tennessee technological university...pro forma contract details tennessee tech’s required scope of...

TENNESSEE TECHNOLOGICAL UNIVERSITY

Request for Proposal

BANKING SERVICES (revised 4/6/20)

Proposal Due May 19, 2020

Date/Time: 3:00 PM Central

Electronic copies of this Request for Proposal available at https://www.tntech.edu/purchasing/bidopportunities.php or by contacting Donna Wallis at [email protected]

https://www.tntech.edu/purchasing/bidopportunities.php

mailto:[email protected]

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CONTENTS

SECTION

1 INTRODUCTION

2 RFP SCHEDULE OF EVENTS

3 PROPOSAL REQUIREMENTS

4 GENERAL REQUIREMENTS & CONTRACTING INFORMATION

5 PROPOSAL EVALUATION & CONTRACT AWARD

RFP ATTACHMENTS:

6.1 Contractor Requirements Form

6.2 Pro Forma Contract

6.3 Proposal Transmittal/Statement of Certifications & Assurances

6.4 Project Narrative and Documentation

6.5 Technical Proposal & Evaluation Guide – Mandatory Requirements

Part A – Banking Services

Part B – Credit/Debit Card Services

6.6 Technical Proposal & Evaluation Guide - Qualifications & Experience



6.7 Technical Proposal & Evaluation Guide - Technical Approach



6.8 Cost Proposals & Scoring Guides



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6.9 Proposal Score Summary Matrix



6.10

6.11

6.12

Historical Information

Listing of State Universities, TBR System Institutions, the UT System of Higher Education, and State of Tennessee

Vendor Checklist for Prevention of Common RFP Mistakes that lead to Proposal Rejection

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1 INTRODUCTION

1.1 Background Tennessee Technological University is a four-year comprehensive university located in Cookeville, Tennessee. Tennessee Tech is the state’s only technological university and currently enrolls more than 10,000 students. Tennessee Tech offers more than 40 undergraduate degree programs, 120 concentrations and 20 graduate degree programs from its eight academic divisions – the College of Agricultural and Human Sciences, College of Arts and Sciences, College of Business, College of Education, College of Engineering, College of Fine Arts, the School of Interdisciplinary Studies, and the School of Nursing. Long recognized for academic excellence, Tennessee Tech ranks as one of the Best Public Universities in the country by U.S. News and World Report (2017 and 2018 “Best National University”), by Payscale.com (2017 third overall for highest return on investment), and by The Princeton Review (among the “Best in the Southeast” for twelve of the last thirteen years). Founded in 1915, Tennessee Tech is governed by its own Board of Trustees.

1.2 Statement of Procurement Purpose

Tennessee Technological University (“Tennessee Tech”) is seeking proposals for an experienced and qualified Contractor to provide banking services and cred/debit card processing services.

Through this RFP, Tennessee Tech seeks to procure necessary services at the most favorable, competitive prices and to give ALL qualified businesses, including those that are small, minority, women, and service-disabled veteran owned, the opportunity to do business with Tennessee Tech. Vendors must complete the Contractor Requirements Form (See Attachment 6.1 for form and classification definitions). In addition, all small, minority, women and service-disabled veteran owned businesses are strongly encouraged to register with the Governor’s Office of Diversity Business Enterprise (Go-DBE) to attain official certification. Tennessee Tech shall work with the successful Proposer and the Go-DBE Office regarding registration/certification.

1.3 Scope of Service, Contract Period, and Required Terms and Conditions

The RFP Attachment 6.2, Pro Forma Contract details Tennessee Tech’s required scope of services, contract term, contractor responsibilities, and terms and conditions.

The Pro Forma Contract substantially represents the contract document that the successful Proposer MUST agree to and sign.

1.4 Nondiscrimination

The Contractor shall abide by all applicable federal and state laws pertaining to discrimination and hereby agrees, warrants, and assures that no person shall be excluded from participation in, be denied benefits of, or otherwise be subjected to discrimination in the performance of this Contract or in the employment practices of the Contractor on the grounds of classifications protected by Federal or State law. Accordingly, upon request Contractor shall be required to show proof of such nondiscrimination and to post in conspicuous places, available to all employees and applicants, notices of nondiscrimination.

Tennessee Tech has designated the following individual to coordinate compliance with the nondiscrimination requirements of the State of Tennessee, Title VI of the Civil Rights Act of 1964, the Americans with Disabilities Act of 1990, and applicable federal regulations.

Ms. Libby Gays, Affirmative Action Director Human Resources Office Tennessee Tech University Derryberry Hall, Room 156 Box 5132 1 William L. Jones Drive Cookeville, TN 38505

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Phone: 931-372-3039 [email protected]

1.5 Assistance to Proposers with a Disability

A Proposer with a disability may receive accommodation relating to communicating this RFP and participating in this RFP process. A Proposer may contact the RFP Coordinator to request reasonable accommodation no later than the Disability Accommodation Request Deadline in the RFP Section 2, Schedule of Events.

1.6 RFP Communications 1.6.1 Unauthorized contact regarding this RFP with employees or officials of Tennessee Tech other than the

RFP Coordinator named below may result in disqualification from this procurement process. Interested Parties must direct all communications regarding this RFP to the following RFP Coordinator,

who is Tennessee Tech’s only official point of contact for this RFP.

Donna Wallis Assistant Director of Purchasing & Contracts Tennessee Tech University – Purchasing Office 1 William L. Jones Drive, Suite 301 Box 5144 Cookeville, TN 38505 Phone: (931) 372-3492 Fax: (931) 372-3727 [email protected]

1.6.2 Tennessee Tech has assigned the following RFP identification that must be referenced in all

communications regarding the RFP:

RFP – BANKING SERVICES 1.6.3 Any oral communications are considered unofficial and non-binding with regard to this RFP. Only

Tennessee Tech’s official, responses and communications, as defined in Section 1.6.7 below, shall be considered binding with regard to this RFP. Tennessee Tech’s official responses and other official communications pursuant to this RFP shall constitute an amendment of this RFP.

1.6.4 The RFP Coordinator must receive all written comments, including questions and requests for

clarification, no later than the Written Comments Deadline in the RFP Section 2, Schedule of Events. 1.6.5 Each Proposer shall assume the risk of the method of dispatching any communication or proposal to

Tennessee Tech. Tennessee Tech assumes no responsibility for delays or delivery failures resulting from the method of dispatch. Actual or digital “postmarking” of a communication or proposal to Tennessee Tech by the specified deadline date shall not substitute for actual receipt of a communication or proposal by Tennessee Tech.

1.6.6 Tennessee Tech reserves the right to determine, at its sole discretion, the appropriate and adequate

responses to written comments, questions, and requests for clarification. 1.6.7 Tennessee Tech will convey all official responses and pursuant to this RFP via Internet posting at

https://www.tntech.edu/purchasing/bidopportunities.php. It is the proposers’ responsibility to monitor this website for additional information regarding the RFP and to submit a response with the most current information issued by Tennessee Tech.

https://www.tntech.edu/purchasing/

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1.6.8 Any data or information provided by Tennessee Tech (in this RFP, an RFP Amendment or any other communication relating to this RFP) is for informational purposes only. Tennessee Tech will make reasonable efforts to ensure the accuracy of such data or information; however, it is the Proposer’s obligation to independently verify any data or information provided by Tennessee Tech. Tennessee Tech expressly disclaims the accuracy or adequacy of any information or data that it provides to prospective Proposers.

1.7 Proposal Deadline

Proposals must be received in Tennessee Tech’s Purchasing Office no later than the Proposal Deadline date and time detailed in the RFP Section 2, Schedule of Events. A proposal must respond to the written RFP and any RFP exhibits, attachments, or amendments. A late proposal shall not be accepted, and a Proposer's failure to submit a proposal before the deadline shall cause the proposal to be disqualified. It is the responsibility of the Proposer to ascertain any additional requirements with respect to packaging and delivery to Tennessee Tech. Proposers should be mindful of any potential delays whether foreseeable or unforeseeable.

1.8 Written Questions/Answer Period

A question and answer period deadline is in the RFP Section 2, Schedule of Events. The purpose of the written question/answer period is to allow Proposers to submit any questions they may have in regard to the scope of services requested. To ensure accurate, consistent responses to all known potential Proposers, the official response to questions will be issued by Tennessee Tech as described in RFP Sections 1.6, et seq., above and on the date in the RFP Section 2, Schedule of Events.

1.9 Coverage and Participation

Tennessee Tech is issuing this RFP on behalf of all State of Tennessee higher education institutions and agencies, Tennessee Board of Regents System Institutions and University of Tennessee System Institutions that desire to purchase under the resulting Agreement. The Proposer may elect to extend the contract to any or all of these institutions by providing a written acknowledgement of such extension in its proposal.

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2 RFP SCHEDULE OF EVENTS

The following Schedule of Events represents Tennessee Tech's best estimate of the schedule that will be followed. Unless otherwise specified, the time of day for the following events will be between 8:00 a.m. and 4:30 p.m., Central Time.

RFP SCHEDULE OF EVENTS

NOTICE: Tennessee Tech reserves the right, at its sole discretion, to adjust this schedule, as it deems necessary. Tennessee Tech will communicate any adjustment to the Schedule of Events to the potential Proposers

EVENT TIME DATE

(all dates are Tennessee Tech business days)

1. Tennessee Tech Issues RFP February 26, 2020

2. Disability Accommodation Request Deadline Noon March 11, 2020

3. Written Questions / Comments Deadline Noon March 18, 2020

4. Tennessee Tech Responds to Written Questions 4:30pm March 20, 2020

5. Proposal Deadline & Opening of Technical Proposals 3:00pm May 19, 2020

6. Tennessee Tech Completes Technical Proposal Evaluations (including Presentations if required) June 5, 2020

7. Tennessee Tech Opens Cost Proposals and Calculates Scores June 8, 2020

8. Tennessee Tech Issues Intent to Award Letter and Opens RFP Files for Public Inspection June 12, 2020

9. Award of Contract June 19, 2020

10. Contract Effective Date July 1, 2020

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3 PROPOSAL REQUIREMENTS

Each Proposer must submit a proposal in response to this RFP with the most favorable terms that the Proposer can offer. Tennessee Tech reserves the right to further clarify and request amended proposals and/or to negotiate with the best evaluated Proposer subsequent to award recommendation but prior to contract execution if deemed necessary by Tennessee Tech. Any amendment or negotiation shall be within the scope of the original procurement. Tennessee Tech may initiate negotiations, which serve to alter the bid/proposal in a way favorable to Tennessee Tech. For example, prices may be reduced, time requirements may be revised, etc. In no event shall negotiations increase the cost or amend the proposal such that the apparent successful Proposer no longer offers the best proposal.

3.1 Proposal Form and Delivery 3.1.1 Each response to this RFP must consist of a Technical Proposal and a Cost Proposal (as described

below).

3.1.2 Each Proposer must submit one (1) original (with original signature), one (1) electronic*, and five (5) copies of the Technical Proposal to Tennessee Tech in a sealed package that is clearly marked:

“Technical Proposal in Response to RFP – BANKING SERVICES”

*Electronic copy is to be submitted on a flash drive with the Technical Proposal submission.

3.1.3 Each Proposer must submit one (1) original (with original signature), and one (1) electronic* copy of the Cost Proposal to Tennessee Tech in a separate, sealed package that is clearly marked:

“Cost Proposal in Response to RFP – BANKING SERVICES”

*Electronic copy is to be submitted on a separate flash drive with the Cost Proposal submission.

3.1.4 If a Proposer encloses the separately sealed proposals (as detailed above) in a larger package for mailing, the Proposer must clearly mark the outermost package:

“Contains Separately Sealed Technical and Cost Proposals for RFP – BANKING SERVICES” 3.1.5 Tennessee Tech’s Purchasing and Contracts Office must receive all proposals in response to this

RFP, at the address identified in Section 1.6.1, no later than the Proposal Deadline time and date in the RFP Section 2, Schedule of Events. Late proposals will not be considered and will remain unopened and filed in the RFP file.

3.1.6 A proposal must be typewritten or hand-written in ink. A Proposer may not deliver a proposal orally or

solely by means of electronic transmission.

3.2 Technical Proposal

3.2.1 The RFP Attachment 6.5, Technical Proposal and Evaluation Guide details specific requirements for a Technical Proposal in response to this RFP. This guide includes mandatory and general requirements as well as technical queries requiring a written response.

