Dodge County Banking Services RFP.pdf

Dodge County, Wisconsin

Request for Proposal

Banking Services

Issue Date: August 9, 2017

Due Date and Time: September 5, 2017, 4:30 PM Central Time

Receipt Location:

Dodge County

Treasurer’s Office Attn: Patti Hilker, Treasurer

127 East Oak Street Juneau, WI 53039

WARNING: Persons obtaining a copy of this RFP must notify the County to be included in the list of entities to be notified of any new information and question responses regarding the RFP. A prospective proposer who fails to notify the Issuing Office with this information assumes complete responsibility in the event that they do not receive communications from the Issuing Office prior to the closing date. There are two files associated with this RFP package, one in Adobe PDF, one in MS Excel.

Dodge County, WI Request for Proposal: Banking Services

Table of Contents

ADVERTISEMENT FOR PROPOSALS

GENERAL INFORMATION

1.0 RFP Introduction and Background

1.1 Introduction

1.2 About Dodge County

1.3 Objectives

1.4 RFP Schedule of Events

Table 01: RFP Schedule of Events

1.5 No Obligation

1.6 Pre-Qualification of Vendors

1.7 Minimum Qualifications

1.8 Partnerships

1.9 Incurred Expenses

1.10 Questions and Inquiries

Table 02: Point of Contact

1.11 Clarification and Discussion of Proposals

1.12 Amendments and Addenda

2.0 Project Scope

2.1 Account Description

2.2 Required Services

2.3 Optional Requirements

2.4 Content of the Response

3.0 Proposal Evaluation and Award

3.1 Evaluation Process

3.2 Evaluation Criteria

Table 03: Evaluation Criteria

3.3 Best and Final Offer

4.0 Submittal Response Format

4.1 General Instructions

Table 04: Proposal Mailing Addresses

Table 05: Proposal Organization Guidelines

4.2 Transmittal Letter and Executive Summary

4.3 Approach and Banking Services Solution

4.4 Implementation Methodology

4.5 Company Background and History

4.6 Contract Samples

4.7 Account Analysis

4.8 Conversion Plan

4.9 Service Enhancements

4.10 References

4.11 Price Proposal

5.0 Contract Terms and Conditions

5.1 Contract Type

5.2 Contract Performance

5.3 Contract Amendments After Initial Term

5.4 Contract Approval

5.5 Contract Dispute

5.6 Confidential Information

5.7 County Property

5.8 Governing Law; Conflict of Interest

5.9 Offer Held Firm

5.10 Amendment/Withdrawal of Proposals/Alternate Proposals

5.11 Right of Rejection

5.12 Clarification of Proposals

5.13 Rights to Submitted Material and Public Information

5.14 Contract Negotiation

5.15 Hold Harmless

5.16 No Assignment or Subcontract

5.17 Resultant Agreement

ADVERTISEMENT FOR PROPOSALS

The Dodge County, Wisconsin will receive separate sealed proposals for the following item at the Dodge County Treasurer’s Office. Proposals will be received at the location, date and time stated below.

PROPOSAL TITLE: Request for Proposal: Banking Services SUBMISSION DEADLINE: September 5, 2017

GENERAL INFORMATION

Implementing a new Enterprise Resource Planning (ERP) system (a.k.a. financial software package) provides an incredible opportunity for Dodge County to increase efficiencies, automate, and standardize workflows. The project involves analyzing and improving the way the County manages financial practices, implements strong internal controls, and automates workflows. The ERP project is critical and will ultimately have a positive impact on every department of the County. The County has decided to move forward with Tyler Technologies Munis product. The implementation will begin in late quarter of 2017.

The ERP decision process raised the awareness of our current banking services. Dodge County reviewed our banking services and the decision was made to go out for RFP to better understand what other banking services are available which the County perhaps does not currently have or offered in a different manner.

We encourage providers to submit the most comprehensive proposal possible offering the highest quality of service and support, coupled with the best pricing. Dodge County is interested in taking advantage of technological advances to improve banking service, cash management, and customer service, while conserving employee resources devoted to banking.

Our banking relationship is currently with Landmark Credit Union. While we have had a positive relationship with Landmark Credit Union, we are seeking banking service proposals to ensure that Dodge County’s resources are most effectively managed. We encourage providers to be innovative and educational in their proposals. While the submitted proposals must be consistent with the requirements of this RFP, please include any additional information that would be beneficial.

Dodge County intends to establish an initial five-year contract, with an option to renew for an additional three years. Service fees and interest rates may be renegotiated after the initial five-year contract. Dodge County must maintain the right to terminate the contract for any reason with a sixty (60) days written notice.

Criteria for selection will be based on what is outlined in Table 03: Evaluation Criteria. The selection process will be conducted in accordance with the Request for Proposals and will be led by an in-house evaluation team. Direct interviews and reference checks may also be used to make the selection.

