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RFP 18-090ATTACHMENT F

MANDATORY REQUIREMENTS AND TECHNICAL PROPOSAL

MANDATORY REQUIREMENTS:

Instructions: Please place an X in either the Yes or No columns below indicating your ability to meet the mandatory requirement listed. Provide evidence and complete reference information supporting the response. Please clearly identify the location of any additional documentation to support your evidence.

Requirement 1 Yes No Comment(s)Respondents must provide Remote Cash Capture (smart safes), including a minimum of 78 Smart Safe with daily sales of $500 - $2500, 39 Smart Safes with daily sales of $2500 - $7500 and 2 high end recyclers with $10,000 - $12,000. All must be commercial grade Smart Safes with high performance.

Requirement 2 Yes No Comment(s)Respondent must provide Remote Deposit, including a minimum of 4 high volume (500 checks or more in batch) Remote Deposit Capture scanners and a minimum of 132 commercial grade scanners with high quality imaging.

Requirement 3 Yes No Comment(s)Respondent must manage/provide Armored Car Services. Respondent must contract directly with the Armored Car Service Company.

Requirement 4 Yes No Comment(s)Respondent must provide

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change ordering solution.

Requirement 5 Yes No Comment(s)Respondent must provide Kiosk cash pick up solution.

Requirement 6 Yes No Comment(s)Respondent must provide special mail in branch solutions.

Requirement 7 Yes No Comment(s)Respondent agrees to enter into contract for end to end management (Master Contract) of the solution (including but not limited to; banking services, Remote Cash Captures and courier pickup) with the State as a result of this RFP.

Requirement 8 Yes No Comment(s)Respondent must provide Remote Deposit.

Requirement 9 Yes No Comment(s)Respondent must reschedule missed pickups within 24 hours from the original pick up date and time.

Requirement 10 Yes No Comment(s)Provide service up to six (6) days per week, Monday through Saturday, excluding official State of Indiana holidays.

Requirement 11 Yes No Comment(s)Respondent must provide physical custody over transported items at all times during transit ensuring security from

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unauthorized persons.

Requirement 12 Yes No Comment(s)Respondent agrees to have sufficient Insurance coverage for any and all losses incurred from the time the safe is opened at the State location until the funds are delivered and accepted by the appropriate financial institution.

Requirement 13 Yes No Comment(s)Respondent agrees to provide proof of Insurance as required in the sample boilerplate contract terms: “Insurance”.

Requirement 14 Yes No Comment(s)Respondent must perform background and credit checks of all persons responsible for picking up deposits and have access to State information including all subcontractors working directly on this Scope. Written verification of completed checks shall be provided to the State upon request and any time.

Requirement 15 Yes No Comment(s)Respondent must perform pre-employment drug testing of all persons responsible for picking up deposits including subcontractors. Written verification of drug screens shall be made available to the State upon request at any time.

Requirement 16 Yes No Comment(s)

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Respondent shall require uniforms for all authorized persons picking up deposits including subcontractors.

Requirement 17 Yes No Comment(s)Respondent must provide photo identification cards to any and all authorized persons performing services including but not limited to installation of equipment, service, deposit pick up, etc.

Requirement 18 Yes No Comment(s)Respondent must provide the State an updated staffing/resource matrix when new employees are assigned to the services. The matrix must include Name(s) and picture of each employee/resource authorized to perform services.

Requirement 19 Yes No Comment(s)Respondent must provide online banking hierarchy with multiple user ability.

Requirement 20 Yes No Comment(s)Respondents agrees to follow BMV deposit procedures

.Requirement 21 Yes No Comment(s)Respondent must provide account streamlining solutions

Requirement 22 Yes No Comment(s)Respondent must provide earnings credit and interest bearing accounts for excess funds

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2.4 Technical Proposal

Instructions: Please supply all requested information in the shaded areas and indicate any attachments that have been included. Document all attachments and which sections and question they pertain to.

Please provide diagrams/process flows through out where appropriate. Supplemental diagrams and process flows should be referenced and labeled for ease of reviewers.

2.4.1 Banking Services

1. Describe the bank’s options for returned items.

2. Describe the Respondent’s solution for branches to obtain change/coin for cash drawers? Include details of depositing change.

