State of Florida Department of Financial Services Office ...

State of Florida Department of Financial Services

Office of Financial Regulation Invitation to Negotiate ("ITN") Number DFS OFR ITN 15/16-06

REGULATORY ENFORCEMENT AND LICENSING (REAL) SYSTEM SUPPORT AND IMPROVEMENTS

CAUTION: Respondents are advised that Respondents shall submit a redacted version of the Response if Respondent considers any portion of the documents, data or records submitted in response to this solicitation to be confidential, trade secret or otherwise not subject to disclosure pursuant to Chapter 119, Florida Statutes, the Florida Constitution or other authority. This redacted copy shall be clearly titled "Redacted Copy." FAILURE TO PROVIDE A REDACTED VERSION WHEN CONFIDENTIALITY IS CLAIMED BY THE RESPONDENT MAY BE CAUSE FOR DETERMINATION OF NONCONFORMANCE. FAILURE TO PROTECT A TRADE SECRET MAY CONSTITUTE A WAIVER OF ANY CLAIM OF CONFIDENTIALITY.

FAILURE TO FILE A PROTEST WITHIN THE TIME PRESCRIBED IN SECTION 120.57(3), FLORIDA STATUTES, OR FAILURE TO POST THE BOND OR OTHER SECURITY REQUIRED BY LAW WITHIN THE TIME ALLOWED FOR FILING A BOND SHALL CONSTITUTE A WAIVER OF PROCEEDINGS UNDER CHAPTER 120, FLORIDA STATUTES.

TABLE OF CONTENTS

SECTION 1. INTRODUCTION .................................................................................................. 5 1.1 Purpose................................................................................................................................ 5 1.2 Background .......................................................................................................................... 5 1.3 Solicitation Overview and Goals ........................................................................................... 6 1.4 Questions Being Explored .................................................................................................... 7 1.5 Contract Term ...................................................................................................................... 7 1.6 Special Accommodations ..................................................................................................... 7 1.7 Contact Person ? Issuing Officer .......................................................................................... 7 1.8 Supporting Documentation ................................................................................................... 8 SECTION 2. ITN PROCUREMENT PROCESS...................................................................... 8 2.1 General Overview of the ITN Procurement Process ............................................................. 8 2.2 Procurement Schedule ....................................................................................................... 11 2.3 Contract Formation............................................................................................................. 11 2.4 Disclosure of Response Contents....................................................................................... 12 2.5 Withdrawal of Response..................................................................................................... 12 2.6 Diversity ............................................................................................................................. 12 SECTION 3. RESPONSE INSTRUCTIONS ......................................................................... 13 3.1 Purchasing Instructions and General Conditions ................................................................ 13 3.2 MFMP Registration............................................................................................................. 13 3.3 Who May Respond to this ITN............................................................................................ 14 3.4 How to Submit a Response ................................................................................................ 14 3.5 General Response Submission Instructions ....................................................................... 15 TAB 1 ? ADMINISTRATIVE INFORMATION............................................................................ 16

TAB 1-A: MANDATORY Transmittal Letter with Mandatory Criteria Checklist Form 16 TAB 1-B: MANDATORY Response Guarantee ............................................................. 17 TAB 1-C: Other Forms................................................................................................... 17 TAB 2 ? PAST PERFORMANCE ............................................................................................. 18 TAB 2-A: Client References ........................................................................................... 18 TAB 2-B: MANDATORY Disclosure of Contract Disputes ............................................ 19 TAB 2-C: MANDATORY Disclosure of Legal Proceedings ........................................... 19 TAB 3 ? RESPONDENT QUALIFICATIONS ............................................................................ 20 TAB 3-A: Organizational Structure and History ........................................................... 20 TAB 3-B: Experience ...................................................................................................... 20 TAB 4 ? PROJECT MANAGEMENT APPROACH.................................................................... 20 TAB 5 ? OPERATIONS AND MAINTENANCE TRANSITION PROJECT ................................. 21

