4-A. RFP PACKET WITH AFFIDAVITS AND CERTIFICATIONS.pdf

REQUEST FOR PROPOSALS

Date: March 11, 2026

Category: Region One Education Service Center Bank Depository Services

RFP Number: 26-0174

The Region One Education Service Center is soliciting request for proposals from financial institutions (“Respondents”) for Bank Depository Services in accordance with the terms, conditions, and requirements set forth in this Request for Proposals (“RFP”).

Region One ESC Purchasing Department will receive request for proposals for Bank Depository Services RFP 26-0174 electronically through the eBuyOne Bonfire portal:

https://esc1.bonfirehub.com/portal/?tab=openOpportunities no later than 3 PM CST, April 1, 2026. Late submission will not be considered.

Questions/clarifications regarding this RFP must be submitted in writing through the “Ask a Question” section located within the bid solicitation available through the eBuyOne Bonfire portal:

https://esc1.bonfirehub.com/portal/?tab=openOpportunities no later than 3 PM, Friday, March 27, 2026. It is the Respondent’s responsibility to view response(s) to question(s) issued for this solicitation.

Responses to inquiries which directly affect an interpretation or change to this RFP will be issued in writing by Region One ESC as an addendum. All such addenda/additional information issued/posted to https://esc1.bonfirehub.com/portal/?tab=openOpportunities prior to the time that proposals are received shall be considered part of the RFP, and the Respondent shall be required to consider and acknowledge receipt of each addendum in its Response. It is the Respondent’s responsibility to view the webpage regularly, or prior to submitting a response, to ensure that no addenda or additional information have been issued for the solicitation.

Resources for Vendors regarding eBuyOne can be found at www.esc1.net/eBuyOne.

Sincerely, Dr. Daniel P. King Executive Director

Rumalda Ruiz Deputy Director for Business Operations and School Finance Support

Region One Education Service Center does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender, gender identity, national origin, age, disability, or any other basis prohibited by law in its programs and activities.

TABLE OF CONTENTS

BANK DEPOSITORY SERVICES

RFP 26-0174

TABLE OF CONTENTS

A. PROPOSAL PACKAGE CHECKLIST 3

B. SPECIAL SUBMISSION TERMS AND CONDITIONS 4

C. REQUIRED SERVICES 8

D. OPTIONAL SERVICES 16

E. AFFIDAVITS AND CERTIFICATIONS 18

EXHIBITS AVAILABLE IN BONFIRE

BONFIRE BIDTABLE – HISTORICAL VOLUMES/PROPOSED FEES

BONFIRE QUESTIONNAIRE

A. RFP PACKET

B. FORM W9

C. FORM CIQ

D. FORM 1295 INSTRUCTIONS

PROPOSAL PACKAGE CHECKLIST

BANK DEPOSITORY SERVICES

RFP 26-0174

In order for your proposal to be considered, the following items are REQUIRED to be uploaded to the RFP response.

DESCRIPTION OF ITEM YES NO N/A

A. AFFIDAVITS AND CERTIFICATIONS

1. Antitrust Certification

2. Compliance with Texas Family Code

3. Felony Conviction Notification

4. Entities That Boycott Israel

5. Foreign Terrorist Organizations

6. Prohibited Employment Assistance

7. Prohibition on Discrimination Against Firearm Ammo. Indust.

8. Prohibition on Diversity, Equity and Inclusion (DEI) Duties

9. Conflict of Interest

10. Breach of Contract Terms, Sanctions and Penalties

11. Termination for Cause or Convenience

12. Equal Employment Opportunity

13. Clean Air/Water Act & Federal Water Pollution Control Act

14. Debarment and Suspension

15. Byrd Anti-Lobbying Amendment

16. Prohibition on Certain Telecommunications/Video Surveillance

17. Employment Verification

18. Record Retention Requirements

19. Non-Collusion Statement

20. Financial Health and Stability

21. Whistleblower Protections

22. Responsible Contractors

23. Signature and Declaration of Compliance

B. FORM W-9

C. FORM CIQ

D. FORM 1295 (unless proof of exemption provided)

E. PROOF OF INSURANCE

F. EVIDENCE OF FINANCIAL HEALTH AND STABILITY

G. ALL SERVICE AGREEMENTS

H. MISCELLANEOUS/OTHER (if applicable) I. Bonfire BidTable (Historical Volumes/Proposed Fees) J. Bonfire Questionnaire

*DIGITAL SIGNATURES ARE ALLOWABLE*

SPECIAL SUBMISSION TERMS AND CONDITIONS

Region One Education Service Center is seeking to establish an agreement with a financial institution to provide the services required to the Region One Education Service Center. Region One Education Service Center seeks sealed proposals from firms to provide the required services.

1. REGION ONE ESC OVERVIEW:

1.1 The Region One Education Service Center, located in South Texas on the United States/Mexico border, is part of a state-wide system of 20 regional education service centers created by the 59th Texas Legislature to assist school districts across the State. Originally slated to work with school districts as a media center, the role of the education service center has expanded to work alongside school districts to carry out the three main objectives as stipulated in the TEC §8.002: to assist school districts improve student performance, to assist school districts to operate efficiently and economically, and to carry out the mandates of the Texas Education Agency and the Texas Legislature.