3. Describe the process for file transfer on manually entered electronic checks and provide file specs for transmission and security related details.

4. Describe the frequency and ability to provide deposit confirmation.

5. Describe the ability and process for notice of rejected deposits.

6. Discuss the ability to automate a file to be downloaded into a BMV system for reconciliation.

7. Describe the bank’s ability to identify/distinguish deposits by individual CSR AND by retail location.

8. Describe the Respondent’s statement abilities, including ability for on demand printing and monthly delivery.

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9. Describe specialized options for a high volume mail in branch.

10. Describe the secure bank file transmission process for distribution files. Does the solution have the ability to hold bank files to be manually released by user?

11. Discuss the bank’s online reporting and image access capabilities. Describe in detail the capability to view transaction data online, including CSV, PDF, Microsoft Excel, and BAI2 file formats. Define and describe the security roles available to provide varying levels of access to online transaction data.

12. Provide a detailed description of how the bank will determine availability of funds, specifically same day deposit/credit.

13. For excess balances describe in detail the bank’s ability to provide Earnings Credit and Interest Bearing accounts.

14. Provide recommendations to streamline account structure and maximize the investment earning potential of idle funds while retaining the ability to distinguish deposits and disbursements from each processing location.

15. Provide details on whether or not the Respondent would be solely responsible for the Remote Cash Capture and check scanning solution. If subcontractor/s are used for part of solution, provide details in regards to the responsibilities of the subcontractor/s.

16. Provide details regarding the Respondent’s process for securing personal information. Must include system capability and policies, including transmission of data as well. Processes to include monitoring for possible breaches and associated communication. Provide frequency of security patches/enhancements, etc.

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17. Describe how your solution handles an associate being immediately unavailable to reconcile their deposit for the day, due to an unforeseen emergency.

18. Provide samples of the types of responses the end user receives at various points in the deposit. Include flow diagram to illustrate various scenarios.

19. Provide a detailed overview of the security features your system can provided.

20. How does your solution handle system errors? I.e. unreadable checks, mistyped numbers on e-checks, counterfeit bills, torn bills, etc.…

21. Provide a project plan for the deliverables proposed. The project plan must be a separate Attachment, please identify the name of the Attachment in response to this question for ease of reference. The project plan should include details of reporting that includes summaries of progress, including outline of work accomplished during the reporting period; work to be accomplished during the subsequent reporting period; problems, real or anticipated and notification of any significant deviation from previously agreed-upon work plans.

2.4.2 Remote Cash Capture

1. Respondent’s cash safe must meet the following requirements:

a. Detect counterfeit cash.

b. Prevent access to contents of cash safe by unauthorized State employees.

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c. Transmit daily deposit file to depository financial institution providing provisional credit immediately to account.

d. Validate the cash value and provide receipt to each State employee.

2. Identify functionality of the Remote Cash Capture available to users.

a. Research the balance adjustments.

b. Daily cut off times for transmissions.

c. Reporting capabilities, per batch, per user, etc.

d. Safe activity.

3. Describe the user entitlements of the Remote Cash Capture module.

a. Dual approval for transmissions.

b. User Entitlement restrictions.

c. Administrative oversight.

4. Describe the process/oversight should any discrepancies occur between the items received from the State for delivery and items received by the financial institution. Include method of communication and timing. What level of detail will be provided to help identify the specifics?

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5. The Respondent must have access to the manifest for all cash deposits picked up by the designated courier.

6. The State has many branches locations that are in remote locations. Provide limitations of the safe if deposit transmissions are not performed, daily, weekly, or monthly because of seasonal deposit volumes. Provide available workarounds if limitations exist. What can the State expect as a result of limitations?

7. Provide uptime based on Remote Cash Capture solution. i.e. based on experience with Remote Cash Captures, is the Remote Cash Capture available with no issue 99.9% of the time. Provide Service Level Agreement that includes availability, down time, maintenance windows.

