REQUEST FOR PROPOSAL (RFP)

RFP# R004429

Email Platform Replacement Services

Release Date: 12/3/2025

Issued by:

CALIFORNIA STATE LOTTERY

700 N. 10th Street Sacramento, CA 95811

Disclaimer: The original version and any subsequent solicitation addenda released by the Procurement Official of this solicitation remain the official version. In the event of any inconsistency between proposer’s versions, articles, attachments, specifications, or provisions (which constitute the Contract), the official Lottery version of the solicitation in its entirety will take precedence.

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TABLE OF CONTENTS

TABLE OF CONTENTS ................................................................................................... I

INTRODUCTION

1.1. PURPOSE

1.2. BACKGROUND

1.3. TERM OF CONTRACT

PROPOSER INSTRUCTIONS

2.1. PROPOSER ADMONISHMENT

2.2. COMMUNICATIONS

Procurement Official CONTACT Questions Regarding the Solicitation Document Intent to Bid

2.3. KEY ACTION DATES

2.4. RULES GOVERNING COMPETITION

Identification and Classification of Solicitation Requirements Solicitation Documents

2.5. EXAMINATION OF THE WORK

2.6. EXCLUSION FOR HIRING OF LOTTERY PERSONNEL

2.7. PROPOSALS ARE PUBLIC RECORD

2.8. MODIFICATIONS TO THE SOLICITATION (ADDENDA)

2.9. PROPOSER’S COST

2.10. SIGNATURE OF PROPOSAL AND AWARDED CONTRACT

2.11. PROPOSER CERTIFICATION

2.12. JOINT PROPOSALS NOT PERMITTED

2.13. BIDDING STEPS

2.14. FINAL PROPOSAL

2.15. CONDITIONS OF SUBMISSION AND WITHDRAWAL

2.16. PROPERTY OF THE LOTTERY

2.17. PROTESTS

ADMINISTRATIVE REQUIREMENTS

3.1. RESPONSE TO ADMINISTRATIVE REQUIREMENTS (M)

3.2. PRIMARY PROPOSER (M)

3.3. SUBCONTRACTORS (M)

3.4. RESPONSIBILITY CERTIFICATION (M)

3.5. LOTTERY SPECIAL TERMS AND CONDITIONS (M)

3.6. INFORMATION TECHNOLOGY TERMS AND CONDITIONS (M)

3.7. COVER LETTER (M)

3.8. STANDARD AGREEMENT (M)

3.9. SCOPE OF WORK (SOW) (M)

3.10. PAYEE DATA RECORD (STD 204) (M)

3.11. BACKGROUND INVESTIGATIONS (M)

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3.12. SOCIOECONOMIC PROGRAMS

Proposer’s PreferenceS and IncentiveS (M) DVBE Incentive (O) Small Business Preference (O) Non-Small Business Subcontractor Preference (O)

PROPOSAL REQUIREMENTS

4.1. PROPOSER QUALIFICATIONS (M / DS)

4.2. NARRATIVE TECHNICAL RESPONSE (NTR) REQUIREMENT (MS)

UNDERSTANDING AND APPROACH (MS)

IMPLEMENTATION SERVICES (MS)

CUSTOMER SERVICE STRATEGY AND PLATFORM INTEGRITY PLAN (MS)

ASSUMPTIONS (M)

4.3. PROPOSER DEMONSTRATIONS (MS)

COST

5.1. COST DEFINITIONS

Rates ADDITIONAL Associated Services

5.2. COST SHEET

5.3. PAYMENT TERMS

PROPOSAL FORMAT AND SUBMISSION REQUIREMENTS

6.1. COMPLETION OF PROPOSALS

6.2. DELIVERY OF SUBMITTALS

6.3. FINAL PROPOSAL FORMAT AND CONTENT REQUIREMENTS

Volume 1: Response to Administrative Requirements Volume 2: Response to Technical Requirements Volume 3: Response to Cost Requirements

6.4. LABELING FOR ELECTRONIC SUBMISSION

EVALUATION

7.1. EVALUATION TEAM

7.2. EVALUATION STEPS

Evaluation of Required Information and Requirements Receipt and Preliminary Review Mandatory Administrative and Proposal Requirements Evaluation Validation against Administrative and Proposal Requirements

7.3. FINAL PROPOSAL EVALUATION

Errors in the Final Proposal Rejection of Proposals Administrative Requirements Evaluation Technical Requirements: Mandatory (M) and Desirable SCORED (DS) Qualification –

Maximum 100 points Technical Requirements: Narrative technical response – Maximum 400 points

7.3.5.1. Understanding and approach (MS) – Maximum 200 points

7.3.5.2. IMPLEMENTATION SERVICES (MS) – Maximum 100 points

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7.3.5.3. CUSTOMER SERVICE STRATEGY AND PLATFORM INTEGRITY PLAN (MS) –

Maximum 100 points

7.3.5.4. Assumptions (M)

Socioeconomic Programs Evaluation Cost Evaluation – 300 points Demonstrations (MS) – Maximum 200 points

7.4. BEST VALUE DETERMINATION

INFORMATIONAL ATTACHMENTS

ATTACHMENT A: TEMPLATE FOR QUESTION SUBMITTAL

ATTACHMENT B: LIQUID FILES INSTRUCTION GUIDE

SOLICITATION ATTACHMENTS

ATTACHMENT 1: PLACEHOLDER FOR COVER LETTER

ATTACHMENT 2: SOLICITATION SUBMISSION CHECKLIST

ATTACHMENT 3: INTENT TO BID

ATTACHMENT 4: RESPONSE TO ADMINISTRATIVE REQUIREMENTS

ATTACHMENT 5: PROPOSER CERTIFICATION

ATTACHMENT 6: PROPOSER’S PREFERENCES AND INCENTIVES

ATTACHMENT 7: SMALL AND MICROBUSINESS PARTICIPATION - IF

APPLICABLE

ATTACHMENT 8: DISABLED VETERAN BUSINESS ENTERPRISE PARTICIPATION

(DVBE) (IF APPLICABLE)

