REQUEST FOR PROPOSAL. Electronic Payment Processing and Other Commerce Services RFP DUE: 3:00 P.M., MST, 06/30/16

Transcription

1 June 1, 2016 REQUEST FOR PROPOSAL Electronic Payment Processing and Other Commerce Services RFP DUE: 3:00 P.M., MST, 06/30/16 Deadline for Inquiries 3:00 P.M., MST, 06/14/16 Time and Date Set for Closing 3:00 P.M., MST, 06/30/16

2 TABLE OF CONTENTS TITLE PAGE SECTION I REQUEST FOR PROPOSAL... 3 SECTION II PURPOSE OF THE RFP... 4 SECTION III PRE-PROPOSAL CONFERENCE... 6 SECTION IV INSTRUCTIONS TO PROPOSERS... 7 SECTION V SPECIFICATIONS/SCOPE OF WORK SECTION VI GREEN PURCHASING REQUIREMENTS/SPECIFICATIONS SECTION VII PROPOSER QUALIFICATIONS SECTION VIII EVALUATION CRITERIA SECTION IX PRICING SCHEDULE SECTION X FORM OF PROPOSAL/SPECIAL INSTRUCTIONS SECTION XI PROPOSER INQUIRY FORM SECTION XII TERMS & CONDITIONS SECTION XIII MANDATORY CERTIFICATIONS SECTION XIV EXHIBITS

3 SECTION I REQUEST FOR PROPOSAL RFP Arizona State University is requesting sealed proposals from qualified firms or individuals for Electronic Payment Processing Proposals are to be addressed and delivered to the receptionist area, first floor, University Services Building, Purchasing and Business Services, Arizona State University, 1551 S. Rural Road, (located on the east side of Rural Road between Apache Road & Broadway Road) Tempe, Arizona on or before 3:00 P.M., MST, 06/30/16 at which time a representative of Purchasing and Business Services will announce publicly the names of those firms or individuals submitting proposals. No proposals will be accepted after this time. No other public disclosure will be made until after award of the contract. Arizona State University s Overnight Delivery (FedEx, Airborne, and UPS) address is: Purchasing and Business Services University Services Building Arizona State University 1551 S. Rural Rd Tempe, AZ Arizona State University s U.S. Postal Service Mail address is: Purchasing and Business Services Arizona State University P.O. Box Tempe, AZ ARIZONA STATE UNIVERSITY Douglas P. Feckovics Douglas P. Feckovics, Buyer Arizona State University Purchasing and Business Services DPF/AP 3

4 SECTION II PURPOSE OF THE RFP 1. INTENT Arizona State University is seeking firms to provide an electronic student payment processing system and other optional commerce services. The desired solution shall be scalable and can easily accommodate and seamlessly integrate future payment processing needs. This RFP also requests that the Proposer provide associated hosting services (Services) for the development and production environments. The University requires a hosted solution that provides the complete technical infrastructure for the solution suite, enabling the University to significantly minimize the requirement for IT resources, reduce infrastructure expenses, and guarantees the compliance and continued management of the various federal regulations (i.e. GLB Act, FERPA, Red Flags etc.). 2. BACKGROUND INFORMATION Arizona State University is a new model for American higher education, an unprecedented combination of academic excellence, entrepreneurial energy and broad access. This New American University is a single, unified institution comprising four differentiated campuses positively impacting the economic, social, cultural and environmental health of the communities it serves. Its research is inspired by real world application blurring the boundaries that traditionally separate academic disciplines. ASU serves more than 80,000 students in metropolitan Phoenix, Arizona, the nation's fifth largest city. ASU champions intellectual and cultural diversity, and welcomes students from all fifty states and more than one hundred nations across the globe. If you would like more information about Arizona State University please visit us via the World Wide Web. Our home page addresses are About the Current System The Arizona Board of Regents (ABOR), on behalf of Arizona State University (ASU) is soliciting proposals from interested vendors to furnish electronic student payment processing and other optional commerce services. ASU has a comprehensive hosted commerce solution that consists of credit card payment processing including the ability to assess a service fee for online payments, processing electronic checks and international wire transfers, an integrated parent payment option, and electronic current account activity and bill presentment. The current solution includes automated payment posting and reconciliation integration with our Student Financial system, PeopleSoft, and our international wire transfer vendor Flywire by peer Transfer. It also includes a separate platform that provides an online payment processing solution for University departments not integrated with PeopleSoft, which currently we have over fifty departments utilizing. 4

5 3. TERM OF CONTRACT The initial contract term will be for a three (3) year period with the possibility of successive two (2), one (1) year renewals upon mutual agreement. The University may also extend the contract for an additional sixth and/or seventh year after the first five (5) years, if mutually agreed in writing and, if the University President or designee determines in writing that such a contract extension would be advantageous to the University 5

