269-2015-00000001 - North Carolina Interactive Purchasing System
Mecklenburg County, North Carolina Procurement Division Request for Proposal (RFP) #2015-00000001 Issued on March 2, 2015 LOCKBOX/REMITTANCE PROCESSING SERVICES Mecklenburg County, located in the State of North Carolina, is seeking proposals from qualified vendors to perform Lockbox/Remittance Processing Services for its Financial Services Department, Tax Collector and Land Use and Environmental Services Agency. We invite you to respond to this RFP based on your organization’s current capability to perform these services and maintain the described level of service throughout the contract period. Award of a contract to provide these services will be made to one vendor on a competitive basis following the process, terms and conditions as described in this document. Please read this document carefully. DUE DATE: No later than 5:00 PM EST (MECKProcure system time) on Friday, March 20, 2015. RFP NUMBER: 2015-00000001 ACCEPTANCE PLACE: All responses must be submitted by the due date in both of the following ways: 1) Electronic – submitted via www.meckprocure.com; and 2) Hard Copy – submitted to Procurement Division, Attention: Tim Laatsch, 3205 Freedom Drive, Suite 101, Charlotte, NC 28208. Please email [email protected] to request access to MECKProcure. An electronic copy of the RFP in Microsoft Word format may be obtained by contacting Tim Laatsch at [email protected]. Mecklenburg County is an equal opportunity purchaser. Sincerely, Tim Laatsch Procurement Specialist Procurement Division Request for Proposal (RFP) Checklist: ☐ Mail or email the Request for Proposal Acknowledgement Form (Section 5) to: Mecklenburg County Government Procurement Division Attention: Tim Laatsch 3205 Freedom Drive, Suite 101 Charlotte, NC 28208 Email: [email protected] ☐ Verify proposal includes all information requested and is organized as directed in the RFP. Failure to do so may result in the County, at its sole discretion, deeming the proposal non-responsive to the requirements of this RFP. ☐ Verify all Required Forms have been completed in their entirety and are included with your proposal. ☐ RFP Acknowledgement ☐ RFP Proposal Submission ☐ RFP Proposal Certification ☐ M/W/SBE Compliance ☐ References ☐ Pricing Proposal ☐ Service Provider Background ☐ Service Provider Questions ☐ Submit one (1) electronic copy of your proposal at www.meckprocure.com. ☐ Submit one (1) copy of your proposal by mail to the address provided above. Table of Contents 1. Introduction. ................................................................................................................ 6 1.1. Purpose. ................................................................................................................ 6 1.2. Accuracy of RFP and Related Documents. .......................................................... 6 1.3. County’s Rights and Options. .............................................................................. 6 1.4. Expense of Submittal Preparation. ....................................................................... 7 1.5. Proposal Conditions. ............................................................................................ 7 1.5.1. RFP Not an Offer. ......................................................................................... 7 1.5.2. Right to Terminate Discussions. ................................................................... 7 1.5.3. Requirement for Representation as to Accuracy and Completeness of Proposal....................................................................................................................... 7 2. 1.5.4. Trade Secrets/Confidentiality. ...................................................................... 8 1.5.5. Prohibited Discrimination. ............................................................................ 8 1.5.6. Statutory Requirements. ................................................................................ 9 1.5.7. Reservation of Right to Change Schedule. ................................................... 9 1.5.8. Reservation of Right to Amend RFP. ........................................................... 9 1.5.9. Additional Evidence of Ability. .................................................................... 9 1.5.10. No Collusion or Conflict of Interest. ......................................................... 9 1.5.11. Proposal Terms Firm and Irreversible. ...................................................... 9 1.5.12. Proposal Binding for 180 Days. .............................................................. 10 1.5.13. MWSBE (Minority/Women/Small Business) Programs......................... 10 1.5.14. Subcontracting. ........................................................................................ 10 1.5.15. Equal Opportunity. .................................................................................. 10 1.5.16. Use of County’s Name. ........................................................................... 10 1.5.17. Withdrawal for Modification of Proposals.............................................. 10 1.5.18. No Bribery. .............................................................................................. 11 1.5.19. Exceptions to the RFP. ............................................................................ 11 1.5.20. Fair Trade Certifications. ........................................................................ 11 1.5.21. Clarification of Ambiguities.................................................................... 12 1.5.22. Service Provider’s Obligation to Fully Inform Themselves. .................. 12 1.5.23. Disclaimer. .............................................................................................. 12 Schedule and Process. ............................................................................................... 13 2.1. Intent to Propose................................................................................................. 13 2.2. Interpretations and Addenda. ............................................................................. 13 2.3. Pre-Proposal Conference. ................................................................................... 14 2.4. Submission of Proposals. ................................................................................... 14 2.5. Proposal Format. ................................................................................................ 14 2.6. Proposal Content. ............................................................................................... 15 2.6.1. Cover Letter. ............................................................................................... 15 2.6.2. Executive Summary. ................................................................................... 15 2.6.3. Background and Experience. ...................................................................... 16 2.6.4. Proposed Solution. ...................................................................................... 16 2.6.5. Required Forms. .......................................................................................... 16 2.6.6. Exceptions to the RFP................................................................................. 16 2.7. Proposal Provisions. ........................................................................................... 16 2.8. Correction of Errors. .......................................................................................... 16 2.9. Evaluation........................................................................................................... 16 2.10. 3. Evaluation Criteria. ......................................................................................... 17 2.10.1. Qualifications, Experience and Approach. .............................................. 17 2.10.2. Financial Qualifications. ......................................................................... 17 2.10.3. Cost Effectiveness and Value. ................................................................. 18 2.10.4. Acceptance of the Terms of the Contract. ............................................... 18 2.10.5. Interviews. ............................................................................................... 18 2.11. Contract Award by Governing Board. ............................................................ 18 2.12. Term of Contract. ........................................................................................... 18 Scope of Services. ..................................................................................................... 19 3.1. Overview. ........................................................................................................... 19 3.2. General Lockbox Requirements ......................................................................... 19 3.2.1. Qualified Depository. .................................................................................. 19 3.2.2. Account Executive ...................................................................................... 19 3.2.3. Account Representative. ............................................................................. 19 3.2.4. Agreements. ................................................................................................ 19 3.2.5. Invoicing. .................................................................................................... 19 3.2.6. Payment Credits. ......................................................................................... 20 3.2.7. Notification of Deposit. .............................................................................. 20 3.2.8. Multiple Coupons and Checks. ................................................................... 20 3.2.9. Imaging. ...................................................................................................... 20 3.2.10. Physical Documents. ............................................................................... 20 3.2.11. Check Only Payments. ............................................................................ 20 4. 3.2.12. Exceptions. .............................................................................................. 20 3.2.13. Data Transmissions. ................................................................................ 20 3.2.14. AR (Accounts Receivable) Box Service. ................................................ 20 3.2.15. Availability of Images. ............................................................................ 