ATTACHMENT 9: RESPONSIBILITY CERTIFICATION

ATTACHMENT 10 INSTRUCTIONS FOR PROPOSER QUALIFICATIONS FORM

ATTACHMENT 10.1: PROPOSER QUALIFICATIONS FORM

ATTACHMENT 11: NARRATIVE TECHNICAL RESPONSE (NTR)

ATTACHMENT 12: GENAI IMPACT ASSESSMENT FORM

ATTACHMENT 13: COST SHEET

ATTACHMENT 14: PROPOSED CONTRACT TERMS AND CONDITIONS

EXHIBIT A – SCOPE OF WORK (SOW)

I. SUMMARY

II. CONTRACT MANAGERS

III. WORK TO BE PERFORMED

IV. ESCALATION PROCESS

V. CONTRACT PARTIES RESPONSIBILITIES

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EXHIBIT A-1 – HIGH-LEVEL CRITERIA FOR EMAIL PLATFORM

EXHIBIT A-2 – WORK AUTHORIZATION FORM

EXHIBIT A-3 – FORMAL ACCEPTANCE FORM

EXHIBIT B – BUDGET DETAIL AND PAYMENT PROVISIONS

1. COST SHEET

2. FISCAL PROVISIONS

2.1 REDUCTION OF FUNDS

2.2 FREQUENCY OF PAYMENT

2.3 PAYMENT AND INVOICING

2.4 FULL COMPENSATION

2.5 NOTICE OF MONIES DUE

2.6 TAX REPORTING

2.7 WITHHOLDS

EXHIBIT B-1 – COST SHEET

EXHIBIT C – LOTTERY SPECIAL TERMS AND CONDITIONS

EXHIBIT D – IT TERMS AND CONDITIONS

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INTRODUCTION

This Request for Proposal (hereafter referred to as “solicitation”) is being conducted under the policies and procedures developed by the California State Lottery (hereafter referred to as “Lottery) as provided under the California State Lottery Act (Government Code § 8880 et seq.) and Lottery Regulations.

This solicitation contains: (1) the instructions governing the requirements for a fixed price to be submitted by interested proposers; (2) the format that proposal information is to be submitted and the material to be included; (3) the requirements that proposers must meet to be eligible for consideration; and (4) proposer’s responsibilities before and after award.

Responses to this solicitation will be evaluated based on proposer’s total proposal, and award, if made, will be to the proposer providing the best value to the Lottery as determined in accordance with the methodology defined in SECTION 7, EVALUATION.

Proposer’s response to the solicitation constitutes an irrevocable offer for 180 calendar days following the date proposals are due to the Lottery, as noted in Section 2.3 KEY

ACTION DATES.

1.1. PURPOSE

The purpose of this solicitation is to obtain proposals from qualified proposers to implement a more functional, robust, and advanced email platform that enables the Lottery to use email effectively and efficiently, while also evolving and optimizing this critical communication channel for increased productivity, better engagement, and more effective marketing campaigns to meet our strategic goal to become player focused and continue to improve the player experience.

The resulting contract from this solicitation will provide the Lottery with an email marketing and campaign management solution, including implementation services and ongoing customer support.

1.2. BACKGROUND

Email marketing is a key channel for communicating with Lottery’s players. The Lottery’s email list includes millions of registered players and communications informing players about a wide variety of game information, news, and product updates.

Email marketing and email communications additionally allow the Lottery to share valuable information with players such as winner news, player updates, responsible gaming tips, courier warnings, new game launches, promotions, and news about the Lottery’s mission and education beneficiaries. The Lottery’s email platform is also used to send out retailer surveys and other communications or surveys for other programs and Divisions.

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Currently, the Lottery uses Adobe Campaign Standard for email marketing and communications but, as the Lottery’s email program has grown and Lottery continues to innovate in order to drive supplemental funding to public education, its email marketing and communication needs have changed. The expectation for a new platform is a more functional, robust, and state-of-the-art email platform that will allow the Lottery to continue to leverage email effectively and efficiently, and to evolve and optimize this critical communication channel.

1.3. TERM OF CONTRACT

The initial term (Contract Term) of the proposed Contract resulting from this solicitation will be two (2) years. The Lottery may unilaterally extend the Contract Term under the same terms and conditions, including pricing terms, for up to three (3) one-year terms.

The Contract term may change if the Lottery makes an award earlier than expected or if the Lottery cannot execute the Contract due to unforeseen delays.

The resulting Contract will be of no force or effect until signed by both parties. The successful proposer will not commence performance until a valid Contract has been executed between the successful proposer and the Lottery.

PROPOSER INSTRUCTIONS

2.1. PROPOSER ADMONISHMENT

Proposer should refer to SECTION 2.13, BIDDING STEPS, to understand the steps applicable to this solicitation. It is proposer’s responsibility to:

• Carefully read the entire solicitation before submitting a Final Proposal.

• Ask all questions and submit all required responses by SECTION 2.3, KEY

ACTION DATES.

• Make sure that all procedures and requirements of the solicitation are accurately followed and appropriately addressed.

2.2. COMMUNICATIONS

The Lottery publishes its contract opportunities on the Cal eProcure website to communicate business opportunities with prospective proposers and/or suppliers.

Information for this solicitation will be posted by the Lottery to its website as well.