6 SECTION III PRE-PROPOSAL CONFERENCE No pre-proposal conference will be held. 6

7 SECTION IV INSTRUCTIONS TO PROPOSERS 1. You must address and deliver your proposal to the receptionist area, first floor, University Services Building, Purchasing and Business Services, Arizona State University, 1551 S. Rural Road, Tempe, Arizona 85281, on or before the time and date set for closing. No proposal will be accepted after this time. The University Services Building is located on the east side of Rural Road between Apache Road and Broadway Road. PROPOSALS MUST BE IN A MARKED SEALED CONTAINER (i.e., envelope, box): Name of Proposer Title of Proposal RFP Number Date and Time Proposal is Due No telephone, electronic or facsimile proposals will be considered. Proposals received after the time and date for closing will be returned to the proposer unopened. 2. DIRECTIONS TO USB VISITOR PARKING. Purchasing and Business Services is in the University Services Building ( USB ) 1551 S. Rural Road, Tempe, AZ, (located on the east side of Rural between Broadway Ave and Apache Boulevard). A parking meter is located near the main entry to USB. All visitors to USB are required to check in at the USB Reception Desk to obtain a visitor s badge to wear while in the building. The receptionist will call to have you escorted to your meeting. 3. Proposer should use recycled paper and double-sided copying for the production of all printed and photocopied proposal documents. Furthermore, the documents should be clearly marked to indicate that they are printed on recycled content (minimum 30% post-consumer waste paper). 4. You may withdraw your proposal at any time prior to the time and date set for closing. 5. No department, school, or office at the University has the authority to solicit or receive official proposals other than Purchasing and Business Services. All solicitations are performed under the direct supervision of the Chief Procurement Officer and in complete accordance with University policies and procedures. 6. The University reserves the right to conduct discussions with proposers, and to accept revisions of proposals, and to negotiate price changes. During this discussion period, the University will not disclose any information derived from proposals submitted, or from discussions with other proposers. Once a contract is executed, the solicitation file, and the proposals contained therein, are in the public record and will be disclosed upon request. 7. Proposers submitting proposals which meet the selection criteria and which are deemed to be the most advantageous to the University may be requested to give an oral presentation to a selection committee. Purchasing and Business Services will do the scheduling of these oral presentations. 7

8 8. The award shall be made to the responsible proposer whose proposal is determined to be the most advantageous to the University based on the evaluation factors set forth in this solicitation. Price, although a consideration, will not be the sole determining factor. 9. If you are submitting any information you consider to be proprietary, you must place it in a separate envelope and mark it "Proprietary Information". If the Chief Procurement Officer concurs, this information will not be considered public information. The Chief Procurement Officer is the final authority as to the extent of material, which is considered proprietary or confidential. Pricing information cannot be considered proprietary. 10. The University is committed to the development of Small Business and Small Disadvantaged Business ( SB & SDB ) suppliers. If subcontracting (Tier 2 and higher) is necessary, proposer (Tier 1) will make every effort to use SB & SDB in the performance of any contract resulting from this proposal. A report may be required at each annual anniversary date and at the completion of the contract indicating the extent of SB & SDB participation. A description of the proposers expected efforts to solicit SB & SDB participation should be enclosed with your proposal. 11. Your proposal should be submitted in the format shown in Section X. Proposals in any other format will be considered informal and may be rejected. Conditional proposals will not be considered. An individual authorized to extend a formal proposal must sign all proposals. Proposals that are not signed may be rejected. 12. The University reserves the right to reject any or all proposals or any part thereof, or to accept any proposal, or any part thereof, or to withhold the award and to waive or decline to waive irregularities in any proposal when it determines that it is in its best interest to do so. The University also reserves the right to hold all proposals for a period of 60 days after the opening date and the right to accept a proposal not withdrawn before the scheduled proposal opening date. 13. EXCEPTIONS: Proposer is expected to enter into a standard form of agreement approved by the Arizona Board of Regents. The Arizona State University contract terms and conditions are included in this Request for Proposal in Section XII. These terms and conditions are intended to be incorporated into the contract between the University and the successful proposer. Proposals that are contingent upon any changes to these mandatory contract terms and conditions may be deemed nonresponsive and may be rejected. 14. Unless specifically stated to the contrary, any manufacturer's names, trade names, brand names or catalog numbers used in the specifications of this Request for Proposal are for the purpose of describing and/or establishing the quality, design and performance required. Any such reference is not intended to limit or restrict an offer by any proposer and is included in order to advise the potential proposer of the requirements for the University. Any offer, which proposes like quality, design or performance, will be considered. 15. Days: Calendar days May: Shall, Must, Will: Indicates something that is not mandatory but permissible/ desirable. Indicates mandatory requirement. Failure to meet these mandatory requirements will result in rejection of your proposal as non-responsive. 8