1.2 Region One ESC serves 38 school districts and 10 charter school campuses in the seven county areas of Cameron County, Hidalgo County, Jim Hogg County, Starr County, Webb County, Willacy County, and Zapata County. More information can be found at:

https://www.esc1.net/ https://tea.texas.gov/about-tea/other-services/education-service-centers

1.3 Region One ESC’s audited financial statements:

https://www.esc1.net/about/compliance-transparency/budgets-audits

1.4 Region One ESC’s Board Policy CBF – Revenue Sources: Investments

CBF(LEGAL):

https://pol.tasb.org/PolicyOnline/PolicyDetails?key=648&code=CBF#legalTabContent

CBF(LOCAL):

https://pol.tasb.org/PolicyOnline/PolicyDetails?key=648&code=CBF#localTabContent

2. PURPOSE: The intent of this procurement solicitation, Bank Depository Services, is to establish a responsible Depository to provide the services outlined in this request for proposals. The ESC’s goal is to establish a partnership with a qualified depository as the primary depository. Region One ESC reserves the right to suspend or terminate with the depository throughout the term of this contract.

3. TYPES OF GOODS AND/OR SERVICES: The anticipated required services are outlined with applicable questions in this procurement solicitation accessible through eBuyOne at https://esc1.bonfirehub.com/portal/?tab=openOpportunities, including item descriptions, specifications and technical requirements. Historical volumes for services are shown in the BidTable.

4. TERM OF CONTRACT: The contract will be effective September 1, 2026, through August 31, 2028, with the option to extend up to three (3) additional two (2) year periods, or through August 31, 2034.

An awarded Respondent has no right to or vested interest in contract renewal. The ESC will evaluate the contract award prior to the expiration of the then-current term on the basis of factors that may include service capabilities, fees and earnings potential with best value to the ESC. A renewal must be mutually agreed upon by both parties. Extension agreement will be done in writing if both parties are in agreement.

5. TENTATIVE TIMELINE: Following is a list of projected dates with respect to this proposal. These dates are subject to change and are provide only as a reference, so Respondents are aware of the scheduling constraints associated with this proposal.

March 13, 2026 3 PM Pre-Bid Conference via Zoom:

https://esc1.zoom.us/j/82250447523?pwd=JJM2UpWGlnBy2Y2XDrW3K4mUhEvKUd.1 March 27, 2026 3 PM deadline to submit questions

April 1, 2026 3 PM RFP submission deadline, Bid Opening via Zoom:

https://esc1.zoom.us/j/82743171826?pwd=bN2ajwdz6WESvo1Sm9Vrxn1OxhgvYz.1 April 21, 2026 Region One ESC Board of Directors Meeting

6. PROPOSAL SUBMISSION: Region One ESC Purchasing Department will receive responses electronically through the eBuyOne Bonfire portal:

https://esc1.bonfirehub.com/portal/?tab=openOpportunities, no later than the date and time specified.

6.1 Preferred Internet browsers for eBuyOne Bonfire are FireFox and Chrome.

6.2 Alternate Proposal Options will be indicated in the Bid Opportunity in eBuyOne/Bonfire if available.

6.3 Allow ample time to submit all required information, documents, and upload attachments in eBuyOne Bonfire. DO NOT wait until the hour before the deadline to begin uploading documents.

6.4 DO NOT rename “BidTable” and “Questionnaire” files provided. For all other required documents, use only upper or lower case A-Z, and 0-9.

6.5 To be eligible for consideration, a proposal submission MUST be complete and in

“submitted” status. This includes, but is not limited to all required questions and data fields answered, all required documents submitted on the specified forms, complete, signed and uploaded in the bid solicitation available through the eBuyOne Bonfire portal:

https://esc1.bonfirehub.com/portal/?tab=openOpportunities.

6.6 Electronic proposals submitted after the deadline date/and time will NOT be received/accepted or considered.

6.7 A signed, submitted proposal constitutes an offer to perform work and/or deliver the services specified in the procurement solicitation.

6.8 It shall be the sole responsibility of each proposer to clearly and unequivocally identify information which it considers to be confidential commercial or financial information or a trade secret for purposes of the Texas Public Information Act.

7. SPECIFICATIONS: Compliance with all specifications and conditions is required. All proposals must include a detailed statement of exceptions taken to any part of the bid solicitation.

Depositories shall submit fees and pricing on the BidTable. When uploading the Bonfire BidTable or Questionnaire, ensure the file matches with the most up-to-date template. Incorrectly uploading a template will result in errors and prevent you from completing your submission.

8. QUESTIONS: Go to https://esc1.bonfirehub.com/portal/?tab=openOpportunities and click on “Ask a Question” if the questions due date and time has not passed. Click on “Vendor Discussions” to view submitted questions and answers. Check the bid opportunity for scheduled pre-bid meeting date and time, if applicable. Do not contact members of the Board of Directors, the Executive Director or other employees of the Region One Education Service Center. Contact with any of these prohibited individuals after issuance of the RFP and before execution of a contract, may result in disqualification of your Proposal.