NOTICE: NO COST OR PRICING INFORMATION SHALL BE INCLUDED IN THE TECHNICAL PROPOSAL. THIS INCLUDES REFERENCES TO ITEMS THAT ARE INCLUDED “FREE” OR “AT NO ADDITIONAL COST”, ETC. INCLUSION OF COST OR PRICING INFORMATION IN THE TECHNICAL PROPOSAL MAY MAKE THE PROPOSAL NON-RESPONSIVE, AND TENNESSEE TECH MAY REJECT IT AT ITS SOLE DISCRETION.

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3.2.2 Each Proposer must use the Technical Proposal and Evaluation Guide to organize, reference, and draft the Technical Proposal. Each Proposer must duplicate the Technical Proposal and Evaluation Guide and use it as a table of contents covering the Technical Proposal, adding proposal page numbers as appropriate.

3.2.3 Each proposal should be concisely prepared, with emphasis on completeness and clarity of content. A proposal, as well as any reference material presented, must be written in English and must be written on standard 8 1/2" x 11" paper (although foldouts containing charts, spreadsheets, and oversize exhibits are permissible). All proposal pages must be numbered.

3.2.4 All information included in a Technical Proposal should be relevant to a specific requirement detailed in the Technical Proposal and Evaluation Guide. All information must be incorporated into a response to a specific requirement and clearly referenced. Any information not meeting these criteria will be deemed extraneous and will in no way contribute to the evaluation process.

3.2.5 Tennessee Tech may determine a proposal to be non-responsive and reject it if the Proposer fails to organize and properly reference sections of the Technical Proposal as required by this RFP and the Technical Proposal and Evaluation.

3.2.6 Tennessee Tech may determine a proposal to be non-responsive and reject it if the Technical Proposal document fails to appropriately address/meet all of the requirements detailed in the Technical Proposal and Evaluation Guide

3.2.7 The Proposer must sign and date the Technical Proposal. Digital, electronic, or facsimile signatures will not be acceptable as the original signature. Failure to submit one (1) original with an original signature will be cause for rejection of the proposal.

3.2.8 In the event of a discrepancy between the original Technical Proposal and the digital copy, the original, signed document will take precedence.

3.2.9 Tennessee Tech may request Proposers give an oral presentation of their solution.

3.3 Cost Proposal

3.3.1 The Cost Proposals must be submitted to Tennessee Tech in a sealed package separate from the Technical proposal.

3.3.2 The Cost Proposals must be recorded on an exact duplicate of the RFP Attachment 6.6, Cost Proposal and Scoring Guide. Additional pages may be used as necessary to provide cost information.

3.3.3 Each Proposer shall ONLY record the proposed cost exactly as required by the Cost Proposal and Evaluation Guide and shall NOT record any other rates, amounts, or information.

3.3.4 The Proposer must sign and date the original Cost Proposals. Digital, electronic, or facsimile signatures will not be acceptable as the original signature. Failure to submit an original Cost Proposal with original signature will be cause for rejection of the Proposal.

3.3.5 In the event of a discrepancy between the original Cost Proposal and the digital copy, the original, signed document will take precedence.

3.3.6 If a Proposer fails to submit a Cost Proposal as required, Tennessee Tech shall determine the proposal to be non-responsive and reject it.

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4 GENERAL REQUIREMENTS & CONTRACTING INFORMATION

4.1 Proposer Required Review and Waiver of Objections

Each Proposer must carefully review this RFP and all attachments, including but not limited to defects, objections, or any other matter requiring clarification or correction. All such questions/comments must be made in writing and received by Tennessee Tech no later than the Written Questions / Comments Deadline in the RFP Section 2, Schedule of Events. Protests based on any objection shall be considered waived and invalid if these comments/objections have not been brought to the attention of Tennessee Tech as directed above.

Any proposed alternatives, revisions or additions to the Pro Forma Contract (Attachment 6.2) must be made in writing. Should the Proposer fail to include proposed alternatives, revisions or additions to the Pro Forma by the Written Comments deadline and/or in its Technical Proposal, such alternatives, revisions or additions will not be considered. A Proposal that limits or changes any of the terms or conditions contained in the Pro Forma Contract may be considered non-responsive.

4.2 RFP Amendment and Cancellation

Tennessee Tech reserves the unilateral right to amend this RFP in writing at any time. If an RFP amendment is issued, Tennessee Tech will convey such amendment via Internet posting at https://www.tntech.edu/purchasing/bidopportunities.php Each proposal submitted must respond to the final written RFP and any exhibits, attachments, and amendments.

Tennessee Tech reserves the right, at its sole discretion, to cancel and reissue this RFP or to cancel this RFP in its entirety in accordance with applicable laws and regulations.

4.3 Proposal Prohibitions and Right of Rejection

4.3.1 Tennessee Tech reserves the right, at its sole discretion, to reject any and all proposals in accordance with applicable laws and regulations.

4.3.2 Each proposal must comply with all of the terms of this RFP and all applicable state laws and regulations. Tennessee Tech may reject any proposal that does not comply with all of the terms, conditions, and performance requirements of this RFP. Tennessee Tech may consider any proposal that does not meet the requirements of this RFP to be non-responsive, and Tennessee Tech may reject such a proposal.

4.3.3 A proposal of alternate goods and/or services (i.e., a proposal that offers goods and/or services different from those requested by this RFP) shall be considered non-responsive and rejected.

4.3.4 A Proposer may not restrict the rights of Tennessee Tech or otherwise qualify a proposal. Tennessee Tech may determine such a proposal to be a non-responsive counteroffer, and the proposal may be rejected.

https://www.tntech.edu/purchasing/bidopportunities.php

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4.3.5 A Proposer shall not submit multiple proposals in different capacities. This prohibited action shall be defined as a Proposer submitting one proposal as a prime contractor and permitting a second Proposer to submit another proposal with the first Proposer offered as a subcontractor. This restriction does not prohibit different Proposers from offering the same subcontractor as a part of their proposals, provided that the subcontractor does not also submit a proposal as a prime contractor. Submitting multiple proposals in different capacities may result in the disqualification of all Proposers knowingly involved.

4.3.6 Tennessee Tech shall reject a proposal if the Cost Proposal was not arrived at independently without collusion, consultation, communication, or agreement as to any matter relating to such prices with any other Proposer. Regardless of the time of detection, Tennessee Tech shall consider any of the foregoing prohibited actions to be grounds for proposal rejection or contract termination.

4.3.7 Tennessee Tech shall not consider a response from an individual who is, or within the past six (6) months has been, a State employee. For purposes of this RFP:

4.3.7.1 an individual shall be deemed a State employee until such time as all compensation for salary, termination pay, and annual leave has been paid;

4.3.7.2 a contract with or a response from a company, corporation, or any other contracting entity in which a controlling interest is held by any State employee shall be considered to be a contract with or proposal from the employee; and

4.3.7.3 a contract with or a response from a company, corporation, or any other contracting entity that employs an individual who is, or within the past six (6) months has been, a State employee shall not be considered a contract with or a proposal from the employee and shall not constitute a prohibited conflict of interest.

4.3.8 Tennessee Tech reserves the right, at its sole discretion, to waive a proposal’s variances from full compliance with this RFP. If Tennessee Tech waives minor variances in a proposal, such waiver shall not modify the RFP requirements or excuse the Proposer from full compliance with the RFP.

4.4 Incorrect Proposal Information

If Tennessee Tech determines that a Proposer has provided, for consideration in this RFP process or subsequent contract negotiations, incorrect information that the Proposer knew or should have known was materially incorrect, that proposal shall be determined non-responsive and shall be rejected.

4.5 Iran Divestment Act

By submission of this Proposal, Proposer and each person signing on behalf of Proposer certifies, and in the case of a joint proposal each party thereto certifies as to its own organization, under penalty of perjury, that to the best of its knowledge and belief that each Proposer is not on the list created pursuant to Tennessee Code Annotated § 12-12-106.

4.6 Proposal of Additional Goods and/or Services

If a proposer offers related goods and/or services in addition to those required by and described in this RFP, the additional goods and/or services may be added to the Contract before contract signing at the sole discretion of Tennessee Tech. Proposers must provide a detailed description of each related product and/or service offered in addition to those specified in this RFP to be considered for inclusion in the contract as a separate attachment. Costs associated with additional related goods and/or services must be provided on a separate attachment in the Cost Proposal. Please note that proposed additional goods and/or services will not be used in evaluating the proposal.

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4.7 Assignment & Subcontracting

4.7.1 The Contractor may not subcontract, transfer, or assign any portion of the Contract without prior approval of Tennessee Tech. Tennessee Tech reserves the right to refuse approval, at its sole discretion, of any subcontract, transfer, or assignment.

4.7.2 If a Proposer intends to use subcontractors, the Technical Proposal must specifically identify the

scope and portions of the work each subcontractor will perform. 4.7.3 Subcontractors identified within the Technical Proposal will be deemed as approved by Tennessee

Tech unless Tennessee Tech expressly disapproves one or more of the proposed subcontractors prior to signing the Contract.

4.7.4 After contract award, a Contractor may only substitute an approved subcontractor at the discretion of

Tennessee Tech and with Tennessee Tech’s prior, written approval. 4.7.5 Notwithstanding any State approval relating to subcontracts, the Proposer awarded a contract

pursuant to this RFP will be the prime contractor and will be responsible for all work under the Contract.

4.8 Right to Refuse Personnel

Tennessee Tech reserves the right to refuse, at its sole discretion and notwithstanding any prior approval, any personnel of the prime contractor or a subcontractor providing goods and/or services in Contract performance. Tennessee Tech will document in writing the reason(s) for any rejection of personnel.

4.9 Insurance

4.9.1 During the course of this Contract the Contractor will maintain, at its own expense, insurance in form and substance acceptable to Tennessee Tech. Insurance shall be written by insurance company(ies) licensed to operate in the State of Tennessee. The Contractor shall be required to provide acceptable proof of insurance naming Tennessee Tech as additional insured prior to execution of Contract. Current proof of insurance shall be provided to Tennessee Tech upon request by the Contractor. Failure to provide evidence of such insurance coverage is a material breach and grounds for termination of the Contract negotiations and/or Contract.

4.9.2 Contractor’s policy will provide for data security and privacy cyber coverage including coverage for

unauthorized access and use, failure of security, breach of confidential information, of privacy perils and breach mitigation costs and costs, including but not limited to attorney’s costs, associated with compliance with any regulatory action.

4.9.3 It is understood and agreed that the required insurance provided hereunder shall be primary over any

insurance of Tennessee Tech and that the Contractor’s interests are not covered whatsoever by Tennessee Tech. Tennessee Tech is subject to the provisions of the Tennessee Claims Commission Act, TCA 9-8-301, et seq.

4.9.4 The enumeration in the Contract or in this document of the kinds and amounts of liability insurance shall not abridge, diminish or affect the Contractor’s legal responsibilities for the consequences of accidents arising out of or resulting from the Contractor’s services under this Contract.

4.10 Department of Revenue Registration

Before the Contract is signed, the apparent successful Proposer must be registered with the Tennessee Department of Revenue for the collection of Tennessee sales and use tax. Tennessee Tech shall not award a contract unless the Proposer provides proof of such registration or provides documentation from the Department of Revenue that the Contractor is exempt from this registration requirement. The foregoing is a mandatory requirement of an award of a contract pursuant to this RFP. Information regarding registration is available at https://revenue.support.tn.gov/hc/en-

https://revenue.support.tn.gov/hc/en-us/articles/203555049-I-am-a-vendor-doing-business-with-the-State-of-Tennessee-I-was-told-I-need-to-provide-a-certificate-of-registration-or-proof-of-sales-tax-exemption-What-do-I-do-

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us/articles/203555049-I-am-a-vendor-doing-business-with-the-State-of-Tennessee-I-was-told-I-need-to-provide-a-certificate-of-registration-or-proof-of-sales-tax-exemption-What-do-I-do-.

4.11 Financial Stability

The successful Proposer may be required to provide information to Tennessee Tech to demonstrate financial stability and capability prior to award of contract.

4.12 Proposal Withdrawal

A Proposer may withdraw a submitted proposal at any time up to the Proposal Deadline time and date in the RFP Section 2, Schedule of Events. To do so, a Proposer must submit a written request, signed by a Proposer’s authorized representative to withdraw a proposal. After withdrawing a previously submitted proposal, a Proposer may submit another proposal at any time up to the Proposal Deadline.