The Request for Proposals and Attachments may be obtained beginning Wednesday, August 9, 2017 in the Treasurer’s office of the County Administration Building at 127 East Oak Street in Juneau, WI. The documents are also available on the County’s website at www.co.dodge.wi.gov. Interested parties shall submit information as specified in the Request for Proposals (RFP) to Dodge County before 4:30 PM Central Time on Tuesday, September 5, 2017. Further information or questions can be addressed to Patti Hilker, Dodge County Treasurer.

Until the final award by Dodge County, said County reserves the absolute and unconditional right to reject any or all proposals, to waive technicalities, to re-advertise, or to proceed otherwise when the best interest of said County will be realized herein. No response may be withdrawn for a period of at least 180 days after the actual date of opening thereof.

By submitting a proposal, all persons and entities submitting a proposal thereby acknowledge and agree to the terms contained in this RFP.

http://www.co.dodge.wi./

1.0 RFP Introduction and Background

1.1 Introduction

This Request for Proposals (RFP) is intended to solicit proposals from proposers capable of satisfying Dodge County’s needs for Banking Services. Proposers’ responses will be evaluated and ranked based on the criteria described in this RFP. If a Banking Service is available that meets the County’s needs, the County may then enter into contract discussions with the selected proposer. In addition to soliciting written responses, this document provides information to assist proposers in preparing their responses and facilitates the subsequent evaluation and comparison process. In that regard, this RFP:

Provides information essential to soliciting meaningful recommendations and realistic commitments from the proposers;

Specifies the desired format and content of proposals in response to this RFP;

Outlines the County’s evaluation and selection procedures;

Establishes a schedule for the preparation and submission of proposals in response to this RFP;

and, Establishes a performance standard for the selected proposer.

This RFP and the selected proposal in response to this RFP will be incorporated into the contract resulting from this solicitation; provided, however, that the contract may contain terms different from or in addition to this RFP and the successful proposal. For purposes of this RFP, the term “vendor,” “offerer,” and “proposer” are considered to have the same meaning and shall refer to the person/entity submitting a proposal.

1.2 About Dodge County

Dodge County, founded in 1836, is located in southeastern Wisconsin. According to the 2013 Census Estimate, the population was 88,875 residing in 24 townships, 11 villages and 9 cities. Dodge County contains 47,819 real estate parcels and has a total land area of 582,400 acres, or 882 square miles, including 13,440 acres of open water. Dodge County has 31 Departments, 1100 employees, and 4,892 active vendors.

1.3 Objectives

Dodge County is interested in taking advantage of technological advances to improve banking service, cash management, and customer service, while conserving employee resources devoted to banking. In doing so, the County seeks to address several challenges in the current environment, including but not limited to:

Reliance on manual and paper-based process;

The ability to utilize Positive Pay and Direct Billing;

Ability to integrate with the County’s Financial systems.

In order to address these challenges and others, the County has initiated the solicitation of proposals to consider for our Banking Services. Section 2.0, Scope, outlines the features and functionality desired in a future Banking Services engagement as well as the minimal required banking qualifications.

1.4 RFP Schedule of Events

The following RFP Schedule of Events represents the best estimate of the schedule the County will follow. The County has performed extensive planning work and has planned to meet the dates described below. Responders are encouraged to hold the interview dates listed. The County has an aggressive schedule for implementation and will need to stay on the schedule of dates listed below in order to meet its implementation goals. If a component of the schedule is delayed, it shall be anticipated that the remaining components will also be delayed by a similar number of days. Any significant change to the schedule will be published via RFP Addendum. Dodge County reserves the absolute and unconditional right to make reasonable changes to the schedule as needed as determined by Dodge County in its sole discretion.

Table 01: RFP Schedule of Events

Event Date

Request for Proposals Published August 9, 2017

Deadline for Questions From Vendors August 28, 2017 at 1:00 PM

Central

Final Addendum for Questions Published September 1, 2017 at 4:30 PM

Central

Deadline for Proposal Submissions September 5, 2017 at 4:30 PM

Central

Vendor Interviews (at our option) September 18 to 22, 2017

Finance Committee Approval October 10, 2017

1.5 No Obligation

The inquiry made through this RFP implies no obligation on the part of Dodge County.

1.6 Pre-Qualification of Vendors

The County has not employed a pre-qualification process. No vendors are either pre-qualified or precluded from responding to this RFP.

1.7 Minimum Qualifications

In order for proposals to be evaluated and considered for award, proposals must be deemed responsive.

To be deemed responsive, the submitted proposal documents shall conform in all material respects to the requirements stated by the RFP, and, proposers shall document and validate the capability to fully perform all requirements defined by the RFP. In order to qualify as a provider and to maintain the depository agreement in good standing, the depository bank must:

1. Be a qualified public depository as prescribed by Wisconsin State Statutes 34.01(5) and 34.09.

Institutions must meet or exceed the requirements outlined therein.

2. Be a full service financial institution capable of providing at a minimum the required banking and investment services identified in this Request for Proposal.

3. Be insured by the Federal Deposit Insurance Corporation (FDIC) or the National Credit Union Share Insurance Fund (NCUSIF).