PROCUREMENT OFFICIAL CONTACT

For all communications pertaining to this solicitation subject line must include RFP #R004429 Email Platform Replacement Services and must be directed to the Procurement Official below:

California State Lottery https://caleprocure.ca.gov/pages/Events-BS3/event-search.aspx https://www.calottery.com/vendor-opportunities

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Procurement Services and Support Attention: Timur Kopbayev 700 North 10th Street Sacramento, CA 95811 Email: solicitations@calottery.com

No contact or communications regarding this solicitation will be allowed between proposers or potential proposers and members of the Lottery Evaluation Team, Lottery Commissioners, or Lottery staff during the solicitation process with the exception of the Procurement Official. Any such contact may disqualify a proposer or potential proposer from further consideration. Requests for clarification will be allowed, provided such requests are made in writing through the Procurement Official.

Any verbal communications by Lottery officers and employees concerning this solicitation are not binding on the Lottery and will in no way excuse proposer of any obligations set forth in this solicitation or of any resulting Contract.

QUESTIONS REGARDING THE SOLICITATION DOCUMENT

Questions regarding the content of this solicitation (including clarifications on bidding requirements, Scope of Work, or Cost Sheet) must be submitted in writing via email to the Procurement Official listed in SECTION 2.2.1 by the due date and time specified in SECTION 2.3, KEY ACTION DATES using ATTACHMENT A: TEMPLATE FOR

QUESTION SUBMITTAL.

It is proposer’s sole responsibility to verify receipt of submitted questions. The Lottery may, in its sole discretion, respond to written questions received after the specified due date and time. All written questions submitted by the deadline specified in SECTION 2.3, KEY ACTION DATES, will be responded to at the same time in the form of a question and answer set and be provided to proposers that submitted ATTACHMENT 3 INTENT TO BID and will also be posted to the Cal eProcure website and the Lottery’s website.

INTENT TO BID

The Lottery encourages all interested qualified proposers that want to participate in the solicitation to submit a completed ATTACHMENT 3: INTENT TO BID via email to the Procurement Official identified in SECTION 2.2.1 by the date and time specified in SECTION 2.3, KEY ACTION DATES in order to receive direct communications from the Lottery about this solicitation.

ATTACHMENT 3: INTENT TO BID is optional and not required to participate in this solicitation process. However, solicitation notices and addenda issued by the Lottery will only be sent directly to proposers with ATTACHMENT 3: INTENT TO BID on file.

Proposer must notify the Procurement Official whenever its intent to bid changes or whenever there is a change in proposer’s designated contact person information.

mailto:solicitations@calottery.com https://caleprocure.ca.gov/pages/Events-BS3/event-search.aspx https://www.calottery.com/vendor-opportunities

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2.3. KEY ACTION DATES

Table 2-1: Key Action Dates provides the key action dates and times by which actions must be taken or completed. If the Lottery finds it necessary to change these dates or times, it will be accomplished via an addendum to this solicitation with the exception of dates listed after proposer’s submission of Final Proposal. Dates listed after proposer’s submission of Final Proposal are estimated and may be adjusted without addenda to this solicitation. All times listed are for California Pacific Time/Pacific Standard Time.

Table 2-1: Key Action Dates Key Action Dates

Item Action Date and Time

1. Release of Solicitation 12/3/2025

2. Last day to submit completed ATTACHMENT

3: INTENT TO BID

1/8/2026 @3 p.m. PT

3. Last day to submit written questions using

ATTACHMENT A: TEMPLATE FOR

QUESTION SUBMITTAL

1/8/2026 @3 p.m. PT

4. Question and Answer Set Posted and release of potential addendum

1/29/2026

5. Last day to submit Final Proposal 1 2/26/2026 @3 p.m. PT

6. Evaluation Period 2

Reference Checks Period

2/26/2026 - 3/12/2026

3/4/2026 - 3/10/2026

7. Demonstrations (Optional) 3 3/13/2026 - 3/23/2026

8. Notification of Intent to Award 4/7/2026

9. Contract Start Date (Estimated) 6/15/2026

1 All dates after submission of Final Proposals are approximate and may be adjusted as conditions indicate without addendum to this solicitation.

2 Based on the number of Proposals received.

3 This key action is an optional step in the solicitation process. The Lottery will give at least seven (7) calendar days advance notice.

2.4. RULES GOVERNING COMPETITION

This solicitation, the evaluation of responses, and the award of any resultant Contract will be made in conformance with current competitive bidding procedures as they relate to the procurement of IT goods and services pursuant to the California State Lottery Act.

IDENTIFICATION AND CLASSIFICATION OF SOLICITATION

REQUIREMENTS

The Lottery has established certain requirements with respect to proposals to be submitted by proposers. The use of “shall,” “must,” or “will” (except to indicate simple futurity) in the solicitation indicates a requirement or condition which is mandatory.

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The words “should” or “may” in the solicitation indicate desirable attributes or conditions but are non-mandatory in nature.

The Lottery may waive any deviation in a proposal that the Lottery determines to be nonmaterial. The Lottery’s waiver of a nonmaterial deviation in no way modifies the solicitation’s requirements or excuses proposers from full compliance with the Contract’s requirements.

SOLICITATION DOCUMENTS

This solicitation document includes, in addition to an explanation of the Lottery’s requirements which must be met, instructions which prescribe the format and content of proposals to be submitted and the model of the Contract to be executed between the Lottery and the successful proposer.

If proposer discovers any ambiguity, conflict, discrepancy, omission, or other error in this solicitation document, proposer must immediately notify the Procurement Official identified in SECTION 2.2.1, of such error in writing and request clarification or modification of the document.