20 3.2.16. Postal Sorts. ............................................................................................. 21 3.2.17. Money Orders. ......................................................................................... 21 3.2.18. Online Reporting System. ....................................................................... 21 3.2.19. Scan Line Definitions and File Formats. ................................................. 21 3.3. Property Tax Lockbox Requirements. ............................................................... 21 3.4. LUESA Lockbox Requirements......................................................................... 21 Service Provider Financial Information. ................................................................... 22 4.1. County Methodology. ............................................................................................ 22 4.2. Guarantor. .............................................................................................................. 22 4.3. Requests for Financial Information. ...................................................................... 22 5. Required Forms ......................................................................................................... 25 RFP Acknowledgement ................................................................................................ 25 Lockbox/Remittance Processing Services .................................................................... 25 RFP PROPOSAL SUBMISSION ................................................................................. 26 RFP PROPOSAL CERTIFICATION ........................................................................... 27 M/W/SBE COMPLIANCE........................................................................................... 28 REFERENCES ............................................................................................................. 30 PRICING PROPOSAL ................................................................................................. 32 SERVICE PROVIDER BACKGROUND .................................................................... 33 SERVICE PROVIDER QUESTIONS .......................................................................... 36 6. EXHIBITS ................................................................................................................ 40 PROPERTY TAX VOLUME BY TYPE ..................................................................... 40 LUESA HISTORICAL VOLUME ............................................................................... 41 AVERAGE POSITIVE COLLECTED BALANCES .................................................. 42 SCAN LINE AND FORMATTING ............................................................................. 43 SECTION 1 INTRODUCTION 1. INTRODUCTION. 1.1. Purpose. The intent of this Request for Proposal (RFP) is to contract with a single service provider that best meets the County’s needs for high quality and flexible lockbox/remittance processing services. 1.2. Accuracy of RFP and Related Documents. The County assumes no responsibility for conclusions or interpretations derived from the information presented in this RFP or otherwise distributed or made available during this procurement process. In addition, the County will not be bound by or be responsible for any explanation, interpretation, or conclusions of this RFP or any documents provided by the County other than those provided by the County through the issuance of addenda. In no event may a service provider rely on any oral statement by the County or its agents, advisors, or consultants. Should a service provider find discrepancies or omissions in this RFP or any other documents provided by the County, the service provider should immediately notify the County of such potential discrepancy in writing, and a written addendum may be issued if the County determines clarification necessary. Each service provider requesting an interpretation will be responsible for delivering such requests to the County's designated representative at: Mecklenburg County Government Procurement Division Attention: Tim Laatsch 3205 Freedom Drive, Suite 101 Charlotte, NC 28208 Email: [email protected] 1.3. County’s Rights and Options. At the County’s sole discretion, the County reserves the right to: Supplement, amend, substitute or otherwise modify this RFP at any time; Cancel this RFP with or without the substitution of another RFP; Take any action affecting this RFP, this RFP process, or the services or facilities subject to this RFP that would be in the best interests of the County; Issue additional requests for information; Require one or more service providers to supplement, clarify or provide additional information in order for the County to evaluate the proposals submitted; Conduct investigations with respect to the qualifications and experience of each service provider; SECTION 1 INTRODUCTION Waive any defect or irregularity in any proposal received; Reject any or all proposals; Share the proposals with County employees other than the evaluation committee or County advisory committees as deemed necessary; Award all, none, or any part of the services that is in the best interest of the County, with one or more of the service providers responding, which may be done with or without re-solicitation. Discuss and negotiate with selected service provider(s) any terms and conditions in the proposals including but not limited to financial terms; and Enter into any contract deemed by the County to be in the best interest of the County, with one or more of the service providers responding. 1.4. Expense of Submittal Preparation. The County accepts no liability for the costs and expenses incurred by the service providers’ in responding to this RFP. Each service provider that enters the procurement process shall prepare the required materials and submittals at its own expense and with the express understanding that the service provider cannot make any claims whatsoever for reimbursement from the County for the costs and expenses associated with this process. 1.5. Proposal Conditions. The following terms are applicable to this RFP and the service provider’s proposal. 1.5.1. RFP Not an Offer. This RFP does not constitute an offer by the County. No binding contract, obligation to negotiate, or any other obligation shall be created on the part of the County unless the County and the service provider execute a Contract. No recommendations or conclusions from this RFP process concerning the service provider shall constitute a right (property or otherwise) under the Constitution of the United States or under the Constitution, case law, or statutory law of North Carolina. 1.5.2. Right to Terminate Discussions. The service provider’s participation in this process might result in the County selecting the service provider to engage in further discussions. The commencement of such discussions, however, does not signify a commitment by the County to execute a contract or to continue discussions. The County can terminate discussions at any time and for any reason. 1.5.3. Requirement for Representation as to Accuracy and Completeness of Proposal. Each service provider shall make the following representations and warranty in its proposal cover letter, the falsity of which might result in rejection of its Proposal: “The information contained in this SECTION 1 INTRODUCTION proposal or any part thereof, including its exhibits, schedules, and other documents and instruments delivered or to be delivered to the County, is true, accurate, and complete. This proposal includes all information necessary to ensure that the statements therein do not in whole or in part mislead the County as to any material facts.” 1.5.4. Trade Secrets/Confidentiality. Public disclosure of the contents of each service provider’s proposal submitted in response to this RFP is governed by North Carolina General Statutes Chapters 132 and 66-152 et. seq. After the due date, all proposals shall be deemed a public record and made available to the County’s evaluation committee and the general public (upon request) unless the material qualifies as “trade secret” information under North Carolina law. To designate material as trade secret you must: (a) submit any trade secrets in a separate, sealed envelope and electronic file, clearly marked “Trade Secret—Confidential and Proprietary Information—Do Not Disclose Except for the Purpose of Evaluating this Proposal,” and (b) include the same trade secret designation on each page of the trade secret materials contained in the envelope and on each page of the electronic file. In submitting a proposal, each service provider agrees that the County may reveal any trade secret materials contained in such response to all County staff and County officials involved in the selection process and to any outside consultant or other third parties who serve on the evaluation committee or who are hired or appointed by the County to assist in the evaluation process. Furthermore, each service provider agrees to indemnify and hold harmless the County and each of its officers, employees, and agents from all costs, damages, and expenses incurred in connection with refusing to disclose any material, which the service provider has designated as a trade secret. Any service provider that designates its entire proposal as a trade secret may be disqualified. 1.5.5. Prohibited Discrimination. The County is committed to promoting equal opportunities for all and to eliminating prohibited discrimination in all forms. For purposes of this section, prohibited discrimination means discrimination in the solicitation, selection, and/or treatment of any subcontractor, vendor, supplier, or commercial customer on the basis of race, ethnicity, gender, age, religion, national origin, disability or other unlawful form of discrimination. Without limiting the foregoing, prohibited discrimination also includes retaliating against any person, business, SECTION 1 INTRODUCTION or other entity for reporting any incident of prohibited discrimination. It is understood and agreed that not only is prohibited discrimination improper for legal and moral reasons, prohibited discrimination is also an anti-competitive practice that tends to increase the cost of goods and services to the County and others. As a condition of entering into any contract, the service provider shall represent, warrant, and agree that it does not and will not engage in or condone prohibited discrimination. Without limiting any rights the County may have at law or under any other provision of any contract, it is understood and agreed that a violation of this provision constitutes grounds for the County to terminate any such contract. 