item: request for proposal€¦ · the electronic format copy should be submitted on a separate usb...

ITEM: Request for Proposal

TITLE: Banking Services

DEPARTMENT: Montgomery County Treasurer’s Office

BID SUBMISSION: Montgomery County Treasurer

451 W. Third Street, 2nd Floor

Dayton, OH 45422-1375

DUE DATE: Friday, August 7, 2020

DUE TIME: 5:00 p.m., LOCAL TIME

CONTACT: Lynn Cooper, Chief Deputy Treasurer

FORM REQUIREMENTS X Form 1 – Disclosure Policy

Form 2 – Personal Property Taxes

X

X Form 3 – Anti-Collusion

SUBMISSION REQUIREMENTS:

FOUR (4) ORIGINAL HARD COPIES AND ONE (1) PDF on electronic media of the bid

documents that contain information on the item(s) that you are quoting, and all submittals

must be supplied, sealed in a single package. One copy of the bid document must be signed in

blue ink. Only include the specification pages which you have entered required information for

the item(s) that you are quoting on. Failure to provide required number of copies may be

cause to reject your bid.

2. All items noted by CHECK MARK above, MUST BE SUBMITTED with bid. Failure to

submit the REQUIRED Forms or Number of Copies MAY BE CAUSE for REJECTION of

your bid.

3. All bids MUST BE submitted by the TIME and DATE above. NO BIDS will be accepted

after the listed time.

4. IMPORTANT: Bids to be SEALED and endorsed on the OUTSIDE of the envelope with

the name of the Bidder and item bid upon.

5. Proposers Please Note: Montgomery County is an equal opportunity employer.

REQUEST FOR PROPOSAL

BANKING SERVICES

MONTGOMERY COUNTY, OHIO

Table of Contents

I. PROPOSAL SUBMISSION ..............................................................................................1

II. TENTATIVE SCHEDULE OF EVENTS* .....................................................................1

III. QUESTIONS / CONTACT INFORMATION ................................................................1

IV. COMPETITIVE SEALED PROPOSALS .......................................................................1

V. DESCRIPTION OF PROJECT........................................................................................2

A. Introduction ............................................................................................................2

B. Background ............................................................................................................3

C. Functionality ...........................................................................................................5

D. Account Types ........................................................................................................7

VI. SCOPE OF WORK............................................................................................................8

A. Specific Proposal Requirements ...........................................................................8

B. Disaster/Business Recover Plan ............................................................................9

VII. ERRORS AND OMMISSIONS IN PROPOS .................................................................9

VIII. TERM..................................................................................................................................9

IX. DISCLOSURE....................................................................................................................9

X. LATE PROPOSALS ..........................................................................................................9

XI. EVALUATION ................................................................................................................10

XII. SELECTION AND EXECUTION OF AGREEMENT................................................10

XIII. RFP QUESTIONS AND ANSWERS .............................................................................10

XIV. PROPOSAL SIGNATURE PAGE .................................................................................11

XV. FORM NO. 1 DISCLOSURE POLICY ...........................................................................1

XVI. FORM NO. 2 PERSONAL PROPERTY TAXES ..........................................................1

XVII. FORM NO. 3 ANTI-COLLUSION ..................................................................................1

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I. PROPOSAL SUBMISSION

Proposals must be received by 5:00 p.m. on Friday, August 7, 2020. Any proposal received after

this day and time will not be considered. The address for the submission of the proposals is:

Montgomery County Treasurer’s Office

Attn: Lynn Cooper, Chief Deputy Treasurer

451 West Third Street, 2nd Floor

Dayton, OH 45422

Please send Four (4) originals and (1) electronic copy of the response to the request for proposal.

The electronic format copy should be submitted on a separate USB portable flash memory drive

in Adobe Acrobat portable document format (PDF). Do not password protect or otherwise

encrypt electronic proposal copies. Electronic copies must contain an identical proposal to the

Original. The flash drive must also contain a clearly marked redacted version of the proposal.

The proposal may be mailed or delivered in person during normal business hours, which are 8:00

a.m. to 5:00 p.m. Monday through Friday. No faxed or emailed proposals will be accepted. All

proposals must be signed and will become property of the County.

II. TENTATIVE SCHEDULE OF EVENTS*

RFP Released Friday, July 17, 2020

Deadline for Submitting Questions to RFP Monday, July 27, 2020 @ noon

Bid Closing Friday, August 7, 2020 @ 5 p.m.

Date of Award Wednesday, August 12, 2020

Deadline to Sign Agreement Friday, August 21, 2020

Agreement Period Begins Tuesday, September 1, 2020

*The County reserves the right to amend the above schedule of events as needed.

III. QUESTIONS / CONTACT INFORMATION

Deadline for questions is Monday, July 27, 2020 @ noon

Questions concerning this request for proposal must be delivered in writing via email to:

Lynn Cooper, Chief Deputy Treasurer

[email protected]

IV. COMPETITIVE SEALED PROPOSALS

Proposers must complete and return the entire Request for Competitive Proposal package. Once

all proposals have been received, opened, and recorded, the Treasurer shall evaluate and select

Proposers to provide the required services based on the completed proposal responses. The

Treasurer shall be the sole judge in determining how the evaluation process shall be conducted

mailto:[email protected]

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and what contractor shall be considered for award as deemed to be in the best interest of the

County.

The Treasurer may conduct such investigations, as the Treasurer considers necessary to assist in

the evaluation of any proposal to establish the responsibility, qualifications and financial ability

of any potential contractor to perform the services specified in the request for proposal. The

Treasurer shall determine whether the contractor’s proposal with the highest ranking can be

accepted as is without negotiations. In the event the Treasurer determines that negotiation of the

contractor’s proposal is necessary, the contractor shall be notified, and the negotiation process

will begin. Should the Treasurer be unable to negotiate an acceptable agreement with the highest

ranked contractor, then negotiations will begin with the second highest ranked contractor. This

process shall continue until a satisfactory contract is negotiated or until all negotiations with

qualified ranked contractors is exhausted. The Treasurer shall be the sole judge in determining,

either prior to or after negotiations, when a proposal is deemed acceptable. Further, the Treasurer

shall be the sole judge in determining when negotiations are to be concluded. The Treasurer also

reserves the right not to enter into a contract.