If the solicitation document contains an error known to the proposer, or an error that reasonably should have been known, but fails to notify the Lottery of that error prior to the submission date, proposer submits its proposal at its own risk. If awarded the Contract, proposer shall not be entitled to additional compensation or time due to the error or its subsequent correction.

The Lottery reserves the right to adjust the language within the SOW and contract awarded from this solicitation. Therefore, final contract language may deviate from the provisions provided. If an inconsistency or conflict arises between the terms and conditions appearing in the final contract and the proposed terms and conditions appearing in this solicitation, any inconsistency or conflict will be resolved by giving precedence to the final contract.

Modifications will be made by addenda issued pursuant to SECTION 2.8, MODIFICATIONS TO THE SOLICITATION (ADDENDA).

2.5. EXAMINATION OF THE WORK

Proposers are strongly encouraged to examine this document and any addenda thereto thoroughly and become familiar with the solicitation’s requirements, including but not limited to those set forth in ATTACHMENT 14, PROPOSED CONTRACT TERMS AND CONDITIONS: Exhibit A, Scope of Work (SOW), Exhibit C, Special Contract Terms and Conditions, and Exhibit D, Information Technology Terms and Conditions.

Proposals must be based solely on the information and materials contained in the solicitation and any addenda thereto and on other written communications regarding the solicitation that are issued by the Procurement Official identified in SECTION 2.2.1.

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Proposers must disregard all other information regarding the requirements of this solicitation, including draft material, newspaper advertisements or articles, and verbal representations.

The Lottery may, in its sole discretion, refuse to accept a proposal if it fails to furnish all required information or follow the format specified in this solicitation.

2.6. EXCLUSION FOR HIRING OF LOTTERY PERSONNEL

At all times during the proposal evaluation period and continuing through Contract award or rejection of all proposals, proposers are prohibited from officially or unofficially making any employment offer or proposing any business arrangement whatsoever to any Lottery employee involved in the evaluation of proposals. A proposer making such an offer or proposition will be disqualified from further consideration.

2.7. PROPOSALS ARE PUBLIC RECORD

Pursuant to the California Public Records Act, California Government Code §§ 6250 et seq., all data, materials, information, and documents submitted to the Lottery by a proposer may be incorporated into a publicly available agreement and may otherwise be subject to disclosure upon request by competitors and members of the public after the apparent successful proposer has been announced. The Lottery will process all Public Records Act requests in accordance with the laws of the State of California. Proposer labeling of any proposal materials as “confidential” or otherwise exempt from disclosure is not binding on the Lottery, and the Lottery will not be liable to proposer or to any other person or entity for disclosing information as required by law.

2.8. MODIFICATIONS TO THE SOLICITATION (ADDENDA)

The Lottery may cancel or modify the solicitation at any time prior to submission of Final Proposal by issuing an addendum. Addenda will be numbered consecutively.

Modifications will be made by addenda issued. Such modifications will be given by written notice to all parties who have submitted an ATTACHMENT 3: INTENT TO BID pursuant to SECTION 2.2.3 INTENT TO BID. Insofar as practicable, the Lottery will give such notices to other interested parties, but the Lottery will not be responsible, therefore.

2.9. PROPOSER’S COST

The Lottery will not be liable for any costs incurred by any proposer in responding to this solicitation, regardless of whether the Lottery awards the Contract through this process, decides not to move forward with the work, cancels this solicitation for any reason, or Contracts for the work through other processes or by issuing another solicitation.

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2.10. SIGNATURE OF PROPOSAL AND AWARDED CONTRACT

A cover letter (which will be considered a required part of the Final Proposal), any proposal forms requiring signature and the resulting Contract must be signed by an individual who is authorized to contractually bind proposer. The signature block must indicate the title or position that the individual holds in the firm. An unsigned Final Proposal may be rejected.

2.11. PROPOSER CERTIFICATION

Proposers must acknowledge, complete, and submit the certification form, Attachment 5 Proposer Certification Form in their proposal package.

2.12. JOINT PROPOSALS NOT PERMITTED

A joint proposal (two (2) or more proposers quoting jointly on one (1) proposal) may not be submitted, nor will a joint proposal be accepted, for purposes of this solicitation.

2.13. BIDDING STEPS

This procurement process consists of a single proposal due date (not a draft and final Proposal phase method). However, the Lottery reserves the right to declare all proposals as “drafts” if necessary, as described in SECTION 7.3.1 ERRORS IN THE FINAL

PROPOSAL.

The procurement process to be used in this solicitation is composed of at least one (1) phase of proposal development.

2.14. FINAL PROPOSAL

The Final Proposal must be complete, and include all cost information, required signatures, and changes issued by the Lottery via an addendum. Proposers that submit Final Proposals meeting the criteria identified in SECTION 7, EVALUATION will be evaluated by the Lottery to determine Best Value.

2.15. CONDITIONS OF SUBMISSION AND WITHDRAWAL

Proposals submitted in response to the solicitation and any subsequent presentations must be submitted with proposer’s best offer to fulfill the required ATTACHMENT 14 PROPOSED CONTRACT TERMS AND CONDITIONS, Exhibit A - SOW. Proposers will be allowed to withdraw their proposals only when a written request for withdrawal is received by the Lottery prior to the deadline for Final Proposal submission. Requests for withdrawal of proposals must be filed in the same manner as proposals. After the submission deadline, proposers cannot replace, change, or modify their proposals in any way except as specified in this solicitation or a subsequent addendum to this solicitation.

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2.16. PROPERTY OF THE LOTTERY

All materials submitted in response to this solicitation become the property of the Lottery upon receipt and will not be returned to proposer.