1.5.6. Statutory Requirements. Any contract awarded as a result of this RFP shall be in full conformance with all statutory requirements of North Carolina and all statutory requirements of the Federal Government, to the extent applicable. 1.5.7. Reservation of Right to Change Schedule. The County shall ultimately determine the timing and sequence of events resulting from this RFP. The County reserves the right to delay the closing date and time for any phase if County staff believe that an extension will be in the best interest of the County. 1.5.8. Reservation of Right to Amend RFP. The County reserves the right to amend this RFP at any time during the process if it believes that doing so is in the best interests of the County. Service providers are required to acknowledge their receipt of each addenda electronically through MECKProcure. 1.5.9. Additional Evidence of Ability. Service providers shall be prepared to present additional evidence of experience, qualifications, abilities, equipment, facilities, and financial standing. The County reserves the right to request such information at any time during the proposal evaluation period for this RFP. 1.5.10. No Collusion or Conflict of Interest. By responding to this RFP, the service provider shall be deemed to have represented and warranted that the proposal is not made in connection with any competing service provider submitting a separate response to this RFP and is in all respects fair and without collusion or fraud. 1.5.11. Proposal Terms Firm and Irreversible. The signed proposal shall be considered a firm offer on the part of the service provider. The County reserves the right to negotiate price and services. All proposal responses (including all statements, claims, declarations, prices and specifications in the proposals) shall be considered firm and irrevocable for purposes of future contract SECTION 1 INTRODUCTION negotiations unless specifically waived in writing by the County. The service provider chosen for award should be prepared to have its proposal and any relevant correspondence incorporated into the contract, either in part or in its entirety, at the County's election. Any false or misleading statements found in the proposal or contract exceptions not included in the proposal may be grounds for disqualification. 1.5.12. Proposal Binding for 180 Days. Each Proposal shall contain a statement to the effect that the proposal is a firm offer for one-hundred-eighty (180) calendar day period from the date of the opening. This statement must be signed by an individual authorized to bind the service provider and include their name, title, address, and telephone number. All prices quoted shall be firm and fixed for the full contract period. The County shall have the option to accept subject to exception by this contract. 1.5.13. MWSBE (Minority/Women/Small Business) Programs. The MWSBE policy of Mecklenburg County affords maximum opportunity to compete for and participate in the performance of contracts issued on behalf of Mecklenburg County. The County further requires that its service providers agree to take all the necessary and responsible steps to ensure that minority and small business enterprises have the maximum opportunity to participate as subcontractors for County contracts. 1.5.14. Subcontracting. The service provider given contract award shall be the prime contractor and shall be solely responsible for contractual performance. In the event of a subcontracting relationship, the service provider shall remain the prime contractor and will assume all responsibility for the performance of the services that are supplied by all subcontractors. The County retains the right to approve all subcontractors. 1.5.15. Equal Opportunity. The County has an equal opportunity purchasing policy. The County seeks to ensure that all segments of the business community have access to supplying the goods and services needed by County programs. The County provides equal opportunity for all businesses and does not discriminate against any service providers regardless of race, color, religion, age, sex, and national origin or disability. 1.5.16. Use of County’s Name. No advertising, sales promotion, or other materials of the service provider or its agents or representatives may identify or reference the County in any manner absent the prior written consent of the County. 1.5.17. Withdrawal for Modification of Proposals. Service providers may change or withdraw their proposals at any time prior to the proposal due date; however, no oral modifications will be SECTION 1 INTRODUCTION allowed. Only formal written requests for modifications or corrections of a previously submitted proposal, which is addressed in the same manner as the proposal, and received by the County prior to the scheduled closing time for receipt of proposals, will be accepted. The proposal, when opened, will then be corrected in accordance with such written request(s), provided that the written request is contained in a sealed envelope, which is plainly marked “Modifications to Proposal.” 1.5.18. No Bribery. In submitting a response to this RFP, each service provider certifies that neither it, any of its affiliates or subcontractors, nor any employees of any of the foregoing has bribed, or attempted to bribe, an officer or employee of the County in connection with the contract. 1.5.19. Exceptions to the RFP. Other than exceptions that are stated in compliance with this section, each proposal shall be deemed to agree to comply with all terms, conditions, specifications, and requirements of this RFP. An “exception” is defined as the service provider’s inability or unwillingness to meet a term, condition, specification, or requirement in the manner specified in the RFP. All exceptions taken must be identified and explained in writing in your proposal and must specifically reference the relevant section(s) of this RFP. If the service provider provides an alternate solution when taking an exception to a requirement, the benefits of this alternative solution and impact, if any, on any part of the remainder of the service provider’s solution must be described in detail. 1.5.20. Fair Trade Certifications. By submission of a proposal, the service provider certifies that in connection with this procurement: a) The prices have been arrived at independently, without consultation, communication, or agreement, for the purpose of restricting competition, as to any matter relating to such prices with anyone; b) Unless otherwise required by law, the prices which have been quoted in its proposal have not been knowingly disclosed by the service provider and will not knowingly be disclosed by the service provider prior to opening; and c) No attempt has been made or will be made by the service provider to induce any other person or firm to submit or not to submit a proposal for the purpose of restricting competition. SECTION 1 INTRODUCTION 1.5.21. Clarification of Ambiguities. Any service provider believing that there is any ambiguity, inconsistency, or error in this RFP shall promptly notify the County in writing of such apparent discrepancy. Failure to notify will constitute a waiver of claim for ambiguity, inconsistency, or error. 1.5.22. Service Provider’s Obligation to Fully Inform Themselves. Service providers or their authorized representatives are expected to fully inform themselves as to all conditions, requirements and specifications of this RFP before submitting proposals. Failure to do so will be at the service provider’s own risk. 1.5.23. Disclaimer. Each service provider must perform its own evaluation and due diligence verification of all information and data provided by the County. The County makes no representations or warranties regarding any information or data provided by the County. SECTION 2 PROCUREMENT PROCESS 2. SCHEDULE AND PROCESS. The following chart shows the schedule of events to prepare the service provider’s proposal. The key events and deadlines for this process are as follows, some of which are set forth in more detail in the sections that follow: DATE EVENT March 2, 2015 Issuance of RFP by the County March 6, 2015 Request for Proposal Acknowledgement Form Due by 5:00 PM EST March 9, 2015 Pre-Proposal Vendor Conference Call (optional) at 2:00 PM EST March 10, 2015 For purposes of clarifying this RFP, service providers are permitted to submit written questions no later than this date March 12, 2015 County responses to questions March 20, 2015 Proposals are due no later than 5:00 PM EST on March 20, 2015. March 21 to April 14, 2015 Evaluation of Proposals April 15, 2015 RFP Awarded April 15 to April 30, 2015 Contract Negotiation May 1, 2015 Contract Executed July 1, 2015 Service provider begins providing services 2.1. Intent to Propose. Please acknowledge receipt of this RFP on or before 5:00 PM EST on March 6, 2015 by completing the Request for Proposal Acknowledgement Form in Section 5. Please be sure to complete the form in its entirety. 2.2. Interpretations and Addenda. No interpretation or clarification of the meaning of any part of this RFP will be made orally to any service provider. Service providers must request such interpretations or clarifications in writing from the County. Requests for information or clarification of this RFP should be submitted to Tim Laatsch at [email protected] or through MECKProcure. When submitting questions, please reference the RFP page and topic number. The Procurement Division reserves the right, based on availability of time to research and communicate an answer, to decide whether an answer can be provided. Responses to service provider questions and any addenda will be posted to this solicitation at www.meckprocure.com and accessible to any SECTION 2 PROCUREMENT PROCESS service provider that indicated their intent to bid on this proposal by the date specified. The County reserves the right to disqualify any service provider who contacts a County official, employee, or agent concerning this RFP other than in accordance with this section. Nothing in this section shall prohibit the County from conducting discussions with service providers after the proposal due date. 2.3. Pre-Proposal Conference. A non-mandatory pre-proposal conference call will be conducted on March 9, 2015 at 2:00 PM EST. The meeting can be accessed by dialing 980-314-2390 and using conference ID# 4062361. While attendance at the pre-proposal conference call is not mandatory, all interested service providers are encouraged to attend. If special accommodations are required for attendance, please notify Tim Laatsch in advance of the conference date and time identifying the special accommodations required. 