Pursuant to Ohio Revised Code 307.862, the Montgomery County Treasurer reserves the right to

reject any proposal in which the provider takes exception to the terms and conditions of the

request for proposals; fails to meet the terms and conditions of the request for proposal, including

but not limited to, the standards, specifications, and requirements specified in the request for

proposals; or submits prices that the contracting authority considers to be excessive, compared to

existing market conditions, or determines exceed the available funds of the contracting authority.

The Montgomery County Treasurer reserves the right to reject, in whole or in part, any proposal

that the Treasurer has determined, using the factors and criteria developed, would not be in the

best interest of the County. The Montgomery County Treasurer may conduct discussions with

providers who submit proposals for the purpose of clarifications or corrections regarding a

proposal to ensure full understanding of, and responsiveness to, the requirements specified in the

request for proposal.

V. DESCRIPTION OF PROJECT

A. Introduction

Russell M. Joseph, Treasurer of Montgomery County, Ohio is soliciting Requests for Proposals

(RFP) for depository and banking services for Montgomery County, Ohio from one eligible

financial institution that can offer the comprehensive services, competitive price, and quality of

transition of services. Services provided will be in accordance with the specifications outlined in this

Request for Proposal. The term of contract is for one (1) year only.

EXCLUDED from this invitation are: Merchant Services

Institutional Custody

Investment Advisor

Purchasing Cards

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B. Background

1. The Montgomery County Treasurer is responsible for the collection, custody and

disbursement of the County's cash assets.

2. Montgomery County's depository relationships are governed by provisions of the Ohio

Revised Code and relevant sections of the Uniform Depository Act.

3. The County’s daily deposit is comprised of digital (ACH and Image Deposit), physical

checks, and cash. The Montgomery County Treasurer uses an internal decision engine to

determine which scanned items are sent via ACH and image deposit and sends, daily, two

files via FTP (Image deposit) and web upload (ACH). Same day credit is posted on ACH

and Image Deposits. The deposits are deposited daily via armored car service. The deposit

is picked up at 3:00 PM and delivered to the depository. Available funds will be

determined on the following schedule:

a. Items on the depository bank - Same day

b. Items on local institutions - Next day

c. Other items - Federal Reserve Availability Schedule

The deposit and credit items per our Customer Analyses dated 6/1/2019 to 5/31/2020 are as

follows:

Treasurer Water Services Total

Checks 111,390 0 111,390

Wires 51 0 51,

ACH 333,020 2,318 335,338

Cash per $100 139,035 0 139,0358

Image Deposits 56,091 0 56,091

Bill Consolidator

ELBX Receipts 24,281 50,049 74,330

E-Lockbox 96,576 95,576

The payments and debit items per our Customer Analyses dated 6/1/2019 to 5/31/2020 are

as follows:

Treasurer Water Services Total

Outgoing Checks 63,905 0 63,905

Outgoing ACH 136,635 0 136,635

The Montgomery County Water Services Department on Spalding Road prepares a daily

cash deposit, typically $3,000.00, using separate deposit tickets and bags. This deposit is

sent to the depository on the same day as the Treasurer's deposit, into the same account as

the Treasurer, but shown as a separate credit in the detail of account activity. Montgomery

County Water Services Department located on the first floor of the County Administration

Building also prepares a daily cash deposit using a separate deposit ticket, but delivering it

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to the Treasurer’s Office on the 2nd floor of the County Administration Building, where it is

added to the County Treasurers deposit, which is picked up by armored car service.

4. If a deposit error occurs or a deposit correction is necessary, the County will make the

adjustment when the bank provides written documentation to the County. (This

documentation may be a facsimile). This adjustment should be for any amount.

5. ACH return items (NSF, Closed Accounts) are debited from the primary (or main)

depository account.

6. Paper checks and image deposits are presented twice before being returned. These returned

items appear as a debit to an account established for this purpose. A copy of each item is

sent to the Treasurer’s office by fax. Payment to the bank is made via ACH. The bank

does not directly debit the Treasurer’s account.

7. Collected balances remaining in the main depository account on a daily basis are swept into

overnight investment vehicle that is collateralized according to the provisions of Chapter

135 of the Ohio Revised Code. The average daily collected balance can be approximately

$3,000,000.00, and during peak collection periods may exceed $50,000,000.00.

8. The County operates a warrant (payable-through-drafts) disbursement system. Warrants

issued by the County Auditor are routed to the depository designated by the Treasurer as the

warrant-clearing bank. The Auditor’s office also transmits files directly to the bank for

direct deposit vendor payments by ACH. Currently, the Treasurer uses a controlled

disbursement account at the depository, with payment being made same day by an internal

(ACH) transfer with the Treasurer initiating payment by a secure Internet connection to the

depository. Funds are transferred from the County's main depository account to a separate

checking account for warrants.

9. Currently, the Treasurer has available by a secure Internet service, a report with first,

second, and final controlled disbursement Federal Reserve presentment totals. This number

is used in estimating the cash position for the day. At 10:00 a.m. ET, a detail report is

available with individual item number and individual dollar amount listed in order by

descending dollar amount. These items are paid for that same day by internal transfer via

ACH.

10. For reconciling purposes, the Treasurer uses a positive pay process. This process entails a

daily reconcilement of an issuer’s checks to checks presented for payment to the issuer’s

bank to identify potentially fraudulent checks. Every evening, the County Auditor’s Office

transmits an ASCII flat file of all the warrants issued and voided for that day. The file

includes the warrants the County Auditor produces (payroll and accounts payable) along

with all third-party benefit administrators’ checks issued on the County Auditor’s behalf.

Currently, the County Auditor’s Office transmits a file containing bank account number,

date, check number and dollar amount using internet transfers on the bank website. In

return, the bank makes available to the Treasurer via the bank website all the paid items for

each day on a controlled disbursement report that is used for the bank reconciliation. The

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bank makes available an electronic file of checks cleared each evening and the County

“grabs” the file from the bank site on a daily basis. The Treasurer also has access to images

of warrants on the bank website prior to payment by internal ACH. Each morning, the

County’s Data Processing Department downloads images of the checks cleared the previous

day. The file imported contains an index and check images that can be put into the County’s

Onbase imaging system. These images are then made available to Auditor’s and Treasurer’s

staff through the County’s Financial System accounting software package. The Financial

System is an Oracle-based product used by the various departments within Montgomery

County.