9 Should: Indicates something that is recommended but not mandatory. If the proposer fails to provide recommended information, the University may, at its sole option, ask the proposer to provide the information or evaluate the proposal without the information. 16. Any person, firm, corporation or association submitting a proposal shall be deemed to have read and understood all the terms, conditions and requirements in the specifications/scope of work. 17. All proposals and accompanying documentation will become the property of the University at the time the proposals are opened. It will be the proposer s responsibility to request that samples be returned to the proposer and provide a method for doing so at the expense of the proposer. If a request is not received and a method of return is not provided, all samples shall become the property of the University 45 days from the date of the award. 18. All required performance and payment bonds shall be held by the University in a secure location until the performance of the contract and the payment of all obligations rising there under have been 100% fulfilled. Upon completion of the project and all obligations being fulfilled, it shall be the proposer s responsibility to request the surety bonding company to submit to the University the necessary documents to approve the release of the bonds. Until such time the bonds shall remain in full force and effect. 19. The University of Arizona, Northern Arizona University, and Arizona State University are all state universities governed by the Arizona Board of Regents. Unless reasonable objection is made in writing as part of your proposal to this Request for Proposal, the Board or either of the other two Universities may purchase goods and/or services from any contract resulting from this Request for Proposal. 20. The University has entered into Cooperative Purchasing Agreements with the Maricopa County Community College District and with Maricopa County, in accordance with A.R.S. Sections and Under these Cooperative Purchasing Agreements, and with the concurrence of the proposer, the Community College District and/or Maricopa County may access a contract resulting from a solicitation done by the University. If you do not want to grant such access to the Maricopa County Community College District and or Maricopa County, please state so in your proposal. In the absence of a statement to the contrary, the University will assume that you do wish to grant access to any contract that may result from this Request for Proposal. 21. Arizona State University is also a member of the Strategic Alliance for Volume Expenditures ($AVE) cooperative purchasing group. $AVE includes the State of Arizona, many Phoenix metropolitan area municipalities, and many K-12 unified school districts. Under the $AVE Cooperative Purchasing Agreement, and with the concurrence of the proposer, a member of $AVE may access a contract resulting from a solicitation done by the University. If you do not want to grant such access to a member of $AVE, please state so in your proposal. In the absence of a statement to the contrary, the University will assume that you do wish to grant access to any contract that may result from this Request for Proposal. 9

10 22. All formal inquiries or requests for significant or material clarification or interpretation, or notification to the University of errors or omissions relating to this Request for Proposal must be directed, in writing or by facsimile, to: Douglas P. Feckovics Purchasing and Business Services University Services Building Arizona State University PO Box Tempe, AZ Requests must be submitted on a copy of the Proposer Inquiry Form included in Section XI of this Request for Proposal. All formal inquiries must be submitted at least ten (10) calendar days before the time and date set for closing this Request for Proposal. Failure to submit inquiries by this deadline may result in the inquiry not being answered. Note that the University will answer informal questions orally. The University makes no warranty of any kind as to the correctness of any oral answers and uses this process solely to provide minor clarifications rapidly. Oral statements or instructions shall not constitute an amendment to this Request for Proposal. Proposers shall not rely on any verbal responses from the University. 23. The University shall not reimburse any proposer the cost of responding to a Request for Proposal. 24. In accordance with an executive order titled Air Pollution Emergency Proclamation modified by the Governor of Arizona on July 16, 1996, the University formally requests that all products used in the performance of any contract that results from this Request for Proposal be of lowor no-content of reactive organic compounds, to the maximum extent possible. 25. Arizona requires that the University purchase ENERGY STAR products or those certified by the Federal Energy Management Program as energy efficient in all categories available. If this Request for Proposal is for a product in a category for which ENERGY STAR or certified products are available, please submit evidence of the ENERGY STAR status or certification for the products you are bidding. Please note that if you fail to submit this information but a competitor does, the University will select your competitor s product as meeting specifications and deem your product as not meeting specifications. See A.R.S The University requires that all desktop computers, notebooks, and monitors purchased must meet Electronic Product Environmental Assessment Tool (EPEAT) Gold status as contained in the IEEE 1680 Standard for the Environmental Assessment of Personal Computer Products. The registration criteria and a list of all registered equipment are at on the Web. 27. To the extent applicable to any contract resulting from this Request for Proposal, the proposer shall comply with the Standards for Privacy of Individually Identifiable Information under the Health Insurance Portability and Accountability Act of 1996 contained in 45 CFR Parts 160 and 164 (the HIPAA Privacy Standards ) as of the effective date of the HIPAA Privacy Standards on April 14, 2003 or as later determined. Proposer will use all security and privacy safeguards 10