9. OPENING OF PROPOSALS: Respondents are invited to the RFP opening but are not required to attend. Respondents attending RFP opening will be provided a list of the Respondents who submitted a proposal. The contents of proposals shall be kept confidential during the process of negotiations. Location: Online via Zoom, link available in the bid opportunity at:

https://esc1.bonfirehub.com/portal/?tab=openOpportunities.

10. DEPOSITORY SELECTION PROCESS: Region One ESC and/or the RFP evaluation committee shall evaluate the submitted proposals on the published evaluation criteria to determine the most responsive and responsible depository offering the best overall value. This RFP will be awarded to one depository on the basis of cost of services, services offered and available, ability to provide the necessary services and perform the duties as a depository, collateralization policy, and interest rates offered on time deposits.

11. NOTICE OF AWARD: A Notice of Award will be issued. The respondent approved in the Notice of Award are hereby known as the “Approved Depository.”

12. AWARDED DEPOSITORY RESPONSIBILITIES: The selected depository will be required to assume responsibility for all services offered in the proposal. Region One ESC will consider the approved depository and the individual named in the Questionnaire the sole point of contact with regard to contractual matters.

13. CONTRACTOR MONITORING: The services and fees will be monitored on a regular basis by Region One ESC. Failure of the Respondent to resolve any problem(s) identified in the monitoring may be cause for termination of the contract.

Introduction

It is the intention of the Board of Directors of Region One to select a Depository through soliciting proposals for a Depository services contract for a term of two (2) years beginning September 1, 2026, and ending August 31, 2028, or until such time as a successor Depository is selected and qualified agrees to a depository agreement based on either fees or compensating balances.

The Service Center and the Depository may agree to extend this contract for three (3) additional two-year terms in accordance with Section 45.205 of the Education Code. This Section requires that the contract and any extension of this contract coincide with Region One’s fiscal year. In the event the Service Center changes its fiscal year, the term of the contract may be shortened or extended no more than one year by mutual agreement to coincide, provided that this contract is to remain in effect until its successor is selected and been qualified. If the parties cannot agree, the Service Center may at its option change the term of this contract.

The resulting contract and any extension(s) shall become binding upon Region One ESC and the Depository only upon acceptance by the Region One Board of Directors.

Evaluation Process

Selection Criteria – According to TEC 45.206(d), the Service Center must state the selection criteria and select the proposal based on the ranking in relation to the stated selection criteria.

The following criteria will be used by Region One ESC for evaluation and award of the contract.

30% – Interest rates offered on time deposits – Earnings Credit Rate (ERC), Interest Bearing Accounts, Money Market Accounts, Sweep Accounts

35% – Cost of services – charges for keeping Region One accounts, records, reports and furnishing checks, including conversion costs

30% – Ability to provide the necessary services and perform the duties as Depository – financial stability, qualifications and experience, customer service and local support

5% – Community Partnership and ESC Engagement

Region One ESC reserves the right to reject any and/or all proposals and to accept the proposal the Service Center considers most advantageous. If any portion or provision of this proposal and/or any contract between Depository and Region One entered into is invalid, the remainder at the option of the Service Center shall remain in full force and effect and not be affected. Acceptance of a proposal will be based on the total package of services offered by the banking institution.

Definitions and Instructions

In this document, the terms “you” and “your” refer to the depository bank, and “we,” “our,” and “us” refer to Region One Education Service Center.

The Depository must answer all questions in this form and provide it to Region One ESC as your proposal.

Region One Education Service Center has the right to reject any proposal. If any part of this proposal or any contract entered into between the Depository and the ESC is invalid, the remainder, at the ESC’s option, remains in force and is not affected. The ESC has the right to use a sub-depository bank other than the primary bank and those deposits will be collateralized.

Region One ESC Investments

The Service Center reserves the right to purchase, sell and invest its funds and funds under its control, including bond funds, as authorized by the Government Code, Chapter 2256, Public Funds Investment Act, and in compliance with the Region One’s Investment Policy CBF (LOCAL), available via this link:

https://pol.tasb.org/Policy/Code/648?filter=CBF

Region One may choose to invest in time deposits at the Depository.

Legislative Changes

Changes in the law that may be enacted by the State Legislature, in session, could alter the scope of requirements as stated in this document. The proposal should conform to all statutes in effect at the time of proposal opening.

Region One ESC Reservation of Rights

The Service Center reserves the right to:

- waive any defect, irregularity or informality in the proposal or proposal procedures;

- reject any and all proposals;

- accept any proposal or portion thereof most advantageous to Region One;

- request additional information or require a meeting with Depository representatives for clarification;

- cancel, revise, and/or reissue this request for proposal or any portions thereof,

- negotiate any conditions;

- retain all other provisions even if any provision of the proposal is deemed invalid;

- modify deadlines; and

- select any proposal deemed to be in its best interest as determined by the Service Center.

REQUIRED SERVICES

BANK DEPOSITORY SERVICES

RFP 26-0174

FINANCIAL INSTITUTION QUALIFICATIONS

1. Creditworthiness In order to fulfill the Center’s fiduciary responsibility and to protect public funds, each bank submitting applications shall:

a. Provide a link to the latest available audited annual financial statement.

b. The bank will be required to submit an audited financial statement to the Center each year of the contract period, as soon as it is available. Confirm agreement to this requirement.

c. Provide the bank’s current Community Reinvestment Act (CRA) rating by its regulatory agency.

d. Provide the bank’s current senior and subordinate debt ratings. If the bank has no debt or is privately owned it may, as an alternative, provide the most recent four (4) quarters rating from an independent bank rating agency such as Highline, Veribanc, or comparable bank rating agency.

e. The bank will be contractually responsible for notifying the Center within thirty (30) days of any change in any of these ratings during the contract period. Confirm agreement to this requirement.

