca.gov/about-ftb/

ii. CDTFA: https://www.cdtfa.ca.gov/taxes-and-fees/top500.htm

H. Method of Payment

The Proposer shall be reimbursed for their services upon project completion, based on the number of hours worked, and for any training, registration, membership, and related expenses as determined by CSLB. The Proposer will be paid in arrears within 45 days of receipt of an approved invoice. The invoice shall be submitted in triplicate and include the agreement number, detail of the tasks performed, hours and time period of service and amount due.

Invoices will be submitted to:

Department of Consumer Affairs

DCA Contract Number: TBD PO Box 980518

West Sacramento, CA 95798-0518

See Budget Detail and Payment Provisions (Exhibit B) for more information.

https://www.ftb.ca.gov/about-ftb/newsroom/top-500-past-due-balances/index.html https://www.cdtfa.ca.gov/taxes-and-fees/top500.htm

I. Preference/Incentive Programs

1. Small Business Enterprise (SBE)

DCA is awarding this agreement using the RFP: Secondary Method and is therefore awarding to the highest scoring proposal. The examples listed below represent an example of how Small Business Preference and Disabled Veteran Business Enterprise incentive is applied to the lowest cost proposal. For our purposes, the SB preference and DVBE incentive will be applied to the proposals in which the preference and/or incentive is applicable and based upon the highest scoring proposal rather than the lowest cost.

a. Small Business Preference:

1. In accordance with Government Code section 14838.5, et seq. and California Code of

Regulations, title 2, section 1896, et seq., a five (5) percent preference will be granted to proposers properly certified as a California Small Business (SB), Microbusiness (MB), or Non-Small Business (NSB) with a Small Business subcontracting for a minimum of 25 percent of the proposal amount. A five (5) percent preference will be granted to proposers certified as a Non-Profit Veteran Service Agency in accordance with the Military and Veterans Code section 999.50. Applications must be on file at the Office of Small Business and Disabled Veteran Business Enterprise Certification by 5:00 p.m. on proposal opening day. The preference adjustment for awards based on low price cannot exceed $50,000.00.

2. Small Business Preference Example (Single Award, based upon point value):

Proposer A Proposer B Proposer C

Proposer Status NSB NSB w/

25% SB

Preference Applicable? X X Original Proposal Point Total 100 93 97

Apparent Highest Proposal Score X

Pref. Amount (5% of Highest Score) 0 5 5

Revised Proposal Point Total 100 98 102 Revised Highest Score X

3. Explanation of Example:

The highest scoring proposer after evaluation is Proposer A, which is a NSB not claiming a SB subcontracting preference. Since both Proposer B and Proposer C claim a SB Preference, five (5) percent of Proposer A’s proposal score is added to those of Proposer B and C. In the example above, five (5) percent of 100 points is 5 points.