11 necessary to protect Protected Health Information (PHI), as defined by HIPAA, and shall immediately report to University all improper use or disclosure of PHI of which it becomes aware. Proposer agrees to ensure that its agents and subcontractors agree to and abide by these requirements. Proposer agrees to indemnify the State of Arizona, its departments, agencies, boards, commissions, universities and its officers, officials, agents, and employees against all harm or damage caused or contributed to by proposer s breach of its obligations under this paragraph. 28. The University believes that it can best maintain its reputation for treating suppliers in a fair, honest, and consistent manner by conducting solicitations in good faith and by granting competitors an equal opportunity to win an award. If you feel that we have fallen short of these goals, you may submit a protest pursuant to the Arizona Board of Regents procurement procedures, section 3-809, in particular section 3-809C. This paragraph does not include all of the provisions of the Regents procedures, but it does tell you what you have to do to initiate a protest. First, you have to be an "interested party." An "interested party" is an actual or prospective proposer whose direct economic interest may be affected by the issuance of a solicitation, the award of a contract, or by the failure to award a contract. Whether an actual prospective bidder or offeror has a direct economic interest will depend upon the circumstances in each case. At a minimum, the interest must be substantial and must be tangibly affected by the administrative action or proposed action concerned in the case. For instance, a bidder or proposer who is fourth in line for award does not have a sufficient economic interest to protest the proposed award of a contract to the low bidder or offeror. Second, you must submit the protest in a timely manner. In procurements inviting bids, protests based upon alleged errors, irregularities or, improprieties in a solicitation that are apparent before the bid opening shall be filed before the bid opening. In procurements requesting proposals, protests based upon alleged errors, irregularities or improprieties in a solicitation that are apparent before the closing date for receipt of initial proposals shall be filed before the closing date for receipt of initial proposals. Protests concerning improprieties that do not exist in the initial solicitation, but that are subsequently incorporated into the solicitation, shall be filed by the next closing date for receipt of proposals following the incorporation. In cases other than those just covered, protests shall be filed no later than ten (10) days after a contract is awarded in connection with the procurement action. Failure to timely protest shall be deemed a waiver of all rights. Third, and finally, your protest shall be in writing and shall include the following information: (1) The name, address, telephone number, and fax number of the protestor; (2) The signature of the protestor or its representative; (3) Identification of the solicitation or contract number; (4) A detailed statement of the legal and factual grounds of the protest including copies of relevant documents; and (5) The form of relief requested. Protests should be directed to: Nichol Luoma Chief Procurement Officer Arizona State University PO Box Tempe AZ nichol.luoma@asu.edu Please note that as the University takes protests very seriously; we expect you to do so as well. Frivolous protests will not result in gain for your firm. 11

12 29. Other Opportunities with the University NOT related to this Request for Proposal. The ASU Alumni Advantage Connect your business with an affluent, educated audience through a business partnership with the ASU Alumni Association. The Association is the touchstone for the University s 380,000 alumni and provides valuable connections between them and a wide variety of businesses. By doing business with the University, the largest university in the United States, your company can stand above the competition. ASU alumni represent a responsive target market for your product or service. Alumni live worldwide. 221,000 of alumni reside in Arizona. More than 199,000 alumni live in Maricopa County. 38,000 of alumni reside in California. 55% of ASU alumni are under the age of % own their own place of residence. 60% earn more than $50,000 annually. 40% fall in the top two highest wealth rating categories. 14% hold multiple and /or advanced degrees. Specific partnership opportunities exist in a variety of areas. Advertise in the quarterly ASU Magazine, mailed to more than 340,000 homes around the world. The rate card is available for download. Sponsor one of the Association s many programs and events and receive recognition and access to targeted audiences. Events include: Founder s Day, Homecoming, Travel shows, Career Fairs and many more! Create a unique partnership with us to suit your needs. Establish benefits for ASU alumni by offering targeted discounts and services. Advertise on this Web site or on our 110 Chapter/Club websites or in our electronic newsletters, sent out to more than 200,000 people monthly. Cost is $1000 per mo per each advertising venue. Learn more by viewing our media kit. Contact Robin Hawkins at or robin.hawkins@asu.edu today to start doing business with the Sun Devil nation. Sun Devil Sports Marketing Sun Devil Sports Properties is the exclusive marketing and corporate sponsorship partner for Arizona State University Athletics and manages all corporate marketing opportunities surrounding Sun Devil Athletics. Sponsorship opportunities include, but are not limited to, onpremise signage, TV, radio, print, internet, premium hospitality, event marketing and promotions. If you are interested in partnering with ASU Athletics, please contact Greg McElroy at or at Greg.McElroy@asu.edu. 12

13 Arizona PBS Delivers Eight / Arizona PBS, delivers award-winning, educational, cultural and current events programming to approximately 1.5 million viewers each week. Become an Eight sponsor. Eight delivers reach. Comparable to other TV channels, well beyond cable channels and way beyond the top local radio stations and print media. Eight / KAET reaches 85 percent of the people of Arizona. Eight delivers quality audience. Business leaders, decision makers, high income households, educated citizens & boomers and spenders with disposable income. Eight delivers marketing benefits: Build brand awareness by linking your business with high-quality programs Generate community goodwill through support of public television Promote your offerings to a broad audience at an affordable price Market your brand in an environment free of commercial clutter Eight delivers multiple media platforms: 3 TV Channels Eight HD, Eight Life & Eight World Eight Magazine 50,000 households each month Web views (100,000 unique visitors a month) E-Marketing 40,000 addresses and more. Contact: Janine Haley, Eight Corporate Support at or Janine.Haley@asu.edu. 13