11. The Treasurer periodically debits bank accounts of individuals for real estate tax collections.

Taxpayers may pay monthly or semi-annually. Currently the Treasurer produces an

electronic file transferred via internet to the bank website for debit to those individual

accounts. The County's main depository account is credited via an ACH transfer on the

effective date. Currently there are about 7,600.00 direct debit customers monthly and about

2,100 semi-annually.

12. The Treasurer receives funds into the depository account via electronic funds transfer

(ACH) from the State of Ohio and the U.S. Government on a recurring basis as well as other

sources periodically. These ACH credits are to be considered available funds on a same-day

basis (the day credited to the Treasurer's account). In 2019 there were over 1500 receipts

totaling almost $360 million. The Treasurer currently has same day ACH debit and credit

information and EDI Detail Reports with originator information available at 8:00 a.m. ET

through the secure internet bank connection.

13. A written wire transfer agreement between the County and the depository will be executed.

Currently the Treasurer is using an automated wire transfer system which allows wire

transfers to be initiated over a secure Internet connection to wire funds to the County’s

custodian bank for investment purposes and wired to the County’s trustee banks for debt

service payments. This system has the capability to process repetitive wires and requires an

initiator and approver.

14. The Treasurer currently has access to bank balance information through a secure Internet

connection. The depository transmits account balance reports by 7:30 a.m. ET each

business day. The reports are to include ledger balance, collected balance, one-day float,

two-day float, amount in overnight sweep, a detail report listing individual credits and

individual debits, EDI Reports, overnight investment, and reports of wire transfer activity.

C. Functionality

The successful offeror will provide banking services to the Montgomery County Treasurer

consistent with the provisions of the Ohio Revised Code and the specifications identified above.

Those services will include the following:

1. Processing the Treasurer's daily deposit

a. What is your bank’s deposit deadline in order to receive same-day credit?

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b. If your bank has different vaults for cash and checks, will the Treasurer still get

credit the same day?

c. Will your bank accept ACH and Image Deposit files sourced from the County’s

internal decision engine via web or ftp exchange?

i. What is your bank’s process?

2. Serving as the clearing bank for County warrants

a. What is your bank’s positive pay process and imaging capability?

3. Providing on-line wire transfer services

a. What is your bank’s deadline for having funds in account for same-day wire?

b. Do you have an automated wire transfer system?

c. Can future-dated wires be processed?

4. Providing daily automatic repurchase agreement, or similar investment, of collected

balances

a. Is a daily report available with a description of collateral for that investment?

5. Providing on-line services through a secure Internet-based system including balance

reporting, transactions, stop-pay, EDI reporting

a. What is earliest time of day reports are available?

b. Does your bank have the capability for customer administration of who is allowed

access to account information/transactions? Example: can departments access

information about their account activity?

6. Serving as the originating institution for ACH transactions

a. What is your bank’s deadline for receiving transmissions for next day’s effective

date or is a two-day notice required?

7. Providing capability for Treasurer and Auditor to originate ACH debits and credits

through a secure Internet-based system

a. What are your bank’s deadlines for receiving instructions?

b. Are there any dollar limits? During periods of tax collection, the Auditor

distributes funds to subdivisions – can be in excess of $100,000,000.00.

8. E-Lock Box Services previously known as Bill Consolidator Payment Services

a. How (i.e. format and content limits) does your bank report the information

regarding payments received?

9. Supplying printed checks and deposit slips for Treasurer’s account, ordered in

amounts of 300 checks and 200 pads of deposit slips

a. What is turnaround time on orders?

b. What is the unit cost?

c. Can you accommodate different names for the same account (i.e. Treasurer,

Sanitary, etc.) on deposit slips?

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10. Providing monthly statements

a. Can you report on account activity within two (2) business days of the month

end?

b. Are these statements available on-line?

11. Providing routine operational services

a. Do you offer bulk cash processing, handling returned checks and processing

change orders and stop payments?

12. Special services

a. Can you accommodate special requests for cash for Sheriff’s office to use in their

special operations?

13. Daily Reporting to the Ohio Pooled Collateral System

14. Payroll Services

a. Currently the Montgomery County Auditor’s Office has direct deposit payroll

services for two accounts. ACH files are uploaded on a weekly basis using the banks

secure website. Can these files be transmitted by secure FTP?

15. Optional Services

a. If there are any additional cash management products your financial institution

offers that you propose the Treasurer use, include them as an optional service in your

response to this Request for Proposal.

EXAMPLE: Mobile bill payment. Does your financial institution allow

mobile bill payment, or mobile app authoring?

D. Account Types

The Treasurer intends to establish the following bank accounts:

1. Depository account

2. Controlled disbursement account, zero balance type

3. Vendor ACH disbursement account, zero balance type

4. Account for distribution of funds to other counties by ACH, zero balance type

5. Thirteen (13) credit card collection accounts, zero balance type

6. Two (2) EFT/electronic payments accounts, zero balance type

7. E-Lock box services (previously known as Bill Consolidator Payment Account), zero

balance type

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8. NSF account to facilitate payment of return items, zero balance type

9. Premium savings account (savings account paying higher than Fed Funds)

10. Collateralized sweep account (sweep balance in main account overnight)

11. Several accounts for Environmental Services which provides services such as Lockbox, Bill

Consolidator, Bank Drafts and receipt of electronic payments (Environmental Services Tab

on Analysis of Activity)

VI. SCOPE OF WORK

A. Specific Proposal Requirements

The offeror's banking services proposal MUST contain the following:

1. Information as to the offeror's background and experience regarding the performance of the

requested services. Provide a list of client references, both public and private;

2. Resumes indicating qualifications of the person(s) to be assigned as the financial institution's

primary contact and cash management representative indicating as a minimum their position

in the institution, total years and types of experience;

3. A statement indicating the method for determining the rate of interest on overnight sweep

accounts; and shall include what that monthly rate was for the twelve (12) month period

beginning September 2019 and ending August 2020.

4. A statement indicating the location of the financial institution's processing center for all

deposit and warrant activity.