2.4. Submission of Proposals. Proposals shall adhere to the format requirements of this section and must be submitted electronically at www.meckprocure.com and by mail. One (1) unbound original hard copy proposal signed in ink by a company official authorized to make a legal and binding offer along with the corporate seal must be mailed to: Mecklenburg County Government Procurement Division Attention: Tim Laatsch 3205 Freedom Drive, Suite 101 Charlotte, NC 28208 Both the electronic and unbound original hard copy proposals shall be submitted by the due date and must be complete and unabridged, and shall not refer to any other copy of the signed/sealed original for any references, clarifications, or additional information. Do not arrive onsite on the proposal due date for the purposes of reviewing your competitors’ proposals. The proposals will not be read aloud or made available to inspect or copy until any trade secret issues have been resolved. When received, all proposals, supporting materials, as well as correspondence relating to this RFP shall become the property of the County. Proposals sent by fax or email will not be accepted. 2.5. Proposal Format. The County desires all Proposals to be identical in format in order to facilitate comparison. While the County’s format may be a departure from the Service Provider’s preference, the County requires strict adherence to the format. Proposals are to be compatible with the County's in-house office paper program and waste reduction goals and policies. Therefore, it is desired that all responses meet the following requirements: SECTION 2 PROCUREMENT PROCESS All Proposals shall be 8 1/2" x 11" format with all standard text no smaller than eleven (11) points; All copies must be printed double-sided; All Proposals and copies are printed on recycled paper (at least 10% postconsumer recovered material and at least 30% total recovered material), and indicate this information accordingly on the response; Unless absolutely necessary, all proposals and copies should minimize or eliminate use of non-recyclable or non-reusable materials such as three ring binders, plastic report covers, plastic dividers, vinyl sleeves, and GBC binding. Glued materials, paper clips, and staples are acceptable; and Materials must be submitted in a format that allows for easy removal and recycling. Service providers are required to organize the information requested in this RFP in accordance with the format outlined. Failure of the service provider to organize the information required by this RFP as outlined may result in the County, at its sole discretion, deeming the proposal nonresponsive to the requirements of this RFP. The service provider, however, may reduce the repetition of identical information within several sections of the proposal by making the appropriate cross-references to other sections of the proposal. Appendices for certain technical or financial information may be used to facilitate proposal preparation. 2.6. Proposal Content. 2.6.1. Cover Letter. The proposal must include a letter of transmittal attesting to its accuracy, signed by an individual authorized to execute binding legal documents on behalf of the service provider. The cover letter shall provide the name, address, telephone and facsimile numbers of the service provider along with the name, title, address, telephone and facsimile numbers of the executive that has the authority to contract with the County. The cover letter shall present the service provider's understanding of the project, a summary of the approach to be undertaken to perform the services, as well as a summary of the costs to provide the services. 2.6.2. Executive Summary. The service provider shall submit an executive summary, which outlines its proposal, including the proposed general management philosophy. The executive summary shall, at a minimum, include an identification of the proposed project team, responsibilities of the project team, and a summary of the proposed services. This section should highlight aspects of this proposal which make it superior or unique in addressing the needs of the County. SECTION 2 PROCUREMENT PROCESS 2.6.3. Background and Experience. The service provider shall provide a concise description of the company, including origin, state of incorporation, background, and current size as requested in Section 5. Include information concerning general organization and staffing as well as experience with similar Lockbox/Remittance Processing Services projects as described in Section 3. 2.6.4. Proposed Solution. Given the purpose of this project and the County's goals as stated in this RFP, provide a creative solution to meet such goals. Describe your proposed solution in detail. For each requirement of the project listed in Section 3, state whether your proposed solution complies and provide a description of how the proposed solution complies as well as any additional information requested. If you wish to add supplemental information, it shall be labeled “Supplemental Information.” 2.6.5. Required Forms. To be deemed responsive to this RFP, service providers must complete in detail, all proposal forms listed in Section 5. 2.6.6. Exceptions to the RFP. Exceptions must be submitted in accordance with Section 1.5.19 of this RFP. If exceptions are not identified in your proposal, they may not be considered during contract negotiation and could result in proposal being rejected from further consideration. If legal counsel needs to review the contract before your company can sign, reviews must be completed before your proposal is submitted. 2.7. Proposal Provisions. The County does not guarantee the activity levels indicated in this proposal will continue at the same level during the award period. In addition to the evaluation criteria, all services will be evaluated on availability, time schedules, and reporting capabilities. 2.8. Correction of Errors. The person signing the proposal must initial erasures or other corrections in the proposal. The service provider further agrees that in the event of any obvious errors, the County reserves the right to waive such errors in its sole discretion. The County, however, has no obligation under any circumstances to waive such errors. 2.9. Evaluation. As part of the evaluation process, the evaluation committee may engage in discussions with any service provider. Discussions might be held with individual service providers to determine in greater detail the service provider’s qualifications, to explore with the service provider the scope and nature of the required contractual services, to learn the service providers SECTION 2 PROCUREMENT PROCESS proposed method of performance and the relative utility of alternative methods, and to facilitate arriving at a contract that will be satisfactory to the County. The County may in its discretion require one or more service providers to make presentations to the evaluation committee or appear before the County and/or its representatives for an interview. During such interview, the service provider may be required to orally and otherwise present its proposal and to respond in detail to any questions posed. Additional meetings may be held to clarify issues or to address comments, as the County deems appropriate. Service providers will be notified in advance of the time and format of such meetings. Since the County may choose to award a contract without engaging in discussions or negotiations, the proposals submitted shall define the service provider's best offer for performing the services described in this RFP. 2.10. Evaluation Criteria. Proposals will be evaluated based on the service provider's ability to meet the performance requirements of this RFP. To be deemed responsive, it is important for the service provider to provide appropriate detail to demonstrate satisfaction of each evaluation criterion and compliance with the performance provisions outlined in this RFP. The service provider’s proposal will be the primary source of information used in the evaluation process. Proposals must contain information specifically related to the proposed services and requested herein. Failure of any service provider to submit information requested may result in the elimination of the proposal from further evaluation. Proposals will be assessed to determine the most comprehensive, competitive, and best value solution for the County based on, but not limited to, the criteria below. The County reserves the right to modify the evaluation criteria or waive portions thereof. Proposals will be evaluated on the following major categories: 2.10.1. Qualifications, Experience and Approach. Service providers will be evaluated based upon their understanding, experience, and qualifications in performing the same or substantially similar services, as reflected by its experience in performing such services. The evaluation will include references regarding work for organizations with needs similar to the County's, and the feasibility of the service provider's approach for the provision of the services. 2.10.2. Financial Qualifications. This criterion includes an evaluation of the financial qualifications of the service provider. The evaluation will take into account the financial strength of the service provider and its ability to meet the long-term financial requirements of the contract. SECTION 2 PROCUREMENT PROCESS 2.10.3. Cost Effectiveness and Value. Under this criterion, proposals will be compared in terms of the most reasonable and or most effective pricing options. The evaluation committee will also take into consideration any indirect costs associated with the services and administration of the contract and opportunity for rebates. 