14 SECTION V SPECIFICATIONS/SCOPE OF WORK The University is seeking a single comprehensive service provider to assist the University in the operation of electronic student payment processing and other related commerce services that represent your suite of product line offered to higher education clients. As described in Section X, Form of Proposal/Special Instructions, please respond in a direct and concise manner to each requirement as to how your firm will address each of the following objectives. Responses shall be written in this scope of work section. Do not include any marketing material. The University seeks control over payment processing/management through one vendor that provides a comprehensive, web-based, commerce solution that integrates the following functions: an outsourced, credit card payment solution that can also assess a service charge for online payments, processes electronic checks and international wire transfers, includes a parent payment option, and electronic current account activity and bill presentment. All payments from any of the above components that the University chooses to implement should be centrally processed in one system for efficient reconciliation, research, reporting, audit/financial management, and external system posting. The web environment should be 100% focused on the availability and security of the technical infrastructure, including complete encryption, physical security, redundancy, and fault tolerance. In addition, the solutions, data, and system management should be fully accessible with a web-browser, such that it can be easily accessed by customers, and at the same time quickly and cost-effectively deployed across campus to meet various payment processing needs without requiring software downloads to Personal Computers. The solution should enable the University and the institution s customers to benefit from optimized performance, speed, and reliability. The University desires this technology to benefit from fast deployment and development capabilities, and P2PE. The Hosted environment should utilize high band width processing for high performance response rates, particularly relevant for payment authorizations during peak traffic periods. Supplier shall be able to provide a detailed description of the following ASU expectations: a) a hosted solution b) an outsourced credit card payment solution that assesses a service fee c) a web site that processes credit cards and electronic checks d) international payments e) real-time payment notification f) PeopleSoft integration g) Drupal 7 and 8 integration h) accounting ERP integration (i.e., WorkDay) i) mobile devices access and user experience j) non-traditional credit card payment processing (i.e., Apple Pay, PayPal etc.) 14

15 1. System specific requirements related to the University s campus solutions system, PeopleSoft, and language protocols/requirements. Student Accounts Billing and Payment Technical Specifications: System Information: PeopleSoft Campus Solutions version 9.0 (upgrade to 9.2 within the next year), PeopleTools version (upgrade to 8.55 by June 2016) Student Account billing and payment is a real-time update System Availability: 24/7 availability System Access: My ASU single sign on where students authenticate with an ASURITE login. System Specific Requirements: Accept credit card, e-check and international payments through a vendor managed and hosted portal. Permit partial payments up to the Total Amount Due. Student specifies amount to pay. Provide real-time payment notification through secure integration with our PeopleSoft system using student post for successful transactions, and notification for unsuccessful posts. Provide real-time notification for communication failures. Display the student s detail student account activity. ebill presentment and notification functionality. Provide end of day file with successful, unsuccessful and returned payment activity. Provide an online portal for staff to view activity. Provide samples of your screens and how data is presented, notifications, reports and reconciliation tools. Other Technical and System Capabilities: Describe the processing platforms pertinent to your recommended solution(s) for The University. Provide system specifications, if appropriate. What are the standard/expected lead times for changes to technology and interfaces? Please provide a schematic showing the flow of both credit card and ACH transactions from University through your processing system to the deposit of the funds. Detail all third-party providers' roles in the flow of the transaction. Provide an overview of how new technologies for payment processing are assessed and implemented and how that would impact our relationship. Please state what technology/features are currently in production and what are future developments. For future developments, provide the proposed timeline for implementation. 15

16 What is your process for handling test transactions? Do you provide test cards and if so, what types? 2. Define your implementation scope and implementation options for different levels of service. What is your level of system support during and after implementation? What transaction services will you provide if you are selected as the vendor? Describe the merchant implementation process (i.e., steps in the process of bringing a merchant to production) and the normal time frame for implementation. Describe the merchant training process with regard to: Initial new merchant training Ongoing training (e.g., courses offered, frequency, location, and cost). Update and dissemination of industry-related rule or regulatory changes. Does your organization host seminars and/or publish newsletters covering industry issues, rules and regulations? How often? Specify the persons, by name and function, in your organization that have primary responsibility for merchant implementation and training. 3. Based on your experience, what has been the most time consuming aspect of implementation? 4. What do you anticipate the University s cost of implementation to be in terms of direct expenditures and staff effort? 5. After implementation, how do you accommodate the University s system changes, what level of support do you provide? 6. Describe your processing and settlement process as noted below. Is your batch settlement process and timing flexible? When is the settlement of funds made to our bank for current day transactions (i.e., Monday credit card payments would credit to our bank account when). Merchant Accounts and Processing Authorization: Describe the process for assigning merchant accounts and what the options are to have different "names" on accounts (names being the merchant name listed on the cardholder statement). Explain the process for adding new locations and closing existing locations (e.g., assignment of merchant ID's, toll-free phone numbers, communications, and turnaround time to add/delete locations). Describe how multiple merchant numbers are reported and the flexibility afforded the University for customizing the reports. Can the University "roll up" specific groups for reporting independent of others? Describe the authorization method you use. What are the procedures to reverse an incorrect authorization? 16