2.17. PROTESTS

Only an actual proposer may protest a Contract award, and only on the following grounds:

a) The Lottery did not follow its own written procedures in selecting the apparent successful proposer, and

b) The protestor can demonstrate that had the Lottery followed its procedures, the protesting proposer would have been the successful proposer.

A notice of intent to protest must be received by the Lottery within 7 business days after the Lottery posts a notice of intent to award on its website. Notice is to be sent via email to solicitations@calottery.com. A timely notice of intent to protest is a prerequisite to any protest.

Provided that a timely notice of intent to protest has been filed with the Lottery, a protest must be filed within 12 business days after the Lottery posts its notice of intent to award on its website. A protest must include a complete and detailed explanation of how the facts support the protest.

All protest documents must be received by the Lottery via email to solicitations@calottery.com or mail at its Sacramento headquarters, 700 North 10th Street, Sacramento, CA 95811, no later than 3:00 p.m. Pacific Time on the last day of the applicable protest period. The envelope containing protest documents or the cover page to a protest must be addressed to the attention of the Director and must be clearly labeled:

“Protest to the (title and number of the solicitation), DO NOT OPEN IN MAILROOM.”

Untimely protests will not be considered.

It is the protestor’s responsibility to ensure that the Director has all information and arguments that the protestor deems relevant and necessary to resolve the protest. The Director may request additional information in writing from the protestor or from other sources, including the apparent successful proposer and Lottery staff, as they deem appropriate for resolution of the protest.

The Director will issue a written decision within 15 calendar days of completion of their review of the record.

In their sole discretion, the Director may determine that it is in the best interests of the Lottery to proceed with Contract award and performance, while a protest is pending, and may direct a Contractor to commence work.

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ADMINISTRATIVE REQUIREMENTS

This section contains the administrative requirements that must be met in order to be considered responsive to this solicitation.

Unless designated otherwise, all of the requirements in this section are mandatory. The documents that must be submitted with proposer’s Final Proposal are noted as “Mandatory” or “(M)” in this section.

Additionally, this section contains optional requirements noted as “Optional” or “(O)” that may require documents to be submitted with proposer’s proposal.

The administrative requirements listed in this section are denoted as follows:

(M) – All sections labeled as “Mandatory” or “M” are not negotiable. To be considered responsive and responsible to these requirements, all requirements identified as (M) must be responded to. A “fail” in a mandatory section will result in a proposal being deemed non-responsive and, therefore, will be disqualified.

Failure to respond to any mandatory requirements will result in disqualification of the proposal. The responses will be evaluated in accordance with SECTION 7, EVALUATION.

(O) – All sections labeled as “Optional” or “O” are not required to be offered by proposer in order to be compliant to the solicitation requirements. Proposer may choose whether to meet administrative requirements labeled as (O) such as those relating to preference points. However, if a proposer offers any of these (O) requirements, proposer must meet the mandatory requirements as stated in the section. The Lottery will review responses to optional requirements and apply points, if applicable, per the criteria stated in SECTION 7, EVALUATION.

3.1. RESPONSE TO ADMINISTRATIVE REQUIREMENTS (M)

Proposer must indicate that it understands and agrees to the requirements of SECTION 3, ADMINISTRATIVE REQUIREMENTS, by marking “Yes” on the “Proposer Agrees Yes/No” column of ATTACHMENT 4: RESPONSE TO ADMINISTRATIVE REQUIREMENTS. Answering “No” to any of the mandatory administrative requirements or failing to submit documents noted as (M) with the Final Proposal will result in the proposal being deemed non-responsive, and therefore disqualified.

3.2. PRIMARY PROPOSER (M)

An award, if made, will be to a primary proposer. Proposer affirms that it will be responsible for successful performance of all subcontractors and support services offered in response to this solicitation. All Lottery policies, guidelines, and requirements that apply to the primary proposer also apply to subcontractors, as applicable to the products and services they provide and to their role as a subcontractor. Furthermore, the Lottery will

Email Platform Replacement Services Page 10 of 133 consider the primary proposer to be the sole point of contact regarding contractual matters for the term of the resulting Contract. Proposer will not assign financial documents to a third party without prior written approval by the Lottery, and an amendment to the resulting Contract.

3.3. SUBCONTRACTORS (M)

Proposer agrees to be responsible to ensure any subcontractor that proposer chooses to use in fulfilling the requirements of this solicitation, and which is expected to receive more than ten percent (10%) of the value of the Contract, also meets all administrative and bid requirements of the solicitation, as applicable to the services provided by the subcontractor.

Nothing contained in the resulting Contract will create any relationship between the Lottery and any subcontractors, and no subcontract will relieve proposer of its responsibilities and obligations. Proposer is fully responsible to the Lottery for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by them.

The successful proposer will not change subcontractor(s) and/or Disabled Veteran Business Enterprise (DVBE) subcontractor(s) if such changes conflict with the work to be performed under this Contract. For DVBE subcontractor changes, the successful proposer will utilize another DVBE subcontractor. The Lottery recognizes that changes to subcontractor(s) may be necessary and in the best interests of the Lottery, however, advance notification of a contemplated change and the reasons for such change must be made to the Lottery no less than seven (7) business days prior to the existing subcontractor’s termination. If this should occur, the successful proposer should be aware that the Lottery Contract administrator or designee must approve any changes to the subcontractor(s) prior to the termination of the existing subcontractor(s). This also includes any changes made between submittal of the Final Proposal and actual start of the Contract.

The Lottery will not compensate the successful proposer for any of the successful proposer’s time or effort to educate or otherwise make the new subcontractor(s) ready to begin work on the Contract.