5. On-line reporting system as shown in our analysis of activity. (see Online Services)

6. Availability and commitment of implementing new technologies.

All RFPs must include a completed schedule of fees for services listed in Appendix A, the Analysis

of Activity. Only the charges listed in the submitted schedule of fees will be acceptable in the

monthly account analysis. Once selected as the depository and banking services provider for the

Montgomery County Treasurer, no additional or increased fees for services in the fee schedule may

be charged to the Treasurer during the contract period. An account analysis must be forwarded to

the Treasurer each month for review. Upon review and any necessary corrections, the Treasurer

will authorize a warrant for payment of fees.

Offerors should also list fees for any other costs for which they expect compensation.

Services may be modified by mutual agreement. It is expected that the range of services described

in this RFP will be used for the length of the contract; however, the Treasurer may discontinue any

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service after sixty (60) days written notification to the depository. Services may also be added, with

costs of new services to be negotiated at that time.

B. Disaster/Business Recover Plan

1. The proposer shall submit with its proposal a description of the company’s Business

Disaster/Business Recovery Plan in the event of internal failure and/or external disaster

beyond the vendor’s control. Please define and identify specific backup equipment, personnel

and locations.

2. Please provide responses to the following questions.

a. Please identify what your Disaster/Business Recovery Plan specifically covers for

essential services.

b. How often is your Disaster/Business Recovery Plan actually tested?

c. Have you had to activate the Disaster/Business Recovery Plan due to an actual

disaster or major systems failure within the last three years? If yes, please explain.

d. Do you have a post-disaster contingency plan if your first back-up location becomes

inoperative? If yes, please explain.

VII. ERRORS AND OMMISSIONS IN PROPOSAL

Failure by the County to object to an error, omission, or deviation in the proposal will in no way

modify the RFP or excuse the vendor from full compliance with the specifications of the RFP or

any contract awarded pursuant to the RFP.

VIII. TERM

The term of the contract resulting from this proposal shall be one (1) year. The contract may be

cancelled upon ninety (90) days’ notice from either party. It is expected that this term will begin on

September 1, 2020.

IX. DISCLOSURE

Please be advised that all proposals received are considered public documents. In the event of an

award, the proposal submitted by the offeror receiving the award, may, of course, be disclosed,

reproduced, etc., at the County's option.

X. LATE PROPOSALS

Proposals and modifications received at the office designated in the Request for Proposals after the

close of business on the date specified therein will not be considered unless they are sent by

registered mail and have been postmarked at least two (2) days prior to the proposal receipt

deadline.

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XI. EVALUATION

All proposals will be received in the Treasurer's Office. A Banking Services Selection (BSS)

Committee with representation by the Chief Deputy Treasurer, Assistant Treasurer of Cash

Management, and the Director of Finance, will review all proposals. The BSS Committee may

request oral presentations. The evaluation criteria will include, but is not necessarily limited to:

A. Financial strength of the institution;

B. Aggregate cost of services, price shall be considered in vendor selection, but need not be the

sole determining factor;

C. Quality and scope of services offered;

D. Experience of account representative/bank operations personnel;

E. Method of determining interest rate on overnight repurchases agreement (sweep account);

F. Compliance with the Ohio Revised Code, Chapter 135 Uniform Depository Act; and

G. Quality of transition of services, if applicable.

XII. SELECTION AND EXECUTION OF AGREEMENT

The Banking Services Selection (BSS) Committee will recommend a vendor or vendors to the

Montgomery County Treasurer. The selection of any proposal shall not imply acceptance by the

County of all terms of the proposal, which may be subject to contract negotiations and approvals

before the County may be legally bound thereby. If a satisfactory contract cannot be negotiated

in a reasonable time the Treasurer, in his sole discretion, may terminate negotiations with the

highest ranked vendor and begin contract negotiations with the next highest ranked vendor.

The County shall select the vendor or vendors, which in its opinion has made the best proposal

and shall award the contract to that vendor. Price shall be considered in vendor selection but

need not be the sole determining factor.

Montgomery County reserves the right to reject any and all proposals.

XIII. RFP QUESTIONS AND ANSWERS

Questions submitted in writing via e-mail concerning the RFP will be accepted until Monday, July

27, 2020 at 12:00 noon. All questions asked, answers given, and additional documentation will be

forwarded to all bidders. Please direct all questions by e-mail to [email protected]

mailto:[email protected]

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XIV. PROPOSAL SIGNATURE PAGE

The undersigned hereby certifies that any services, materials and/or equipment furnished as a

result of this bid will be in full accordance with Montgomery County Specifications applying

thereto, unless exceptions are stated above.

Bidding Company

Address

City State Zip Code

Phone

Email

Print or Type Name

Title

Signature (Blue Ink)

With this signature, I hereby certify that I am authorized as an agent for the above-named

company and offer this Bid with intention to enter into a contract with Montgomery

County if awarded.

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XV. FORM NO. 1 DISCLOSURE POLICY

FORM NO. 3

DISCLOSURE POLICY

The Board of County Commissioners of Montgomery County, Ohio, has adopted a

disclosure policy which requires persons or business contracting with the Board of County

Commissioners of Montgomery County, Ohio, to disclose to the Board any business and/or

family relationship which the contracting party has with any public official, or person employed

by any public official in Montgomery County, Ohio. Immediate family relationships, for

disclosure purposes, are defined as spouse; children; parents (natural and by-law); and siblings

(natural and by-law). Disclosure of this information will not necessarily preclude the award of a

contract to the undersigned. The undersigned party, in accordance with intent of resolution No.

88-1276 agrees to disclose, to the best of its knowledge and ability, the following information.

(1) CORPORATION

The identity of any county Official, County employee, or member of a county official

or county employee's immediate family, who hold(s) a position of responsibility being

defined as a position having decision making capacities including but not limited to a

member of the board of directors, officer of the corporation, or trustee;

(a) PARTNERSHIP

The identification of person(s) employed by the partnership and or the name(s) of any

of the immediate family who is, or who are, also simultaneously employed by any public

official of Montgomery County, Ohio, or public office or agency of Montgomery County,

Ohio;

(b) CONSULTANT

The identification of person(s) employed by the consultant and or the name(s) of

the consultant’s immediate family who is, or who are, also simultaneously employed by

any official of Montgomery County, Ohio, or public office or agency of Montgomery

County, Ohio;

Should the undersigned party have knowledge or information concerning the

above categories, the undersigned party is to submit this acknowledgement form with a

detailed explanation of the names of the parties involved and the particular relationship.