17 Settlement: The University requires gross settlement to be deposited via ACH to the University designated bank account within one (1) day of the transaction, with immediate availability after settlement. Can you comply? If not, detail why. What is the settlement transmission time frame for Visa, MasterCard, Discover, and American Express? Do you allow for multiple settlement accounts? Settlement amounts should be listed separately on the bank statement, and Saturday and Sunday activity should not be combined into Monday. Can you comply? Ticket Retrieval and Chargebacks: Describe the ticket retrieval request process, turnaround time and response time. What details do you provide on a retrieval request? For example, would the order ID be provided to us since we will not be storing the credit card number? If there is a fee assessed for chargebacks, is there any way to refund the fee if the chargeback was not legitimate? Credit card chargeback and other debit adjustments cannot be netted from daily proceeds, they are to be debited separately. Can you comply? Debit Card Processing: Can you process online debit transactions? Do you support BIN (Bank Information Number) file management to differentiate between debit card and credit card transactions? Describe your debit card processing capabilities. Which networks can you use? Can you program a debit card transaction to the lowest cost network? Explain Can you process online debit transactions? General: Does your processing system identify and eliminate duplicate transactions? Are there limitations on the number of transactions contained in a batch or processed daily? Are there limitations on the number of files transmitted each day? Describe how your credit card refund process works. How long are credits available for processing on your on-line system (i.e., 6 months, one year, etc.)? Please describe the process for issuing refunds beyond that period of time. 7. Provide sample reconciliation reports to review. Describe your online reporting capabilities to support reconciliations and transactional research. Provide samples of standard reports, including detail and summary reports. What is the standard delivery time frame (real-time, daily, monthly)? What delivery methods are available (e.g., online, encrypted transmissions). Who can access reports? Is this role-based access? If custom reports are available, what costs are involved to develop these customer reports? Are these separate reporting options for departments versus central administrators? 17

18 Is there an ability to do ad hoc type reporting? Does the capability exist to download data so University can use the data for ad hoc reporting and possibly other purposes? Describe how this information is protected while in transit. If encrypted, include types and levels of encryption and the minimum hardware and software required to facilitate the download process. How can your reporting tools compliment or integrate with the PeopleSoft Student Financials application? How long is reporting data stored in your system? Describe the training available to new recipients of your reports. Is there any additional cost for this training? If so, please detail. Indicate the feasibility of receiving a unique indicator for each transaction to assist in reconciliation-authorization ID, order ID, or transaction ID. If this is not feasible, discuss the barriers for implementation. Do you have another solution to assist in reconciliation of these charges? Describe in detail your process for error resolution and the reports available to assist in the process 8. Describe in detail your disaster recovery and business contingency plans with focus on the particular systems which the University would be using. Comment on how the following technologies are deployed in your plans: Stand-n processor or (another company that will automatically authorize transactions if you are down). High availability (redundant servers) hardware solutions Multiple data paths to the Internet Hot sites (off-site servers with potentially up-to-date data). In the event of a catastrophic event, disabling your central data center, how many minutes, hours, and days would it take to regain? 25% transaction processing capacity 50% transaction processing capacity Full transaction processing capacity Discuss your data recovery strategies, i.e. redundant storage, back-up, timing, location, recovery process. Describe the last time that use of your back up system was required, the circumstances and the length of time the back- up system was in use. 9. Has a SSAE 16 audit, or similar type of audit, been performed on the internal controls of your ecommerce products? Was a Service Organization Control (SOC) report issued? 10. Are you a validated PCI DSS service provider? For what services are you validated to provide and through what date? 18