4.13 Proposal Errors and Amendments

At the option of Tennessee Tech, a Proposer may be bound by all proposal errors or omissions. A Proposer will not be allowed to alter or amend proposal documents after the Proposal Deadline time and date in the RFP Section 2, Schedule of Events unless formally requested, in writing, by Tennessee Tech.

4.14 Proposal Preparation Costs

Tennessee Tech will not pay any costs associated with the preparation, submittal, or presentation of any proposal.

4.15 Continued Validity of Proposals

All Proposals shall state that the offer contained therein is valid for a minimum of one hundred twenty (120) days from the date of opening. This assures that Proposers’ offers are valid for a period of time sufficient for thorough consideration. Proposals that do not so state will be presumed valid for one hundred twenty (120) days from the date of opening.

4.16 Disclosure of Proposal Contents

4.16.1 Each proposal and all materials submitted to Tennessee Tech in response to this RFP shall become the property of Tennessee Tech. Selection or rejection of a proposal does not affect this right. All proposal information, including detailed financial information, shall be held in confidence during the evaluation process.

4.16.2 Upon the completion of the evaluation of proposals, indicated by public release of a Letter of Intent to Award, the proposals and associated materials shall be open for review by the public in accordance with Tennessee law. By submitting a proposal, the Proposer acknowledges and accepts that the proposal contents and associated documents shall become open to public inspection. This provision cannot be waived.

4.16.3 If an RFP is re-advertised, all prior offers and/or proposals shall remain closed to inspection by the Proposers and/or public until evaluation of the responses to the re-advertisement is complete.



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4.17 Contract Approval

The RFP and the Contractor selection processes do not obligate Tennessee Tech and do not create rights, interests, or claims of entitlement by either the Proposer with the apparent best-evaluated proposal or any other Proposer. Contract award and Tennessee Tech obligations pursuant thereto shall commence only after the contract is signed by the Contractor and all other Tennessee Tech/State officials as required by state laws and regulations.

4.18 Contractor Performance The Contractor who is awarded a contract will be responsible for the satisfactory completion of all services set out in this RFP (including attachments) as may be amended. Tennessee Tech will employ all reasonable means to ensure that services rendered comply with the Contract, and the Contractor must cooperate with such efforts.

4.19 Contract Amendment

After contract award, Tennessee Tech may request the Contractor to deliver additional goods and/or perform additional services within the general scope of the contract and this RFP, but beyond the specified scope of service, and for which the Contractor may be compensated. In such instances, Tennessee Tech will provide the Contractor a written description of the additional goods and/or services. The Contractor must respond to Tennessee Tech with a time schedule for delivering the additional goods or accomplishing the additional services based on the compensable units included in the Contractor’s response to this RFP. If Tennessee Tech and the Contractor reach an agreement regarding the goods and/or services and associated compensation, such agreement must be effected by means of a contract amendment. Further, any such amendment requiring additional goods and/or services must be signed by both Tennessee Tech and the Contractor and must be approved by other state officials as required by applicable statutes, rules, policies and procedures of the State of Tennessee. The Contractor must not provide additional goods or render additional services until Tennessee Tech has issued a written contract amendment with all required approvals.

4.20 Severability

If any provision of this RFP is declared by a court to be illegal or in conflict with any law, said decision will not affect the validity of the remaining RFP terms and provisions, and the rights and obligations of Tennessee Tech and Proposers will be construed and enforced as if the RFP did not contain the particular provision held to be invalid.

4.21 Next Ranked Proposer

Tennessee Tech reserves the right to initiate negotiations with the next ranked Proposer should Tennessee Tech cease doing business with any Proposer selected via this RFP process.

4.22 Contractor Registration All Proposers should complete the vendor registration process with Tennessee Tech and become a registered vendor. When applicable, Tennessee Tech shall work with Proposers and the Governor’s Office of Diversity Business Enterprise (Go-DBE) for Proposers to obtain official state certification. Although registration with Tennessee Tech is not required to make a proposal, a resulting contract from this RFP process cannot be finalized without the successful proposer being registered with Tennessee Tech.

Refer to the following Internet URL to begin the registration process: https://www.tbr.edu/purchasing/how-do-business-tbr

4.23 Policy and Guideline Compliance

This proposal request and any award made hereunder are subject to the policies and guidelines of Tennessee Tech.

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4.24 Protest Procedures

Refer to the following Internet URL to obtain Tennessee Tech’s bid protest procedures:

https://www.tntech.edu/purchasing/polices_procedures.php

A Protest shall be considered waived if the subject matter of the Protest was known or should have been known to the Protester before the Written Comments Deadline and the Protester did not raise the issue in a Written Comment.

5 PROPOSAL EVALUATION & CONTRACT AWARD

5.1 Evaluation Categories and Maximum Points

Tennessee Tech will consider qualifications and experience, technical approach, and cost in the evaluation of proposals and award points in each of the categories detailed below (up to the maximum evaluation points indicated) to each Proposal deemed by Tennessee Tech to be responsive.

CATEGORY MAXIMUM POINTS

POSSIBLE – BANKING SERVICES

MAXIMUM POINTS POSSIBLE –

CREDIT/DEBIT CARD SERVICES

Qualifications and Experience 35 25

Technical Approach 40 25

Cost Proposal 25 50

5.2 Evaluation Process

The evaluation process is designed to award the Contract not necessarily to the Proposer offering the lowest cost, but rather to the Proposer deemed by Tennessee Tech to be responsive and responsible who offers the best combination of attributes based upon the evaluation criteria.

5.2.1 Technical Proposal Evaluation

The RFP Coordinator will use the RFP Attachment 6.5, Technical Proposal and Evaluation Guide to manage the Technical Proposal Evaluation and maintain evaluation records.

5.2.1.1 The RFP Coordinator will review each Technical Proposal to determine compliance with mandatory requirements (refer to RFP Attachment 6.5, Technical Proposal and Evaluation Guide). If the RFP Coordinator determines that a proposal may have failed to meet one or more of the mandatory requirements, the Chief Procurement Officer will review the proposal and document his/her determination of whether: (1) the proposal meets requirements for further evaluation; (2) Tennessee Tech will request clarifications; or (3) Tennessee Tech will determine the proposal to be non-responsive to the RFP and reject it. A determination that a proposal is non-responsive must be approved by the Chief Business Officer before notice may be sent out that the proposal has been rejected.

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5.2.1.2 A Proposal Evaluation Team, appropriate to the scope and nature of the RFP, will evaluate each Technical Proposal that appears responsive to the RFP.

5.2.1.3 Each Proposal Evaluation Team member will independently evaluate each proposal against the evaluation criteria in this RFP, rather than against other proposals, and will score each in accordance with the RFP Attachments 6.6 and 6.7, Technical Proposal and Evaluation Guide.

5.2.1.4 During the Technical Proposal evaluation, Tennessee Tech may identify approximately 3-5 finalists, who will continue through the remaining phases of the process. Cost Proposals from Proposers not considered finalists will not be opened or considered for award.

5.2.1.5 Tennessee Tech reserves the right, at its sole discretion, to request Proposer clarification of a Technical Proposal or to conduct clarification discussions with any or all Proposers. Any such clarification or discussion shall be limited to specific sections of the proposal identified by Tennessee Tech. The Proposer shall put any resulting clarification in writing as may be required by Tennessee Tech.

5.2.2 Finalist Presentations

During the Technical Proposal evaluation process, Tennessee Tech may require each finalist to make a presentation of its Technical Proposal. The presentation will enable the proposers to present their Technical Proposal and field questions from the evaluators. Presentations will be part of the final Technical Proposal score.

5.2.3 Cost Proposal Evaluation

After the Technical Proposal evaluation has been completed, the RFP Coordinator will open the Cost Proposals and use the RFP Attachment 6.8, Cost Proposal and Scoring Guide to calculate and document the Cost Proposal scores.

5.2.4 Total Proposal Score

The RFP Coordinator will calculate the sum of the Technical Proposal scores and the Cost Proposal scores and record the resulting number as the total score for the subject Proposal.

5.2.5 Each Proposal will receive: a) an overall score for Banking Services; b) an overall score for Credit/Debit Card Services; and, c) an overall score for Banking Services and Credit/Debit Card Services combined.

5.3 Contract Award Process

5.3.1 The RFP Coordinator will forward the results of the proposal evaluation process to the appropriate Tennessee Tech official who will consider the proposal evaluation process results and all pertinent information available to make a determination about the contract award. Tennessee Tech reserves the right to make an award without further discussion of any proposal.

Notwithstanding the foregoing, to effect a contract award to a Proposer other than the one receiving the highest evaluation score, the requesting department/party must provide written justification for such an award and obtain the written approval of the appropriate Tennessee Tech official.

5.3.2 After the appropriate official’s determination, Tennessee Tech will issue an Intent to Award to identify the apparent best-evaluated proposal as in the RFP Section 2, Schedule of Events.

NOTICE: The Intent to Award shall not create rights, interests, or claims of entitlement in either the Proposer with apparent best-evaluated proposal or any other Proposer.

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5.3.3 Tennessee Tech will also make the RFP files available for public inspection as in the RFP Section 2, Schedule of Events.

5.3.4 The Proposer with the apparent best-evaluated proposal must agree to and sign a contract with Tennessee Tech that shall be substantially the same as the RFP Attachment 6.2, Pro Forma Contract. However, Tennessee Tech reserves the right, at its sole discretion, to add terms and conditions or to revise Pro Forma Contract requirements in Tennessee Tech’s best interests subsequent to this RFP process. No such terms and conditions or revision of contract requirements shall materially affect the basis of proposal evaluations or negatively impact the competitive nature of the RFP process.

5.3.5 The Proposer with the apparent best-evaluated proposal should sign and return the Contract written by Tennessee Tech pursuant to this RFP no later than the Award of Contract Date in the RFP Section 2, Schedule of Events. If the Proposer fails to provide the signed Contract by the deadline, Tennessee Tech may determine that the Proposer is non-responsive to the terms of this RFP and reject the proposal.

5.3.6 If Tennessee Tech determines that the apparent best-evaluated proposal is non-responsive and rejects the proposal, the RFP Coordinator will re-calculate scores for each responsive Cost Proposal to determine the new, apparent best-evaluated proposal.

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ATTACHMENT 6.1

CONTRACTOR REQUIREMENTS In order to comply with regulations as required by the state of Tennessee and United States federal income tax laws it is necessary that the following information be provided prior to the issuance of any University contract or purchase order. All sections of this form must be completed and signed as directed. I. Ownership Information 1. Contractor Legal Entity Name (Name used for tax filing

purposes): ________________________________________________

2. Is Contractor a US citizen?

Yes No (If no, state country of citizenship):

__________________________________________ (Note: Contractors who are individuals and are not US citizens must complete a Foreign National Data Form prior to execution of contract.)

3. Kind of Ownership (Check all that apply)::

Government (GO)

Non-Profit (NO)

Majority (MJ)

Minority (MBE)*

Woman (WO)*

Small (SM)*

State of TN Agency

Service-Disabled Veteran (SV)*

Certified Disabled (DB)*

*See reverse side of form for clarification of these

categories.

4. Minority / Ethnicity Code (Check one):

African American (MA)

Native American (MN)

Hispanic American (MH)

Asian American (MS)

5. Preference for reporting purposes: (Note: If Contractor qualifies in

multiple categories as small, woman-owned and/or minority, Contractor is to specify in which category he/she is to be considered for reporting and classification purposes.) Check one only.

Small Minority-Owned Woman-Owned Service-Disabled Veteran Certified Disabled

6. Certification: I certify that all of the information as completed above is accurate and true. (Signature required below.) Signed: ______________________________________________________________ Date: __________________________ Name (Printed): ____________________________________Title: ________________________________________________ II. TENNESSEE SALES AND USE TAX. Prior to award of a contract by the University, the Contractor shall be registered or shall have received an exemption from the Tenn. Department of Revenue for the collection of sales and use tax. Contractor’s Tennessee Sales & Use Tax Registration Number: ____________________. Note: This is NOT your federal identification number. It is a unique registration number assigned by the TN Dept, of Revenue upon completion of registration. Contact the Department of Revenue at [email protected] to determine whether or not your company is required to register. The Department of Revenue will provide Contractors who are not required to collect sales/use tax with a letter of exemption, a copy of which should be returned with this form to verify compliance with this section.

mailto:[email protected]

http://www.tn.gov/revenue/forms/sales/index.shtml


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*Minority Ownership Clarification: "Minority owned business" means a business that is a continuing, independent, for profit business which performs a commercially useful function, and is at least fifty-one percent (51%) owned and controlled by one (1) or more minority individuals who are impeded from normal entry into the economic mainstream because of past practices of discrimination based on race or ethnic background.