Please check the appropriate box.

DOES NOT APPLY

DOES APPLY WITH EXPLANATION ATTACHED

SIGNATURE

TITLE

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XVI. FORM NO. 2 PERSONAL PROPERTY TAXES

NOTE: This form only pertains to companies or businesses having property within Montgomery County, and possible delinquent

personal property taxes owed by them to Montgomery County. Bidders who do not have property within Montgomery County are to

mark this form as N/A (Not Applicable), sign it, have it notarized, and return it with the bid documents. This form must be

completed and returned.

STATE OF OHIO:

COUNTY OF:

FORM NO. 2

To the Auditor of Montgomery County:

The affiant,

(name of person, organization, or company)

located at

(address)

After being sworn, states the following: The affiant, at the time the bid for

Was submitted (check one): Was not charged with any delinquent personal property taxes on the

general tax list of Montgomery County, Ohio

Was charged with delinquent personal property taxes on the general

tax list of Montgomery, County, Ohio in the principal amount of

$_______________ with the

sum of $_______________added for due and unpaid

penalties and interest.

Further the affiant sayeth naught,

Sworn to and subscribed by (name of person, organization, or company)

on this day of 2020.

Signature of person or authorized representative of affiant

STATE OF OHIO:

COUNTY OF: :

Before me, a notary public on this day of 2020.

Personally appeared

Notary Public

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XVII. FORM NO. 3 ANTI-COLLUSION

FORM NO. 3

Non-Collusion Affidavit

STATE OF

: SS

COUNTY OF

, being first duly sworn

deposes and says that he/she is the of

, the Bidder which

(Name of Proposer/Bidder)

has submitted, or on or about

the

day of will submit to Montgomery

County, Ohio, a bid/proposal

for .

All as fully set forth in the bid/proposal; and that except as specified below, the

aforementioned bidder constitutes the only person, firm or corporation having an interest in

said bid or in any contract, benefit or profit which may, might or could accrue or grow out of

the acceptance in whole or in part of said bid/proposal, said exceptions being as follows:

(If None, the word “None” should be inserted)

Affiant further states that said bid/proposal is in all respects fair and is submitted without

collusion or fraud; and that no member of the County Commission or officer or employee of

said County has a direct or indirect interest in said bid/proposal.

Affiant

Sworn to and subscribed before me a Notary Public in and for the above-named state and

Count, this day of 2020.

NOTARY PUBLIC

Date:

Montgomery County Treasurer

Analysis of Usbank Activity Charged to Treasurer - Total

06/01/2019 through 05/31/2020 Average

Average or Expected

Service AFP Code or Expected Monthly

Unit Annual Monthly Total

Price Volume Volume Price

Depository Services Montey Mkt Savings Maintenance 010010 15.00000 17 2 30.00Depository Services Account Maintenance 010000 5.00000 208 17 85.00Depository Services Paper Credits 010101 0.15000 2,702 225 33.75Depository Services Paper Credits 010101 0.07500 4 0 0.00Depository Services Electronic Credits 010101 0.06000 1,098 92 5.52Depository Services Paper Debits 010100 0.05000 1 1 0.05Depository Services Electronic Debits 010100 0.06000 1,023 85 5.10Depository Services Reject Checks Paid 150101 0.00000 269 22 No ChargeDepository Services Deposited Item 100224 0.04000 111,390 9,283 371.32Depository Services Returned Deposited Items 100400 2.50000 160 13 32.50Depository Services Returned Item Special Instruc First 100405 4.00000 12 1 4.00Depository Services Returned Item Special Instruc Next 100405 2.00000 12 1 2.00Depository Services Redeposited Returned Item 100402 2.50000 114 10 25.00Depository Services Returned Item Email Notice 100440 2.25000 284 24 54.00Depository Services Returned Item Email Images 100440 2.00000 310 26 52.00Depository Services Returned Item Fax Notification 100411 1.00000 142 12 12.00Depository Services Returned Item Dup Advice Faxed 100411 1.00000 142 12 12.00Depository Services Returned Item Image Copies 100401 1.00000 320 27 27.00Depository Services Returned Item Maker Info Keyed 100430 0.50000 160 13 6.50Depository Services Returned Item Image Viewed 100403 0.25000 253 21 5.25Depository Services Return Item Image Advice Viewed 100414 0.25000 3 1 0.25Depository Services Deposit Coverage 000230 0.05000 40,535 3,378 168.90Depository Services Overdraft Paid Fee 150341 0.00000 2 1 No ChargeDepository Services Extended Overdraft Fee 000202 12.00000 2 1 12.00Depository Services Statement with All Items 151360 12.00000 1 1 12.00Depository Services Paper Statement Fee 010310 5.00000 5 1 5.00Depository Services Check Filter Monthly Maint 150240 0.00000 156 13 No ChargeDepository Services Check Filter Monthly Maint 150240 0.00000 25.00 2 No ChargeDepository Services Copy of Check / Deposit Ticket 151342 1.00000 5 1 1.00Depository Services Account Inquiry 010600 1.00000 14 1 1.00Depository Services Charge For Neg Coll Balance 000210 varies 212,621.94 17,718.50 6.72Account Reconcilement Services Full / Positive Pay Maint 150030 30.00000 12 1 30.00Account Reconcilement Services Full / Positive Pay-per item 150120 0.00000 63,895 5,325 No ChargeAccount Reconcilement Services Online Checks Returned 150322 15.00000 12 1 15.00Account Reconcilement Services Online Positive Pay Exceptions 150310 1.00000 141 12 12.00Account Reconcilement Services Online Issue Maint Confirm-Per File 159999 1.00000 223 19 19.00Account Reconcilement Services Transmission Input 200201 Maximum 223 19 40.00Account Reconcilement Services ARP Transmission Output 200301 7.00000 250 21 147.00Account Reconcilement Services ARP Transmission Per Item 200301 0.01000 64,023 5,335 53.35Account Reconcilement Services Daily Paid List Maint 150100 0.00000 12 1 No ChargeAccount Reconcilement Services Daily Paid List Items 150100 0.00000 63,895 5,325 No ChargeOnline Services Online Current Day Per Acct First 400272 30.00000 12 1 30.00Online Services Online Current DayPer Acct Next 400272 5.00000 197 16 80.00Online Services Online Current Day Per Item 400272 0.02000 133,724 11,144 222.88Online Services Online Previous Day Per Acct First 400272 20.00000 12 1 20.00Online Services Online Previous Day Per Acct Next 400272 5.00000 409 34 170.00Online Services Online Previous Day Per Item 400272 0.02000 191,601 15,967 319.34Online Services Online Lockbox Summary Report 050310 25.00000 12 1 25.00Online Services Account Analysis Report TXT 010407 0.00000 52 4 No ChargeOnline Services Account Analysis Report PDF 409999 2.50000 60 5 12.50Online Services Monthly DDA Statement PDF 409999 1.75000 1,018 85 148.75Online Services ACH Return And NOC Report 250720 0.00000 12 1 No ChargeOnline Services ACH Return And NOC Report First 250720 1.50000 12 1 1.50Online Services ACH Return And NOC Report Next 250720 1.00000 136 11 11.00Online Services ACH Settlement Report 250720 10.00000 36 1 10.00