19 11. You must provide a dedicated toll-free service telephone number to students and staff? Describe your customer services organizational structure. Is the customer service function performed in-house, or is it outsourced? Is this 24/7 support? If not, what are the hours of coverage? Specify time zone. Will a specific customer service representative be assigned to The University? Describe the responsibilities of the customer service personnel, including the chain of command for problem resolution. Do you have separate contacts for technical and merchant support? Do you hold regular meeting with customers to review the service? If so, describe the frequency and topics of discussion. Are these established turnaround times for research items? If so, specify. Does your organization host or sponsor focus groups, on-site training, user groups, etc.? If so, provide examples and costs involved 12. Indicate how your firm goes about monitoring the service levels being provided large clients and how client feedback is obtained. Describe the monitoring and notification process if a transmission fails. What authorization methods do you support e.g., lease line, Internet)? List any processor-specific hardware needed to support these options. What are established service levels for system availability? Provide documentation on your standards for system down notification and response time for system fixes. Provide system availability statistics for the current and prior year. What have your actual results been for the last five system downs and system fixes for the system The University would be using? Over the past year, what was the longest period that you were unable to authorize transactions? Describe the situation, including the source of the problem and the time it took to fix the problem. What key performance measures do you track? What is the reporting frequency and period for each measure? What are your last three performance levels for each measure? What specific feedback and suggestions do you regularly provide to the merchant to improve quality (e.g., recommendations on ways to reduce certain types of chargebacks, system or process modifications)? 13. What makes your company and services unique to University s, and why should we select your firm to provide the services described in this request for proposal? 14. Please explain your transition plan and timeline for implementation. 15. For the non-incumbent proposals, indicate your conversion approach and the team that would be assigned. 19

20 SECTION VI GREEN PURCHASING REQUIREMENTS/SPECIFICATIONS In order to reduce the adverse environmental impact of our purchasing decisions the University is committed to buying goods and services from manufacturers and suppliers who share the University s environmental concern and commitment. Green purchasing is the method wherein environmental and social considerations are taken with equal weight to the price, availability and performance criteria that we use to make purchasing decisions. Proposer shall use environmentally preferable products, materials and companies where economically feasible. Environmentally preferable products have a less or reduced effect on human health and the environment when compared to other products and companies that serve the same purpose. If two (2) products are equal in performance characteristics and the pricing is within 5%, the University will favor the more environmentally preferable product and company. If you are citing environmentally preferred product claims, you must provide proper certification or detailed information on environmental benefits, durability and recyclable properties. The University and the supplier may negotiate during the contract term to permit the substitution or addition of Environmentally Preferable Products (EPPs) when such products are readily available at a competitive cost and satisfy the university s performance needs. Unless otherwise specified, proposers and contractors should use recycled paper and doublesided copying for the production of all printed and photocopied documents. Furthermore, the documents shall be clearly marked to indicate that they are printed on recycled content (minimum 30% post-consumer waste) paper. Proposer shall minimize packaging and any packaging/packing materials that are provided must meet at least one of, and preferably all, of the following criteria: Made from 100% post-consumer recycled materials Be recyclable Reusable Non-toxic Biodegradable Further, proposer is expected to pick up packaging and either reuse it or recycle it. This is a requirement of the contract or purchase order. 20

21 SECTION VII PROPOSER QUALIFICATIONS The University is soliciting proposals from firms, which are in the business of providing services as listed in this Request for Proposal. Your proposal shall include, at a minimum, the following information. Failure to include these items may be grounds for rejection of your proposal. 1. The proposer shall present evidence that the firm or its officers have been engaged for at least the past five (5) years in the design, development, implementation and ongoing support of commerce solutions specifically for the higher education marketplace. a) How long have you offered card processing services? b) How long have you offered e-commerce services? c) Do you use a third party for any segment of customer or card processing services? If yes, explain. d) Specify the number of customers for which you are providing card processing and e-commerce services and categorize them by segment (e.g., retail, internet and other (must specify)). e) What is the average number of transactions currently processed daily? f) What would our volume ranking be, given our current number of transaction? What is the volume of your largest customer? g) List all card brands and types currently supported, including credit cards issued by foreign banks. 2. Competitive Position and Future Commitment a) What differentiates your service from that of other providers? b) How do you plan to stay current and competitive? c) What approach is your company taking in the development of new services, especially in the area of e-commerce? d) What new services or features do you plan to offer and within what time frame? e) Explain your company's representation on MasterCard, Visa or other boards or committees. f) List industry-related associations or organizations of which your company is a member or in which it has direct representation. g) List any major credit/debit card rule or policy changes your company has proposed or influenced. 21

22 h) What formal or informal bank/vendor relationships do you have and how can they be leveraged in merchant card processing? i) Is there any current litigation that would impact your ability to perform this RFP? If yes, please detail. j) Are there any pending mergers or acquisitions, which you can disclose, which would impact your ability to perform this RFP? If yes, please detail. k) Provide detail on any problems or issues with major credit providers (Visa, MasterCard, American Express, and Discover) that would impact your ability to serve The University accounts. Have you ever been sanctioned in any way by these providers? If yes, please detail. 3. Financial Statements: Option A. Proposers who have audited financial statements are to provide the following: Audited financial statements for the two (2) most recent available years. If the financial statements are intended to be confidential, please submit one (1) copy in a separate sealed envelope and mark as follows: Firm s Name Confidential Financial Statements Option B. Proposers who might not have audited financial statements are to provide the following: It is preferred that audited financial statements for the two (2) most recent available years be submitted. However, if not available, provide a copy of firm s two (2) most recent tax returns or compiled financial statements by an independent CPA. If the financial statements or tax returns are intended to be confidential, please submit one (1) copy in a separate sealed envelope and mark as follows: Firm s Name Confidential Financial Statements 4. Provide your company s mission statement and organization chart. Demonstrate organizational and strategic commitment to the higher education industry. 5. Personnel assign to the University: List names, title, phone number and addresses and provide brief biographies of relationship management contacts and senior management. Describe the relationship management team that will service both University s account, as well as their functional responsibilities. 22