"Minority" means a person who is a citizen or lawful permanent resident of the United States and who is:

a) African American (a person having origins in any of the black racial groups of Africa);

b) Hispanic (a person of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race);

c) Asian American (a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands); or

d) Native American (a person having origins in any of the original peoples of North America).

**Woman-Owned Business Clarification: A "woman-owned business" means a woman owned business that is a continuing, independent, for profit business which performs a commercially useful function, and is at least fifty-one percent (51%) owned and controlled by one or more women; or, in the case of any publicly owned business, at least fifty-one percent (51%) of the stock of which is owned and controlled by one (1) or more women and whose management and daily business operations are under the control of one (1) or more women.

***Small Business Ownership Clarification: A "small business" means a business that is independently owned and operated for profit, is not dominant in its field of operation and is not an affiliate or subsidiary of a business dominant in its field of operation.

The Governor's Office of Diversity Business Enterprise establishes small business guidelines on industry size standards. The criteria guidelines are required to be met in order for a business to be considered small. The annual receipts or number of employees indicates the maximum allowed for a small business concern and its affiliates to be considered small.

****Service-Disabled Veteran Business Enterprise (SDVBE) Clarification Tennessee Service-Disabled Veteran owned mean any person who served honorably on active duty in the Armed Forces of the United States with at least a twenty percent (20%) disability that is service-connected meaning that such disability was incurred or aggravated in the line of duty in the active military, naval or air service. “Tennessee service disabled veteran owned business” means a service-disabled veteran owned business that is a continuing, independent, for profit business located in the state of Tennessee that performs a commercially useful function.

Tennessee Service-Disabled Veteran owned means a service-disabled owned business that is a continuing, independent, for profit business located in the state of Tennessee that performs a commercially useful function, and

1. is at least fifty-one percent (51%) owned and controlled by one (1) or more service-disabled owned veterans; 2. In the case of a business solely owned by (1) service-disabled veteran and such person’s spouse, is at least fifty percent

(50) owned and controlled by the service-disabled veteran; or 3. In the case of any publicly owned business, at least fifty-one percent (51%) of the stock of which is owned and controlled by

one (1) or more service-disabled veteran and whose management and daily business operations are under the control of one (1) or more service-disabled veteran.

TYPE OF BUSINESS ANNUAL GROSS SALES NO. OF EMPLOYEES

Agriculture, Forestry, Fishing $500,000 9

Architectural / Design / Engineering $2,000,000 30

Construction $2,000,000 30

Educational $1,000,000 9

Finance, Insurance & Real Estate $1,000,000 9

Information Systems / Technology $2,000,000 30

Manufacturing $2,000,000 99

Marketing / Communications / Public Relations $2,000,000 30

Medical / Healthcare $2,000,000 30

Mining $1,000,000 49

Retail Trade $750,000 9

Service Industry $500,000 9

Transportation, Commerce & Utilities $1,000,000 9

Wholesale Trade $1,000,000 19





















































































ATTACHMENT 6.2

PRO FORMA CONTRACT

The Pro Forma Contract set forth in this Attachment contains some “blanks”, signified in brackets by words in all capital letters, describing material to be added, along with appropriate additional information, in the final contract resulting from this RFP.

BANKING AGREEMENT BETWEEN

TENNESSEE TECHNOLOGICAL UNIVERSITY AND

[BANK]

THIS AGREEMENT is made this ____day of ______, 2020, by and between Tennessee Technological University hereinafter referred to as "Tennessee Tech" and [BANK] _____________________________________hereinafter referred to as "Bank."

I. Agreement Provisions (1) The initial period of this Agreement will cover the term from _______________________ through

_____________________. By mutual agreement, this Agreement may be renewed for additional twelve (12) month periods under the same terms and conditions or duly authorized amendments thereto, not exceeding a total contract period of sixty (60) months. (Note: If credit/debit card processing services are included in the contract, Tennessee Tech reserves the right at any time during the term of this Contract to discontinue this portion of the contract upon a minimum of thirty (30) days’ written notice to the Bank.)

(2) It is mutually understood and agreed that the handling of these funds and accounts are governed by the

applicable provisions of T.C.A. Title 9 Chapter 4 and by Tennessee Tech Policy No. 521, both of which are incorporated by reference into this Agreement.

(3) The Bank shall comply with all applicable federal and state licensing and certificate requirements. (4) This Agreement may be modified only by written amendments executed by all parties thereto. (5) This Agreement may be terminated by either party by giving written notice to the other at least 90 days

before the effective date of termination. In the event of cancellation, the Bank is entitled to receive just and equitable compensation for any satisfactory work completed as of the termination date.

(6) If the Bank fails to fulfill in a timely and proper manner its obligations under this Agreement or if the Bank

shall violate any of the terms of this Agreement, Tennessee Tech shall have the right to immediately terminate this Agreement and withhold payment in excess of fair compensation for work completed. Notwithstanding the above, the Bank shall not be relieved of liability to Tennessee Tech for damages sustained by virtue of any breach of this Agreement by the Bank.

(7) The Bank warrants that no part of the total Agreement amount provided herein shall be paid directly or

indirectly to any officer or employee of the State of Tennessee as wages, compensation, or gifts in exchange for acting as officer, agent, employee, subcontractor, or consultant to the Bank in connection with any work contemplated or performed relative to this Agreement.

(8) Non-Discrimination. Contractor acknowledges and agrees that no person on the grounds of disability,

age, race, color, religion, sex, national origin, veteran status or any other classification protected by federal, or Tennessee constitutional or state laws shall be excluded from participation in, or be denied benefits of, or be otherwise subjected to discrimination in the performance of the Contract.

(9) Prohibition on Hiring Illegal Immigrants. Pursuant to T.C.A. § 12-3-309(b), Contractor attests that the Contractor will not knowingly utilize the services of illegal immigrants in the performance of the Contract,






















































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and will not knowingly utilize the services of any subcontractor who will utilize the services of illegal immigrants in the performance of the Contract.

(10) The Bank shall not assign this Agreement or enter into subcontracts for any of the work described herein

without obtaining the prior written approval of all parties to the Agreement. (11) Federal Funds will be housed and/or disbursed in the operating account and the payroll account and the

account name will reflect “Federal and State Funds”. (12) The Bank must provide collateral security as described in T.C.A. Section 9-4-103 for all accounts whether

active (checking) or savings, and shall provide a description of the securities to be provided by the bank as collateral securities. The Bank must abide by the provisions set forth in T.C.A. Section 9-4-501 through Section 9-4-523.

(13) The following signatures will be needed to withdraw funds from all Accounts:

Dr. Philip Oldham, President

Dr. Claire Stinson, Vice President for Planning and Finance

(14) The Bank and the securities pledged by it shall be liable for payment of any losses incurred. (15) The bank and Tennessee Tech agree that the amount of funds deposited will not exceed one-fourth (1/4)

of the paid in capital stock and surplus of the Bank. Should this event occur, the Bank will provide at its own cost a surety bond or collateral security sufficient to cover the entire deposit of state and federal funds in the Bank.

(16) Tennessee Tech or The Department of Treasury must either be provided the actual bonds or other

securities provided as collateral security for deposit, or trust receipts for the collateral in lieu of the actual delivery of the obligations.

(17) The Bank shall maintain documentation for all charges against Tennessee Tech under this Agreement.

The books, records, and documents of the Bank, in so far as they relate to work performed or money received under this Agreement, shall be maintained in conformity with generally accepted accounting principles for a period of three (3) full years from the date of the final payment and shall be subject to audit, at any reasonable time and upon reasonable notice, by Tennessee Tech or the Comptroller of the State Treasury or their duly appointed representatives or a licensed independent public accountant.

(18) This Agreement is subject to the express approval of the President or designee. (19) Contract and Coordination Bank: [CONTACT] Tennessee Tech (Coordination): Emily Wheeler Associate Vice President, Planning and Finance Tennessee Tech University Box 5206 Cookeville, TN 38505 Tennessee Tech (Contract): Donna Wallis Assistant Director, Purchasing and Contracts Tennessee Tech University Box 5144 Cookeville, TN 38505 (20) Gramm-Leach-Bliley Act. Throughout the term of this Agreement, Bank shall implement and maintain

‘appropriate safeguards,’ as that term is used in § 314.4(d) of the FTC Safeguard Rule, 16 C.F.R. § 314,

























































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for all ‘customer information,’ as that term is defined in § 314.2(b) of the FTC Safeguard Rule, delivered to Bank by University pursuant to this Agreement. The Bank shall implement an Information Security Program (‘the Program’) as required by the FTC Safeguard Rule. Bank shall promptly notify Tennessee Tech, in writing, of each instance of (i) unauthorized access to or use of that nonpublic financial customer information that could result in substantial harm or inconvenience to a customer of Tennessee Tech or (ii) unauthorized disclosure, misuse, alteration, destruction or other compromise of that nonpublic financial customer information.

Bank shall forever defend and hold Tennessee Tech harmless from all claims, liabilities, damages, or judgments involving a third party, including Tennessee Tech’s costs and attorney fees, which arise as a result of Bank’s failure to meet any of its obligations under this provision. Bank shall further agree to reimburse Tennessee Tech for its direct damages (e.g., costs to reconstruct lost or altered information) resulting from any security breach, loss, or alteration of nonpublic financial customer information caused by the Bank or its subcontractors or agents.

Bank grants Tennessee Tech the right to conduct on-site audits, as deemed necessary by Tennessee Tech, of the Bank’s Program to ensure the integrity of the Bank’s safeguarding of Tennessee Tech’s customers’ nonpublic financial information.

Tennessee Tech retains the right to unilaterally terminate the Agreement, without prior notice, if Bank has allowed a material breach of its Program in violation of its obligations under the GLBA, if Bank has lost or materially altered nonpublic financial customer information, or if Tennessee Tech reasonably determines that Bank’s Program is inadequate. Within thirty (30) days of the termination or expiration of this Agreement, Bank shall, at the election of Tennessee Tech, either: (1) return to Tennessee Tech or (2) destroy (and shall cause each of its agents to destroy) all records, electronic or otherwise, in its or its agent’s possession that contain such nonpublic financial customer information and shall deliver to Tennessee Tech a written certification of the destruction.

(21) Red Flags and Identity Theft. The Bank shall have policies and procedures in place to detect relevant Red Flags that may arise in the performance of the Bank’s activities under the Agreement, or review Tennessee Tech's Red Flags identity theft program and report any Red Flags to Tennessee Tech.

If Bank maintains its own identity theft prevention program consistent with the guidance of the Red Flag Rules and validated by due diligence, the Service Provider shall have met the requirements of the first paragraph of this Section.

(22) The Bank agrees that in the course of providing services it will follow the data security and access

standards promulgated by the Tennessee State Office of Information Resources when accessing or providing data to Tennessee Tech.

(23) All Informational Material and Technology (IMT) developed, purchased, upgraded or renewed by or for the

use of Tennessee Tech will comply with all applicable Tennessee Tech policies, Federal and State laws and regulations including, but not limited to, the accessibility guidelines set forth in Web Content Accessibility Guidelines 2.0 A & AA, EPub3 Accessibility guidelines, Section 508 and all other regulations promulgated under Section 504 of the Rehabilitation Act and Title II of The Americans with Disabilities Act as amended. Further: a. Compliance means that a person with a disability can acquire the same information, engage in the

same interactions, and enjoy the same services as a person without a disability, in an equally effective and integrated manner, with substantially equivalent ease of use.

b. Contractor warrants that any IMT purchased by, developed, upgraded or renewed for Tennessee Tech will comply with the aforementioned accessibility guidelines and Contractor will provide accessibility testing results, written documentation verifying accessibility including the most recent VPAT for the product/service identified in this document.

c. Contractor will promptly respond to and resolve accessibility issues/complaints, and to indemnify and hold Tennessee Tech harmless in the event of claims arising from inaccessibility of Contractor’s product(s) or service(s).



























































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(24) Commitment to Diversity. The Bank shall assist Tennessee Tech in monitoring the Bank’s performance of this commitment by providing, as requested, a quarterly report of participation in the performance of this Contract by small business enterprises and businesses owned by minorities, women, and Tennessee service-disabled veterans. Such reports shall be provided to Tennessee Tech in form and substance as required by Tennessee Tech.