2. Customer Service Timely and responsive customer service will be a primary focus of the contract on a continuing basis.

Describe the bank’s philosophy and approach to satisfying this need.

a. How will the bank satisfy the Center’s need for superior customer service?

b. Is there a formal bank process for escalation of problems/issues that are unresolved?

c. Is the bank offering any transition or retention incentives? Describe fully and quantify completely.

d. The Center requires the right to use a third-party auditor to review the records of its accounts, collateral, transactions, and bank records at any reasonable time. Confirm agreement with this condition.

3. References List references from three current, comparable Texas public entity clients. For each reference, include the length of time under contract, a client contact, title, and email address.

4. Depository Agreement and Service Agreements Provide a copy of all depository and service agreements which will be required to be executed under the contract for services rendered. Any changes required on the agreements will be discussed and agreed upon before award of the contract.

a. Provide all the agreements required, upload to eBuyOne.

5. Implementation Timeline The timeline should reflect the number of calendar days required to put the services in place or the end date of when such services will be in place and available. Default in promised delivery of services, without acceptable reasons, or failure to meet the terms or conditions of the depository contract without remedy, shall result in the Center’s right to terminate the contract, but the exercising of such right to terminate the contract does not limit any other remedies for damages or other relief under law.

a. Provide a proposed timeline for implementation of the contract. Include required activities as defined by its responsible party and assigned responsibilities. Denote any limitations or potential delay points.

b. Collateral should be in place two (2) days before any funds are transferred. Confirm agreement to this condition.

REQUIRED ACCOUNT SERVICES

The Center currently maintains three (3) accounts.

The average relationship balance in 2025 has been six million dollars ($6 million). The number of accounts may also change during the contract period.

Most bank activity occurs in the General Operating account Approximately five million dollars ($5 million) in payables flows through the accounts monthly.

The payroll averages four million-five hundred thousand dollars ($4.5 million) a month with one hundred percent (100%) paid via ACH.

The Center does use remote deposit and has on average one hundred and fifty-six (156) items per month.

1. Account Structure

The Center is interested in assuring that all funds are continuously earning at the best, then-current interest rates. The current account information is:

INTEREST BEARING ACCOUNTS

General Operating Fund 1 IB Finance Clearing Fund 1 IB Payroll Clearing Fund 1 IB

VOLUMES Average Monthly Average Monthly Dollar Number of Items Transactions

General Operating Fund $10,000,000 Credits 138 Debits 57

Payroll Clearing Fund $5,000,000 Monthly ACHs 1,400 Credits 13 Debits 32

Finance Clearing Fund $ 750,000 Monthly Paper Checks 100 Monthly ACHs 210 Credits 20 Debits 120

The Center must have the option to pay for services on a fee or compensating balance basis.

An SEC registered government money market fund which strives to maintain a one dollar ($1) NAV used for the sweep must be rated AAA by at least one (1) nationally recognized rating service. If the bank has a valid alternative to an SEC money market fund which is in compliance with the Center's Investment Policy, it may be presented. Neither a repurchase agreement nor an offshore account is acceptable as a sweep investment vehicle.

a. Fully describe the bank’s proposed account structure.

b. Does the bank charge a balance-based assessment? At what rate?

c. Do interest bearing accounts earn at a bank managed rate or is the rate indexed? Provide the proposed computation basis for interest bearing and money market accounts if rates are directly set on an index.

d. Interest earned on interest bearing accounts shall not be charged as an expense on the account analysis. Confirm acceptance of this condition.

j. The Center may be required or may desire to open additional accounts or change account types during the contract period. If this occurs the new accounts and their services shall be charged at the same contracted amount. (Unanticipated or new services may be charged at not more than published rates.) Confirm agreement to this condition.

k. Indicate in the Questionnaire the bank's rate average for the past twelve (12) months and currently.

Type Account Twelve (12) Month Average Current Rate

ECR % %

Interest bearing accounts % % Money market accounts % %

2. Automated Cash Management Information The Center requires a web-based, single portal, automated cash information service. The Center requires timely online access to transactions and daily balance reporting to balance internal information and transaction detail. No paper reports will be required.

a. Describe the bank’s on-line service capabilities. List the system functions/capabilities.

b. Provide a web link of the system and any necessary passwords for online self-evaluation by the

Center staff.

c. Does the bank have mobile banking? What services are available on the mobile app?

d. What security protocols are in place for mobile banking?

e. State the access and update times for previous day and intra-day balance information.

f. Which entity controls the security and access functions for the online services?

g. Describe the security protocols and controls on the accounts and within the automated system.

h. Are all items imaged? Define types and note the online retention periods for each.

i. Are event messages or alerts available? How are alerts sent? Are alerts emailed or must the individual be online to receive notification?

j. What events automatically generate an alert?

k. Are all reports and statements downloadable?