2.10.4. Acceptance of the Terms of the Contract. The County will evaluate the proposals for compliance with the terms, conditions, requirements, and specifications stated in this RFP including the sample contract language attached to this solicitation in MECKProcure. Regardless of exceptions taken, service providers shall provide pricing based on the requirements and terms set forth in this RFP. 2.10.5. Interviews. Interviews may be conducted with the service providers who submit the best proposals. Under this criterion, the interview will be utilized to assess the service provider aspects that cannot be determined by written proposals as well as to assess ability to perform the services set forth in this RFP. 2.11. Contract Award by Governing Board. The County, at its sole discretion, may submit the award recommendation to its governing board for permission to negotiate and execute a contract with the service provider. Under this circumstance, the Procurement Division will provide contract documents to the service provider upon approval by the governing board. In the event the governing body approval is not received within one hundred eighty (180) calendar days after opening of the proposals, the service provider may request that it be released from their proposal. 2.12. Term of Contract. It is the County’s intention to award a contract for an initial term of three (3) years, beginning on the effective date of the contract, May 1, 2015. At the County’s option, the contract may be extended for two (2) additional twelve (12) month periods at the same pricing, terms and conditions. Service is expected to begin on July 1, 2015. SECTION 3 SCOPE OF SERVICES AND REQUIREMENTS 3. SCOPE OF SERVICES. 3.1. Overview. Real property, boats, trailers, and income producing personal property are subject to property tax unless specifically exempted by North Carolina statues. In Fiscal Year 2014 which ended on June 30, 2014, the County’s assessed valuation (inclusive of the municipalities within the County) for real and personal property totaled $98 billion resulting in a total tax levy of $1.360 billion. Tax collections for the year totaled $1.347 billion. The Office of the Tax Collector is charged with collecting taxes on behalf of Mecklenburg County and the municipalities within the County. Real property, business personal property, and individual personal property are billed annually between late July and mid-August of each year. The Department of Land Use and Environmental Services is responsible for the environmental stewardship and economic vitality of the County. The Department manages air quality programs, environmental health, solid waste and recycling, property assessment, water and land resources, and code enforcement. 3.2. General Lockbox Requirements 3.2.1. Qualified Depository. The proposing financial institution shall be a qualified depository for public funds in accordance with North Carolina General Statute 15931 under the State Treasurer’s Pooling Method of collateralization and be a Federal Deposit Insurance Corporation (FDIC) insured institution. 3.2.2. Account Executive The County expects an account executive to be named once an award is made. The account executive shall serve as liaison with the County regarding all matters related to the lockbox/remittance processing services. In addition, the County requires a dedicated Client Support Representative to handle all service and support inquiries and requests throughout the life of the contract. 3.2.3. Account Representative. Representative to handle all service and support inquiries and requests throughout the life of the contract. 3.2.4. Agreements. The Service Provider must include with their response, copies of all agreements needed in accordance with the provision of services to the County. These will be reviewed and approved by County legal staff. 3.2.5. Invoicing. Fees for the individual lockboxes must be separated and invoiced to the appropriate departments/cost centers on a monthly basis. SECTION 3 SCOPE OF SERVICES AND REQUIREMENTS 3.2.6. Payment Credits. All payment credit must be transmitted to the County’s depository bank on a daily basis in time to ensure full deposit credit the same day as mail was originally received. 3.2.7. Notification of Deposit. Daily notification of deposit is required by 7:00 AM EST of the following day. 3.2.8. Multiple Coupons and Checks. The lockbox provider must be able to accept multiple coupons and/or multiple checks and post them accurately to the referenced bills/accounts. These should not be considered exceptions. 3.2.9. Imaging. Envelopes, payment coupons and checks must be imaged and made available to the County via an online system, cd or batch file delivered via a secure FTP transmission. Vendors should specify the method and costs in the RFP response. 3.2.10. Physical Documents. All documents or notations such as address change requests, annotations, written correspondence, etc. must be sent to the County daily with any other exception items. 3.2.11. Check Only Payments. Check only payments (no coupon) should be forwarded to the appropriate department for research and posting/return. All items should be imaged. 3.2.12. Exceptions. All exceptions (payment, coupon if present, envelope) must be imaged and batched as an exception file provided to the County. Physical documents shall be sent to the County with documentation as to the number of items included in the day’s exceptions. 3.2.13. Data Transmissions. Daily data transmissions of the transactions processed each day must be received by 2:00 PM EST. 3.2.14. AR (Accounts Receivable) Box Service. AR Box service (electronic lockbox processing for those items that are received from online bill payment processors) should be included in the RFP response. 3.2.15. Availability of Images. Images must be available online for a minimum of 180 days. In addition, images must be provided on CD or transmitted via FTP (in a format to be determined) for upload into the County’s systems. Images must be indexed to allow for research. SECTION 3 SCOPE OF SERVICES AND REQUIREMENTS 3.2.16. Postal Sorts. The County requires the ability to have monthly, verified postal sorts. 3.2.17. Money Orders. Money orders must be processed in the same manner as checks. 3.2.18. Online Reporting System. The County requires an online reporting system for retrieving lockbox and deposit information. 3.2.19. Scan Line Definitions and File Formats. See Exhibit 4 for scan line definitions and payment file formats. The service provider must make whatever modifications are necessary to ensure that remittance information can be processed efficiently by the County. 3.3. Property Tax Lockbox Requirements. Property tax bills are mailed between late July and mid-August of each year and are payable beginning September 1st. Interest charges for late payment begin to accrue in early January. Payment volume through the property tax lockbox is heaviest during September through January. Beginning in FY2015, the State of North Carolina began collecting vehicle property taxes along with registration renewals. As a result, payment volume through the Mecklenburg County property tax lockbox declined significantly (see Exhibit 1). Service providers should take this information into consideration when structuring a response to this RFP. Currently, the County maintains a year-round lockbox for property tax payments. The County maintains a post office box located at 2901 Scott Futrell Drive, Charlotte, NC 28228 specifically for the collection of property tax payments. 3.4. LUESA Lockbox Requirements. Lockbox services are used for payment of permit fees charged on contractor accounts. Billing is monthly. Monthly payment volume through the LUESA lockbox is relatively stable throughout the year. The County may or may not maintain a lockbox for LUESA collections in the future. Please include a solution for consideration. The County has maintained a year-round lockbox for LUESA. Respondents should propose a lockbox solution to efficiently process these payments with payment coupons containing a scan line with the date, amount, and account number. SECTION 4 FINANCIAL INFORMATION 4. SERVICE PROVIDER FINANCIAL INFORMATION. 4.1. County Methodology. The evaluation of financial viability of the service providers was developed with one primary goal in mind: to protect the County from risk of default by a selected service provider due to financial instability. Various analytical techniques will be used to assess the financial strength and stability of each service provider, focusing on profitability, solvency, and efficiency. The analysis will include an evaluation of specific financial indices and ratios in an effort to maximize objectivity and provide measures that are more directly comparable among service providers. Other factors which may impact the financial position of a service provider, or which provide additional evidence of the financial strength of a service provider, will also be assessed. These factors include years of experience in providing similar services, and demonstration of the ability to obtain sufficient levels of liability and property damage insurance. Relevant information regarding recent litigation and bankruptcy filings, which may materially affect a service provider’s financial position, will be examined. In addition to credit ratings and credit reports, bank and vendor references will be used to evaluate the credit worthiness of each service provider. 4.2. Guarantor. The nature of the relationship between the service provider and its guarantor is crucial to protect the County in the event that the contracting service provider defaults on its obligations. If the parent company of a proposing service provider is serving as the guarantor, then the parent company must indicate in a letter its willingness to guarantee all contractual obligations of the service provider. If the Company that is serving as guarantor has a relationship with the service provider other than a parent/subsidiary relationship, then a detailed explanation of all past and present relationships between the service provider and its guarantor must be provided, in addition to a letter from the guarantor indicating its willingness to guarantee all contractual obligations of the service provider. Any financial information requested of the service provider must similarly be provided for the guarantor. In the event of a joint submission or proposal, all proposing entities must provide statements specifying the extent to which each entity will act as guarantor and provide all relevant financial documents for all entities involved in the joint venture. Additionally, if there is more than one (1) guarantor, then the guarantors must be jointly and separately obligated. 