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;
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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