3. Standard Deposit Services Standard commercial deposit services are required. Most check deposits are made via remote deposit from two locations to the Center so deposits will consist of a small amount of coin and currency and some checks as shown on Appendix A. A change operation is maintained at the Center which is reimbursed through monthly change orders for coin/currency from a vault. Coins are not rolled and may be in partially filled bags. (See Appendix A)

The Center currently accepts debit and credit cards over the internet, at the POS (counter) and by telephone. The Center uses AMS and Elavon as its merchant services providers. Merchant services are shown below in the Optional Service of the RFA.

The Center expects all deposited checks to clear based on the bank’s current published availability schedule, but any expedited availability options should be noted in the application. All cleared deposits received by the bank's established deadline must be processed for same day credit.

The bank shall guarantee immediate credit on all incoming wire transfers, ACH transactions, on-us items, and U.S. government security maturities and coupon payments. Failure to credit Center accounts in a timely fashion will require interest payment reimbursement to the Center at the then-current daily Fed Funds rate.

a. Does the bank image all checks, deposit slips, and deposit items? When and how are these images made available online? How long are they available online?

b. What is the bank’s daily cut-off time to assure same day ledger, and – pending availability – collected credit? Does this vary by location (branch teller, vault)?

c. Describe how and when are credit/debit advices sent to the Center?

d. What type of deposit bags are used/required? Are these available from the bank? Will the bank provide these?

e. Include a list of all the bank's deposit local locations in Edinburg and surrounding communities.

Remote Deposit The Center is currently using remote check deposit and owns three scanners. Deposits would include both consumer and commercial checks.

a. What are the bank's current capabilities in remote check deposit?

b. What is the cut-off time for deposits made remotely?

c. What scanner equipment is required?

d. Will the bank supply the scanners? For a purchase or lease fee? Specify.

e. What deposit report is generated at the remote site? Provide a sample.

f. How is remote deposit activity reported on the bank’s reports and online?

NSF Checks Received by Center Currently, NSF checks paid to the Center are automatically re-deposited twice for collection. Complete information must be provided on all NSF returned items including name and reason for return.

The Center would like the option of the second presentment to be made by ACH to targeted dates for maximum collection potential.

a. Describe the bank’s current NSF process. Are checks automatically re-deposited? How many times?

b. How and when is the Center to be notified of return items?

c. Is the bank capable of processing the second presentment as an ACH with a targeted presentment date (i.e. RCK)? Describe in full.

d. Under RCK or standard processing, how can the NSF and settlement later matched/reconciled most easily? Does the bank system cross reference the two transactions in any way?

e. Is the NSF information or image available on-line? When and how? How long is it available online?

Disbursing Services Standard disbursing services are required to include the payment of all Center non-account holder employee checks without charge upon presentation. The Center requires positive pay services for all its check issuing accounts. ACH positive pay will also be required.

The Center uses the State contract for purchasing card service currently. A commercial card is not being considered under this contract at this time.

Payroll is paid biweekly and monthly and averages four million five hundred thousand dollars ($4.5 million) a month. The Center utilizes direct deposit for payroll for approximately one hundred percent (100%) of employees. The Center also intends to move toward more vendor payments by ACH.

a. Are check images available on-line? When and how long are images available?

b. Will the bank cash all Center non-accountholder payroll checks on presentation without charge to the presenter or the Center? Describe your policy.

c. Fully describe any consolidated or e-payables program available.

d. Describe your ACH positive pay, if available.

e. Describe your virtual card program if available.

f. Describe any payroll card program if available.

g. Does the bank have its own commercial card program? Describe fully.

h. Is any rebate available on the commercial card program?

4. Positive Pay and Reconciliation Positive pay will be required on all check-issuing accounts. The Center currently has positive pay on three accounts to safeguard against fraudulent checks. One of those accounts is positive pay only and the others are matched with full reconciliation. The positive pay process should be fully automated and web based.

Check information will be transmitted electronically to the bank on each check run and as manual checks are created. The Center is not interested in reverse positive pay.

The Center intends that positive pay will be used in combination with partial or full reconciliation services.

a. Can the bank provide positive pay on disbursement accounts?

b. Can the bank provide payee positive pay?

c. Describe the data transmission/transfer requirements and alternatives for computer generated checks.

d. Online entry for individual manual checks is required. Describe the online input process and requirements for individual, manually written checks.

e. How can check records or the entire file be changed or deleted by the Center, if necessary?

f. How is the Center to be notified of a positive pay exception?

g. At what time is exception information reported to the Center?

h. At what time is the response deadline for Center exception elections?

i. Are all checks, including those received by the tellers, verified against the positive pay file before processing? How often is teller information updated?

j. Describe your partial and full reconciliation processes. Supply full reconciliation report samples.

k. How much flexibility is there for the bank’s systems to interface with the Center’s ERP system?

The Center uses ASCENDER. Does the bank have other public entities using this system?

5. Funds Transfer and Wire Services The Center currently has an average of two (2) outgoing domestic wires and five (5) incoming domestic wires each year. All wires are processed online.