4.3. Requests for Financial Information. The service provider must have the financial information requested in this section readily available and have the ability to provide it to the County, without SECTION 4 FINANCIAL INFORMATION exception, within twenty-four (24) hours upon the County’s request during the proposal evaluation process. DO NOT INCLUDE THE FINANCIAL INFORMATION REQUESTED IN THIS SECTION WITH YOUR PROPOSAL SUBMISSION. If your Company does not have the audited financial statements requested, it is the responsibility of the Company to provide the County with information of sufficient quantity and with verifiable sources to ascertain that the Company is financially capable of performing the services described in this RFP. Failure to provide adequate financial information may result in the exclusion of your proposal from the procurement process. Upon request, please furnish the following financial information for the proposing service provider(s), guarantor(s), and any sub-contractor included as having a significant role (defined as providing more than fifteen percent (15%) of the services) in providing services to the County: Include in the statement of guarantor(s), as described in Section 4.2. Guarantor, evidence of the ability of the guarantor to meet the short-term funding needs of this project; Evidence that demonstrates the ability to obtain the insurance requirements of the County. Such insurance should provide coverage in the stated amount for each occurrence of bodily injury and for each occurrence of property damage with coverage for products/completed operations, personal injury liability, and contractual liability; Annual audited financial reports for each of the past five (5) fiscal years, prepared in accordance with generally accepted accounting principles (GAAP), and all relevant notes; The most recent Form 10-K and Form 10-Q filed with the Securities and Exchange Commission (SEC); or, if the contractor is not regulated by the SEC, then the most recent quarterly financial report; and Description of any material adverse changes in financial position within the past five (5) years; any material changes in the mode of conducting business; any bankruptcy proceedings, mergers, acquisitions, takeovers, joint ventures, and/or divestitures within the past five (5) years. In addition, provide a clear and definitive statement of the following: Years of providing similar services by the service provider and/or predecessor organization; SECTION 4 FINANCIAL INFORMATION Whether or not the service provider (and/or predecessor, guarantor or subcontractor) has declared bankruptcy within the last five (5) years; Description of the financial impact of any past or pending legal proceedings and judgments, as identified in Section 5.8 that could materially affect the service provider’s financial position or ability to provide services to the County. This information will be reviewed and assessed in accordance with the information provided by the service provider, in the above referenced Section; All credit reports, credit bulletins, and any other published statements by the most recognized agencies (Standard & Poor’s Rating Group, Moody, Investor Services, Dun & Bradstreet, and Value Line) that have been issued or published about the entity within the past five (5) years; The prospectus or offering statement for the entity’s latest security or equity offering; The company name, contact person, telephone number, and fax number of at least two (2) references from bank or institutional lenders which have extended credit to the entity in the past five (5) years; or if the entity has not applied for credit in the past five (5) years, the contact person’s name, telephone number, and fax number of at least two (2) references from banks with which the entity conducts business; The company name, contact person, telephone number, and fax number of at least two (2) credit references from suppliers/vendors; and Any additional information, which the service provider believes, is appropriate to fully reflect the financial strength of the entity. Failure to provide such information is cause for rejection of the service provider proposal at the sole discretion of the County. For any subcontractor providing more than fifteen percent (15%) of the services, the County reserves the right, at its sole discretion, to reject the subcontractor if it fails to meet minimum financial requirements. In the event the County’s evaluation committee rejects the subcontractor, the contractor must assume the responsibilities of the subcontractor or find a replacement satisfactory to the evaluation committee. SECTION 5 – REQUIRED FORMS RFP ACKNOWLEDGEMENT 5. REQUIRED FORMS RFP Acknowledgement Lockbox/Remittance Processing Services RFP # 00000001 The Service Provider hereby acknowledges receipt of the above Mecklenburg County, North Carolina Request for Proposal (RFP). Upon receipt of this RFP, this form should be completed and submitted in time for the County to receive it on or before March 6, 2015. Please mail or email the completed form to: Mecklenburg County Government Procurement Division Attention: Tim Laatsch 3205 Freedom Drive, Suite 101 Charlotte, NC 28208 Email: [email protected] Authorized Representative Name (Print): ______________________________________ Authorized Representative Signature: _________________________________________ Authorized Representative Title: ____________________________________________ Company Name: ___________________________________________________ Company Address: _________________________________________________ Contact E-mail Address: ______________________________________________ Contact Phone #: ___________________________________________________ Please check the appropriate space provided below, and provide the requested information: ☐ We plan to submit a Proposal to this RFP. ☐ We do not plan to submit a Proposal to this RFP. Please assist the County in understanding why your company has chosen not to participate: ________________________________________________________________________ ________________________________________________________________________ _______________________________________________________________________ SECTION 5 – REQUIRED FORMS RFP PROPOSAL SUBMISSION RFP PROPOSAL SUBMISSION Lockbox/Remittance Processing Services RFP # 2015-00000001 This Proposal is submitted by: Service Provider Name: ________________________________________________________ Representative (printed): ________________________________________________________ Representative (signed): ________________________________________________________ Address: ________________________________________________________ ________________________________________________________ City/State/Zip: ________________________________________________________ Telephone: ________________________________________________________ (Area Code) Telephone Number Facsimile: ________________________________________________________ (Area Code) Fax Number It is understood by the service provider that the County reserves the right to reject any and all proposals, to make awards on all items or on any items according to the best interest of the County, to waive formalities, technicalities, to recover and re-bid this RFP. Proposal is valid for one hundred eighty (180) calendar days from the proposal due date. ______________________________________ Service Provider ________________________ Date _____________________________________ Authorized Signature ________________________ Please type or print name SECTION 5 – REQUIRED FORMS RFP PROPOSAL CERTIFICATION RFP PROPOSAL CERTIFICATION Lockbox/Remittance Processing Services RFP # 2015-00000001 AGREEMENT TITLE: Lockbox/Remittance Processing Services SERVICE PROVIDER: __________________________________________________ The undersigned service provider hereby certifies and agrees that the following information is correct: 1. In preparing its proposal, the service provider has considered all proposals submitted from qualified, potential subcontractors and suppliers and has not engaged in or condoned prohibited discrimination. 2. For purposes of this section, prohibited discrimination means discrimination against any person, business, or other entity in contracting or purchasing practices on the basis of race, color, sex, or national origin. Without limiting the foregoing, prohibited discrimination also includes retaliating against any person, business, or other entity for reporting any incident of prohibited discrimination. 3. Without limiting any other provision of the solicitation for proposals on this project, it is understood and agreed that, if this certification is false, such false certification will constitute grounds for the County to reject the bid submitted by the bidder on this project and to terminate any contract awarded based on such bid. 4. As a condition of contracting with the County, the service provider agrees to maintain documentation sufficient to demonstrate that it has not discriminated in its solicitation or selection of subcontractors. The service provider further agrees to promptly provide to the County all information and documentation that may be requested by the County from time to time regarding the solicitation and selection of subcontractors. Failure to maintain or failure to provide such information constitutes grounds for the County to reject the bid submitted by the service provider or terminate any contract awarded on such bid. ________________________________________________ NAME OF FIRM BY:______________________________________ SIGNATURE OF AUTHORIZED OFFICIAL ______________________________________ TITLE ATTEST/WITNESS: __________________________________ Secretary/Name of Witness Sworn to and subscribed before me this____ day of ________, 2015. Notary Public Commission expires: SECTION 5 – REQUIRED FORMS MWSBE COMPLIANCE M/W/SBE COMPLIANCE Lockbox/Remittance Processing Services RFP # 2015-00000001 M/W/SBE PROGRAM COMPLIANCE IN THE PURCHASE OF COMMODITIES AND SERVICES: The aspirational goals for M/W/SBE participation on this project are set at 9% for all minority groups inclusive, 9% WBE, and 23% SBE*. The following link provides access to the Mecklenburg County M/W/SBE website to view policy goals: http://www.charmeck.org/Departments/MWSBE. *Note: M/W/SBE groups are defined as follows: BBE: Black Business Enterprise; NBE: Native American Business Enterprise; ABE: Asian Business Enterprise; HBE: Hispanic Business Enterprise; WBE: Women Business Enterprise; and SBE: Small Business Enterprise. Do you customarily subcontract portions of your Contracts and projects with the County? ☐Yes ☐No Do you intend to subcontract portions of this Contract? ☐Yes ☐No List any services in this proposal for which you could seek quotes from minority/women owned or small businesses. 