4. Agree to assign experienced and dedicated staff that is committed to and capable of serving Dodge County’s accounts. The expectation is to have an assigned ‘Relationship Manager” and associated supporting staff who are the contacts for the County throughout its engagement.

5. Exceed all minimum regulatory capital requirements to be “well capitalized”.

6. Fully collateralize all County deposits exceeding FDIC or NCUSIF insurance limits. Collateral should be in the form of a perfected security interest in pledged securities meeting Dodge County’s investment policy requirements and consistent with State and Federal laws and regulations. The proposer shall produce evidence of collateralization annually as of December 31 and / or at the request of the County Treasurer.

Factors to be considered include, and may not be limited to: experience, integrity, reliability, capacity and other factors required to provide the services defined by the RFP. The determination of whether a proposal is responsive shall be at the sole and absolute discretion of Dodge County.

1.8 Partnerships

It is recognized that partnerships can exist between institutions to provide services to its customer base.

Proposers engaged in a partnership relationship shall clearly define those partnership relationships. Such definition shall identify the entity in the partnership relationship deemed the Primary financial institution. It is expected that any item in the proposal response guidelines that relates to an individual financial institution’s capabilities shall be responded to for each business in the partnership relationship.

1.9 Incurred Expenses

Neither Dodge County nor any of its offices or employees shall be responsible for any cost incurred by a proposer in preparing and/or submitting a proposal or participating in presentations as part of the evaluation procedure.

1.10 Questions and Inquiries

Dodge County Treasurer’s Office will be the sole point of contact for the purposes of this RFP. The following table provides the primary contact information.

Table 02: Point of Contact

Point of Contact

Patti Hilker philker@co.dodge.wi.us

Questions and inquiries related to this procurement are to be submitted in writing via email and directed to Patti Hilker using the contact information in Table 02 above.

All questions and inquiries related to this RFP must reference the RFP or attachment page number and section. Questions shall be concise and numbered. In accordance with the RFP Schedule of Events in Section 1.4, all questions must be received in writing no later than Monday, August 28, 2017 at 1:00 PM Central Time. Questions and answers will be publicly published to the County’s website in accordance with Section 1.12, Amendments and Addenda. Only questions and answers publicly published through addendum shall be binding. Proposers shall not contact any County staff with any questions or inquiries.

Unauthorized contact with any personnel of the County may be cause for rejection of the proposer’s response. The decision to reject a proposal is solely that of the County.

1.11 Clarification and Discussion of Proposals

The County may request clarifications and conduct discussions with any proposer who submits a proposal. Proposers must be available for an interview with the County on specific dates if selected for an interview.

1.12 Amendments and Addenda

All clarifications and RFP revisions will be documented in an addendum and publicly published to the County’s website, http://co.dodge.wi.gov. The County will attempt to publicly publish periodic addenda on a timely basis between the RFP publishing date and the date of the final addendum on Friday, September 1, 2017 by 4:30pm.

Only questions and answers documented in an addendum shall be binding.

The County reserves the right to revise the RFP prior to the deadline for proposal submissions on Tuesday, September 5, 2017 by 4:30pm. Revisions shall be documented in an addendum and publicly published to the County’s website.

2.0 Project Scope

2.1 Account Description

Please reference Attachment A for a summary of anticipated volume levels on Dodge County’s accounts.

Dodge County maintains numerous checking accounts with a total average collected balance of $1,500,000. The main account is attached to a sweep, and accounts for $1,000,000 of this total.

Dodge County does not guarantee the activity levels as indicated in this proposal will continue at the same level during the contract period. Where activity levels are given, the banking institution, by its proposal, guarantees the unit price over the contract term.

2.2 Required Services

This list is in no certain order of importance.

1. Sweep Accounts

Dodge County requires an automated service that allows daily sweep to accommodate balances in the accounts. Please describe your capability.

Describe your policy and processes

Describe how you handle a compensating balance

2. Deposit Processing:

List the nearest branch location to Dodge County. Include hours of operation and deposit cut-off times.

Describe your recommended deposit method (merchant window, night drop, remote electronic deposit, etc).

Do you offer deposit pick-up at Dodge County location?

Describe the institution’s procedures for requesting change / currency orders.

Include information on the institution’s processing of returned / recleared items in this section.

Attach a copy of the bank’s availability schedule.

Do you offer on-line bank statements? How soon after month-end are they available – next day?

3. Account Reconcilement:

Dodge County currently receives an electronic listing of cleared checks on their accounts payables account. Describe the bank’s ability to provide these services, including the method and format of issue file input and report / file output.

Describe the bank’s check truncation services, on-line image access capabilities and any estimated costs if used.

Describe levels of reconciliation service (partial, full, deposit)

Options for receiving clean ARP (without adjustment records)

Please provide sample reports.