Incoming wire transfers must receive immediate same day collected credit. Wire initiation must be available online. The Center requires that wires be released the same business day if information is provided by the established deadline. The Center will require compensation for delays caused by bank errors at that day’s Fed Funds rate.

a. Is wire initiation available online? Describe the process of online wire initiation.

b. Is wire status monitoring available online?

c. What back-up process is made available for any difficulty with the on-line process?

d. How and when will the bank notify the Center of incoming wires? Online? E-mail alerts?

e. Describe security provisions for wire initiation. What security levels are available on initiation and release. Is dual control required?

f. Is future dating available for both repetitive and non-repetitive wires and transfers? How far in advance?

g. Are inter-account transfers able to be completed online? Is there a fee for inter-account transfers?

h. What is the bank’s policy on ledger balances used for outgoing wires?

6. ACH Services The Center expects to continue moving toward more ACH transactions. ACH is currently used for payrolls, periodic transfers, vendor payments and debt service. Approximately 1,700 debit/credit two day ACH transactions are originated monthly and 250 ACH received items monthly.

The Center requires a pre-notification on all new addresses.

a. Describe the batch file transmission requirements for ACH transactions.

b. Is the Center able to initiate individual ACH transactions online? Describe the process?

c. Are two-day, one-day, and same-day ACH transactions available? What are the deadlines for each?

d. Is ACH positive pay available? Describe fully.

e. What filters and blocks are available for ACH transactions? Define and describe.

f. Are all ACH addenda shown in their entirety online and on reports?

g. Is the account debited on an ACH debit when the transaction is initiated or on settlement?

h. What is the bank’s policy on pre-notes? Is the pre-note charged as a standard ACH transaction?

7. Collateral Requirements Authorized collateral, as defined below, must be pledged against the total time and demand deposits net of FDIC insurance with a 102% margin on the collateral monitored and maintained daily by the bank. All the requirements, including those beyond the Public Funds Collateral Act, as stated in the Center’s Investment Policy and below, must be met by the bank. The agreement must be FIRREA compliant.

The application must state agreement to the following terms and conditions:

All collateral pledged to the Center must be held in an independent, third-party bank outside the bank’s holding company.

The depository agreement covering collateral and its safekeeping shall be executed between the Center and the depository for custody of pledged securities in full compliance with FIRREA requiring a bank resolution.

All time and demand deposits above FDIC coverage shall be collateralized at a minimum of 102% of market value principal plus accrued interest daily.

The bank shall be responsible for the daily monitoring and maintaining of collateral at the Center's required 102% margin levels.

Pledged collateral shall be evidenced by original safekeeping receipts/report sent directly to the Center preferably by the custodian within one business day of receipt.

The Center shall receive a monthly report of collateral pledged including description, par, market value and cusip.

Substitution rights shall be granted if the bank obtains the Center’s prior approval and if substituting securities are received before previously pledged securities are removed from safekeeping. Substitution rights may be waived under certain conditions approved by the Center if online access to priced collateral is available.

Authorized collateral includes only:

Obligations of the US Treasury Obligations of US Government agencies and instrumentalities including mortgage-backed securities and CMO which pass the bank test.

Bonds of any US State or its subdivisions if rated A or better by at least one nationally recognized rating agency FHLB letters of credit

a. State the bank’s acceptance of the collateral conditions above. Note any exceptions or changes desired.

b. Does the bank propose any collateral charges, if so under what conditions are they charged and how is the charge applied?

c. What institution will serve as the custodian for pledged collateral?

d. Does the custodian provide online inquiry for the Center?

e. Does the custodian provide daily mark-to-market pricing?

f. How often does the bank monitor collateral levels?

g. What entity will provide the monthly collateral report?

8. Account Analysis Monthly account analysis reports must be provided for each account and on a consolidated account basis.

Within five business days of receipt of the monthly account analysis (and subsequent approval of the fees by Center) the bank may direct debit the designated account for fees due if compensation is being calculated on a fee basis.

A complete account analysis will be required monthly regardless of the payment basis.

a. Provide a sample account analysis including calculation bases. One consolidated statement as well as individual account statements are required.

b. When and how is the analysis available each month? Online?

c. How long is the account analysis available online?

9. Monthly Statements The bank must provide monthly account statements on all accounts with complete supporting documentation. All accounts must be on a calendar monthly cycle and statements received on a timely basis. Timeliness of statements is critical, and non-performance will be grounds for termination of contract.

a. Provide a sample monthly statement.

b. When and how are monthly statements made available each month?

c. How long is the monthly statement available online?

10. Stop Payments The Center has few if any stop pays each month. An automated process is required.

a. How long are the standard stop pay periods?

b. What are the options for renewals of stop pays?

c. How is a stop pay initiated?

d. How is a stop payment renewed?

e. What is the deadline for same day action on stop pays?

f. For stop pay orders is there any paper follow-up document required?

g. Provide the stop pay authorization levels and notification requirements.

h. What information on current and expiring stop pays is available on-line?

11. Overdrafts Every effort will be made to eliminate intra-day and inter-day overdrafts. However, because this situation may arise, state the bank’s policy regarding account and total account overdraft policy and detail rates and fees, if any, to be charged on a per event or per account basis.

a. Are all accounts aggregated for overdraft calculation purposes or are accounts stand-alone?

b. State the fee charged per overdraft occurrence.