Proposer’s obligation to pay its subcontractors is an independent obligation from the Lottery’s obligation to pay or to enforce the payment of any money to any subcontractor.

The successful proposer is solely responsible for any payments to or claims made by subcontractors.

3.4. RESPONSIBILITY CERTIFICATION (M)

Proposer must certify in writing, to the best of its knowledge and belief that proposer, proposer’s subcontractor(s), or any personnel related to the Contract to be awarded are not presently debarred, suspended, proposed for debarment, or declared ineligible for the

Email Platform Replacement Services Page 11 of 133 award of contracts by any state or federal agency. Proposer must submit its certification as Attachment 9 with its Final Proposal.

Proposer will be deemed non-responsive if the certification is not submitted with its Final Proposal, as specified in this section.

3.5. LOTTERY SPECIAL TERMS AND CONDITIONS (M)

Proposer agrees that deviations from or proposed revisions to any of the Lottery approved Special Terms and Conditions (Exhibit C) will be the basis for rejection of proposer’s proposal.

3.6. INFORMATION TECHNOLOGY TERMS AND CONDITIONS (M)

Proposer agrees that the Contract awarded as a result of this solicitation will automatically incorporate by reference the Lottery Information Technology Terms and Conditions (Exhibit D).

3.7. COVER LETTER (M)

Proposer must submit a cover letter, containing the following information, on company letterhead:

1. The legal name of proposer’s company.

2. The address of proposer’s company.

3. A statement indicating proposer has the appropriate skills to provide all services and deliverables, as described in this solicitation and the Exhibit A SOW.

4. A statement indicating proposer has reviewed and will comply with the Exhibit A SOW.

5. Be signed by an individual who is authorized to bind the bidding firm contractually. The individual’s name must also be typed and include the title or position that the individual holds in the firm. An unsigned cover letter in proposer’s Final Proposal may deem a proposer non-responsive and may be the basis for rejection of proposer’s Final Proposal.

6. The email and phone number of the person signing the letter.

3.8. STANDARD AGREEMENT (M)

Once Contract award is complete, the Lottery will enter all required information prior to moving forward to the signature process step. The successful proposer will be contacted to designate the name and title of the party authorized to bind the successful proposer contractually. The Lottery will send the final, completed Standard Agreement to the successful proposer for signing and return to the Lottery for signature and approval.

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3.9. SCOPE OF WORK (SOW) (M)

The SOW identifies and describes the tasks and responsibilities of the successful proposer and the responsibilities of the Lottery during the term of the Contract. By completing ATTACHMENT 4: RESPONSE TO ADMINISTRATIVE REQUIREMENTS, proposer is indicating compliance with Exhibit A SOW.

Proposer is advised that deviations to Exhibit A SOW may be the basis for rejection of proposer’s Final Proposal.

3.10. PAYEE DATA RECORD (STD 204) (M)

The Payee Data Record (STD 204) indicates proposer is subject to state income tax withholdings pursuant to California Revenue and Taxation Code §18662.

Upon Intent to Award, the successful proposer must complete and submit the Payee Data Record (STD 204). Proposer must provide the company’s Federal Employer Identification Number (Business IRS Number) on this form. The form can be located at the following website.

3.11. BACKGROUND INVESTIGATIONS (M)

The Lottery will conduct a background investigation of the successful proposer, its officers, directors, principals, investors, owners, employees, or other associates, and the officers, directors, principals, investors, owners, employees, and other associates of successful proposer's parent entity, affiliates, subsidiaries, and subcontractors, unless the Lottery determines such individuals are not subject to a background investigation.

Individuals must voluntarily consent to a background check and will be required to complete a Personal History Statement and an Authorization to Release Personal Background Information form. The Lottery reserves the right to disapprove any individual from performing services under the scope of the Contract.

Investigations will be conducted to ascertain whether the successful proposer, its officers, directors, principals, investors, owners, employees, or other associates, and the officers, directors, principals, investors, owners, employees, and other associates of successful proposer's parent entity, affiliates, subsidiaries, and subcontractors have any state or federal convictions, or are currently released from custody on bail or on their own recognizance pending trial. The background investigation will include fingerprinting and an inquiry to the California Department of Justice (DOJ) and the Federal Bureau of Investigations (FBI) to disclose Criminal Offender Record Information (CORI). The Lottery will absorb the cost of the fingerprinting services.

Proposers must identify and designate a single point of contact for background processing as part of the response.

Upon “Intent to Award” the successful proposer will initiate the background investigation process of all successful proposer staff that will work on the Contract. The Lottery will http://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf

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If the successful proposer does not meet background requirements, the Lottery may engage the next best value compliant proposer without performing a subsequent solicitation.

3.12. SOCIOECONOMIC PROGRAMS

PROPOSER’S PREFERENCES AND INCENTIVES (M)

Proposer must complete and submit ATTACHMENT 6 PROPOSER’S PREFERENCES AND INCENTIVES with its proposal. Proposer must indicate on ATTACHMENT 6 PROPOSER’S PREFERENCES AND INCENTIVES whether it is or is not claiming each preference and/or incentive. Refer to SECTION 7, EVALUATION, for details on the amount and application of preference and incentive points during proposal evaluation.

DVBE INCENTIVE (O)

In accordance with Lottery Regulation 8.5.4, an incentive will be given to all proposers on their Cost Proposal who obtain DVBE participation. For Contract award evaluation purposes only, the Lottery will apply the incentive amount based on the amount of DVBE participation obtained. The incentive is only given to those proposers who are responsive to the DVBE program requirement and propose DVBE participation in the resulting Contract.

If proposer is claiming a DVBE incentive, proposer must complete and submit both Attachment 6 PROPOSER’S PREFERENCES AND INCENTIVES and Attachment 8

DVBE PARTICIPATION WITH FINAL PROPOSAL.