Please describe your full, partial, deposit and serial sort reconciliation services, including:

File transmission deadlines File layout requirements Imaging capabilities and availability Reporting capabilities – (e.g. paper, electronic)

System requirements for interface

4. Wire Transfer Services:

Describe your Wire Transfer service. Please include your policy on daylight overdrafts, including aggregation of accounts and wire deadlines.

What is the ability of Dodge County to initiate and monitor wire transfers online.

Ability to create and store recurring/repetitive wire instructions/templates.

Ability to create and store future-dated wire instructions.

Security measures for wire initiation and approval

Are you a member of the Federal Reserve Bank wire system? If not, who is your correspondent financial institution?

Describe your incoming and outgoing wire transfer services. Include safeguards, security measures, and notification options offered. Internet initiation is preferred.

Can wire transfers be made the same day that checks are deposited?

We require the following – please provide the ability to accommodate:

Same day before 2:00 PM CST Sign off of a wire by 2 people

5. ACH Services:

Please describe your services, including:

Method by which Dodge County can submit ACH files or initiate ACH via bank software

Describe process of automation through the County’s ERP system (Tyler Munis) ACH Positive Pay Pre-notification policy Re-presentment of checks (RCK) through ACH on a targeted date Security measures for ACH initiation/origination and ACH reception (ACH filters and blocks) Incoming ACH Services Outgoing ACH Services

Direct Deposit for Vendors

6. Availability of Funds:

Are your availability policies differ from Federal Reserve Bank availability schedule

Provide the bank’s policy on receiving same day credit for deposits. Provide stand on same day credit for US obligation security maturities and coupon flow, on-us checks, and wires.

Provide the bank’s stand on expedited availability. Does the bank offer this.

7. The bank’s dispute resolution process:

Please describe your process for:

Positive Pay Paper checks Payments and Deposits Others

8. Collection and Deposit Services

Please describe your service, including:

Cutoff times and requirements by location (vault, teller, bank center, branch)

Bank policy on strapped/rolled and pricing basis

Credit advice processing (online or mailed)

Discrepancy and write off policies

Stop payment policies

Type of deposit bag used/required

Change order processing

Standard return and re-clear processing

Deposit locations

Deposit reconciliation services availability Daily deposit confirmation

9. Cash Transportation

Pick-up schedule options

Options for itinerary changes or special pick-ups

Insurance in delivery

Time expectation of deposit transaction

Options for missed pickups or special pickups

10. Remote Deposit Services including Check Truncation and Check Conversion

Scanning equipment, software, transfer procedures, batching, and security.

The bank providing check scanners at no cost to the County.

Portal entry or stand-alone service.

Deadlines for same day credit of deposits Options for missed deadlines Document retention policy for checks converted to ACH or processed via remote deposit capture and online availability Liability for fraudulent deposit items.

11. Collateralization of Deposits

Please confirm agreement to the Dodge County’s conditions (Cannot reduce amounts held in collateral without Dodge County’s approval).

Please provide name of custodian to be used.

Please provide information on any pooled services being utilized.

12. Online Banking Services

Will there be software installation required.

Dodge County is implementing Tyler Technologies Munis system. Has your institution ever interfaced with the system.

When reports are available and how are they made available (e.g., online).

How long report images are maintained online.

What are the images (e.g., front and back of all checks)

The County will also need the ability to make electronic transfers between their accounts.

Please describe the method used to make intra-bank transfers.

How will training be provided for on-line services. When would the training be provided.

Please provide a detailed description of your online services and a list of all capabilities, including your ability to provide the following basic services:

Reporting:

Daily balance reporting – summary Daily balance reporting – detail (with check detail and images) Daily ACH and wire with full addenda information Current day reporting Intra-day reporting (real time or delayed), optional All reports can be converted to Excel.

Execution of Transactions:

Transfers between accounts Initiation of wire transfers Initiation of stop payment orders Positive pay actions including time requirements Initiation of ACH transactions; recurring/repetitive/future ACH debit (collection) or credit (direct deposit) transactions Maintenance of wire transfer templates Stale-dating of checks Other services such as EDI, remote collection, controlled disbursement Confirmations availability and format ACH Positive Pay

Internal Controls:

Online cleared check information/images Multi-level security administration requirements (self-administration preferred) Positive pay reports (including imaging of exception items).

Training of Dodge County’s system administrator for managing access.

13. Electronic Storage of Documents

Provide information on electronic document storage options (e.g., online and retention periods)

14. Overdraft Processing

Notwithstanding the Sweep services (#1 on the Required Services list ), please describe your service, including:

Whether accounts are aggregated for calculation/fee purposes

Rate basis for overdrafts

Rate basis and definition of “daylight overdrafts”

15. Positive Pay or “Payee” Positive Pay Service

Please provide sample reports.

Positive pay services and verification items Teller data update schedules Data transmission methods and time windows Control options – notification default Internet/online access (including technical capabilities and system requirements)

16. Stop Payment Services

Online stop payment services (initiation and renewal) Confirmation requirements

17. Collected Balances

Describe your vehicle recommendation for paying for bank service charges and / or interest earning balances.