12. Account Executive To ensure smooth contract implementation and continuation of services, a specific account executive and a back-up must be assigned to the Center account to coordinate services and expedite the solution of any problem encountered. The account executive should be available to meet with Center staff on banking matters as needed and at a minimum annually.

a. Provide the name, title and location of the proposed account executive.

b. Provide the name, title and location of the backup representative.

c. When do these representatives intend to meet with the Center to review services?

OPTIONAL BANKING SERVICES

The Center continues to investigate new services for inclusion under its banking services contract. The services in this Section are not currently required but will be evaluated in terms of availability, feasibility, service levels, services provided, and charges for potential current, or future, use under the banking contract.

1. Commercial or Purchasing Cards

The Center does not currently use restricted purchasing cards with unique, specified use restrictions but is interested in considering their use to maximize efficiencies in redundant purchases under a certain dollar threshold for selected Center employees.

a. Is the functionality allowed by each card managed in a table-driven manner to allow flexibility?

b. Can you encode the card so that the merchant will not apply sales tax?

c. What restrictions can be placed on the card? Are these all controlled by the Center?

d. Can the transactions be limited by day or dollar amount?

e. If an employee is terminated can the card be closed immediately? How?

f. Who assumes liability for stolen cards or false charges?

g. Describe the customer servicing.

h. What reports are available. Provide samples.

i. What fees are applied?

2. Merchant Services Region One ESC currently accepts Visa/MasterCard/American Express/Discover, and debit card payments approximating thirty-five thousand dollars ($35,000) in collections a month with an average ticket size of three hundred dollars ($300). The Service Center current accepts credit card payments for various activities. The service should include daily capture, transmission, and authorization of payments at point-of-sale and on the web.

a. Does the Depository currently offer merchant card processing services? How long has this service been available? What interface format(s) does the Depository’s system supply?

b. How many institutions and end customers do you have?

c. Describe the fee components of a merchant card processing relationship. Provide a list of all the fees to the Service Center. State the association fees, discount rates, and the Depository's fee per transaction.

d. Does the Depository have software available for implementation which allows online payments to Region One through the Depository’s portal?

e. Describe the reporting functions and data availability.

f. Detail billing options.

g. Describe the authorization method or process used. How are incorrect authorizations reversed?

h. Describe your transmission process. Describe the monitoring and notification process if transmissions fail.

i. Is data imaging available online? What is available online? When? For how long?

j. Describe the dispute resolution process.

k. Describe your security measures for internet transactions and unauthorized use.

3. Check Printing

a. Does the Depository offer check printing services? Describe?

b. What is the deadline for same-day and next day printing?

c. Where are checks printed and sent from?

4. Community Partnership and Community Engagement Region One ESC values long-term partnerships that support public education and align with the ESC’s mission. Proposers are encouraged to describe voluntary programmatic support and community engagement activities that would enhance services to the ESC and its constituent school systems. Examples of acceptable commitments include (non-exhaustive):

Financial literacy education: workshops/webinars for districts, staff, parents, or students; resources and materials; fraud-prevention training.

ESC initiative participation: support for ESC-hosted financial literacy events (approximately six per year), presentations, or district leadership events.

In-kind support: hosting space, materials, speakers, training time, or other non-cash support aligned to the ESC mission.

Sponsorship opportunities (if offered): proposed sponsorships for ESC events/programs and the form of recognition/marketing value provided to the bank (e.g., logo placement).

Community track record: prior three-year support for K–12/public education and/or Community Reinvestment Act (CRA) initiatives related to education.

No minimum monetary sponsorship or donation is required, and proposals will not be deemed non-responsive solely because a proposer does not offer monetary sponsorship. Any commitments offered must be stated clearly and in a manner that allows comparison across proposers.

a. Financial Literacy Programming: Provide description/scope, frequency, and value estimation, if applicable.

b. Fraud Prevention / Cybersecurity Education: Provide description/scope, frequency, and value estimation, if applicable.

c. Support for ESC Financial Literacy Events: Provide description/scope, frequency, and value estimation, if applicable.

d. Community Presentations: Provide description/scope, frequency, and value estimation, if applicable.

e. In-kind Support: Provide description/scope, frequency, and value estimation, if applicable.

f. Sponsorship-optional: Provide description/scope, frequency, and value estimation, if applicable.

g. Community Impact, 3-year historical support for public education and Community

Reinvestment Act (CRA) initiatives related to K-12 Education: Provide description/scope, frequency, and value estimation, if applicable.

AFFIDAVITS AND CERTIFICATIONS

ANTITRUST CERTIFICATION STATEMENT

Pursuant to Texas Government Code § 2155.005, I affirm under penalty of perjury of the laws of the State of Texas that:

1. I am duly authorized to execute this contract on my own behalf or on behalf of the company, corporation, firm, partnership or individual (Company) listed below;

2. In connection with this bid, neither I nor any representatives of the Company have violated any provision of the

Texas Antitrust laws codified in Tex. Bus. & Comm. Code Chapter 15;

3. In connection with this bid, neither I nor any representative of the Company have violated any federal antitrust law; and

4. Neither I nor any representatives of the Company have directly or indirectly communicated any of the contents of this bid to a competitor of the Company or any other company, corporation, firm, partnership or individual engaged in the same line of business as the Company.