1. 2. 3. M/W/SBE UTILIZATION COMMITMENT We, Insert Service Provider Name, do certify that on the Lockbox/Remittance Processing Services totaling $Insert Amount Here we will expend a minimum of Insert Here% of the total dollar amount of the Contract with Minority Business Enterprises, Insert Here% with Women's Business Enterprises and Insert Here% with Small Business Enterprises. SECTION 5 – REQUIRED FORMS MWSBE COMPLIANCE A list of County certified M/W/SBE bidders available to offer quotes and prices as subcontractors is available on the Internet at http://smallbiz.charmeck.org. If you need additional firms which offer other services, or if you have any questions concerning the M/W/SBE provision, contact the M/W/SBE office at 704-432-4504. The County reserves the right to request verification of these payments. The County’s Minority, Women, & Small Business Enterprise Program are hereby incorporated into these Specifications by reference. The undersigned hereby certifies that the bidder has read the terms of this compliance and is authorized to bind the firm to the information herein set forth. Date:_______________ _____________________________ Name of Company _____________________________ Name, Title and Signature _____________________________ Proposed Product or Service _____________________________ Total Dollar Amount Bid SECTION 5 – REQUIRED FORMS REFERENCES REFERENCES Lockbox/Remittance Processing Services RFP # 2015-00000001 Please provide the following information for three (3) customers of comparable size and scope of the services as outlined in this RFP, particularly North Carolina public sector customers that the service provider has been under contract to provide lockbox/remittance processing services during the past five (5) years, as well as any additional municipality references. References may be called at any time during the procurement process. The County will not notify Service Providers before reference checks begin. The County reserves the right to check any other reference(s) that might be indicated through the explicitly specified contacts or that result from communication with other entities involved with similar projects. If your Proposed Services includes a Third-Party Provider, you must also submit a separate copy of this form for each Third-Party Provider. REFERENCE 1: Name of Client: _______________________________________ Phone: ________________ Address: _____________________________________________________________________ Primary Contact: _______________________________ Title: ________________________ Email Address: ________________________________________ Phone: ________________ Service Dates: ________________________________________________________________ Summary and Scope of Services Provided: _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ Client Operating Budget: $________________________ Client # of Employees: _________ REFERENCE 2: SECTION 5 – REQUIRED FORMS REFERENCES Name of Client: _______________________________________ Phone: ________________ Address: _____________________________________________________________________ Primary Contact: _______________________________ Title: ________________________ Email Address: ________________________________________ Phone: ________________ Service Dates: ________________________________________________________________ Summary and Scope of Services Provided: _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ Client Operating Budget: $________________________ Client # of Employees: _________ REFERENCE 3: Name of Client: _______________________________________ Phone: ________________ Address: _____________________________________________________________________ Primary Contact: _______________________________ Title: ________________________ Email Address: ________________________________________ Phone: ________________ Service Dates: ________________________________________________________________ Summary and Scope of Services Provided: _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ Client Operating Budget: $________________________ Client # of Employees: _________ SECTION 5 – REQUIRED FORMS PRICING PROPOSAL PRICING PROPOSAL Lockbox/Remittance Processing Services RFP # 2015-00000001 Cost Property LockboxYear-round LUESA Lockbox – Year-round Cost General Services RLB DVD Fee FDIC Expense Maintenance Fee RLB Exception Item Image RLB Inbound Overnight Delivery Uncollected Funds Charge RLB Image Maint Fee Deposits & Other Credits RLB Per Check Imaged Items Deposited On Us RLB Per OCR Coupon Imaged Items Deposited In State Items Deposited Other RLB Special Fee Postal Sort Checks Drawn on Canadian Banks Checks Paid & other Debits RLB Package Prep Returned Deposit/Cash Item Wholesale Lockbox Redeposit - Standard WLB Maintenance Standing Order Wire WLB Payments AR Box WLB Exceptions AR Box Monthly Maint. WLB Deposits AR Box Per Item WLB Cash Deposits Information Services WLB Micr Repair Acct Maint WLB Reassociation Loaded Items WLB Special Sorting Items Sml Bus WLB Data Transmission Data Download WLB Remitter Data Entry Busbank Image Retrvd WLB Remitter Report Business Banking WLB Exception Item Image Image Retrieved WLB CD Fee Miscellaneous Charge Retail Lockbox WLB DVD Fee WLB Inbound Overnight Delivery RLB Maintenance WLB Image Maint. Fee RLB Full Items WLB Page Scan Per Item RLB Partial Items WLB Per Check Imaged RLB Multi Balanced WLB Per Envelope Imaged RLB Multi Unbalanced WLB Deposit Summary Email WLB Package Prep RLB Cash Deposits RLB Deposits RLB Exceptions RLB PO Box Rental RLB Data Transmission RLB MICR Repair RLB OCR Repair RLB Special Sorting RLB Deposit Report RLB Stop File Maint Property LockboxYear-round LUESA Lockbox – Year-round *Since fee terminology may vary, vendors are required to conform to this template. Any fees not included in this template must be listed separately and defined or they will not be considered valid charges. All service costs should be on a per unit basis of one unless otherwise indicated. SECTION 5 – REQUIRED FORMS SERVICE PROVIDER BACKGROUND SERVICE PROVIDER BACKGROUND Lockbox/Remittance Processing Services RFP # 2015-00000001 Service Provider Background Question Response Service Provider Identification Service Provider Name: Service Provider Corporate Headquarters: Service Provider Experience Years of Experience: # of years in business: # of years providing public sector services: Customer Base: # of public sector clients: # of clients that are municipalities/counties Identify by name some of the clients similar to County (e.g., similar in size, complexity, location, type of organization) Market Focus: Identify industries and public sector market segments served Describe your company’s future strategy/roadmap for the proposed System. Terminated Projects: List any terminated projects. Please disclose the jurisdiction and explain the reason for the termination. Litigation: List any litigation that you have been involved with during the past two (2) years regarding services provided. Organization Size # of Employees: If Service Provider is a subsidiary, identify # of employees in proposing company/division Financial Information: If Service Provider is a subsidiary, identify revenues of proposing company/division Corporate Notes Ownership: SECTION 5 – REQUIRED FORMS SERVICE PROVIDER BACKGROUND Indicate your company ownership status (i.e., Partnership, LLC, Corporation, etc.). Certified Partnerships: Identify any certifications held by your firm if you are implementing or reselling another firm’s products. Include how long the partnership or certification has been effect. Additional Narrative Response Background and Experience: Describe your total organization, including any parent companies, subsidiaries, affiliates and other Related Entities. Detail how long the company has been providing Services to local governments and include information regarding experience with similar request for services as described in Section 3. Personnel Management: Describe the key individuals, along with their qualifications, professional certifications and experience that would comprise your organization’s team for providing Services to the County. Explain how your organization ensures that personnel performing technical support services are qualified and proficient. Describe your organization’s approach, policies, and experience with respect to deployment of your personnel. If your organization has been the subject of a dispute or strike by organized labor within the last five (5) years, please describe the circumstances and the resolution of the dispute. Management Approach: Describe your organization’s customer service philosophy and describe how it is communicated and reinforced throughout the organization. Describe your organization’s approach to total quality management, and describe your organization’s total quality plan. Describe your organization’s continuous improvement program and how your current SECTION 5 – REQUIRED FORMS SERVICE PROVIDER BACKGROUND customers benefit from your service improvements. SECTION 5 – REQUIRED FORMS SERVICE PROVIDER QUESTIONS SERVICE PROVIDER QUESTIONS Lockbox/Remittance Processing Services RFP # 2015-00000001 Note: Responses to these questions must also be provided via www.meckprocure.com. For more information, please contact Tim Laatsch at [email protected]. 1. What are the hours of your processing shifts? 2. Approximate number of employees per shift? 3. Approximate number of checks processed by each shift? 4. What days do your processing shifts work? 5. Will lockbox processing be done on Saturdays and non-postal holidays? 6. Describe your system of monitoring mail from delivery until the checks are deposited. What quality controls are in place to ensure accurate postal sorts, payment processing (inclusive of scanning) and payment file creation? 7. What is the turnaround time from mail pickup to deposit of the checks? 8. What are the major check clearing deadlines within the bank? 9. Will the County lockbox be processed during each shift and checks deposited by the nearest check clearing deadline? 10. How many availability schedules exist? 11. How are they assigned to customers? 12. Will Mecklenburg County get your best availability schedule? 13. How often is the “float table” in the computer software compared to actual transit times? 14. Describe the process your bank uses to insure that revenues received by lock box are automatically moved from lockbox to our depository account at Bank of America. 