At a minimum, include earnings credit rates, interest bearing checking, sweep, and money market.

Include the historical average monthly rates for the past six (6) months for each of the options.

18. Pricing Matrix

Please fill out Attachment A completely, providing the proposed pricing for services.

Include the method by which fees are collected, and if you propose an earnings credit rate (ECR). If an ECR is proposed, please include the rates for the past six (6) months.

The County currently pays for its fees using a compensating balance.

2.3 Optional Requirements

1. Lockbox (Wholesale and Retail)

Deadline and format of data transmissions

Current lockbox address and location requirement

Breakdown on wholesale versus retail processing

Locations of processing centers

Handling of unprocessable items or return items

How processing errors are resolved and expected timeframes for resolution

Remittance document layout requirements

Timing requirements

Transmission requirements (bank to Dodge County and Dodge County to bank)

Treatment of exception (non-standard, unprocessable, walk-in) items

Imaging capabilities

Conversion of consumer checks to ACH payments

Disposition of documents (including imaging capabilities and truncation)

2. Account Analysis

Availability online

Frequency – daily, weekly, monthly

Conversion to Excel

3. Payment Card Services

A description of the process Rate and fee structure with breakdown of all fees (bank and association) Time period that pricing is guaranteed for and how customers are notified of a price change.

Type of point-of-sale terminals required and the cost or lease options per terminal (or the cost to reprogram Dodge County’s existing terminals).

Software that is provided and the support and training that are available Charges for multiple merchant accounts Reporting and availability of reports Clearing time lag between deposit and posting Security features – including account number encryption and purging policy Payment Card Industry (PCI) data security standard compliance and liability Chargeback policy (including the bank’s role in this process).

Customer service procedures Wireless service availability Type of processor (e.g., front-end, back-end)

Availability of service

Bank’s experience

Online initiation and update requirements

Dormancy

Multi-lingual services and customer support

Service charges to users

Turnaround time for issuing new cards

4. Purchasing Card Services

Online card management processes: new card issuance, deletion, replacing, modifying, etc.

Settlement terms/billing cycle options Payment options

Card control and usage restriction options Information reporting capabilities – paper vs. electronic Technical capabilities – Internet Security features – including account number encryption policy System requirements References Interface options with internal financial systems, specify interface requirements Fraud policy Rebates for purchases Virtual card options, including one-time-use card payments

5. Credit Cards

Please provide information and pricing on your recommended service.

Do you offer this service in-house, or would the County be dealing with a third-party

2.4 Content of the Response

1. Banking Services Objectives: This section should include overall services objectives.

2. Service Deliverables: This section should contain all services deliverables. Include a list of deliverables and milestones of the service move, and with each deliverable or milestone, this section should describe exactly how and what will be provided to meet the needs of the County.

3. Implementation Schedule: This section should identify the dates associated with deliverables and milestones. In addition, the Implementation Schedule should reflect project predecessors, successors and dependencies. The County requires the Proposer to develop and maintain the project schedule and resource plan.

4. Financial institution and Staff Profile:

a. Experience: Describe your institution’s overall experience, as well as experience in providing services to the public sector. Provide three (3) references most comparable to our size and financial needs that we may contact. With the references, please include a brief description of the services provided and contact information for each client described. If your financial institution is rated by Moody’s and Poor’s, or another third party rating service, please provide the rating and by who.

b. Relationship Manager: Describe the relationship team that will be assigned to service our relationship. Describe individual roles, their responsibilities and briefly detail credentials and related banking experience.

c. Compliance and Exceptions: Include a statement to confirm your institution’s compliance to our minimum qualifications. If you cannot meet a requirement, or recommend a different service than requested, please list any exceptions.

3.0 Proposal Evaluation and Award

3.1 Evaluation Process

The County’s Evaluation Committee will initially review and evaluate each proposal received to determine the proposer’s ability to meet the requirements of the County. The evaluation criteria described in Section

3.2 will be the basis for evaluation and such criteria shall be evaluated at the county’s sole discretion.

The Evaluation Committee will determine the proposers best suited to meet the needs of the County based on the scoring of the evaluation criteria. These proposers will form the Proposer Short List.

The County, at its sole discretion, reserves the right to have interviews with those proposers on the Proposer Short List, or any other financial institution. Interviews will be conducted at County offices. Time limitations and requirements will be provided with the notification. The County expects the proposed Relationship Manager to participate in the interview onsite. Each Evaluation Committee member will score the interview.

Interviews will be assigned a portion of the overall score. The County may elect, at its sole option, not to conduct interviews with respondents.

The County may request additional information or clarification of proposals and hereby reserves the right to select the particular response to this RFP that it believes will best serve its business and operational requirements, considering the evaluation criteria set forth above.

3.2 Evaluation Criteria

The evaluation criteria in the following table are intended to be the basis by which each proposal will be evaluated, measured, and ranked. The County hereby reserves the right to evaluate, at its sole discretion, the extent to which each proposal received compares to the stated criteria. The recommendation of the Evaluation Committee shall be based on the evaluations using the criteria.