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06/01/2019 through 05/31/2020 Average

Average or Expected




Online Services EDI Remittance Report 300225 0.00000 60 5 0.00Online Services ARP Depost Recon Report 100707 18.00000 12 1 18.00Online Services Online Token Monthly Maintenance 401020 1.00000 126 11 11.00Online Services Online Account Add/Modify/Delete 401020 0.00000 26 2 No ChargeOnline Services Online Customer Training 401030 100.00000 0 1 100.00Online Services Online Bank Assist Password Reset 400820 7.00000 1 1 7.00Online Services Online Book Transfer Mo Maintenanc First 409999 10.00000 12 1 10.00Online Services Online Book Transfer Mo Maintenanc Next 409999 0.00000 396 33 No ChargeOnline Services Online Book Transfer-Per Transfer 409999 0.05000 3,327 277 13.85Online Services Online Stop Payments Mo Maintenanc First 150410 8.50000 12 1 8.50Online Services Online Stop Payments Mo Maintenanc Next 150410 0.00000 52 4 No ChargeOnline Services Online Stop Payments-Per Stop 150410 4.00000 19 2 8.00Online Services Online Stop Payments-Per Revoke 150413 10.00000 2 1 10.00Online Services Online ACH Origination Mo Maint First 250000 35.00000 12 1 35.00Online Services Online ACH Monthly Maintenance Next 250000 0.00000 48 4 No ChargeOnline Services Online Wires Monthly Maintenance 350000 0.00000 36 3 No ChargeOnline Services Online Account Recon Monthly Maint 200306 0.00000 12 1 No ChargeOnline Services Online Positive Pay Monthly Maint 150030 0.00000 12 1 No ChargeOnline Services Online Issue Maint Mo Maintenance 200201 15.00000 12 1 15.00Online Services Online Image Access Monthly Maint 151350 1.50000 88 7 10.50Online Services Online Image File Per Account 151350 9.00000 12 1 9.00Online Services Online External Message Mo Maint First 409999 35.00000 12 1 35.00Online Services Online External Message Mo Maint Next 409999 0.00000 73 6 No ChargeWire Transfers Incoming Fedwire 350300 6.00000 51 4 24.00Wire Transfers Internal Wire Credit 350123 1.50000 3 1 1.50Wire Transfers Incoming Fedwire Ctp 350300 6.00000 51 1 6.00Wire Transfers Repaired Outgoing Wire 350541 2.50000 1 1 2.50Wire Transfers Online Fedwire Repetitive 350100 6.00000 2 1 6.00Wire Transfers Online Fedwire Non-Repetitive 350104 6.00000 6 1 6.00Wire Transfers Wire Advice Mail 350412 2.75000 51 4 11.00Wire Transfers Wire Advice Fax 350402 1.00000 54 5 No ChargeSweep Commercial Money Fund Sweep 450020 200.00000 12 1 200.00Controlled Disbursement Controlled Disb - Fixed 150000 50.00000 12 1 50.00Controlled Disbursement Controlled Disb - Per Item 150110 0.04000 63,905 5,325 213.00Image Services Online Cks Pd per item Stored 151351 0.03000 63,905 5,325 159.75Image Services Monthly Maint-per Acct 151350 10.00000 12 1 10.00Image Services Image Archive per Check Image 151351 0.02000 63,905 5,325 106.50Image Services Image Archive - Per CD-ROM 151353 10.00000 12 1 10.00Image Services Image Access Imgs Retrieved 151352 0.00000 18 2 No ChargeImage Services Online Image File-Per Item 151354 0.02000 63,904 5,325 106.50Image Services Online Image File-per Transmission 151354 0.00000 250 21 No ChargeImage Services Online Short Term Imgs Retrieved 151352 2.00000 31 3 6.00ACH Service ACH Monthly Maintenance 250000 Maximum 48 4 15.00ACH Service ACH Originated Addenda Item 250120 0.01000 7,073 589 5.89ACH Service ACH Process Run 250501 Maximum 849 71 250.00ACH Service ACH Orig Transit Item 250102 0.03000 313,412 26,118 783.54ACH Service ACH Originated On-US Item 250102 0.03000 12,792 1,066 31.98ACH Service ACH Received Item 250202 0.04000 6,816 568 22.72ACH Service ACH Received Addenda Item 250220 0.01000 1,055 88 0.88ACH Service ACH Monthly Maint-3rd Party 250000 10.00000 12 1 10.00ACH Service ACH Block Mthly Maint-Per Acct 251050 6.00000 36 3 18.00ACH Service ACH Filter Mthly Maint 251050 7.50000 12 1 7.50ACH Service ACH Filter Mthly Maint 251050 7.50000 12 1 7.50ACH Service Unauth ACH Return - per Item 250300 6.00000 19 1 6.00ACH Service ACH Return Per Item 250302 2.50000 1,525 127 317.50