(25) Insurance. The Bank shall maintain a commercial general liability policy. The commercial general liability

policy shall provide coverage which includes, but is not limited to, bodily injury, personal injury, death, property damage and medical claims, with minimum limits of $1,000,000 per occurrence, $3,000,000 in the aggregate. The Bank shall deliver to Tennessee Tech a certificate of insurance no later than the effective date of the Contract. If any policy providing insurance required by the Agreement is cancelled prior to the policy expiration date, the Bank, upon receiving a notice of cancellation, shall give immediate notice to Tennessee Tech.

(26) Debarment and Suspension. Bank certifies, to the best of its knowledge and belief, that it and its

principals: a. are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily

excluded from covered transactions by any federal or state department or agency; b. have not within a three (3) year period preceding this Contract been convicted of, or had a civil

judgment rendered against them from commission of fraud, or a criminal offence in connection with obtaining attempting to obtain, or performing a public (federal, state, or local) transaction or grant under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification, or destruction of records, making false statements, or receiving stolen property;

c. are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state, or local) with commission of any of the offenses listed in section b. of this certification; and

d. have not within a three (3) year period preceding this Contract had one or more public transactions (federal, state, or local) terminated for cause or default.

(27) Incorporated Documents. The entire Agreement between the parties consists of the following: a. Any addenda and/or amendments to this Agreement, (with most recent having priority); b. This Agreement, including any and all attachments; c. Tennessee Tech’s Request for Proposal (RFP – Banking Services), and; d. Bank’s proposal dated [DATE], to the above RFP. (28) Iran Divestment Act. Bank certifies, under penalty of perjury, that to the best of its knowledge and belief,

neither it nor any of its subcontractors, if applicable, is on the Iran Divestment Act (T.C.A. §§ 12-12-101 et seq.) list of entities or persons ineligible to contract with the State of Tennessee.

(29) Sales and Use Tax. Bank certifies that Bank has either registered with the State of Tennessee’s Department of Revenue for or does not make sales of goods or services that are subject to the collection of Tennessee sales and use tax, as required by T.C.A. § 12-3-306, and will provide proof of compliance upon request.

IN WITNESS WHEREOF, the parties have by their duly authorized representatives set their signatures.

[CONTRACTOR LEGAL ENTITY NAME]:

[NAME AND TITLE] Date

TENNESSEE TECHNOLOGICAL UNIVERSITY:

Dr. Philip Oldham President

Date

























































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ATTACHMENT 6.3

PROPOSAL TRANSMITTAL AND STATEMENT OF CERTIFICATIONS AND ASSURANCES The Proposer must complete and sign this Technical Proposal Transmittal. It must be signed, in the space below, by an individual empowered to bind the proposing entity to the provisions of this RFP and any contract awarded pursuant to it. If the individual is not the Proposer’s chief executive, attach evidence showing the individual’s authority to bind the proposing entity.

PROPOSER LEGAL ENTITY NAME:

The Proposer does hereby affirm and expressly declare confirmation, certification, and assurance of the following:

1) This proposal constitutes a commitment to provide all services as defined in the RFP Attachment 6.2, Pro Forma Contract, Scope of Services for the total contract period and confirmation that the Proposer shall comply with all of the provisions in this RFP and shall accept all terms and conditions set out in the RFP Attachment 6.2, Pro Forma Contract. A Proposer may submit the Proposer's own contract terms and conditions, such as a Standard Banking Agreement, in a response to this RFP. However, being an entity of the State of Tennessee, Tennessee Tech may not enter into an agreement which contains provisions that violate State of Tennessee law. Proposer agrees to amend its standard agreement according to State of Tennessee law; agreement to this provision cannot be waived.

2) The information detailed in the proposal submitted herewith in response to the RFP is accurate.

3) The proposal submitted herewith in response to the RFP shall remain valid for at least 120 days subsequent to the date of the Cost Proposal opening and thereafter in accordance with any contract pursuant to the RFP.

4) The Proposers shall comply with: a) the laws of the State of Tennessee; b) Title VI of the federal Civil Rights Act of 1964; c) Title IX of the federal Education Amendments Act of 1972; d) the Equal Employment Opportunity Act and the regulations issued there under by the federal

government; e) the Americans with Disabilities Act of 1990 and the regulations issued thereunder by the federal

government; f) the condition that the submitted proposal was independently arrived at, without collusion, under

penalty of perjury; and, g) the condition that no amount shall be paid directly or indirectly to an employee or official of the State of

Tennessee as wages, compensation, or gifts in exchange for acting as an officer, agent, employee, subcontractor, or consultant to the Proposer in connection with the Procurement under this RFP.

5) The Proposer ___does or ___does not agree that its Proposal is open for use by other TBR Institutions, University of Tennessee System of Higher Education Institutions, State universities and the State of Tennessee departments. A listing of these institutions is provided in Attachment 6.11.

6) The Proposer certifies, by signature below and submission of this proposal, that neither I nor my principals are presently disbarred, suspended, proposed for disbarment, declared ineligible or voluntarily excluded from participation in this transaction by any State or Federal department or agency.

SIGNATURE & DATE:












































ATTACHMENT 6.4

PROJECT NARRATIVE AND DOCUMENTATION

Responsive Proposer must be able to provide all features and deliverables described below. Any Proposal which does not provide these features and deliverables will be considered non-responsive.

Tennessee Tech seeks proposals for a qualified contractor to provide banking services and credit/debit card processing services for any or all of the following:

• A general operating account and related banking services (controlled disbursement account); • A foundation operating account and related banking services (controlled disbursement account); • A payroll account (controlled disbursement account) and related banking services; • A depository operating federal account; • An insurance account (zero balance account) and related banking services; • Wire clearing account for processing of ACH transfers; • Short-term investment services; • Processing credit card transactions and authorizations; • Providing PCI-compliant equipment and software necessary for credit card processing; • Providing technical support for problems encountered at point of sale; • Providing debit card transactions and authorizations**; • Providing “Positive Pay” services on all disbursement accounts. • Electronic scan deposits for checks; • Providing pre-note/pre-authorization services.

** For purposes of this RFP, “Debit” means PIN debit, PINless debit and/or signature debit. The University reserves the right to issue contracts for banking services and credit/debit card processing services independently of each other, or together, if the University determines, at its sole discretion that it is in the best interest of the University to do so. The credit/debit card processing portion of this contract relates to the University’s acceptance of payments via credit/debit cards (currently Visa, MasterCard, Discover and American Express). The credit/debit card processing contract will not be an exclusive contract; however, the largest portion of our credit/debit card processing will be covered by the contract resulting from this RFP. This RFP does not include Tennessee Tech’s procurement card use by its departments to make departmental purchases. Those services are provided under a separate contract, which is not part of Tech’s banking services contract. Proposer must be PCI-compliant. Information on the estimated number and volume of banking transactions, number of employees and students and other pertinent data and background information on the University is provided in Attachment 6.10. A more complete description is provided in the Cost Proposal and Scoring Guide, Attachment 6.8, Parts A and B. The handling of Tennessee Tech funds and accounts is governed by Tennessee Tech Policy 521. Those documents are hereby incorporated as an integral part of this document by reference. The Contractor must provide collateral security as described in Tennessee Code Annotated Section 9-4-103, for deposits in all accounts, whether active (checking) or savings, and shall provide a description of the securities to be provided by the Bank as collateral securities. Contractor must participate in the collateral pool administered by the Department of Treasury, and the Bank must abide by the provisions set forth in TCA Section 9-4-501 through Section 9-4-523.






















































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Tennessee Tech currently contracts with Regions Bank for banking and credit card processing services. This contract will expire on May 25, 2020. The purpose of this RFP is to establish a new contract for these services. In the event that the successful Proposer is not Tennessee Tech’s current contractor, it may be necessary to have an overlap in the contract term and services so that any transition, contract term and/or provider of services, is performed in a seamless manner.

**Proposer must initial here to confirm that the above requirements have been read and understood, and that

Proposer’s response addresses all requirements and meets specifications: _______________












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ATTACHMENT 6.5A

TECHNICAL PROPOSAL & EVALUATION GUIDE — MANDATORY REQUIREMENTS

PART A — MANDATORY REQUIREMENTS FOR BANKING SERVICES

TECHNICAL PROPOSAL & EVALUATION GUIDE

PART A: MANDATORY REQUIREMENTS FOR BANKING SERVICES. The Proposer must address all items detailed below and provide, in sequence, the information and documentation as required (referenced with the associated item references). The Proposer must also detail the proposal page number for each item in the appropriate space below. The RFP Coordinator will review the proposal to determine if the Mandatory Requirement Items are addressed as required and mark each with pass or fail. For each item that is not addressed as required, the Chief Procurement Officer must review the proposal and attach a written determination. A determination that a proposal is non-responsive must be approved by the Chief Business Officer before notice may be sent out that the proposal has been rejected. In addition to the Mandatory Requirement Items, the RFP Coordinator will review each proposal for compliance with all RFP requirements.


• The Proposal must be delivered to Tennessee Tech no later than the Proposal Deadline specified in the RFP Section 2, Schedule of Events.

• The Technical Proposal and the Cost Proposal documentation must be packaged separately as required (refer to RFP Section 3.1., et. seq.).

• The Technical Proposal must NOT contain cost or pricing information of any type.

• The Technical Proposal must NOT contain any restrictions of the rights of the State/Tennessee Tech or other qualification of the proposal.

• A Proposer must NOT submit alternate proposals.

• A Proposer must NOT submit multiple proposals in different forms (as a prime and a sub-contractor).

Proposal Page #

(Proposer completes)

Item Ref. Part A— Mandatory Requirement Items – Banking Services Pass/Fail

6.5.A.1 Provide the Proposal Transmittal and Statement of Certifications and Assurances (RFP Attachment 6.3.) completed and signed by an individual empowered to bind the Proposer to the provisions of this RFP and any resulting contract. The document must be signed without exception or qualification.

6.5.A.2 Provide the following as documentation of financial responsibility and stability:

• Copy of most recent audit report.

A copy of a valid Certificate of Insurance indicating liability insurance in the amount of at least $1,000,000/$3,000,000.






















































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6.5.A.3 Provide a statement, based upon reasonable inquiry, of whether the Proposer or any individual who shall perform work under the contract has a possible conflict of interest (e.g., employment by the State of Tennessee or Tennessee Tech) and, if so, the nature of that conflict.

NOTE: Determination of conflict of interest shall be solely within the discretion of Tennessee Tech, and Tennessee Tech reserves the right to cancel any award

.

6.5.A.4 Provide information verifying that Proposer meets the following minimum requirements:

• Member FDIC

• Member of the Collateral Pool administered by the Department of the Treasury as defined in TCA Title 9, Chapter 4, Part 5, “The Collateral Pool for Public Deposits Act of 1990.”

• Have a branch office in Cookeville, TN.

6.5.A.5

Provide information verifying that Proposer can provide corporate online banking services, including inquiries, viewing of statements and account activity, balance inquiry, and Positive Pay updates.

6.5.A.6 Provide a Contractor Requirements Form (Attachment 6.1).

6.5.A.7 Tennessee Tech requires the availability of online statement information within five (5) business days of end of month prior. Statements for checking accounts shall list cleared check information in numerical check order rather than date cleared order. Online information must be either searchable or sortable. Proposer shall describe its abilities / process relevant to this specification.

6.5.A.8 While Tennessee Tech does not require the physical return of cancelled checks or printed paper copies, it does require electronic access to the following items, for the duration of the contact term and any extensions, plus three (3) years following contract termination date.

• ACH transactions (debits and credits) • Deposited Items (checks and cash) • Account transfers • Cancelled checks • Returned items • Account statements

Proposer shall describe its abilities / process relevant to this specification.

6.5.A.9 Proposer shall provide documentation verifying that it is supervised by the Department of Financial Institutions of the State of Tennessee, the United States Comptroller of the Currency or the Federal Home Loan Bank Board, and which has been designated by the State Treasurer, Governor and/or the Commissioner of Finance and Administration as a state depository.







































































BR Format 2013

6.5.A.10 Proposer shall provide documentation to verify the following:

• The capital stock of the Proposer is fully paid-in;

• The amount of the paid-in capital and surplus of the Proposer as of the date of its last audited financial statements.