Refer to SECTION 7, EVALUATION, for details on the amount and application of the incentive during proposal evaluation.

SMALL BUSINESS PREFERENCE (O)

Lottery Regulation 8.4 requires that a five percent (5%) preference be given to proposers on their Cost Proposal who qualify as a small business. The rules and regulations of this law, including the definition of a small business, or qualifying non-small business, are contained in Lottery Regulation 8.4.

If proposer is claiming small business and microbusiness participation, proposer must complete and submit both ATTACHMENT 6 PROPOSER’S PREFERENCES AND INCENTIVES and ATTACHMENT 7 SMALL AND MICROBUSINESS PARTICIPATION, with Final Proposal.

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NON-SMALL BUSINESS SUBCONTRACTOR PREFERENCE (O)

A five percent (5%) proposal preference is available to proposers on their Cost Proposal who qualify as a non-small business claiming at least 25 percent (25%) California-certified small business subcontractor participation. If claiming the non-small business subcontractor preference, proposer’s response must include a list of the small businesses with which the firm commits to subcontract in an amount of at least 25 percent (25%) of the net proposal price with one (1) or more California-certified small businesses. Each listed certified small business must perform a “commercially useful function” in the performance of the Contract as defined in Government Code §14838(b)(1)(2).

Proposers claiming the five percent (5%) preference must commit to subcontract at least 25 percent (25%) of the net proposal price with one (1) or more California-certified small businesses.

The preference to a non-small business firm that commits to small business or microbusiness subcontractor participation of 25 percent (25%) of its net Cost Proposal price will be given five percent (5%) of the highest responsive, responsible firm’s total cost. A non-small business that qualifies for this preference, may not take an award away from a certified small business.

If claiming a small business preference or using small business subcontractors, proposer must complete and submit both ATTACHMENT 6 PROPOSER’S PREFERENCES AND INCENTIVES and ATTACHMENT 7 SMALL AND MICROBUSINESS PARTICIPATION with Final Proposal.

PROPOSAL REQUIREMENTS

This Section contains the mandatory qualifications and technical requirements that must be met in order to be considered responsive and responsible to this solicitation. In addition to meeting these requirements, proposer must meet the requirements as described in Attachment 14 PROPOSED CONTRACT TERMS AND CONDITIONS Exhibit A SOW.

Unless designated otherwise, all of the requirements in this Section are mandatory.

The documents that must be submitted with proposer’s Final Proposal are noted as Mandatory (M) or Mandatory Scored (MS).

Additionally, this Section contains optional desirable requirements noted as Desirable Scored (DS) as noted below.

The Lottery has determined that it is best to define its own needs, desired objectives, and desired environment. The Lottery will not tailor these needs to fit a solution a proposer may have available; rather, proposer will propose to meet the Lottery’s needs as defined in this solicitation.

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Proposer qualifications and technical requirements listed in this section are denoted as follows:

(M) Sections labeled as “Mandatory” or “M”: are designated as “Pass” or “Fail”. To be considered responsive and responsible to the section, all requirements identified as (M) must be responded to. In addition, proposer must meet all (M) requirements.

A “fail” will result if proposer does not respond or cannot meet all requirements.

Failure to respond to any (M) requirements where indicated will result in a “fail” and disqualification of the proposal.

(MS) sections labeled as “Mandatory Scored” or “MS”: To be considered responsive and responsible to the section, all requirements identified as (MS) must be responded to. A “fail” will result if proposer does not respond or cannot meet all requirements. Failure to respond to any (MS) requirements where indicated will result in a “fail” and disqualification of the proposal. The Lottery will review responses to (MS) requirements and apply points, as applicable, per the criteria stated in Section 7, EVALUATION.

(DS) sections labeled as “Desirable Scored”: are not required to be offered by proposer in order to be considered responsive. Proposer may choose whether to meet requirements labeled as (DS). However, if a proposer offers any of these (DS) requirements, proposer must meet the mandatory requirements as stated in the applicable section. The Lottery will review responses to (DS) requirements and apply points, if applicable, per criteria stated in SECTION 7, EVALUATION

Note that if a proposer chooses not to address “DS” solicitation requirements, proposer will be awarded zero points for that requirement in the evaluation and scoring process. It is at the Lottery’s option/discretion on whether to utilize the option in the Contract.

4.1. PROPOSER QUALIFICATIONS (M / DS)

Proposer must meet the Mandatory Qualification (MQ) requirements. Failure to meet any of the MQ requirements will result in a proposal being deemed non-responsive and therefore disqualified.

Proposer must complete and submit as part of its Final Proposal response, Attachment

10.1 PROPOSER QUALIFICATIONS FORM, to confirm that proposer’s experience meets all the MQ requirements identified in Attachment 10.1 PROPOSER QUALIFICATIONS FORM. Proposer must provide sufficient detail in its Final Proposal for the Lottery to evaluate proposer’s ability to meet the requirements and perform the services as described in this solicitation.

See Attachment 10 INSTRUCTIONS FOR PROPOSER QUALIFICATIONS FORM for additional information.

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4.2. NARRATIVE TECHNICAL RESPONSE (NTR) REQUIREMENT (MS)

Proposer must complete and submit, Attachment 11: NARRATIVE TECHNICAL RESPONSE (NTR), as part of its Final Proposal in accordance with SECTION 6, PROPOSAL FORMAT AND SUBMISSION REQUIREMENTS.

Proposer must provide a narrative technical response for each of the items outlined in SECTIONS 4.2.1 through 4.2.4 below.

See Attachment 11: NARRATIVE TECHNICAL RESPONSE (NTR) for additional information.