Table 03: Evaluation Criteria

Criteria Description Maximum

Score

Strength and

Stability

This criterion considers the bank’s financial standing amongst its peers and the associated credit quality ratings

20 points

Comprehensiveness of Service Provided

This criterion considers the overall capabilities of the bank to meet the service levels described in this RFP.

20 points

Assigned

Relationship

Manager or Team

This criterion considers the credentials and experience of the person(s) assigned to our relationship.

20 points

Charges for

Services*

This criterion considers the proposed charges and interest rates on balances, or the compensating balance required and the services it will cover.

20 points

Service

Enhancements

This criterion considers the bank’s efforts to understand Dodge

County’s banking needs and goals, and the creativity the bank shows in introducing new technologies and efficiencies to improve our current practices and procedures.

10 points

Public Sector

Experience and

Resources

This criterion considers the bank’s experience in providing service to the public sector, as well as dedicated resources and personnel.

5 points

Other Factors /

References

This criterion considers any other factors (including references) that would be in the best interest of the County to consider which were not specifically described above.

5 points

*This criterion considers the price of the services solicited by this RFP. Proposers will be evaluated on their pricing scheme as well as on their price in comparison to the other proposers.

3.3 Best and Final Offer

A Best-and-Final-Offer process may be initiated if it is determined to be in the best interest in the County.

Additional processes of scope and cost clarification may be employed as part of the evaluation process.

4.0 Submittal Response Format

4.1 General Instructions

The following instructions must be followed by proposers submitting proposals:

1. The deadline for proposal submissions is established in Section 1.0, RFP Introduction and Background. The proposal deadline is Tuesday, September 5, 2017 at 4:30 PM Central Time.

Proposals received after this deadline will not be accepted.

2. Proposers shall submit six (6) hard copies of the Proposal to the County at the address contained in Table 04. One (1) hard copy of the Proposal should be clearly marked as “Original,” and the remaining copies should be clearly marked “copy.”

3. Proposers shall submit one (1) electronic version of the Proposal on a USB Flash drive to the County along with hard copy proposals.

4. Mailed proposals shall be clearly labeled on the outside of the packaging with the RFP Title.

5. The mailing address for proposals is contained in the following table.

Table 04: Proposal Mailing Addresses

County Mailing Address

Dodge County Treasurer’s

Office

Attn: Patti Hilker

127 East Oak Street

Juneau, WI 53039

6. The following table contains the organization guidelines for proposal responses.

Table 05: Proposal Organization Guidelines

Proposal

Tab No.

Proposal Section RFP

Sec. No.

Tab 1 Transmittal Letter and Executive Summary 4.2

Tab 2 Approach and Banking Services Solution 4.3

Tab 3 Implementation Methodology 4.4

Tab 4 Company Background and History 4.5

Tab 5 Contract Samples 4.6

Tab 6 Account Analysis 4.7

Tab 7 Conversion Plan 4.8

Tab 8 Service Enhancements 4.9

Tab 9 References 4.10

Tab 10 Price Proposal 4.11

4.2 Transmittal Letter and Executive Summary

The first tab of the proposal should contain the Transmittal Letter and Executive Summary. The Transmittal Letter shall be signed by an authorized representative of the Banking Institution such as the owner, the President, Vice President, or other corporate officer(s).

The Transmittal Letter must provide the proposer’s primary contact information, including the following:

1. Name of the proposer representative;

2. Title;

3. Name of company;

4. Address;

5. Telephone number;

6. E-mail address; and

7. Signature of authorized officer of the firm.

The Transmittal Letter shall be printed on the proposer’s letterhead.

A signature on the Transmittal Letter hereby provides the Dodge County acknowledgement and acceptance of the “Conditions” and the execution of same during the discharge of any succeeding contract. It shall be clearly understood that by submitting a proposal in response to this solicitation, a proposer shall be deemed to have accepted all specifications, terms, and general conditions and requirements set forth in these specifications, terms, general conditions, and requirements unless otherwise clearly noted and explained in this RFP.

The Executive Summary should provide a brief summary of the proposal contents, emphasizing any unique aspects or strengths of the proposal. The Executive Summary may be incorporated as part of the Transmittal Letter.

4.3 Approach and Banking Services Solution

The second tab of the proposal should include a description of the proposed approach for providing the services described in Section 2.0, Scope of Work. Please provide a response in the order presented in the RFP, listing each section and number and responses. The narrative should be written for an audience of the end-user community. Descriptions should be included for any products proposed.

Marketing materials should not be submitted on the proposed services solution.

Proposers shall describe any assumptions made in proposals in detail. These should include any assumptions related to the current County banking practices, technical environment, staffing, approach, and County resources available during conversion.

4.4 Implementation Methodology

The third tab of the proposal should include a comprehensive description of the proposed implementation methodology. The description should include how the proposer has developed this methodology to both incorporate lessons learned from past experiences as well as to meet the needs described in Section 2.0, Project Scope.