6.6.A.11 Contractor will make the following supplies available to the University. (NOTE: NO COST INFORMATION FOR THESE SUPPLIES IS TO BE PROVIDED IN THIS SECTION. COST INFORMATION TO BE PROVIDED IN COST PROPOSAL ONLY. AVAILABILITY OF PRODUCT AND ACKNOWLEDGEMENT OF CONTRACTOR’S ABILITY TO SUPPLY ONLY ARE TO BE ADDRESSED IN THIS SECTION)

• Lock Bags • Deposit Slips • Coin and Bill Wrappers • Check eDeposit Scanners

























BR Format 2013

ATTACHMENT 6.5B

TECHNICAL PROPOSAL & EVALUATION GUIDE — MANDATORY REQUIREMENTS

PART B — MANDATORY REQUIREMENTS FOR CREDIT/DEBIT CARD SERVICES

TECHNICAL PROPOSAL & EVALUATION GUIDE

PART B: MANDATORY REQUIREMENTS FOR CREDIT/DEBIT CARD SERVICES. The Proposer must address all items detailed below and provide, in sequence, the information and documentation as required (referenced with the associated item references). The Proposer must also detail the proposal page number for each item in the appropriate space below. The RFP Coordinator will review the proposal to determine if the Mandatory Requirement Items are addressed as required and mark each with pass or fail. For each item that is not addressed as required, the Chief Procurement Officer must review the proposal and attach a written determination. A determination that a proposal is non-responsive must be approved by the Chief Business Officer before notice may be sent out that the proposal has been rejected. In addition to the Mandatory Requirement Items, the RFP Coordinator will review each proposal for compliance with all RFP requirements.


• The Proposal must be delivered to Tennessee Tech no later than the Proposal Deadline specified in the RFP Section 2, Schedule of Events.

• The Technical Proposal and the Cost Proposal documentation must be packaged separately as required (refer to RFP Section 3.1., et. seq.).

• The Technical Proposal must NOT contain cost or pricing information of any type.

• The Technical Proposal must NOT contain any restrictions of the rights of the State/Tennessee Tech or other qualification of the proposal.

• A Proposer must NOT submit alternate proposals.

• A Proposer must NOT submit multiple proposals in different forms (as a prime and a sub-contractor).

Proposal Page #

(Proposer completes)

Item Ref.

Part B— Mandatory Requirement Items – Credit/Debit Card Services Pass/Fail

6.5.B.1 Provide the Proposal Transmittal and Statement of Certifications and Assurances (RFP Attachment 6.3.) completed and signed by an individual empowered to bind the Proposer to the provisions of this RFP and any resulting contract. The document must be signed without exception or qualification.

6.5.B.2 Provide the following as documentation of financial responsibility and stability:

• Copy of most recent audit report.

A copy of a valid Certificate of Insurance indicating liability insurance in the amount of at least $1,000,000/$3,000,000.























































BR Format 2013

6.5.B.3 Provide a statement, based upon reasonable inquiry, of whether the Proposer or any individual who shall perform work under the contract has a possible conflict of interest (e.g., employment by the State of Tennessee or Tennessee Tech) and, if so, the nature of that conflict.

NOTE: Determination of conflict of interest shall be solely within the discretion of Tennessee Tech, and Tennessee Tech reserves the right to cancel any award.

6.5.B.4 Provide a Contractor Requirements Form (Attachment 6.1).

6.5.B.5 Contractor must provide a monthly gross fees assessment. Fees shall be itemized separately and shall not be netted with any transactions. Proposer shall describe its process relevant to this specification.

6.5.B.6 Contractor will make virtual and/or physical PCI-compliant VISA/MasterCard/Discover/American Express terminals available to the University. (NOTE: NO COST INFORMATION FOR THESE ITEMS IS TO BE PROVIDED IN THIS SECTION. COST INFORMATION TO BE PROVIDED IN COST PROPOSAL ONLY. AVAILABILITY OF PRODUCT AND ACKNOWLEDGEMENT OF CONTRACTOR’S ABILITY TO SUPPLY ONLY ARE TO BE ADDRESSED IN THIS SECTION)






































BR Format 2013

ATTACHMENT 6.6A

TECHNICAL PROPOSAL & EVALUATION GUIDE — QUALIFICATIONS & EXPERIENCE

PROPOSER NAME:

PART A — QUALIFICATIONS & EXPERIENCE REGARDING BANKING SERVICES

The Proposer must address ALL Qualifications and Experience section items and provide, in sequence, the information and documentation as required (referenced with the associated item references).

A Proposal Evaluation Team, made up of three or more University employees, will independently evaluate and score the proposal’s “qualifications and experience” responses.

Proposal Page #

(to be completed by

Proposer)

Part A - Qualifications & Experience Items – Banking Services

6.6.A.1 Describe the Proposer’s form of business (i.e., individual, sole proprietor, corporation, non-profit corporation, partnership, limited liability company) and detail the name, mailing address, and telephone number of the person the University should contact regarding the proposal.

6.6.A.2 Provide a Statement of whether there have been any mergers, acquisitions, or sales of the Proposer company within the last ten years, and if so, an explanation providing relevant details.

6.6.A.3 Provide a Statement of whether the Proposer or any of the Proposer’s employees, agents, independent contractors, or subcontractors have been convicted of, pled guilty to, or pled nolo contendere to any felony, and if so, an explanation providing relevant details.

6.6.A.4 Provide a Statement of whether there is any pending litigation against the Proposer; and if such litigation exists, an attached opinion of counsel as to whether the pending litigation will impair the Proposer’s performance in a contract under this RFP.

6.6.A.5 Provide a Statement of whether, in the last ten years, the Proposer has filed (or had filed against it) any bankruptcy or insolvency proceeding, whether voluntary or involuntary, or undergone the appointment of a receiver, trustee, or assignee for the benefit of creditors, and if so, an explanation providing relevant details.

6.6.A.6 Provide a Statement of whether there are any pending Securities Exchange Commission investigations involving the Proposer, and if such are pending or in progress, an explanation providing relevant details and an attached opinion of counsel as to whether the pending investigation(s) will impair the Proposer’s performance in a contract under this RFP.

6.6.A.7 Provide a brief, descriptive Statement indicating the Proposer’s credentials to deliver the services sought under this RFP.

6.6.A.8 Proposer shall provide the names of the members of its Board of Directors and officers.






















































BR Format 2013

6.6.A.9 Proposer shall supply the name of its holding company, if applicable.

6.6.A.10 Proposer shall provide the names of all owners of ten percent (10%) or more of the stock of the Proposer.

6.6.A.11 Proposer shall provide the location of its main office as well as the location(s) of its Cookeville branch(es).

6.6.A.12 Proposer shall provide a list of all of its affiliated banking institutions.

6.6.A.13 Proposer shall provide the names of at least three (3) references of account holders for which the Proposer provides services comparable to those described herein. References shall be operationally comparable in size and scope to the University. References are to include the name and address of the reference and the name and contact person of an individual who could provide first-hand information to the University regarding the Proposer’s service and customer service capabilities. Higher education account references are preferred.

6.6.A.14 Proposer shall provide documentation of its commitment to diversity as represented by its business strategy, business relationships, and workforce— this documentation should detail all of the following:

• a description of the Proposer’s existing programs and procedures designed to encourage and foster commerce with business enterprises owned by minorities, women, Tennessee service-disabled veterans and small business enterprises;

• a listing of the Proposer’s current contracts with business enterprises owned by minorities, women, Tennessee service-disabled veterans and small business enterprises, including the following information:

• contract description and total value • contractor name and ownership characteristics (i.e., ethnicity, sex, disability) • contractor contact and telephone number; • an estimate of the level of participation by business enterprises owned by

minorities, women, Tennessee service-disabled veterans and small business enterprises in a contract awarded to the Proposer pursuant to this RFP, including the following information:

• participation estimate (expressed as a percent of the total contract value that will be dedicated to business with subcontractors and supply contractors having such ownership characteristics — PERCENTAGES ONLY — DO NOT INCLUDE DOLLAR AMOUNTS)

• descriptions of anticipated contracts • names and ownership characteristics (i.e., ethnicity, sex, disability) of anticipated

subcontractors and supply contractors anticipated; and • the percent of the Proposer’s total current employees by ethnicity, sex, and

handicap or disability.

(Max. Section 6.6.A Score = 35) SCORE (for all Section 6.6A items above):



















































BR Format 2013

ATTACHMENT 6.6B

TECHNICAL PROPOSAL & EVALUATION GUIDE — QUALIFICATIONS & EXPERIENCE

PROPOSER NAME:

PART B — QUALIFICATIONS & EXPERIENCE REGARDING CREDIT/DEBIT CARD SERVICES

The Proposer must address ALL Qualifications and Experience section items and provide, in sequence, the information and documentation as required (referenced with the associated item references).

A Proposal Evaluation Team, made up of three or more University employees, will independently evaluate and score the proposal’s “qualifications and experience” responses.

Proposal Page #

(to be completed by

Proposer)

Part B - Qualifications & Experience Items – Credit/Debit Card Services

6.6.B.1 Describe the Proposer’s form of business (i.e., individual, sole proprietor, corporation, non-profit corporation, partnership, limited liability company) and detail the name, mailing address, and telephone number of the person the University should contact regarding the proposal.

6.6.B.2 Provide a Statement of whether there have been any mergers, acquisitions, or sales of the Proposer company within the last ten years, and if so, an explanation providing relevant details.

6.6.B.3 Provide a Statement of whether the Proposer or any of the Proposer’s employees, agents, independent contractors, or subcontractors have been convicted of, pled guilty to, or pled nolo contendere to any felony, and if so, an explanation providing relevant details.

6.6.B.4 Provide a Statement of whether there is any pending litigation against the Proposer; and if such litigation exists, an attached opinion of counsel as to whether the pending litigation will impair the Proposer’s performance in a contract under this RFP.

6.6.B.5 Provide a Statement of whether, in the last ten years, the Proposer has filed (or had filed against it) any bankruptcy or insolvency proceeding, whether voluntary or involuntary, or undergone the appointment of a receiver, trustee, or assignee for the benefit of creditors, and if so, an explanation providing relevant details.

6.6.B.6 Provide a Statement of whether there are any pending Securities Exchange Commission investigations involving the Proposer, and if such are pending or in progress, an explanation providing relevant details and an attached opinion of counsel as to whether the pending investigation(s) will impair the Proposer’s performance in a contract under this RFP.

6.6.B.7 Provide a brief, descriptive Statement indicating the Proposer’s credentials to deliver the services sought under this RFP.





















































BR Format 2013

6.6.B.8 Proposer shall provide the names of the members of its Board of Directors and officers.

6.6.B.9 Proposer shall supply the name of its holding company, if applicable.

6.6.B.10 Proposer shall provide the names of all owners of ten percent (10%) or more of the stock of the Proposer.

6.6.B.11 Proposer shall provide the location of its main office.

6.6.B.12 Proposer shall provide a list of all of its affiliated banking institutions.

6.6.B.13 Proposer shall provide the names of at least three (3) references of account holders for which the Proposer provides services comparable to those described herein. References shall be operationally comparable in size and scope to the University. References are to include the name and address of the reference and the name and contact person of an individual who could provide first-hand information to the University regarding the Proposer’s service and customer service capabilities. Higher education references are preferred.

6.6.B.14 Proposer shall provide documentation of its commitment to diversity as represented by its business strategy, business relationships, and workforce— this documentation should detail all of the following:

• a description of the Proposer’s existing programs and procedures designed to encourage and foster commerce with business enterprises owned by minorities, women, Tennessee service-disabled veterans and small business enterprises;

• a listing of the Proposer’s current contracts with business enterprises owned by minorities, women, Tennessee service-disabled veterans and small business enterprises, including the following information:

• contract description and total value • contractor name and ownership characteristics (i.e., ethnicity, sex, disability) • contractor contact and telephone number; • an estimate of the level of participation by business enterprises owned by

minorities, women, Tennessee service-disabled veterans and small business enterprises in a contract awarded to the Proposer pursuant to this RFP, including the following information:

• participation estimate (expressed as a percent of the total contract value that will be dedicated to business with subcontractors and supply contractors having such ownership characteristics — PERCENTAGES ONLY — DO NOT INCLUDE DOLLAR AMOUNTS)

• descriptions of anticipated contracts • names and ownership characteristics (i.e., ethnicity, sex, disability) of anticipated

subcontractors and supply contractors anticipated; and • the percent of the Proposer’s total current employees by ethnicity, sex, and

handicap or disability.