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TAB 6 ? DFI MIGRATION PROJECT ....................................................................................... 21 TAB 7 ? PORTAL REPLACEMENT PROJECT ........................................................................ 22 TAB 8 ? OPERATIONS AND MAINTENANCE PROGRAM...................................................... 22 TAB 9 ? STAFFING.................................................................................................................. 22 TAB 10 - PROPOSED INNOVATIONS..................................................................................... 23 3.6 MANDATORY FORM 5 ? Price Response Submission Instructions ................................... 24 3.7 MANDATORY Financial Statements Submission Instructions ............................................ 24 3.8 Confidential Information and Redacted Submissions.......................................................... 24 3.9 Additional Information......................................................................................................... 26 SECTION 4. SELECTION METHODOLOGY ....................................................................... 27 4.1 Basis of Award ................................................................................................................... 27 4.2 Response Opening............................................................................................................. 27 4.3 Administrative Review Process .......................................................................................... 27 4.4 Evaluation Criteria and Scoring Process............................................................................. 28

4.4.1 Review of Financial Statements ............................................................................ 28 4.4.2 Verification and Scoring of Client References .................................................... 28 4.4.3 Disclosure of Contract Disputes and Legal Proceedings................................... 28 4.4.4. Review and Scoring of Price Response ............................................................... 29 4.4.5 Review and Scoring of Technical Response ....................................................... 30 4.5 Competitive Range ............................................................................................................. 31 4.6 Negotiations ....................................................................................................................... 31 4.6.1 Other OFR Rights During Negotiations ................................................................ 31 4.7 Final Selection and Notice of Intent to Award Contract ....................................................... 32 4.7.1 Award Selection ..................................................................................................... 32 4.7.2 Negotiation Team Award Recommendation ......................................................... 33 4.7.3 OFR's Reserved Rights for Award ........................................................................ 33 4.7.4 Posting of Award Decision .................................................................................... 33

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ATTACHMENTS ATTACHMENT A ? Contract ATTACHMENT B ? Scope of Work ATTACHMENT C ? Service Level Agreement ATTACHMENT D ? Glossary of Acronyms and Terms

EXHIBITS EXHIBIT 1 ? REAL System Background and Technical Architecture EXHIBIT 2 ? PUR 1000 EXHIBIT 3 ? PUR 1001 EXHIBIT 4 ? Non-Disclosure Agreement

REQUIRED FORMS FORM 1 ? Mandatory Criteria Checklist Form FORM 2 ? Out of State Preference Opinion from Attorney FORM 3 ? Optional Identical Tie Response Certification FORM 4 ? Client Reference Form FORM 5 ? Price Response

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SECTION 1. INTRODUCTION 1.1 Purpose Pursuant to section 287.057, Florida Statutes, the State of Florida Office of Financial Regulation (Office or OFR) seeks to establish a contract for the following services (Contract) for OFR's Regulatory Enforcement and Licensing (REAL) System (System):

? Continued, on-site System Operations and Maintenance (O&M) services; ? Migration of OFR's Division of Financial Institutions business functions and

processes into the System; and ? Replacement of the System's custom on-line Web portal with a Commercial off-the-

Shelf (COTS) software product.

The general terms of the Contract are included in ATTACHMENT A, Contract. OFR seeks Responses from vendors (Respondents) capable of and interested in providing the services described above, and further detailed in ATTACHMENT B, Scope of Work.

1.2 Background OFR, established by Chapter 20.121, Florida Statutes, is administratively housed within the Department of Financial Services (Department or DFS), but operates under the direction of the Financial Services Commission. OFR is responsible for overseeing and regulating a wide range of individuals and financial businesses, including banks, credit unions, other financial institutions, finance companies, and the securities industry. In order to carry out its responsibilities, OFR is organized into five areas: the Division of Financial Institutions, Division of Consumer Finance, Division of Securities, Bureau of Financial Investigations, and Executive Direction.

OFR provides services to over 400,000 registrants across the financial services industry, including: ? Licensing and regulation of 91,000 consumer finance entities; ? Registration and regulation of over 314,000 securities and investment firms and individuals; ? Examination and regulation of 222 state-chartered financial institutions, totaling over $100

billion in assets under regulation; and ? Conducting complex investigations of the financial services industry and participating in joint

investigations with local, state and federal law enforcement and regulatory agencies.

The REAL System is an integrated financial regulatory management system used by OFR to carry out many of its critical, daily operations. The REAL System was implemented in 2008 through a Systems Integrator (SI) contract, and utilizes Versa:Regulation, a configurable COTS software product owned and licensed by MicroPact, Inc. (formerly Iron Data Solutions, Inc.). In addition, a custom, online web portal was developed by the SI contractor that provides for selfservice processes to the general public and to licensees. Additional information on the current System environment and architecture may be found in Exhibit 1 - REAL System Background and Technical Architecture.

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