23 How many employees does the processor have in each functional area involved in providing service to the University? 6. Provide a listing of your 10 largest clients in terms of credit card processing. The list may be used for reference checking. The listing must include at least 4 colleges or universities (provide more than 10 clients to meet this qualification if necessary). Include the following information: Name of Client Contact person, title, phone number and address Client Address Date contract entered into and first year of operation of contract Annual number and dollar amount of credit card transactions 7. Demonstrate your ability to understand and anticipate trends in the marketplace. Provide examples of industry surveys, customer surveys, focus groups and joint development efforts with institutions. 8. Identify any pending or completed legal actions against your organization during the past five years related to services performed. Specifically, have any legal actions been brought against your company or any of the individuals associated with your firm, who have failed to perform contracted services, breach of contract or general mismanagement of a contract? 9. Review and acceptance of the Terms and Conditions. Note: all exceptions with justification and alternative language MUST be submitted with the proposal. 10. All Federal and State certifications 23

24 SECTION VIII EVALUATION CRITERIA Proposals will be evaluated on the following criteria, listed in order of their relative priority with most important listed first: 1. Capabilities and qualifications of firm and assigned personnel to meet University needs; including relevant experience. 2. Response to the Specifications/Scope of Work, Section V. 3. Price Schedule, Section IX 4. Level of satisfaction of present and former clients (will be evaluated for only the final candidate(s)) 5. Other related commerce services that can be offered by the firm 6. Exceptions to Terms and Conditions 7. Clarity, organization and adequacy of responses a) completeness in addressing all service requirements/scope of work b) compliance with Form of Proposal/Checklist c) responsiveness and conformity to terms and conditions and required services 8. Sustainability Efforts 24

25 SECTION IX PRICING SCHEDULE Proposer shall submit a detailed cost proposal to include all aspects of providing the scope of work associated with this Request for Proposal. The pricing schedule for the following services should include both direct and potential indirect costs to the University. 1. Outsourced credit card payment solution that assesses a service fee. Please provide your proposed service fee structure (the University s desire a single fixed percentage service fee structure) 2. Outsourced credit card payment solution without a service fee. Please provide proposed fee structure that included all associated fees (e.g., vendor processing fees, merchant bank processing fees, association interchange and discount fees, etc.) 3. Web site that processes electronic checks and has an international payment integration option 4. Current account activity and electronic bill presentment 5. Other integrated modular commerce services. Provide pricing for individual modular components and/or for suites of services and any other associated processing fees. 6. Consulting fee schedule for any University future enhancements and/or system changes (if applicable) 7. Cashiering system (optional) 25

26 SECTION X FORM OF PROPOSAL/SPECIAL INSTRUCTIONS Format of Submittal To facilitate direct comparisons, your proposal must be submitted in the following format: One (1) clearly marked hardcopy original in 8.5 x 11 double-sided, non-binding form. No metal or plastic binding may use binder, folder, or clip for easy removal of proposal; and One (1) single continuous (no folders) electronic copy (CD, FLASH Drive, etc.), PC readable, labeled, no passwords, and less than 10 MB. Any confidential and/or proprietary documents must be on a separate CD and labeled appropriately. Proposer must check and play all flash drives or CDs before submitting. Company marketing materials should not be included unless the Request for Proposal specifically requests them. All photos must be compressed to small size formats. Content of Submittal Your proposal should include the following information in the order specified. If proposer fails to provide any of the following information, with the exception of the mandatory proposal certifications, the University may, at its sole option, ask the proposer to provide the missing information or evaluate the proposal without the missing information. 1. Mandatory certifications, Substitute W-9 and Sustainability Questionnaire as per Section XIII. 2. Acceptance of ASU s RFP terms and conditions: Note: all exceptions with justification and alternative language MUST be submitted with the proposal. 3. The proposer must submit a brief history of the firm. 4. The proposer must submit a management summary. This summary shall include an organization staffing chart of those employees to be utilized in performing this contract and a brief resume of key personnel, including relevant technical qualifications 5. Specific indication that the proposer meets the qualifications specified in Section VII. 6. Response to Specifications/Scope of Work (Section V) in the specific order listed. (Proposals must address each item in Section V and be formatted in that exact order.) 26