(Max. Section 6.6B Score = 25) SCORE (for all Section 6.6B items above):



















































ATTACHMENT 6.7A

TECHNICAL PROPOSAL & EVALUATION GUIDE — TECHNICAL APPROACH

PROPOSER NAME:

PART A — TECHNICAL APPROACH FOR BANKING SERVICES

The Proposer must address ALL Technical Approach section items and provide, in sequence, the information and documentation as required (with the associated item references). A Proposal Evaluation Team, made up of three or more University employees, will independently evaluate and score the proposal’s response to each item. Each evaluator will use the following whole number, raw point scale for scoring each item:

Proposal Page # (to be completed

by Proposer) Part A - Technical Approach Items – Banking Services

Points Awarded

6.7.A.1 Proposer shall describe its customer service strategy for the University’s accounts, including details such as staff commitments, designation of a primary account representative (required), procedures for handling customer inquiries, etc. Maximum Points = 3

6.7.A.2 Proposer shall describe its available services for processing checks and deposits. Maximum Points = 3

6.7.A.3 Bank statement cut-off dates shall be the last day of each month. Banking statements shall be provided within five (5) working days after the end of month cut-off. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 3

6.7.A.4 Account balances shall be available on a daily basis via real time Internet banking. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 3

6.7.A.5 Contractor shall be able to send and receive domestic and international wire transfers. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 3

6.7.A.6 Investment services. (Proposer shall describe its capabilities and available services in each of the following areas): DO NOT INCLUDE ANY COST INFORMATION REGARDING FEES FOR THESE SERVICES OR POSSIBLE REVENUE TO UNIVERSITY RELATED TO THESE SERVICES.

• Purchases of federal securities; • Repurchase agreements; • Certificates of deposit; • Savings Account(s), Money Market Demand Deposit Account and

Money Market Savings Account

• Safekeeping Services

Maximum Points = 1


























































6.7.A.7 Contractor shall provide a monthly analysis of cost to service account(s). Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 4

6.7.A.8 Contractor shall provide a night depository for after-hours deposits of funds, as needed. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 1

6.7.A.9 Contractor shall provide Automatic Clearing House (ACH) debits and credits via Internet banking. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 2

6.7.A.10 Contractor shall enable the University to issue stop payment requests online. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 1

6.7.A.11 Contractor shall provide a download of cleared checks daily (or for a specified time period) via Internet banking. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 3

6.7.A.12 Contractor shall provide notifications of returned checks immediately after second attempt to clear. Notification of returned electronic checks (eChecks) shall be provided via email notification with detail of the returned transaction. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 2

6.7.A.13 Contractor shall provide “Positive Pay” services, whereby the University will deliver an electronic file via Internet containing information about a check batch to the Contractor, who will compare checks clearing a University account with the electronic file information and will notify the University of any irregularities detected. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 3

6.7.A.14 The University currently has two ATMs, one located on the first floor of the Roaden University Center and one in the Hooper Eblen Center. These ATMs will remain and are not included in this contract; however, Contractor may be asked to install an additional ATM on campus. (Cost details regarding this portion of the Proposal should be included only in the Cost Proposal.) Provide information regarding willingness to place another ATM on campus. Maximum Points = 2





























































6.7.A.15 The University requires that same-type deposits / withdrawals within its primary depository account be identified in like fashion on banking statements. For deposits, this includes, but is not limited to, in-person deposits at bank, credit card deposits by associated merchant numbers, ACH deposits, etc. For withdrawals, this includes, but is not limited to, TTU-originated EFT refunds / reimbursements by type (student, travel, payroll, etc), ACH withdrawals, etc. Like transactions can be identified by numerical data (merchant numbers) or text (withdrawal – payroll) or some combination of the two. Proposer shall describe its abilities / process relevant to this specification. Maximum Points = 1

6.7.A.16 Describe the enhanced security features as they relate to online banking and transactions requests. This should include login and approval security features for all transactions including but not limited to ACH’s, wires, transfer of funds, positive pay, stop payments, etc. Also address online security roles and off line security features for the above transactions. Maximum Points = 5

Total Raw Weighted Score: (sum of Raw Weighted Scores above)

Total Possible Points = 40




























ATTACHMENT 6.7B

TECHNICAL PROPOSAL & EVALUATION GUIDE — TECHNICAL APPROACH

PROPOSER NAME:

PART B — TECHNICAL APPROACH FOR CREDIT/DEBIT CARD SERVICES

The Proposer must address ALL Technical Approach section items and provide, in sequence, the information and documentation as required (with the associated item references). A Proposal Evaluation Team, made up of three or more University employees, will independently evaluate and score the proposal’s response to each item. Each evaluator will use the following whole number, raw point scale for scoring each item:

Proposal Page # (to be completed

by Proposer) Part B - Technical Approach Items – Credit/Debit Card Services

Points Awarded

6.7.B.1 Proposers should include samples of all reports along with descriptions of whether they are real time or updated on a daily bases. Can reports be summarized or rolled up per merchant so multiple merchants can be viewed on grouped reports or does each merchant have to be viewed individually? What level of detail can be shown on reports? Can individual cards and rates be seen as in cost plus pricing model if needed? Maximum Points = 6

6.7.B.2 Proposer should include details for support hours, service teams, support response time, time to create a new merchant, redundancies provided, security guarantees, etc. Maximum Points = 5

6.7.B.3 Proposer should include the services and reporting that they provide online. Maximum Points = 5

6.7.B.4 Proposer should provide a description of its virtual and/or physical credit card processing terminals. Maximum Points = 4

6.7.B.5 Proposer should describe the enhanced security features as they relate to any online reporting or transferring of data, (EMV, P2PE, etc.). Maximum Points = 5

Total Raw Weighted Score: (sum of Raw Weighted Scores above)

Total Possible Points = 25





















































ATTACHMENT 6.8A

COST PROPOSAL & SCORING GUIDE – BANKING SERVICES NOTICE TO PROPOSER: This Cost Proposal MUST be completed EXACTLY as shown.

PROPOSER NAME:

SIGNATURE & DATE:

NOTE: The signatory must be an individual or a company officer empowered to contractually bind the Proposer. If the Signatory is not the Proposer company president, evidence SHALL be attached showing the Signatory’s authority to bind the Proposer.

COST PROPOSAL SCHEDULE The proposed cost, detailed below, shall indicate the proposed price for providing the entire scope of service including all services as defined in the RFP Attachment 6.2. Pro Forma Contract, Scope of Services for the total contract period. The proposed cost and the submitted technical proposal associated with this cost shall remain valid for at least 120 days subsequent to the date of the Cost Proposal opening and thereafter in accordance with any resulting contract between the Proposer and the University. All monetary amounts are United States currency. Note: The quantities listed are representative of the University’s banking transactions during the past year. These numbers are used for evaluation only and do not represent a commitment on the part of the University for purchase of goods or services. Neither do they represent a limit of the purchase of goods or services. Actual quantities may differ from those listed below.

Quantity (for evaluation

purposes only) Item Description – Banking Services

Charge Unit

Unit Cost (if no cost indicate “n/a”)

Extended Cost

84

Depository

DDA Account Maintenance

Per Account

Per Month

1 Invoice Service Fee Per Month

13 Checks Return Per Item

405

Items Deposited

Checks on Us Per Check

21 Non Customer Check Cashing Fee Per Check






































































1

Deposited Items Returned

Return Item Process – Special Handling

Per Transaction

989

Ledger Entries

Deposits

Per Deposit

7,613 Electronic Deposits Per Deposit

2,131 Electronic Paid Item Per Transaction

47,457

Accounts Payable and Fraud Prevention

Automatic Clearing House (ACH) Credits and Debits

Per Transaction

182 ACH Return Items Per Transaction

2 ACH Auto Redeposit Per Item

66 ACH Notification of Change Per Item

2 ACH Transaction Reversal Per Item

12

Positive Pay

Positive Pay Monthly maintenance

Per Month

11,251 Positive Pay Payee Name Verification Per Item

11,287 Check Issued Items Per Transaction

11,512 Checks Paid (Positive Pay) Per Check

48 Positive Pay No Issue Per Transaction

























































































1 Manual Check Voids Per Transaction

1

Controlled Disbursement Account

One time Setup Charge

One Time Charge

12 Controlled Disbursement Monthly Maintenance Per Month

9,655 Checks Paid – Controlled Disbursement Per Check

28 Funds Transfer Per Transaction

12

Business Banking Online

Maintenance

Per Month

96

Business Banking Online Same Day Detail Per Account

Per Month

12 ACH Maintenance Per Month

121

Wire Transfer

Incoming Fedwire Transfer

Per Transaction

129 Outgoing Fedwire Per Transaction

39 Incoming International Wire Per Transaction

10 Outgoing International Wire Per Transaction

1 SK Account Confirmation Per Transaction


























































































289 Wire Notify Email Per Transaction

1

Remote Deposit Capture

Check Scanner

One Time Charge

1 Basic Setup Fee One Time Charge

1

Electronic Payment Authorization (EFT Fraud Prevention)

Full Debit Block Setup

One time Charge

12 Monthly Maintenance Per Month

74,813

Cash Processing

Branch Coin/Currency Order

Per Transaction

1 Branch Furnished Coin Per Transaction

11,342

Imaging

Imaging Fee

Per Item

36 Imaging Maintenance Three Per Month

11 Imaging Via CD Rom Per CD

12 Deposit Item Imaging Maintenance Per Month

12

Electronic Deposit Items

Electronic Deposit Maintenance Fee

Per Month

























































































10,789 Electronic Deposit Charge Per Item

12

Zero Balance Account

ZBA Maintenance Fee

Per Month

124 ZBA Transfer Credits Per Item

124 ZBA Transfer Debits Per Item

12

Miscellaneous

Wire Maintenance

Per Month

284 Online system Fee Per User

Quantity (for evaluation

purposes only)

Item Description – Banking Services Unit Interest Rate

Extended Revenue

12

Interest Revenue

Interest Rate, as of 1/31/2020, on an average balance of $16,622,936.33.

Per Month

The RFP Coordinator shall use the evaluation cost amount derived from the proposed cost/revenue amounts above to calculate the COST PROPOSAL SCORE. Calculations shall result in numbers rounded to two decimal places.

Evaluation Cost Amount: (sum of all extended cost/revenue amounts

above)

Please provide, on a separate sheet, any additional fees that Tennessee Tech would be charged, that are not listed above. These additional fees will not be included in the cost evaluation. Proposer should list the description of the fee, the charge unit, (e.g., monthly, annually, per transaction, etc.), and the unit cost for each.







































































ATTACHMENT 6.8B COST PROPOSAL & SCORING GUIDE – CREDIT/DEBIT CARD SERVICES

NOTICE TO PROPOSER: This Cost Proposal MUST be completed EXACTLY as shown.

PROPOSER NAME:

SIGNATURE & DATE:

NOTE: The signatory must be an individual or a company officer empowered to contractually bind the Proposer. If the Signatory is not the Proposer company president, evidence SHALL be attached showing the Signatory’s authority to bind the Proposer.

COST PROPOSAL SCHEDULE Proposers are to complete information in the non-shaded areas to provide their bid price for the item and processing fees as noted for each category. The cost proposals for this section will be evaluated based on the number of transactions and dollar volume of credit card charges plus applicable other fees. Credit card processing fees shall be calculated using the following formula: (Per Item Fee x No. of Transactions) + (Percentage Processing Fee x Total Dollar Charge Amount). Note: The Processing Fee (%) to be completed by the Proposer is not to include the rate charged by the credit card company, as these rates are assumed to be the same for each proposer. The Processing Fee (%) proposed is only to include the markup charged by the Proposer above the fee assessed by the credit card company. The proposed cost, detailed below, shall indicate the proposed price for providing the entire scope of service including all services as defined in the RFP Attachment 6.2. Pro Forma Contract, Scope of Services for the total contract period. The proposed cost and the submitted technical proposal associated with this cost shall remain valid for at least 120 days subsequent to the date of the Cost Proposal opening and thereafter in accordance with any resulting contract between the Proposer and the University. All monetary amounts are United States currency. Note: The quantities listed are representative of the University’s banking transactions during the past year. These numbers are used for evaluation only and do not represent either a commitment on the part of the University for purchase of goods or services. Neither do they represent a limit of the purchase of goods or services. Actual quantities may differ from those listed below.