8. Provide cassette limits for number of bills.

9. Provide an end-to-end overview of your Remote Cash Capture solution/s. Include diagrams in addition to narrative.

10. Provide examples of the Remote Cash Capture footprint, specifically height, weight, length.

11. Provide in detail your deposit of coin solution. Provide diagram if available.

12. In the event the Remote Cash Capture is down, please describe recommended contingency procedure.

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2.4.3 Remote Deposit

1. Respondent’s RDC Remote Deposit must meet the following minimum requirements:a. Secure daily transmission of data to depository financial institution.

b. Individual user identifications for different locations.

c. Record Bank of First Deposit information on the check image.

2. Describe the user entitlements of the RDC module:a. Dual approval for transmissions.

b. User entitlements restrictions.

c. Administrative oversight.

3. Describe the functionality of the RDC module for users:a. View/Research returned items.

b. Researching deposit adjustments

.c. Reports available.

4. Describe the safeguard/edit check the RDC module has to prevent the following situations:a. Duplicate checks from being scanned.

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b. Unbalanced batch from being transmitted.

c. Checks “piggy backing’ each other during scanning.

5. Describe the Remote Deposit ability to properly scan and capture data of varying check sizes and toner. Provide any limitations the equipment may have and any associated workarounds recommended and those limitations. Provide expectations of the State as a result of the limitations.

6. Describe the Remote Deposit capability to process foreign checks and money orders.

7. Describe the Remote Deposit’s capability to process business or dealer size checks

8. Confirm the ability to have the deposit ticket be included on the download from the bank to the State, related to the States ability to reconcile the deposits entered into the BMV accounting system to the deposits on the bank statement.

9. Some State Branch Offices are in remote locations. Provide limitations of the Remote Deposit or RDC module if deposit transmissions are not performed daily, weekly, or monthly because of seasonal volumes and associated workarounds.

2.4.4 Armored Car Services

1. Provide details of ability to provide armored courier service as a managed service.

2. Provide list of all armored courier firms which will service State locations.

3. Describe the process for missed armored car service. i.e. missed pickups etc. Provide any Service Level Agreements for services.

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4. What are your guidelines for how often a location receives armored car service based on solution capacity? E.g. 5000 bills a week equals picked up weekly.

2.4.5 Implementation

1. Provide a timeline for implementation that was utilized with previous client as an example of project management capabilities. Describe your overall project approach and provide a timeline for system implementation that was utilized with previous jurisdictions as an example of project management capabilities; include a project schedule that contains three levels of detail along with the work breakdown structure and the deliverable points.

2. Provide details for determining the installation and service necessary for equipment, telecommunication lines and software required.

3. Identify all equipment, transmission (LAN or wireless) and software requirements for proposed solution.

4. Describing Testing and problem resolution approach. Describe testing approach and methodology to ensure a high quality solution that meets State of Indiana requirements both during initial implementation and with subsequent release/changes. Provide details on test environment(s) available and how they are used.

5. Provide details of staff and experience who will be involved in the project, including name of each individual, work locations and detailed descriptions of their roles and responsibilities.

2.4.6 Respondent Staff, Roles and Responsibilities

1. Provide details of all staff who will be involved in the project, including the name of each individual, work locations and detailed description of their roles and responsibilities. Please include an overall organization chart and provide a reference to that chart as well. Please note the dedicated hours to the project and phase of the project they will be engaged.

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2. Provide resumes as a separate attachment for all proposed staff.

3. Provide a list of all subcontractors, including firm name, address, contact person and a complete description of the work to be performed by the sub. Include descriptive information concerning subcontractor’s organization and abilities. Include details of whom in the Respondent’s organization the subcontractor will report to.

4. Respondent must identify a Project Manager as a single point of contact specifically assigned to the BMV proposed solution that will be responsible for all communications, the contract activities and deliverables.

5. Describe Respondent’s knowledge with web service applications? BMV’s interface would be with a vb.net soap web service for Respondent’s solution.

6. Describe Respondent’s ability to support superseded releases and back releases still in use by the State.

7. Describe the Respondent’s ability and process to correct or provide a working solution for notice of error correction problems.

8. Describe the process for notifying the State of any material errors or defects in the deliverables known, or made known to the Respondent from any source during the contract term that could cause the production of inaccurate, or otherwise materially incorrect results and any action initiated as may be commercially necessary or proper to effect corrections of any such error or defects.