06/01/2019 through 05/31/2020 Average

Average or Expected




ACH Service ACH Notification of Change 251070 2.50000 526 44 110.00ACH Service ACH Return/NOC Faxed 250401 0.00000 515 43 No ChargeACH Service Business Echeck Block Mo Maint 251055 0.00000 12 1 No ChargeACH Service Business Echeck Block Mo Maint 251055 0.00000 1 1 No ChargeACH Service Online ACH On-US Item 250102 0.03000 6,042 504 15.12ACH Service Online ACH Transit Item 250102 0.03000 136,635 11,386 341.58ACH Service Online ACH Process Run 250505 2.00000 167 14 28.00ACH Service UPIC Monthly Maintenance 251000 8.00000 12 1 8.00ACH Service Online ACH Rtn Item 250302 3.00000 53 4 12.00ACH Service Online ACH NOC Item 251070 3.00000 14 1 3.00ACH Service ACH Remittance Monthly Maint First 300010 25.00000 12 1 25.00ACH Service ACH Remittance Monthly Maint Next 300010 20.00000 24 2 40.00Branch Coin/Currency Services Cash Deposited-per $100 10001Z 0.07000 31,135 2,595 181.65Branch Coin/Currency Services Loose Mixed Coin Dep-per Bag 100012 3.00000 1 1 3.00Branch Coin/Currency Services Branch Deposit Processing Fee 100000 2.00000 149 12 24.00Branch Coin/Currency Services Night Deposit Processing-per Dep 109999 1.00000 38 3 3.00Branch Coin/Currency Services Currency Ordered-per Strap 10004A 0.45000 9 1 0.45Branch Coin/Currency Services Loose Currency Ordered/$100 100048 0.16000 29 2 0.32Branch Coin/Currency Services Loose Currency Ordered/$100 100048 0.16000 32 3 0.48Branch Coin/Currency Services Coin Rolls Ordered-per Roll 100044 0.05000 217 18 0.90Branch Coin/Currency Services Standard Chng Order-per Order 100040 3.25000 4 1 3.25Branch Coin/Currency Services Standard Chng Order-per Order 100040 3.25000 21 2 6.50CVS Coin/Currency Cash Dep Per $100 100114 0.06000 107,900 8,992 539.52CVS Coin/Currency Cash Vault Deposit 100100 0.25000 2,495 208 52.00CVS Coin/Currency Cash Dep Adjustment 100501 3.00000 6 1 3.00CVS Coin/Currency Box Coin Ordered 100146 4.75000 32 3 14.25CVS Coin/Currency Curr Order Per Strap 10014A 0.40000 246 21 8.40CVS Coin/Currency Std Cash Orders 100141 3.00000 33 3 9.00CVS Coin/Currency Non Std Cash Orders 100141 5.75000 1 1 5.75CVS Coin/Currency Small Dep Bags/Box 100830 9.00000 48 4 36.00CVS Coin/Currency Mailed Receipts 109999 0.50000 219 18 9.00Vantagepoint VP Monthly Maint - per Acct 40005Z 0.00000 22 2 No ChargeVantagepoint Data Normalization - per item 410000 0.00000 66,698 5,558 No ChargeElectronic Deposit Services EDM Monthly Maint - per Acct 101301 165.00000 6 1 165.00Electronic Deposit Services Deposit Credit 109999 0.50000 84 7 3.50Electronic Deposit Services Image Check On-Us - per Item 101311 0.04000 1,154 96 3.84Electronic Deposit Services Image Check Transit - per Item 101310 0.05000 26,589 2,216 110.80Electronic Deposit Services Image Cash Letter Item - On-Us 101311 0.04000 2,094 175 7.00Electronic Deposit Services Image Cash Letter Item - Transit 101310 0.04000 26,254 2,188 87.52Electronic Deposit Services Image Cash Letter Deposit Fee 010101 0.50000 287 24 12.00Electronic Deposit Services Admin Return/Rejected Item 100230 9.90000 9 1 9.90Electronic Deposit Services ICL Implementation Fee 101330 0.00000 1 1 No ChargeElectronic Deposit Services Image Cash Letter Transmission 101324 0.00000 11 1 No ChargeElectronic Deposit Services ICL Monthly Maintenance 101300 0.00000 11 1 No ChargeE-Lockbox E-LOCKBOX Maintenance 310104 130.00000 12 1 130.00E-Lockbox ELBX Electronic Pymt RB Item 250202 0.09000 24,281 2,023 182.07E-Lockbox E-LOCKBOX Manual Return Item 250302 1.25000 33 1 1.25E-Lockbox ELBX Data Transmission Output 310113 6.00000 250 21 126.00E-Lockbox E-LOCKBOX Transl Payment 310112 0.00000 24,272 2,023 No ChargeInternational Banking Returned International Item 609999 30.00000 1 1 30.00International Banking Un-Encode Cad/Usd Item 10022Z 4.00000 9 1 4.00Miscellaneous Charges Credit Adjustment 000321 1.00000 -528 n/aMiscellaneous Charges Fees Already Collected 000322 1.00000 -491 n/aMiscellaneous Charges Invoice Fee 000371 10.00000 12 1 10.00Subtotal 7,389.34



06/01/2019 through 05/31/2020 Average

Average or Expected




6 Additional Water Svcs Accts

Depository Services Account Maintenance 010000 5.00000 72 6 30.00Depository Services Paper Credits 010101 1.00000 2 1 1.00Depository Services Electronic Credits 010101 0.06000 487 41 2.46Depository Services Electronic Debits 010100 0.06000 179 15 0.90Depository Services Deposited Item 100224 0.15000 1 1 0.15Depository Services Deposit Coverage 000230 0.05000 1,811 151 7.55Depository Services Paper Statement Fee 010310 5.00000 1 1 5.00Depository Services Check Filter Monthly Maint 150240 10.00000 48 4 40.00Depository Services Account Inquiry 010600 7.00000 1 1 7.00Depository Services Charge For Neg Coll Balance 000210 0.00800 110.58 9.22 0.07ACH Service ACH Received Item 250202 0.04000 2,318 193 7.72ACH Service ACH Block Mthly Maint-Per Acct 251050 6.00000 24 2 12.00E-Lockbox E-LOCKBOX Maintenance 310104 50.00000 12 1 50.00E-Lockbox ELBX Electronic Pymt RB Item 250202 0.09000 50,049 4,171 375.39E-Lockbox E-LOCKBOX Return Item 250302 1.25000 34 3 3.75E-Lockbox ELBX Data Trans Out/billerID 310113 6.00000 250 21 126.00E-Lockbox E-LOCKBOX Transl Payment 310112 0.00000 50,066 4,172 No ChargeMiscellaneous Charges Invoice Fee 000371 10.00000 12 1 10.00Subtotal 678.99

Water Services Lockbox Account Ending in 4349:

Depository Services Account Maintenance 010000 5.00000 12 1 5.00Depository Services Paper Credits 010101 0.15000 762 64 9.60Depository Services Electronic Debits 010100 0.06000 127 11 0.66Depository Services Reject Checks Paid 150101 0.00000 12 1 No ChargeDepository Services Returned Deposited Items 100400 2.50000 145 12 30.00Depository Services Returned Item Special Instruc 100405 4.00000 12 1 4.00Depository Services Redeposited Returned Item 100402 2.50000 119 10 25.00Depository Services Deposit Coverage 000230 0.05000 2,026 169 8.45Depository Services Check Filter Monthly Maint 150240 10.00000 12 1 10.00Depository Services Charge For Neg Coll Balance 000210 varies 267,634 22,303 8.48Depository Services 0 0 0.00Retail Lockbox Rlbx Monthly Maint 050010 90.00000 7 1 90.00Retail Lockbox Rlbx Item 05020Z 0.15000 54,124 4,510 676.50Retail Lockbox Rlbx Item Multiple 050202 0.10000 3,140 262 26.20Retail Lockbox Rlbx Item Check Acct 050510 0.25000 2,569 214 53.50Retail Lockbox Rlbx Manual Mail 05021I 2.00000 25 2 4.00Retail Lockbox Rlbx Sort 05021P 0.10000 54,124 4,510 451.00Retail Lockbox Rlbx MICR Capture 050221 0.01500 51,758 4,313 64.70Retail Lockbox Rlbx Deposit 050300 0.25000 203 17 4.25Retail Lockbox Rlbx Cash Received 05023A 2.00000 4 1 2.00Retail Lockbox Rlbx Stop File 050234 185.00000 7 1 185.00Retail Lockbox Rlbx Transmission 050401 110.00000 14 1 110.00Retail Lockbox Rlbx Pkg Prep 05041Z 0.75000 146 12 9.00Retail Lockbox Rlbx US Mail 050410 Minimum 1,047 87 15.00Retail Lockbox Rlbx Unprocessable 050530 0.16000 1,047 87 13.92Retail Lockbox Rlbx Low Speed Open 050211 0.00000 26,996 2,250 No ChargeRetail Lockbox Rlbx Image Look Maint 050424 37.00000 7 1 37.00Retail Lockbox Rlbx Image Look Items 050424 0.02000 92,579 7,715 154.30Retail Lockbox Rlbx Image Pages 05021Q 0.18000 18,438 1,537 276.66Retail Lockbox Rlbx Web Exc Maint 05021Q 100.00000 7 1 100.00



06/01/2019 through 05/31/2020 Average

Average or Expected




Retail Lockbox Rlbx Web Exc Items 05021Q 0.42000 874 73 30.66Retail Lockbox Rlbx CD-Rom Charge 050423 6.00000 7 1 6.00Retail Lockbox Rlbx PO Box Rental 050012 1.00000 655 55 55.00Lockbox WLBX Monthly Maint 050000 150.00000 7 1 150.00Lockbox WLBX Deposit 050300 1.50000 641 53 79.50Lockbox WLBX per Item 050100 0.46000 1,943 162 74.52Lockbox WLBX OCR Item 050122 0.32000 34,134 2,845 910.40Lockbox WLBX Exceptions 059999 0.37000 28 2 0.74Lockbox WLBX Exceptions 059999 0.39000 757 63 24.57Lockbox WLBX Data Keystroke 050126 0.01800 76,125 6,344 114.19Lockbox WLBX Accept All Payees 050131 300.00000 7 1 300.00Lockbox WLBX Multi Payment 050103 0.15000 984 82 12.30Lockbox WLBX OCR Coupon Item 050131 0.00000 36,281 3,023 0.00Lockbox WLBX POS/Neg File 050135 350.00000 7 1 350.00Lockbox WLBX Annual Rental 050002 54.00000 2 0 0.00Lockbox WLBX Transmission 050401 220.00000 7 1 220.00Lockbox WLBX Image Check/Coupon 05011R 0.05000 72,358 6,030 301.50Lockbox WLBX Image Document 05011R 0.15000 3,872 323 48.45Lockbox WLBX Image Report 05011R 115.00000 7 1 115.00Lockbox WLBX Image Monthly 05011R 115.00000 7 1 115.00Lockbox WLBX Image Setup 05011R 150.00000 1 0 0.00Lockbox WLBX Trans Setup Fee 05011R 300.00000 1 0 0.00Lockbox WLBX Image CD/DVD Charge 05011R 40.00000 2 0 0.00Lockbox WLBX Image CD/DVD Charge 05011R 60.00000 20 2 120.00Lockbox WLBX Add-On Svc Setup Fee 101330 150.00000 1 0 0.00Lockbox WLBX Mailout 050410 Minimum 785 65 21.00Lockbox WLBX Web Decisioning Maint 05021Q 150.00000 7 1 150.00Lockbox WLBX Web Decisioning Item 05021Q 0.65000 1,481 123 79.95Lockbox WLBX Scanable Setup Fee 05021Q 300.00000 1 0 0.00Lockbox WLBX Account Changes 059999 25.00000 1 0 0.00Lockbox Lockbox Deposited Item 100214 0.06000 87,830 7,319 439.14ACH Service ACH Block Mthly Maint-Per Acct 251050 6.00000 12 1 6.00Electronic Deposit Services EDM Monthly Maintenance First 101300 35.00000 12 1 35.00Electronic Deposit Services EDM Monthly Maintenance Next 101300 12.00000 12 1 12.00Electronic Deposit Services Web Client Monthly Maintenance 101300 35.00000 41 3 105.00Electronic Deposit Services Image Quality Car/Lar & OCR 999999 0.00000 41 3 No ChargeElectronic Deposit Services Deposit Credit 109999 0.50000 249 21 10.50Electronic Deposit Services Image Check Item - On-US 101311 0.04000 634 53 2.12Electronic Deposit Services Image Check Item - Transit 101310 0.05000 11,695 975 48.75Electronic Deposit Services Image Check Item - Transit 101310 0.14000 0 0 0.00Electronic Deposit Services Image Retrieval - per Item 151352 0.75000 8 1 0.75Miscellaneous Charges Invoice Fee 000371 10.00000 12 1 10.00Subtotal 7,011.25

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