As part of the third tab of the proposal, proposers shall include a proposed schedule.

Proposers should also include a sample Project Plan as part of the third tab.

4.5 Company Background and History

The fourth tab of the proposal should include a comprehensive narrative history of the firm, including the development of its experience in providing services similar to those described in Section 2.0, Scope of Work. The following points should be addressed in the third tab of the proposal.

1. Total number of employees;

2. Office locations;

3. Total number of active clients;

4. Total number of active Dodge County clients;

5. Total number of active Dodge County clients in Wisconsin

6. Total number of active County Dodge County clients;

7. Total number of active Wisconsin County Dodge County clients;

8. Total years offering banking services;

If a partnership with third-party companies is a part of a proposal, the company background and history shall be provided for all third-party companies. It is expected that all of the points above shall be addressed for each company involved in a proposal, prime or third-party.

4.6 Contract Samples

The Fifth tab of the proposal could include contracts or agreement samples for the banking services that are specific to the services represented in this RFP.

4.7 Account Analysis

The sixth tab of the proposal could include a sample of your account analysis statement.

4.8 Conversion Plan

The seventh tab of the proposal should include a conversion plan. Describe the overall plan to coordinate and ensure a smooth transition from the current provider. The institution must also provide training to all personnel at Dodge County for the operation and the use of the services and automated systems for all areas of service.

4.9 Service Enhancements

The eighth tab of the proposal should include the proposed service enhancements. Based upon information presented in the RFP and the responder’s knowledge of the public sector, describe any enhancements that Dodge County should consider to improve operational or cash management efficiencies. Describe any other information not previously mentioned that the bank believes should be given consideration.

4.10 References

The ninth tab of the proposal should identify the proposer’s references for the project. Proposers shall provide at least three (3) clients with whom the proposer has worked during the past three (3) years that are of similar size and complexity to the Dodge County. References shall be rated higher if they include Public Sector clients.

Proposers shall complete a Reference Form for each of the references as contained in Attachment B.

4.11 Price Proposal

The tenth tab of the proposal is the full price proposal. Proposers shall include all required services as well as any optional services as outlined in Section 2.0. Detail is very important.

5.0 Contract Terms and Conditions

5.1 Contract Type

Proposer may submit a sample contract for review by County. The resulting contract from this procurement shall be a fixed price contract. The initial contract price will be based upon prices submitted by the selected proposer, subject to contract negotiations with the County, and shall be firm for the total number of years required by the County in the RFP (“initial term”). Price adjustments may be negotiated at the request of either party for any renewal terms through amendment clause.

5.2 Contract Performance

If requested by the County, the proposer will meet with the County’s representative annually via phone call/email to review the performance required by the contract. This review may include, but not be limited to, a review of the pricing, delivery performance, customer service, and improving operational efficiencies.

This review shall occur within 14 days of the initial request.

5.3 Contract Amendments After Initial Term

Written requests for price changes for any renewal term of the contract after initial term firm price period must be submitted in writing to the County. Any increase will be based on the proposer’s actual cost increase only, as shown in written documentation. All requests for price increases must be in writing, and must contain data establishing or supporting the increase in cost. At the option of the County, (1) the request may be granted; (2) the contract may be cancelled and solicitation may be re-advertised; or (3) continue with the contract without change. The County will accept or reject all such written requests within thirty (30) days of the date of receipt of proposer’s request for price increase and receipt of proper written documentation, whichever is later. Any changes to the contract shall be reduced to writing, signed by the parties and implemented in accordance with the amendment clause contained in the contract.

5.4 Contract Approval

This RFP does not, by itself, obligate the County to award a contract. The County’s obligation will commence following the County’s approval of a contract. Upon written notice to the proposer, the County may set a different starting date for the contract. The County will not be responsible for any work done by the proposer, even work done in good faith, if it occurs prior to the contract start date set by the County.

5.5 Contract Dispute

In the event of contract dispute, dispute proceedings will be held in the State of Wisconsin. Mediation will be a mandatory first step in the event of a dispute, prior to any legal action. Any disputes that are not resolved shall be venued in Circuit Court located in Dodge County, Wisconsin. No other venue shall be allowed.

5.6 Confidential Information

Any written, printed, graphic, or electronic or magnetically recorded information furnished by the County for the proposer’s use are the sole property of the County. This proprietary information includes, but is not limited to, customer requirements, customer lists, marketing information, and information concerning County employees, products, services, prices, operations, security measures, and subsidiaries.

The proposer and its employees shall keep this confidential information in the strictest confidence, and will not disclose it by any means to any person except with County approval, and only to the extent necessary to perform the work under the agreement. This prohibition also applies to the proposer’s employees, agents, and subcontractors. On termination of the agreement, the proposer will promptly return any confidential information in its possession to the County.

5.7 County Property

The use of any and all County property must be approved in writing in advance.

5.8 Governing Law; Conflict of Interest

Proposer shall at all times observe and comply with all Federal, State and local laws, ordinances and regulations including all amendments and revisions thereto, which in any manner affect Proposer or the services and/or items to be provided, including but not limited to any laws relating to conflicts of interest.