9. Describe the process for any new releases or bug fixes (collectively referred to as “changes”) for any software deliverable developed or published by the Respondent. Any expense outside of the all-inclusive pricing should be included in the “Cost Proposal, Attachment D”. Include timing of such releases (Quarterly, semi-annually, etc.) and method of testing to ensure high quality and no negative impact to existing required functionality by the State. (regression testing) Provide details of available test environment available to the State that can be used for testing changes

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prior to release. Describe how this works with other engagements along with communication protocol for changes.

2.4.7 Training

1. Describe the training process and content outline used with clients prior to granting access to the Respondent’s solution. Provide samples. Training must include support and instructional materials for State staff on the use of the proposed system (including hardware, equipment and software, if applicable) within an agreed upon timeframe. Training plan to include details for initial rollout, new employees after rollout, maintenance of training material when system changes occur, technical training. Provide all methods of training delivery and expected level/timing of training for end users.

2.4.8 Communication

1. Describe the process for communicating system or policy changes to the end user. Include the frequency and method of the communication. Provide examples of past policy changes and the associated communication.

2.4.9 Experience

1. What features or resources of your system or services set your company apart from your competitors?

2. Provide details on process used to update Indiana BMV on Respondent’s solution updates.

3. Describe the problems/risks that other clients have encountered and how those issues were resolved.

4. Please provide years of relevant experience in the Remote Cash Capture industry.

2.4.10 Technology

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1. Is the Respondent familiar with web service applications? The web service will be utilized to allow communication between the third party systems and STARS. STARS is a vb.net 4.0 framework application that is hosted in IIS. We are planning to upgrade the framework for STARS to 4.6.2 in 2018. The BMV is exploring providing a Simple Object Access Protocol (SOAP) service that would allow the vendor system to communicate with STARS.

2. Please describe in detail how your solution can integrate with BMV’s STARS system. Include diagrams.

3. Describe the solution’s ability to provide support for superseded releases and back released still in use by the State.

4. Error Correction – upon notice by the State of a problem with the software describe the efforts to correct or provide a working solution for the problem. Provide support SLAs. Does the technical staff provide 24/7 support? How can an issue be communicated (phone call, ticketing) and what is the response time to accept a ticket and communicate back with the customer, etc. What is the resolution timeline, etc.?

5. Material Defects – describe the process for notifying the state of any material errors or defects in the deliverables known, or made known to the Contractor from any source during the contract term that could cause the production of inaccurate, or otherwise materially incorrect, results and action initiated as may be commercially necessary or proper to effect corrections of any such errors or defects.

2.4.11 Support

1. Describe the service level times and process when any service site is down. Metrics for receipt of notice and resolution. Provide SLAs.

2. Describe the escalation process if level response times are not met.

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3. Describe back-up replacement options if repairs cannot be made within the service level response time and resolution.

4. Describe maintenance service options for leased and purchased equipment.

5. Describe any “help desk” services provided through your solution, including hours of operation. Provide SLAs.

6. Identify upgrade options, time frames, life expectancy and refresh rates of rented equipment.

2.4.12 Security1. Describe security procedures/measures in place to ensure the security of the State facilities

when accessed by the Respondent’s (subcontractors) personnel.

2. Describe all fraud controls in place to prevent fraudulent access, fraudulent creation and fraudulent receipt of the State’s files or items on file required in processing.

3. Describe how Respondent will accomplish:a. Verification that the other entity on the other end of the communication link is really

the intended recipient of a transmission.

b. Undeniable proof of origin of transmitted data.

c. Validation that information has not been tampered with during transmission.

d. Assurance that data remains private during transmission.

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4. Respondent must be compliant with State and BMV Information Technology Security Standards, see Attachment J. Provide confirmation that the Respondent has read and understands and agrees to the requirements of the BMV Information Technology Security Standards. Include methods of monitoring for possible breaches and associated processes/communications when a breach occurs. Provide frequency of security patches/enhancements to the system, etc. Provide details of previous security audit of respondents system. When and how often does respondent perform audits?

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