Transaction Type Processing Category

Merchant Services Markup

(+)

TTU Actual Credit Card Data (January 2019 – December 2019)

Per Item Fee

($)

Processing Fee

(%)

Number of Transactions

Total Dollar Charge Amount

AMEX

NON-STL

1494 $1,036,691.03

Discover

ELECT COMM 234 $188,322.87

ERMERGE PP 67 $72,475.08

EMERGING D 9 $1,490.75

EMERGING P 233 $214,280.52

EMERGING R 1327 $625,960.13

VCHR1 COMM 20 $(13,872.15)

VOUCHER3 P 21 $(12,103.21)

VOUCHER3 R 67 $(35,658.66)

















































































































46

Mastercard Per Item Fee

($)

Processing Fee

(%)



C DATA I F 10 $100,551.29

C DATA I P 4 $1,506.00

CDATA II B 21 $16,096.96

CDATA II C 7 $3,308.46

CDATA II F 142 $163,020.85

CDATA II P 30 $9,225.19

CORP INTL 4 $848.41

DATA I BD 15 $1,301.01

DATA I DRF 13 $1,367.48

DATA II BD 79 $18,339.38

DATA1 BPP 3 $216.63

DATA2 B2 12 $7,605.50

DATA2 B3 22 $19,241.93

DATA2 B4 23 $9,761.50

DATA2 B5 5 $2,075.00

DATAI B2 3 $531.95

DATAI B3 8 $1,751.60

DATAI B4 1 $40.00

DATAII DRF 47 $34,931.86

EMGE / GDBMX 758 $922,406.65

EMGE / GPPMX 29 $14,888.47

EMRG E / GDB 3615 $181,541.07

EMRG E / GDR 8 $542.13

EMRG E / GPP 241 $15,232.90

EMRGE / GDRF 2195 $683.636.40

ENH MER 3 75 $14,325.09

ENH MERITI 463 $252.388.93

HV MERIT1 198 $151,328.89

HV MERIT3 45 $8,561.14

INTL ELEC 8 $484.08

INTLELECSP 4 $174.96

INTLP ELEC 5 $8,546.00

INTLP STND 43 $19,776.00

INTLSTNDSP 20 $51,003.12

M INTLSTND 80 $27,682.28

MC REF G1D 6 $(1,325.00)

MC REF G3D 94 $(28,903.37)









































































































































































































































47

MC REFCON3 142 $(88,360.38)

MC REFCRP2 11 $(1,942.50)

MC STND D 3 $60.00

MCW MERIT3 238 $24,411.05

MCW MERITI 992 $709,497.22

MERIT I 558 $269,297.36

MERIT III 106 $10,105.46

MWBCOMDAT1 1 $8.78

MWBCOMDAT2 1 $25.00

MWE MERIT3 176 $28,048.16

MWE MERITI 638 $574.365.61

REF G3 DRF 54 $(14,393.58)

REFCRP2DRF 1 $(200.00)

STANDARD 1 $40.00

STANDARDPP 1 $380.00

STND DRF 1 $300.00

WECOMDAT2 2 $147.00

VISA Per Item Fee

($)

Processing Fee

(%)

Number of 2Transactions


CNP BUS DR 84 $46,942.71

CNP BUSDB 48 $12,446.90

CNP SQ 35 $29,746.98

CNPCOMM PP 6 $443.00

COM RET C 1 $70.00

COM RET P 21 $16,880.35

COMCNP D R 1 $311.00

COMM CNP C 39 $12,736.50

COMM CNP P 162 $57,796.00

COMM CP B1 14 $1,007.78

COMM CP B2 5 $560.00

COMM CP B3 6 $3,120.95

COMM CP B4 8 $1,751.66

COMMCNP B1 56 $20,679.50

COMMCNP B2 31 $57,651.16

COMMCNP B3 42 $28,892.76

COMMCNP B4 63 $46,075.26

CP BUS DR 33 $6,843.41

CP BUSDB 7 $486.01

CP COMM PP 2 $50.00









































































































































































































































48

CR COMM DB 1 $(35.00)

CR CONS D 152 $(57,817.68)

CR CONSD R 171 $(81,724.54)

CRVCHRPUR1 3 $(700.00)

EIRF 34 $38,330.50

EIRF D 99 $52,405.66

EIRF D R 10 $3,468.25

EIRF PP 2 $626.03

INTLSTNDDR 4 $1,436.00

INTLSUPPRM 26 $16,292.53

KEYED D 147 $64,356.79

KEYED D R 171 $72,056.83

KEYED PP 13 $6,139.84

RETAIL D 759 $108,921.18

RETAIL D R 1186 $264,350.26

RETAIL PP 44 $2,068.74

RETAIL SQ 12 $921.11

RTL2 CNP 3690 $2,569,544.06

RTL2 CNP D 3536 $216,292.74

RTL2 CP 821 $86,988.34

RTL2CNP PP 273 $13,987.26

RTL2CNPD R 5992 $2,501,604.05

RTL2CNPDMX 971 $1,245,072.14

RTL2CNPPMX 22 $16,935.61

SIGN EIRF 38 $27,604.84

SMALL TKT 49 $98.36

SML TKT D 720 $4,963.79

SML TKT PP 33 $197.21

SML TKTD R 1337 $9,742.67

STAND B3 1 $53.30

STND B4 3 $1,973.19

STND BUSDB 2 $1,364.82

STND SQ 3 $918.22

US CR COMM 15 $(8,504.96)

US CR CONS 360 $(230,643.18)

V INTLCOMM 34 $62,939.00

V INTLELCT 33 $11,509.48

V INTLPREM 119 $171,345.11

V INTLSTND 148 $160,847.68











































































































































































































































49

VSP CNP 2488 $2,198.952.09

VSP RTL 621 $140,262.70

VSP STND 38 $34,291.08

DEBIT ACCL Per Item Fee

($)

Processing Fee

(%)



DB RTL G2P 1 $35.00

DBRTLSPEG2 4 $36.00

DBSMTK G2P 10 $48.00

PIN DB DRF 5 $25.00

DEBIT INLK Per Item Fee

($)

Processing Fee

(%)



PIN DB DRF 115 $2,644.96

PIN DB RTL 40 $730.00

PP COMM 1 $10.00

PP RTL 3 $25.00

DEBIT MSTO Per Item Fee

($)

Processing Fee

(%)



PIN DB RTL 11 $155.00

DEBIT NYCE Per Item Fee

($)

Processing Fee

(%)



DB RTL PRM 4 $25.00

DEBIT PULS Per Item Fee

($)

Processing Fee

(%)



PIN DB DRF 3 $260.00

PIN DB RTL 16 $321.50

DEBIT STAR Per Item Fee

($)

Processing Fee

(%)



DB RTL PRM 1 $10.00

PIN DB DRF 19 $199.00

PIN DB RTL 3 $11.00

Authorization Fees

Per Item Fee

($)


DIAL COM 268

IP COM 73

MC AVS 0

MC LOC FEE 0

VNET LOCAL 1580

WAT 449






















































































































































































































50

Other Fees Per Unit Price

($)

Statement Fee

Retrieval Fee

PCI Fee

Non-PCI Charge

Set-Up Fee

Chargeback Handling Fee

Minimum Monthly Discount Fee

Please provide, on a separate sheet, any additional fees that Tennessee Tech would be charged, that are not listed above. These additional fees will not be included in the cost evaluation. Proposer should list the description of the fee, the charge unit, (e.g., monthly, annually, per transaction, etc.), and the unit cost for each.



























































51

ATTACHMENT 6.9A

PROPOSAL SCORE SUMMARY MATRIX – BANKING SERVICES

RFP Coordinator Date

QUALIFICATIONS & EXPERIENCE Maximum Points: 35

PROPOSER NAME PROPOSER NAME PROPOSER NAME

EVALUATOR 1

EVALUATOR 2

EVALUATOR 3

EVALUATOR 4

EVALUATOR 5

SCORE:

SCORE:

SCORE:

TECHNICAL APPROACH Maximum Points: 40

EVALUATOR 1

EVALUATOR 2

EVALUATOR 3

EVALUATOR 4

EVALUATOR 5

SCORE:

SCORE:

SCORE:

COST PROPOSAL Maximum Points: 25 SCORE: SCORE: SCORE:

PROPOSAL SCORE Maximum Points: 100

TOTAL SCORE:

TOTAL SCORE:

TOTAL SCORE:






































































































































ATTACHMENT 6.9B

PROPOSAL SCORE SUMMARY MATRIX – CREDIT/DEBIT CARD SERVICES

RFP Coordinator Date

QUALIFICATIONS & EXPERIENCE Maximum Points: 25

PROPOSER NAME PROPOSER NAME PROPOSER NAME

EVALUATOR 1

EVALUATOR 2

EVALUATOR 3

EVALUATOR 4

EVALUATOR 5

SCORE:

SCORE:

SCORE:

TECHNICAL APPROACH Maximum Points: 25

EVALUATOR 1

EVALUATOR 2

EVALUATOR 3

EVALUATOR 4

EVALUATOR 5

SCORE:

SCORE:

SCORE:

COST PROPOSAL Maximum Points: 50 SCORE: SCORE: SCORE:

PROPOSAL SCORE Maximum Points: 100

TOTAL SCORE:

TOTAL SCORE:

TOTAL SCORE:










































































































































TBR Format 2013

ATTACHMENT 6.10

HISTORICAL INFORMATION

Students:

Fall 2019 Headcount 10,140

Employees:

Full Time 1,177

Student and/or Part Time Employees

1,710

Banking Transactions (Annual):

Total Payroll for Fiscal Year 2019 $64,460,560.65

Total Payroll Disbursement by Individual Checks

$ 469,690.72

Number of Payroll Checks 1,034

Total Operating Disbursements by Checks

$31,412,906.30

Number of Operating Checks 10,623

Number of Wire Transfers 223

ACH Transactions 56,825




















































TBR Format 2013

ATTACHMENT 6.11

LISTING OF STATE UNIVERSITIES, TBR SYSTEM INSTITUTIONS, THE UT SYSTEMS OF HIGHER EDUCATION AND STATE OF TENNESSEE

Austin Peay State University East Tennessee State University Middle Tennessee State University Tennessee State University Tennessee Technological University University of Memphis Tennessee Board of Regents, Central Office Chattanooga State Community College Cleveland State Community College TCAT-Athens Columbia State Community College TCAT-Pulaski TCAT-Hohenwald Dyersburg State Community College Jackson State Community College TCAT-Jackson TCAT-Whiteville TCAT-Crump TCAT-McKenzie TCAT-Paris TCAT-Newbern TCAT-Ripley TCAT-Covington Motlow State Community College TCAT-Shelbyville TCAT-Murfreesboro TCAT-McMinnville Nashville State Community College TCAT-Nashville TCAT-Dickson Northeast State Community College TCAT-Elizabethton Pellissippi State Community College TCAT-Knoxville Roane State Community College TCAT-Oneida/Huntsville TCAT-Harriman TCAT-Jacksboro TCAT-Crossville Southwest Tennessee Community College TCAT-Memphis Volunteer State Community College TCAT-Livingston TCAT-Hartsville Walters State Community College TCAT-Morristown University of Tennessee – Chattanooga University of Tennessee – Knoxville University of Tennessee – Martin University of Tennessee – Memphis

University of Tennessee – Tullahoma State of Tennessee Departments


























































TBR Format 2013

ATTACHMENT 6.12

Vendor Checklist for Prevention of Common RFP Mistakes that lead to Proposal Rejection*

1. Mandatory Requirements: 2. ___ Initialed Project Narrative and Documentation (Attachment 6.4)

___ Completed, signed and dated Proposal Transmittal and Statement of Certifications and Assurances (Attachment 6.3)

___ Statement regarding Conflict of Interest ___ Completed and signed Contractor Requirements Form ___ Documentation regarding capital stock, paid-in capital, and surplus ___ Statements/information in response to Section 6.6 and Section 6.7 provisions

3. Submission of Proposal ___ On-Time Submittal per deadline contained in Section 2, Schedule of Events ___ Separately Sealed Cost & Technical Proposals ___ NO Cost or Revenue Data of ANY type in Technical Proposal ___ One (1) Original Technical Proposal ___ One (1) Electronic Technical Proposal ___ Five (5) copies of Technical Proposal ___ One (1) Original Cost Proposal ___ One (1) Electronic Cost Proposal ___ Original Signature on Original Proposals. NO copied or digital Signatures on Original Proposals.

* This checklist does not represent either a complete list of, or replacement for, the mandatory requirements listed in the RFP. This checklist is ONLY A TOOL meant to assist in the prevention of disqualification. Please also note that notations on proposals that materials submitted be kept confidential will not be honored. All bid documents and contracts become public records.






