UNDERSTANDING AND APPROACH (MS)

Proposers must provide a narrative description of their understanding of, and insight into, the challenges, issues, and risks faced by the Lottery’s need and how their product will meet the needs as outlined in Attachment 14 PROPOSED CONTRACT TERMS AND CONDITIONS, Exhibit A – SOW, MQs, and Desirable Qualifications (DQ) listed in Attachment 10.1 Proposer Qualifications Form . Proposers must discuss their strategy for providing the services outlined in the Exhibit A – SOW within the time period allocated.

IMPLEMENTATION SERVICES (MS)

Proposer must outline an implementation plan for how they will provide the Lottery with dedicated implementation team to provide implementation services including hands-on keyboard support, ensuring seamless integration, data migration, IP warming, testing, and overall setting up of the email service platform. Proposer must identify how the implementation plan will address hands-on keyboard support, ensuring seamless integration, data migration, IP warming, testing, and overall setting up of the email service platform.

CUSTOMER SERVICE STRATEGY AND PLATFORM INTEGRITY

PLAN (MS)

Proposer must comprehensively address their customer service strategy and platform integrity plans. Things that must be addressed include Service Level Agreements (SLAs), dedicated account team or single point of contact for real-time support, hours of coverage, platform up-time guarantees, and how outages are addressed.

ASSUMPTIONS (M)

Proposer must document any assumptions they are making about Attachment 14 PROPOSED CONTRACT TERMS AND CONDITIONS, Exhibit A –SOW, the responsibilities of the Contractor and the Lottery, and any other issues relevant to proposal submission in response to this solicitation and the ability to do the work for the proposed cost. Response to Assumptions must be included with the NTR. This requirement will not be scored but is a mandatory requirement.

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4.3. PROPOSER DEMONSTRATIONS (MS)

This procurement may require a demonstration of proposer’s response to specific requirements (including benchmark requirements) before final selection in order to verify the claims made in the proposal, corroborate the evaluation of the proposal, and confirm that the software is actually in operation; in which case prior notice of seven (7) calendar days will be given. Proposer must make all arrangements for the demonstration at no cost to the Lottery. The specific details of the demonstration will be determined by the Lottery, which permits virtual formats. The Lottery reserves the right to determine whether or not a demonstration has been successfully passed, based on the evaluation criteria published in the solicitation document. See SECTION 7, EVALUATION.

COST

Cost is a primary evaluation criterion weighted at 30% of the 1000 total points available.

Evaluation points awarded in this category will be based on the lowest total estimated net cost as calculated according to the methodology in SECTION 7, EVALUATION.

For evaluation purposes only, the first two base years alongside the three optional years will be taken into consideration.

Proposed costs for all line items must be all inclusive.

The cost evaluation is structured to facilitate a straightforward comparison among all proposers and foster competition to obtain the best market pricing. Consequently, the Lottery requires that each proposer’s cost be submitted in the format outlined in this section. Failure to comply with the instructions listed in this section, such as submission of an incomplete proposal or alternative pricing structures/formats, will be the basis for rejection of proposer’s proposal.

It is absolutely essential that proposer carefully review the cost elements in Final Proposal since they will not have the option to correct errors after the time for submittal of the Final Proposals.

Important Note: It is imperative that no cost information is included in the body of the proposal. Cost information must only be submitted in proposer’s response, Volume 3, Cost Sheet in accordance with SECTION 6, PROPOSAL FORMAT AND SUBMISSION

REQUIREMENTS.

5.1. COST DEFINITIONS

RATES

Rates shall be inclusive of all direct and indirect costs for all activities, labor, materials, tools, equipment, and travel required to perform and/or support services under this Contract.

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ADDITIONAL ASSOCIATED SERVICES

Additional associated services are those services that must be performed and related to the SOW, but were not specifically identified in the Lottery's solicitation document or

SOW.

At the Lottery’s request, the successful proposer shall be required to provide additional, associated services in support of email platform implementation and configuration.

5.2. COST SHEET

Software, implementation, maintenance, support, and training costs included in ATTACHMENT 13 COST SHEET are those that proposer must provide for the term of the Contract, including optional years, as identified in Exhibit A SOW of ATTACHMENT 14 PROPOSED CONTRACT TEMS AND CONDITIONS. All proposers must provide costs as indicated in the Cost Sheet and submit with proposer’s Final Proposal or the proposal may be rejected. Items submitted with no price will be considered as offered at no cost.

5.3. PAYMENT TERMS

Refer to Attachment 14 PROPOSED CONTRACT TERMS AND CONDITIONS, Exhibit B

– Budget and Payment Provisions of for specific payment terms.

PROPOSAL FORMAT AND SUBMISSION REQUIREMENTS

These instructions identify the mandatory proposal format and the approach for the development and presentation of proposals. The format instructions must be followed, all requirements and questions in the solicitation must be completed and all requested data must be supplied. Proposer must carefully examine the solicitation and be satisfied with the compliance conditions prior to submitting a proposal.

6.1. COMPLETION OF PROPOSALS

Proposals are to be prepared in such a way as to provide a straightforward, concise delineation of capabilities to satisfy the requirements of this solicitation document.

Colored displays, promotional materials, etc., are not necessary or desired. Emphasis should be concentrated on conformance to the solicitation document instructions, responsiveness to the solicitation document requirements, and completeness and clarity of content.

Proposals must be complete in all respects as required by SECTION 6, PROPOSAL FORMAT AND SUBMISSION REQUIREMENTS. A Final Proposal may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. A Final Proposal will be rejected if any such defect or irregularity constitutes a material deviation from the solicitation document requirements. The Final Proposal must

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