Failure to comply with any applicable laws may result in: i) the forfeiture by Proposer of all benefits of the Contract; ii) the retainage by County of all services performed by Proposer and iii) the recovery by County of all consideration, or the value of all consideration, paid to Proposer pursuant to any awarded contract.

5.9 Offer Held Firm

Proposals must remain open and valid for at least 180 days from the deadline specified for submission of proposals. In the event award is not made within 180 days, the County will send a written request to all proposers deemed suitable for award asking proposers to hold their price firm for a longer specified period of time.

5.10 Amendment/Withdrawal of Proposals/Alternate Proposals

Proposers may amend or withdraw proposals prior to the deadline set for receipt of proposals. No amendments will be accepted after the deadline unless they are in response to a request of the County.

After the deadline, proposers may make a written request to withdraw proposals and provide evidence that a substantial mistake has been made. The County may permit withdrawal of the proposal upon verifying that a substantial mistake has been made. The County’s decision to allow or disallow withdrawal shall be final. Proposers may not submit alternate proposals for evaluation.

5.11 Right of Rejection

The County reserves the right to reject any proposal, in whole or in part. Proposals received from debarred or suspended proposers will be rejected. The County may reject any proposal that lacks the material and substantial terms, conditions, and performance requirements of this RFP. The County reserves the right to reject any proposal determined to be nonresponsive. The County also reserves the right to refrain from making an award if it determines it to be in its best interest.

5.12 Clarification of Proposals

In order to determine if a proposal is reasonably suitable for award, communications by the proposal Evaluation Team are permitted with any proposer to clarify uncertainties or eliminate confusion concerning the contents of a proposal and determine responsiveness to the RFP requirements.

Clarifications may not result in a material or substantive change to the proposal. The initial evaluation may be adjusted due to a clarification under this section.

5.13 Rights to Submitted Material and Public Information

It shall be understood that all proposals, responses, inquiries, or correspondence relating to or in reference to this RFP, and all reports, charts and proposal or referencing information submitted in response to this RFP, shall become the property of the County, and will not be returned. The County will use discretion with regard to disclosure of proprietary information contained in any response, but cannot guarantee information will not be made public. In accordance with Wisconsin’s Public Records Law, Dodge County, a county government entity may make records available for disclosure.

5.14 Contract Negotiation

After final evaluation, the County may negotiate with the firm of the highest-ranked proposal.

Negotiations, if held, will be within the scope of the RFP and limited to those items that would not have an effect on the ranking of proposals. If any proposer fails to negotiate in good faith, the County may terminate negotiations and negotiate with the firm submitting the next highest-ranked proposal. Contract negotiations, if any, will be held at the Dodge County Administration Building at a date and time to be determined. Proposers are responsible for all costs including its travel and per diem expenses.

If the selected proposer:

1. Fails to provide the information required to begin negotiations in a timely manner;

2. Fails to negotiate in good faith;

3. Indicates it cannot perform the contract within the budgeted funds available for the project; or,

4. If the proposer and the County, after a good-faith effort, cannot come to terms; then

The County may terminate negotiations with the proposer initially selected and commence negotiations with the next highest-ranked proposer. At any point in the negotiation process, the County may, at is sole discretion, terminate negotiations with any or all proposers.

5.15 Hold Harmless

The Proposer shall hold and save the County and its officers, employees and agents harmless from liability of any patented invention, process, article or appliance manufactured or used in the performance of the contract, including its use by the County.

Proposer further agrees that it shall hold Dodge County and its employees harmless and shall defend and indemnify Dodge County and its employees from any and all claims, causes of action, damages, expenses, costs, liabilities, demands and requests of any nature arising out of and/or relating to the Proposer’s submission of a bid and/or the subsequent performance of any work performed relating to the bid/contract and/or project to which this RFP and agreements relate. Proposer also agrees that this absolute duty to hold harmless, defend and indemnify Dodge County, its employees, agents shall also include, but shall not be limited to any and all claims or causes of action made by the Proposer and/or any third persons and/or entities and/or parties against Dodge County and/or its employees, for any injury, liability, loss, damage, fee, and/or expense of any nature whatsoever allegedly suffered and/or incurred arising out of and/or relating to the Proposer’s bid, this RFP, Proposer’s performance, these agreements and/or the underlying project allegedly caused by any error, act, omission, breach and/or negligence of the Proposer.

5.16 No Assignment or Subcontract

Proposer shall not assign any right or interest, nor delegate or subcontract any obligation owed under this RFP, proposal or subsequent agreement without the prior written consent of Dodge County.

5.17 Resultant Agreement

Selected Proposer, if any, shall be required to execute a contract which incorporates the terms of this RFP and other terms as determined by Dodge County in its sole and absolute discretion. A failure to execute such contract shall serve as a justifiable cause for rejecting/terminating any proposal at no cost, fee and/or liability to Dodge County.