COMPLIANCE WITH TEXAS FAMILY CODE PROVISION

Pursuant to Texas Family Code, Section 231.006, a child support obligor who is more than thirty (30) days delinquent in paying child support or a business entity in which the child support obligor is a sole proprietor, partner, shareholder, or owner with an ownership interest of at least twenty-five percent (25%) is not eligible to receive payments from State funds under a contract to provide property, materials, or services until all arrearages have been paid; the obligor is in compliance with a written repayment agreement or court order as to the existing delinquency; or a court of continuing jurisdiction over the child support order has granted the obligor an exemption as part of a court-supervised effort to improve earnings and child support payments. Select applicable certification:

The undersigned signatories each certify that each owns least twenty-five percent (25%) of the business entity submitting this proposal (whether partnership, corporation or other entity) and that each of them is not ineligible, under Section 231.006 of the Texas Family Code, to receive the payments of State funds which may be disbursed in connection with a contract arising from this solicitation. Each of the undersigned signatories further acknowledge that a contract resulting from this solicitation may be terminated and payment may be withheld if the certification provided herein is found to be inaccurate. NOTE: Owners not owning at least twenty-five percent (25%) of the business entity submitting this proposal need not execute this certification and acknowledgement, note “N/A” below.

Printed Name Ownership

(by %) Signature

The undersigned proposer certifies that he or she, is the proposing individual, or the sole proprietor of the proposing business, and is not ineligible under Section 231.006 of the Texas Family Code, to receive the payments of State funds which may be disbursed in connection with a contract arising from this solicitation, The undersigned each further acknowledges that a contract resulting from this solicitation may be terminated and payment may be withheld if the certification provided herein is found to be inaccurate.

Printed Name Signature

FELONY CONVICTION NOTIFICATION

Pursuant to Texas Education Code, Section 44.034 Notification of Criminal History of Contractor, Subsection (a) “a person of business entity that enters into a contract with a school district must give advance notice to the district if the person or an owner or operator of the business entity has been convicted of a felony. The notice must include a general description of the conduct resulting in the conviction of a felony.” Subsection (b) states, “a school district may terminate a contract with a person or business entity if the district determines that the person or business entity failed to give notice as required by Subsection (a) or misrepresented in the conduct resulting in the conviction. The district must compensate the person or business entity for services performed before the termination of the contract.”

Subsection (c) states, “this notice does not apply to a publicly held corporation.”

Select one:

My firm is a publicly held corporation; therefore, this reporting requirement is not applicable;

My firm is not owned nor operated by anyone who has been convicted of a felony;

My firm is owned or operated by the following individual(s) who has/have been convicted of a felony:

Name(s) of Felon:

Details of Conviction(s):

Attach additional pages if necessary

ENTITIES THE BOYCOTT ISRAEL (TEXAS GOVERNMENT CODE §2271.002)

Vendor herby certifies that (1) it does not, and shall not for the duration of the contract, boycott Israel or (2) the verification required by Section 2271.002 of the Texas Government Code does not apply to the contract. This section applies only to a contract that: (a) is between a governmental entity and a company with ten (10) or more full-time employees; and (b) has a value of $100,000 or more that is to be paid wholly or partly from public funds of the governmental entity. The term “Boycott Israel” means refusing to deal with, terminating business activities or otherwise taking any action that is intended to penalize, inflict economic harm on, or limit commercial relations specifically with Israel, or with a person or entity doing business in Israel or in an Israeli-controlled territory, but does not include an action made for ordinary business purposes. If circumstances relevant to this provision change during the course of the agreement, Vendor shall promptly notify Region One ESC. State here any facts that make Vendor exempt from the above boycott certification:

FOREIGN TERRORIST ORGANIZATIONS (TEXAS GOVERNMENT CODE §2252.152)

Vendor herby certifies that it is not a company identified on the Texas Comptroller’s list of companies known to have contracts with, or provide supplies or services to, the government of Iran, the government of Sudan, or a foreign organization designated as a foreign terrorist organization by the U.S. Secretary of State, see Texas Government Code Section 2252.152-2252.154. For contracts related to critical infrastructure in Texas, contractor herby certifies that it is not owned or controlled by individuals, any company, or headquartered in China, Iran, North Korea, Russia, or a designated country, even if publicly traded, in accordance with the Texas Government Code, Chapter 2274.

PROHIBITED EMPLOYMENT ASSISTANCE (CHF LEGAL) 20 USC 7926

Vendor herby certifies and agrees that it shall not assist an employee, contractor, or agent of Region One ESC or of any other school district in obtaining a new job if the Vendor knows, or has probable cause to believe, that the individual engaged in sexual misconduct regarding a minor or student in violation of the law. Routine transmission of an administrative or personnel file does not violate this prohibition.

PROHIBITION ON CONTRACTS WITH COMPANIES THAT DISCRIMINATE AGAINST

FIREARM AND AMMUNITION INDUSTRIES (TEXAS GOVERNMENT CODE §2274)

Vendor herby certifies and agrees by submitting its proposal that, pursuant to Texas Government Code Chapter 2274, it does not have a…