15. If your bank is not Mecklenburg County’s primary depository, how will you transfer funds to the County’s primary depository account? 16. Describe the reports that will be generated and at what frequency. SECTION 5 – REQUIRED FORMS SERVICE PROVIDER QUESTIONS 17. Will the County departments receive a separate report of exception items? Provide sample reports if available. 18. How will departments be notified that lockbox process for the day is complete and the total amount of the deposit? 19. Does your system allow for different OCR lines for different departments? 20. Describe your bank’s ability to deliver turnaround documents and to photocopy checks, image or transmit data for research purposes. 21. Will all coupons/invoices and correspondence be sent to the appropriate County department? 22. What quality-control mechanism do you use to ensure that all of the envelopes have been opened and emptied of all contents? 23. Will Mecklenburg County technical staff be allowed to make on-site visits for the purpose of testing coupon and stub formats? 24. How does your system handle partial payments? 25. How are returned checks handled? 26. Will the County be able to access and view returned check items and is this available in real-time? 27. What process is used by the bank to communicate and facilitate resolution of errors? 28. What is the average time frame for researching errors and providing a response with appropriate documentation? 29. Do you have the capability of directing any bank debit or credit memos to the affected County department? 30. Will the County have access to view debit and credit memos in real-time? 31. How will payments with one payment coupon with multiple checks be processed and imported into the tax system? 32. How will payments with multiple payment coupons and one check be processed and imported into the tax system? 33. Does your equipment consistently place a clear and legible stamp on the reverse side of checks to facilitate research? SECTION 5 – REQUIRED FORMS SERVICE PROVIDER QUESTIONS 34. The County’s tax system limits the import of data on individual payments to $999,999.99. How would you handle individual payments in excess of $1 million? 35. Does your system have the ability to generate a unique identifier that can import into the tax system to identify the transaction and link back to your database? 36. Do you have the ability to set batch limits on processed items? 37. Does your system have the flexibility to provide check and coupon images compatible with any system to facilitate the ease of import? 38. Can coupons be kept in the same order as transmitted data files? 39. Can your processing system receive, retain and automatically flag bill numbers that we do not want the lockbox to process (Sheriff, and tax garnishment flags, etc.)? 40. Does your system have the ability to capture and report information that is not associated with specific individual payments and provide reports to the County (e.g. gross receipts information)? 41. Describe the present system use of image processing and capability for future growth. Are imaging services included in your proposal? 42. If imaging services are not included what are the additional costs to the County if using an internet-based image service? 43. The Office of the Tax Collector and Land Use and Environmental Services departments have individual post office boxes. Tax Collection “owns” its own post office box number at the Scott Futrell facility. Does this create any problems? 44. Does the physical location of our lockbox postal address need to be located near your processing center? 45. What is availability of courier service for retrieval of mail from our post office boxes? 46. If courier service is available, what are the retrieval times from our post office boxes? 47. What percentage of mail received will be processed the same day, especially during the heavy volume tax season? 48. What is the bank’s error rate per 1,000 items processed? 49. What are the performance measures for your lock box service? 50. What are the performance guarantees and how are they tracked? SECTION 5 – REQUIRED FORMS SERVICE PROVIDER QUESTIONS EXHIBIT 1 PROPERTY TAX VOLUME BY TYPE 6. EXHIBITS PROPERTY TAX VOLUME BY TYPE Lockbox/Remittance Processing Services RFP # 2015-00000001 Property Tax Maintenance Fee Uncollected Funds Charge Deposits & Other Credits Items Deposited BB&T Items Deposited In State Items Deposited Other Checks Paid & other Debits Returned Deposit/Cash Item Standing Order Wire AR Box Monthly Maint. AR Box Per Item Online Acct Maint Online Small Business Online Items Sml Bus Online Busbank Image Retrvd RLB Maintenance RLB Full Items RLB Partial Items RLB Multi Balanced RLB Multi Unbalanced RLB Cash Deposits RLB Deposits RLB Exceptions RLB Data Transmission RLB MICR Repair RLB OCR Repair RLB Special Sorting RLB Deposit Report RLB Stop File Maint RLB DVD Fee RLB Exception Item Image RLB Inbound Overnight Delivery RLB Image Maint Fee RLB Per Check Imaged RLB Per OCR Coupon Imaged RLB Special Fee Postal Sort RLB Package Prep LUESA 12 mo. Vol 12 218 255 13,413 75,795 24,944 454 204 249 12 13,112 12 12 454 33 13 96,401 10,243 21,673 563 14 301 13 16,475 28,111 169,605 12 12 24 41,205 1,450 11 114,166 128,875 12,696 13 12 mo. Vol Maintenance Fee 12 Items Deposited BB&T 1,062 Items Deposited In State 3,451 Items Deposited Other 978 Checks Paid & other Debits 255 Returned Deposit/Cash Item 5 Standing Order Wire 250 Online Business Banking 12 Online Image Retrieved 543 WLB Maintenance 12 WLB Payments 5,491 WLB Exceptions 5,011 WLB Deposits 583 WLB Cash Deposits Charlotte 1 WLB Micr Repair 643 WLB Special Sorting 5,491 WLB Data Transmission 12 WLB Remitter Data Entry 71,112 WLB Remitter Report 12 WLB CD Fee 12 WLB Inbound Overnight Delivery 3 WLB Exception Item Image 14,353 WLB Image Maint. Fee 12 WLB Page Scan Per Item 8,555 WLB Per Check Imaged 5,491 WLB Per Envelope Imaged 5,474 WLB Deposit Summary Email 12 WLB Package Prep 8 EXHIBIT 2 LUESA HISTORICAL VOLUME LUESA HISTORICAL VOLUME Lockbox/Remittance Processing Services RFP # 2015-00000001 Property Tax Jul-12 Aug-12 Sep-12 Oct-12 Nov-12 Dec-12 Jan-13 Feb-13 Mar-13 Apr-13 May-13 Jun-13 Jul-13 Aug-13 Sep-13 Oct-13 Nov-13 Dec-13 Jan-14 Feb-14 Mar-14 Apr-14 May-14 Jun-14 Jul-14 Aug-14 Sep-14 Oct-14 Nov-14 Dec-14 Jan-15 # checks 26091 23875 45503 36292 38011 63228 42187 27913 25019 22789 23384 21658 18126 29104 45639 33951 22300 58731 22309 7899 4532 2640 1225 894 990 3673 23619 8948 9705 34325 15702 LUESA Jul-12 Aug-12 Sep-12 Oct-12 Nov-12 Dec-12 Jan-13 Feb-13 Mar-13 Apr-13 May-13 Jun-13 Jul-13 Aug-13 Sep-13 Oct-13 Nov-13 Dec-13 Jan-14 Feb-14 Mar-14 Apr-14 May-14 Jun-14 Jul-14 Aug-14 Sep-14 Oct-14 Nov-14 Dec-14 Jan-15 # checks 453 455 426 510 434 431 419 552 505 530 499 501 525 453 463 482 439 505 477 420 516 463 457 533 464 495 402 413 471 449 408 Note: The decline in Property Tax volume beginning in January 2014 reflects the new process of State collection of vehicle taxes. EXHIBIT 3 AVERAGE POSITIVE COLLECTED BALANCES AVERAGE POSITIVE COLLECTED BALANCES Lockbox/Remittance Processing Services RFP # 2015-00000001 AVERAGE POSITIVE COLLECTED BALANCES Property Tax LUESA Apr-13 45,211 4,361 May-13 45,086 4,086 Jun-13 41,976 4,262 Jul-13 29,729 5,240 Aug-13 97,774 4,180 Sep-13 377,554 4,521 Oct-13 191,060 4,874 Nov-13 299,187 5,361 Dec-13 1,249,318 5,507 Jan-14 614,382 3,803 Feb-14 61,434 5,091 Mar-14 25,495 4,279 Apr-14 12,277 4,634 May-14 8,533 3,987 Jun-14 4,640 6,453 Jul-14 4,270 5,852 Aug-14 81,399 7,298 Sep-14 347,868 3,885 Oct-14 165,682 4,139 Nov-14 251,795 5,125 Dec-14 1,079,345 4,679 Jan-15 690,706 6,513 EXHIBIT 4 SCAN LINE AND FORMATTING SCAN LINE AND FORMATTING Lockbox/Remittance Processing Services RFP # 2015-00000001 Scanline definitions for each lockbox are as follows: Property Tax: i. ii. iii. iv. v. vi. vii. viii. Scanline consists of amount (10) Check digit (1) Tax Year (4) Year For (4) Bill Type (4) Bill Number (10) Check Digit (1) Sample Scanline 0000025585120062004000000011229567 LUESA: File Formats Expected Transmission Layout: 1. For Tax payments, the system requires the lockbox payment file in the following format: Header Record: EXHIBIT 4 SCAN LINE AND FORMATTING Character position 01 – 01 Field length 1 02 - 06 5 07 – 14 8 15 – 18 4 19 – 80 62 Field Name Record type County Process Date Time Stamp Filler Format Description Numeric Constant – 1 Character Date Constant – County Specific Identifier of length 5. E.g.: For Mecklenburg : MECKL For Randolph : RANDO MMDDYYYY Time (HH24MI) Spaces HHMI (1420 or 1120) Constant Spaces Detail Record: Character position 01 – 01 02 – 11 12 – 15 16 – 19 20 – 23 24 – 31 Field length 1 10 4 4 4 8 32 – 40 9 41 – 52 12 53 – 60 61 – 68 69 – 78 8 8 10 Field Name Format Record type Abstract # Tax Year Year For Listing Type Amount Paid to abstract Numeric Numeric Numeric Numeric Numeric Numeric Check Routing Number Check Account Number Check Number Check Amount Filler Numeric Description Constant – 2 Scan line Scan Line Scan Line Scan Line Amount Paid to particular account, in case of multiple accounts paid by one check Numeric Numeric Numeric Spaces Check Amount Constant Spaces Trailer Record: Character position 01 – 01 02 – 07 Field length 1 6 Field Name Record type No of payments Format Numeric Numeric Description Constant – 3 Total payments EXHIBIT 4 SCAN LINE AND FORMATTING 08 – 17 10 18 – 80 63 Total Payment Amount Filler Numeric Spaces Total Amount Paid Constant Spaces 2. LUESA expects the lockbox transmission file in the following format: Detail Records AAAAAAAMMDDYYYY$$$$$$$$$##########SSSSS 083102905252006000359148007603505900002 Where: All fields must be right justified A = Account number from scan line (7 digits)* M = Process Month (Keyed at beginning of run) D = Process Date Y = Process Year $ = Amount paid (9 digit) # = The check number from the check if read (10 digits) S = Sequence number (Film sequence from 7780, 5 digit) Total Record length = 39 *For A = 7 digit account number. Example account X32561 should translate to 0832561 1st character – Always “0” 2nd character – Translated as follows: A = 1 B = 2 E = 3 I = 4 M = 5 P = 6 S = 7 X = 8 All other letters will = 9 (will probably never see this) 3rd through 7th characters are As Is. Trailer Record TOTALXXXXXXXXXXXX######$$$$$$$$$$$ TOTAL 00001700001311030 Where: All fields must be right justified The word “TOTAL” (5 digit) X # $ = 12 digit blanks = Total record count in file transmission = Sum of all payments in file Total Record length = 34
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